[Title 16 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2018 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 16

Commercial Practices


________________________

Part 1000 to End

                         Revised as of January 1, 2018

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2018
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



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

  Title 16:
          Chapter II--Consumer Product Safety Commission             3
  Finding Aids:
      Table of CFR Titles and Chapters........................     925
      Alphabetical List of Agencies Appearing in the CFR......     945
      List of CFR Sections Affected...........................     955

[[Page iv]]





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

                     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.

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

[[Page v]]



                               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, 2018), 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 
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dates and effective dates are usually not the same and care must be 
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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.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
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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.
    What if the material incorporated by reference cannot be found? If 
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CFR INDEXES AND TABULAR GUIDES

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alphabetical list of agencies publishing in the CFR are also included in 
this volume.

[[Page vii]]

    An index to the text of ``Title 3--The President'' is carried within 
that volume.
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the revision dates of the 50 CFR titles.

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in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
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the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
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    The e-CFR is a regularly updated, unofficial editorial compilation 
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of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    January 1, 2018







[[Page ix]]



                               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, 2018.

    For this volume, Robert J. Sheehan, III was Chief Editor. The Code 
of Federal Regulations publication program is under the direction of 
John Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                     TITLE 16--COMMERCIAL PRACTICES




                  (This book contains part 1000 to End)

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

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

[[Page 3]]



             CHAPTER II--CONSUMER PRODUCT SAFETY COMMISSION




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


  Editorial Notes: 1. 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.

  2. Nomenclature changes to chapter II appear at 69 FR 18803, Apr. 9, 
2004.

                          SUBCHAPTER A--GENERAL
Part                                                                Page
1000            Commission organization and functions.......           9
1009            General statements of policy or 
                    interpretation..........................          17
1010            [Reserved]

1011            Notice of agency activities.................          22
1012            Meetings policy--meetings between agency 
                    personnel and outside parties...........          24
1013            Government in the Sunshine Act, rules for 
                    Commission meetings.....................          28
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.........................          37
1016            Policies and procedures for information 
                    disclosure and Commission employee 
                    testimony in private litigation.........          48
1017            [Reserved]

1018            Advisory committee management...............          49
1019            Export of noncomplying, misbranded, or 
                    banned products.........................          57
1020            Small business..............................          61
1021            Environmental review........................          63
1025            Rules of practice for adjudicative 
                    proceedings.............................          69
1027            Salary offset...............................         105
1028            Protection of human subjects; (eff. until 1-
                    19-18)..................................         108
1028            Protection of human subjects; (eff. 1-19-18)         119
1030            Employee standards of conduct...............         133
1031            Commission participation and Commission 
                    employee involvement in voluntary 
                    standards activities....................         133

[[Page 4]]

1033            Display of control numbers for collection of 
                    information requirements under the 
                    Paperwork Reduction Act.................         142
1034            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Consumer 
                    Product Safety Commission...............         143
1051            Procedure for petitioning for rulemaking....         148
1052            Procedural regulations for informal oral 
                    presentations in proceedings before the 
                    Consumer Product Safety Commission......         151
1061            Applications for exemption from preemption..         153
          SUBCHAPTER B--CONSUMER PRODUCT SAFETY ACT REGULATIONS
1101            Information disclosure under section 6(b) of 
                    the Consumer Product Safety Act.........         158
1102            Publicly available consumer product safety 
                    information database....................         171
1105            Contributions to costs of participants in 
                    development of consumer product safety 
                    standards...............................         181
1107            Testing and labeling pertaining to product 
                    certification...........................         183
1109            Conditions and requirements for relying on 
                    component part testing or certification, 
                    or another party's finished product 
                    testing or certification, to meet 
                    testing and certification requirements..         189
1110            Certificates of compliance..................         194
1112            Requirements pertaining to third party 
                    conformity assessment bodies............         196
1115            Substantial product hazard reports..........         217
1116            Reports submitted pursuant to section 37 of 
                    the Consumer Product Safety Act.........         237
1117            Reporting of choking incidents involving 
                    marbles, small balls, latex balloons and 
                    other small parts.......................         245
1118            Investigations, inspections and inquiries 
                    under the Consumer Product Safety Act...         248
1119            Civil penalty factors.......................         255
1120            Substantial product hazard list.............         258
1130            Requirements for consumer registration of 
                    durable infant or toddler products......         260
1145            Regulation of products subject to other acts 
                    under the Consumer Product Safety Act...         267
1199            Children's toys and child care articles 
                    containing phthalates: guidance on 
                    inaccessible component parts............         269
1200            Definition of children's product under the 
                    Consumer Product Safety Act.............         270
1201            Safety standard for architectural glazing 
                    materials...............................         275

[[Page 5]]

1202            Safety standard for matchbooks..............         285
1203            Safety standard for bicycle helmets.........         289
1204            Safety standard for omnidirectional citizens 
                    band base station antennas..............         313
1205            Safety standard for walk-behind power lawn 
                    mowers..................................         327
1207            Safety standard for swimming pool slides....         341
1209            Interim safety standard for cellulose 
                    insulation..............................         356
1210            Safety standard for cigarette lighters......         383
1211            Safety standard for automatic residential 
                    garage door operators...................         396
1212            Safety standard for multi-purpose lighters..         429
1213            Safety standard for entrapment hazards in 
                    bunk beds...............................         444
1215            Safety standard for infant bath seats.......         454
1216            Safety standard for infant walkers..........         455
1217            Safety standard for toddler beds............         455
1218            Safety standard for bassinets and cradles...         455
1219            Safety standard for full-size baby cribs....         459
1220            Safety standard for non-full-size baby cribs         460
1221            Safety standard for play yards..............         462
1222            Safety standard for bedside sleepers........         462
1223            Safety standard for infant swings...........         463
1224            Safety standard for portable bed rails......         463
1225            Safety standard for hand-held infant 
                    carriers................................         464
1226            Safety standard for soft infant and toddler 
                    carriers................................         464
1227            Safety standard for carriages and strollers.         465
1228            Safety standard for sling carriers; (eff. 1-
                    30-18)..................................         465
1229            Safety standard for infant bouncer seats; 
                    (eff. 3-19-18)..........................         466
1230            Safety standard for frame child carriers....         469
1232            Safety standard for children's folding 
                    chairs and stools; (eff. 6-15-18).......         469
1233            Safety standard for portable hook-on chairs.         470
1234            Safety standard for infant bath tubs........         470
1240            [Reserved]

1250            Safety standard mandating ASTM F963 for toys         471
1251            Toys: Determinations regarding heavy 
                    elements limits for certain materials...         472
1301            Ban of unstable refuse bins.................         472
1302            Ban of extremely flammable contact adhesives         476
1303            Ban of lead-containing paint and certain 
                    consumer products bearing lead-
                    containing paint........................         481
1304            Ban of consumer patching compounds 
                    containing respirable free-form asbestos         485
1305            Ban of artificial emberizing materials (ash 
                    and embers) containing respirable free-
                    form asbestos...........................         489
1306            Ban of hazardous lawn darts.................         490

[[Page 6]]

1307            Prohibition of children's toys and child 
                    care articles containing specified 
                    phthalates; (eff. 4-25-18)..............         492
1308            Prohibition of children's toys and child 
                    care articles containing specified 
                    phthalates: determinations regarding 
                    certain plastics........................         493
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..........................         494
1402            CB base station antennas, TV antennas, and 
                    supporting structures...................         496
1404            Cellulose insulation........................         500
1406            Coal and wood burning appliances--
                    notification of performance and 
                    technical data..........................         501
1407            Portable generators: Requirements to provide 
                    performance and technical data by 
                    labeling................................         509
1420            Requirements for all terrain vehicles.......         512
1450            Virginia Graeme Baker Pool and Spa Safety 
                    Act regulations.........................         513
1460            Children's Gasoline Burn Prevention Act 
                    regulation..............................         513
       SUBCHAPTER C--FEDERAL HAZARDOUS SUBSTANCES ACT REGULATIONS
1500            Hazardous substances and articles: 
                    Administration and enforcement 
                    regulations.............................         515
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..........         627
1502            Procedures for formal evidentiary public 
                    hearing.................................         630
1505            Requirements for electrically operated toys 
                    or other electrically operated articles 
                    intended for use by children............         646
1507            Fireworks devices...........................         661
1510            Requirements for rattles....................         666
1511            Requirements for pacifiers..................         667
1512            Requirements for bicycles...................         671
1513            Requirements for bunk beds..................         692
             SUBCHAPTER D--FLAMMABLE FABRICS ACT REGULATIONS
1602            Statements of policy or interpretation......         703
1605            Investigations, inspections and inquiries 
                    pursuant to the Flammable Fabrics Act...         703
1608            General rules and regulations under the 
                    Flammable Fabrics Act...................         711

[[Page 7]]

1609            Text of the Flammable Fabrics Act of 1953, 
                    as amended in 1954, prior to 1967 
                    amendment and revision..................         714
1610            Standard for the flammability of clothing 
                    textiles................................         717
1611            Standard for the flammability of vinyl 
                    plastic film............................         747
1615            Standard for the flammability of children's 
                    sleepwear: Sizes 0 through 6X (FF 3-71).         757
1616            Standard for the flammability of children's 
                    sleepwear: Sizes 7 through 14 (FF 5-74).         788
1630            Standard for the surface flammability of 
                    carpets and rugs (FF 1-70)..............         822
1631            Standard for the surface flammability of 
                    small carpets and rugs (FF 2-70)........         831
1632            Standard for the flammability of mattresses 
                    and mattress pads (FF 4-72, amended)....         841
1633            Standard for the flammability (open flame) 
                    of mattress sets........................         860
    SUBCHAPTER E--POISON PREVENTION PACKAGING ACT OF 1970 REGULATIONS
1700            Poison prevention packaging.................         894
1701            Statements of policy and interpretation.....         911
1702            Petitions for exemptions from Poison 
                    Prevention Packaging Act requirements; 
                    petition procedures and requirements....         912
            SUBCHAPTER F--REFRIGERATOR SAFETY ACT REGULATIONS
1750            Standard for devices to permit the opening 
                    of household refrigerator doors from the 
                    inside..................................         919
1751-1799       [Reserved]

[[Page 9]]



                          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 Inspector General.
1000.17 Office of Equal Employment Opportunity and Minority Enterprise.
1000.18 Office of Executive Director.
1000.19 Office of Financial Management, Planning and Evaluation.
1000.20 Office of Information and Public Affairs.
1000.21 Office of Compliance and Field Operations.
1000.22 Office of Human Resources Management.
1000.23 Office of Information and Technology Services.
1000.24 Office of International Programs and Intergovernmental Affairs.
1000.25 Office of Hazard Identification and Reduction.
1000.26 Directorate for Epidemiology.
1000.27 Directorate for Health Sciences.
1000.28 Directorate for Economic Analysis.
1000.29 Directorate for Engineering Sciences.
1000.30 Directorate for Laboratory Sciences.

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

    Source: 71 FR 5165, Feb. 1, 2006, unless otherwise noted.



Sec. 1000.1  The Commission.

    (a) The Consumer Product Safety Commission is an independent 
regulatory agency 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 authorized to consist of five members 
appointed by the President, by and with the advice and consent of the 
Senate, for terms of seven years. However, the Departments of Veterans 
Affairs and Housing and Urban Development, and Independent Agencies 
Appropriations Act, 1993, Public Law 102-389, limited funding to that 
for three Commissioners for fiscal year 1993 and thereafter.



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 with the Commission 
by teletypewriter. The teletypewriter number for use in all states is 1-
800-638-8270.

[[Page 10]]

    (c) The Commission also makes available to the public product recall 
information, its public calendar, and other information through its 
worldwide Web site at http://www.cpsc.gov. The public may also report 
product hazards or other information to the Commission at its e-mail 
address: [email protected].



Sec. 1000.4  Commission address.

    The principal Offices of the Commission are at 4330 East West 
Highway, Bethesda, Maryland 20814. All written communications with the 
Commission, including those sent by U.S. Postal Service, private express 
and messenger should be addressed to the Consumer Product Safety 
Commission at that address, unless otherwise specifically directed.



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, 4330 East West Highway, 
Bethesda, Maryland 20814. Petitions must comply with the Commission's 
procedure for petitioning for rulemaking at 16 CFR part 1051.



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 by e-mail ([email protected]) or 
written request to the Secretary, Consumer Product Safety Commission, 
4330 East West Highway, Bethesda, Maryland 20814, or may be examined 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 
by e-mail ([email protected]) or 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 and 
administrative regulations (e.g., Freedom of Information Act 
regulations) the Commission administers, provided the request contains 
sufficient specific factual information upon which to base an opinion. 
Advisory opinions represent the legal opinions of the General Counsel 
and may be changed or superseded by the Commission. Requests for 
advisory opinions should be sent to the General Counsel, Consumer 
Product Safety Commission, 4330 East West Highway, Bethesda, Maryland 
20814. Previously issued advisory opinions are available on the CPSC Web 
site at http://www.cpsc.gov/library/foia/advisory/advisory.html. A copy 
of a particular previously issued advisory opinion or a copy of an index 
of such opinions may also be obtained by written request to the Office 
of the Secretary, Consumer Product Safety Commission, 4330 East West 
Highway, Bethesda, Maryland 20814.
    (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, provided the request 
contains sufficient specific factual information upon which to base an 
interpretation. 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, 4330 East West Highway, Bethesda, Maryland 20814.



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

[[Page 11]]

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 advance 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). The Public Calendar 
is available on the Commission Web site at http://www.cpsc.gov.



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, 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.

    Note: The Departments of Veterans Affairs and Housing and Urban 
Development, and Independent Agencies Appropriations Act, 1993, Pub. L. 
102-389, limited funding to that for three Commissioners for fiscal year 
1993 and thereafter.



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 shall annually elect a Vice Chairman for a term 
beginning on June 1. The Vice Chairman shall serve until the election of 
his or her successor. The Vice Chairman acts 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 documented 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 Inspector General;
    (4) Office of Equal Employment Opportunity and Minority Enterprise;
    (5) Office of the Executive Director.
    (b) The following units report directly to the Executive Director of 
the Commission:
    (1) Office of Financial Management, Planning and Evaluation;
    (2) Office of Hazard Identification and Reduction;
    (3) Office of Information and Public Affairs;
    (4) Office of Compliance and Field Operations;
    (5) Office of Human Resources Management;
    (6) Office of Information and Technology Services;
    (7) Office of International Programs and Intergovernmental Affairs.
    (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;

[[Page 12]]

    (4) Directorate for Engineering Sciences;
    (5) Directorate for Laboratory Sciences.



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 legal 
analysis of Commission legislative proposals 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 and state legislative bodies. 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 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. This Office independently initiates, 
conducts, supervises, and coordinates audits, operations reviews, and 
investigations of Commission programs, activities, and operations. 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. 1000.17  Office of Equal Employment Opportunity and Minority
Enterprise.

    The Office of Equal Employment Opportunity and Minority Enterprise 
is responsible for assuring compliance with all laws and regulations 
relating to equal employment opportunity. The Office provides advice and 
assistance to the Chairman and Commission staff on all EEO related 
issues including the agency Small and Disadvantaged Business Utilization 
Program. The Office develops agency EEO program policies. The Office 
manages the discrimination complaint process, including the adjudication 
of discrimination complaints, and facilitates Affirmative Employment 
Program (AEP) planning for women, minorities, individuals with 
disabilities and disabled veterans. The Office plans and executes 
special emphasis programs and special programs with minority colleges, 
and EEO, diversity, prevention of sexual harassment and related 
training. The Office identifies trends, personnel policies and practices 
that have an impact on EEO and makes recommendations to the Chairman on 
the effectiveness and efficiency of EEO programs and methods to enhance 
equal opportunity.

[[Page 13]]



Sec. 1000.18  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 Office of Financial Management, 
Planning and Evaluation, the Office of Hazard Identification and 
Reduction, the Office of Information and Public Affairs, the Office of 
Compliance and Field Operations, the Office of Human Resources 
Management, the Office of Information and Technology Services, and the 
Office of International Programs and Intergovernmental Affairs.



Sec. 1000.19  Office of Financial Management, Planning and Evaluation.

    The Office of Financial Management, Planning and Evaluation is 
responsible for developing the Commission's funds control system, long-
range strategic plans, annual performance budgets and operating plans; 
analysis of major policy and operational issues; performing evaluations 
and management studies of Commission programs and activities; ensuring 
that Commission resources are procured and expended as planned and 
according to purchasing regulations; the review, control, and payment of 
Commission financial obligations; and, reporting on the use and 
performance of Commission resources. The Office recommends actions to 
the Executive Director to enhance the effectiveness of Commission 
programs and the management of budget, planning and evaluation, 
financial, and procurement activities. The Office serves as the staff 
support to the Commission Chief Financial Officer.



Sec. 1000.20  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.



Sec. 1000.21  Office of Compliance and Field Operations.

    The Office of Compliance and Field Operations conducts compliance 
and administrative enforcement activities under all administered acts, 
provides advice and guidance on complying with all administered acts and 
reviews proposed standards and rules with respect to their 
enforceability. The Office's responsibilities also include identifying 
and addressing safety hazards in consumer products already in 
distribution, promoting industry compliance with existing safety rules, 
and conducting administrative litigation. It conducts field enforcement 
efforts, including providing program guidance, advice, and case guidance 
to field staff. It enforces the Consumer Product Safety Act reporting 
requirements. It reviews consumer complaints, conducts inspections and 
in-depth investigations, and analyzes available data to identify those 
consumer products containing defects posing a substantial risk of injury 
or which do not comply with existing safety requirements. The Office 
negotiates and monitors corrective action plans for products that are 
defective or fail to comply with specific regulations. It gathers 
information on product hazards that may be addressed through rulemaking 
or voluntary standards. The Office develops surveillance strategies and 
programs designed to assure compliance with Commission standards and 
regulations. The Office

[[Page 14]]

of Compliance and Field Operations also assists the Office of 
Information and Public Affairs in implementing consumer information 
activities nationwide, including wide-ranging public information and 
education programs designed to reduce consumer product injuries and 
deaths, and maintaining liaison with, and providing support to, other 
components of the Commission and appropriate State and local government 
offices.



Sec. 1000.22  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.



Sec. 1000.23  Office of Information and Technology Services.

    The Office of Information and Technology Services houses the 
Commission's Secretariat, which facilitates the preparation of the 
Commission's agenda; coordinates Commission business at official 
meetings; maintains the dockets and other materials for the Commission's 
public and non-public administrative and adjudicative meetings and 
hearings; prepares and publishes the Public Calendar; maintains the 
Commission's Injury Information Clearinghouse; issues Commission Orders; 
provides legal notice of Commission decisions through publication in the 
Federal Register; processes all filings that the Commission receives in 
paper, electronic and alternative media formats; exercises joint 
responsibility with the Office of the General Counsel for interpretation 
and application of the Privacy Act, Freedom of Information Act, and the 
Government in the Sunshine Act; prepares reports required by these acts; 
and maintains and manages all official Commission records including 
those pertaining to continuing guarantees of compliance with applicable 
standards of flammability under the Flammable Fabrics Act filed with the 
Commission. The Secretary is the agency's Chief Freedom of Information 
Act Officer. The Office of Information and Technology Services is also 
responsible for the general policy and planning issues related to the 
dissemination of information by the Commission including, but not 
limited to, OMB Circular A-130, the Federal Information Security 
Management Act, the Government Paperwork Elimination Act, Section 508 of 
the Americans with Disabilities Act, and the E-Government Act under the 
President's Management Agenda; the design, implementation and support of 
the Commission's information technology system needs; maintaining and/or 
providing access to administrative applications for the Commission's 
business processes such as payroll, accounting, personnel, budget, 
information management and work tracking; administration of the network, 
telephone systems, and Help Desk. The Office of Information and 
Technology Services also is responsible for providing the Commission 
with printing, mail, and copy services, library services, logistical, 
real and personal property management services; and addressing safety 
and ergonomic issues in the work place.



Sec. 1000.24  Office of International Programs and Intergovernmental
Affairs.

    The Office of International Programs and Intergovernmental Affairs 
provides a comprehensive and coordinated effort in consumer product 
safety standards development and implementation at the international, 
Federal, State and local level. The office conducts activities and 
creates strategies aimed at ensuring greater import compliance with 
recognized American safety standards and exportation of CPSC regulatory 
policies, technologies and methodologies into other jurisdictions. The 
office also works to harmonize the use of standards worldwide.

[[Page 15]]



Sec. 1000.25  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 
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 
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.



Sec. 1000.26  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 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, among 
other things, incidents associated with consumer products, based on news 
clips, medical examiner reports, hotline reports, Internet complaints, 
and referrals. 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.



Sec. 1000.27  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

[[Page 16]]

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.



Sec. 1000.28  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 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.



Sec. 1000.29  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 
assessments for the Office of Compliance and Field Operations; 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.



Sec. 1000.30  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

[[Page 17]]

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 
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.



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. 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

[[Page 18]]

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 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.

[[Page 19]]

    (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.
    (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

[[Page 20]]

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 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

[[Page 21]]

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.
    (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

[[Page 22]]

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 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

[[Page 23]]

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 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)).

[[Page 24]]

    (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 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;

[[Page 25]]

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:
    (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;

[[Page 26]]

    (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 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.

[[Page 27]]



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 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

[[Page 28]]

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).



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

[[Page 29]]

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:
    (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

[[Page 30]]

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.
    (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

[[Page 31]]

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 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

[[Page 32]]

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 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.

[[Page 33]]

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.
    (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.

[[Page 34]]

    (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 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.

[[Page 35]]



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;
    (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;

[[Page 36]]

    (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 (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

[[Page 37]]

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 inspection.
1015.3 Requests for records.
1015.4 Responses to requests for records; responsibility.
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 Secretariat.
1015.8 Requests received during the course of administrative hearings. 
          [Reserved]
1015.9 Fees for production of records.
1015.10 [Reserved]
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--1015.16 [Reserved]
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-

[[Page 38]]

1214; 15 U.S.C. 1191-1204; 15 U.S.C. 8001-8008; Pub. L. 110-278, 122 
Stat. 2602; 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)



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, the Poison Prevention Packaging Act of 1970, the Refrigerator 
Safety Act, the Flammable Fabrics Act, the Children's Gasoline Burn 
Prevention Act, the Virginia Graeme Baker Pool and Spa Safety Act, and 
the Child Nicotine Poisoning Prevention 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 and the FOIA. 
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 or portions of records not exempt from disclosure will be made 
available. Records which may be exempted from disclosure will be made 
available unless: Disclosure is prohibited by law; the Commission 
reasonably foresees that disclosure would harm an interest protected by 
an exemption described in 5 U.S.C. 552(b); or disclosure is exempted 
under 5 U.S.C. 552(b)(3). 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; section 6(b) and section 25(c) of the CPSA. The Commission will 
consider the record's age, content, and character in assessing whether 
it reasonably foresees that disclosure of the document would harm an 
interest protected by an exemption. Additionally, the Commission will 
consider whether partial disclosure of information is possible whenever 
the Commission determines that a full disclosure of a requested record 
is not possible and will take reasonable steps necessary to segregate 
and release nonexempt information.
    (c) The Secretariat of the Commission is the designated Chief 
Freedom of Information Officer who, subject to the authority of the 
Chairman, is responsible for compliance with and implementation of 5 
U.S.C. 552(j).

[82 FR 37007, Aug. 8, 2017]



Sec. 1015.2  Public inspection.

    (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 in an electronic format. The 
principal location will be in the Office of the Secretariat of the 
Commission. The address

[[Page 39]]

of this office is: Office of the Secretariat, Consumer Product Safety 
Commission, Room 820, 4330 East West Highway, Bethesda, MD 20814.
    (b) This public reference facility will maintain and make available 
for public inspection in an electronic format 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 at https://
www.cpsc.gov for those records that are required by 5 U.S.C. 552(a)(2) 
to be available by ``computer telecommunications.'' Records that the 
FOIA requires the Commission to make available for public inspection in 
an electronic format may be accessed through the e-FOIA Public Access 
Link at https://www.cpsc.gov.
    (d) Subject to the requirements of Section 6 of the CPSA, the 
Commission will make available for public inspection in an electronic 
format copies of all records, regardless of form or format, that:
    (1) Have been released to any person under 5 U.S.C. 552(a)(3); and
    (2) Because of the nature of their subject matter, the Commission 
determines have become or are likely to become the subject of subsequent 
requests for substantially the same records or that have been requested 
three or more times.

[82 FR 37007, Aug. 8, 2017]



Sec. 1015.3  Requests for records.

    (a) A request for access to records of the Commission shall be in 
writing addressed to the Secretariat and shall be submitted through any 
of the following methods: The e-FOIA Public Access Link at https://
www.cpsc.gov; email to [email protected]; mail to Consumer Product 
Safety Commission, 4330 East West Highway, Room 820, Bethesda, MD 20814; 
or facsimile to 301-504-0127. 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. Before submitting their requests, requesters may 
contact the Commission's FOIA contact or FOIA Public Liaison to discuss 
the records they seek and to receive assistance in describing the 
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 Secretariat or delegate of the 
Secretariat.
    (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 receipt of a request for records, the Secretariat or 
delegate of the Secretariat will determine which track is

[[Page 40]]

appropriate for the request. The Secretariat or delegate of the 
Secretariat 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 Secretariat or delegate of the 
Secretariat 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, 1977, as amended at 62 FR 46197, Sept. 2, 1997; 
82 FR 37008, Aug. 8, 2017]



Sec. 1015.4  Responses to requests for records; responsibility.

    The ultimate responsibility for responding to requests for records 
is vested in the Secretariat of the Consumer Product Safety Commission. 
The Secretariat or delegate of the Secretariat may respond directly or 
forward the request to any other office of the Commission for response. 
In any case where the Secretariat or delegate of the Secretariat in his/
her discretion determines that a request for an identifiable record 
should be initially determined by the Commission, the Secretariat, or 
the delegate of the Secretariat, 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, 1977, as amended at 62 FR 46197, Sept. 2, 1997; 
82 FR 37008, Aug. 8, 2017]



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

    (a) The Secretariat or delegate of the Secretariat 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 submitted by mail shall 
begin to run at the time a request for records is received and date 
stamped by the Office of the Secretariat. The Office of the Secretariat 
shall date stamp the request the same day that it receives the request. 
The time limitations on responses to requests for records submitted 
electronically during working hours (8 a.m. to 4:30 p.m. EST) shall 
begin to run at the time the request was electronically received, and 
the time limitations on responses to requests for records submitted 
electronically during non-working hours will begin to run when working 
hours resume.
    (b) The time for responding to requests for records may be extended 
by the Secretariat 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 Secretariat.
    (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 Secretariat 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 Secretariat or the

[[Page 41]]

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 Secretariat or the General Counsel an 
alternative time frame for processing the request or a modified request.
    (e) If an extension of time greater than ten (10) working days is 
necessary, the Commission shall make available its FOIA Public Liaison 
for this purpose. A list of the Commission FOIA Public Liaisons is 
available at https://www.cpsc.gov/Newsroom/FOIA. The Commission will 
also notify requesters in writing to the availability of the Office of 
Government Information Services of the National Archives and Records 
Administration to provide dispute resolution services.
    (f) The Secretariat or delegate of the Secretariat may aggregate and 
process as a single request requests by the same requester, or a group 
of requesters acting in concert, if the Secretariat 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.
    (g) The Secretariat or delegate of the Secretariat 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, which may be submitted through any of the methods described in 
Sec. 1015.3(a), 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 Secretariat or delegate of the Secretariat will determine 
whether to grant a request for expedited processing and will notify the 
requester of such determination within ten (10) calendar 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 Secretariat or delegate of the Secretariat will process as 
soon as practicable the documents responsive to a request for which 
expedited processing is granted.
    (h) The Secretariat 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 Secretariat 
or delegate of the Secretariat will notify requesters whose requests 
will be delayed for this reason.

[42 FR 10490, Feb. 22, 1977, as amended at 62 FR 46197, Sept. 2, 1997; 
82 FR 37008, Aug. 8, 2017]



Sec. 1015.6  Responses: Form and content.

    (a) When a requested record has been identified and is available for 
disclosure, the requester shall be supplied with a copy or notified as 
to where and when the record will be made available for public 
inspection in an electronic format. If the payment of fees is required 
the requester shall be advised by the Secretariat in writing of any 
applicable fees under Sec. 1015.9 hereof. The requester will be 
notified of the right to seek assistance from the Commission's FOIA 
Public Liaison.
    (b) A response denying or partially denying a written request for a 
record shall be in writing, dated, and signed by the Secretariat or 
delegate of the Secretariat and shall include:
    (1) The identity of each person responsible for the denial.

[[Page 42]]

    (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 90 calendar days after the date of the denial or partial denial 
of the Commission's response to a request for records.
    (5) A statement that the requester has the right to seek dispute 
resolution services from the Commission's FOIA Public Liaison or the 
Office of Government Information Services.
    (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 Secretariat or delegate of the Secretariat may ask the requester to 
forego judicial relief until a response can be made. The Secretariat or 
delegate of the Secretariat 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, 1977, as amended at 62 FR 46197, Sept. 2, 1997; 
82 FR 37008, Aug. 8, 2017]



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

    (a) When the Secretariat or delegate of the Secretariat has denied a 
request for records in whole or in part, the requester may, within 90 
calendar days after the date of the denial or partial denial, appeal the 
denial to the General Counsel of the Consumer Product Safety Commission, 
attention of the Secretariat. Appeals may be submitted through any of 
the following methods: the e-FOIA Public Access Link at https://
www.cpsc.gov; email to [email protected]; mail to 4330 East West 
Highway, Room 820, Bethesda, MD 20814; or facsimile to 301-504-0127.
    (b) The General Counsel, or the Secretariat upon reconsideration, 
will act upon an appeal within 20 working days of its receipt. The time 
limitations on an appeal submitted by mail shall begin to run at the 
time an appeal is received and date stamped by the Office of the 
Secretariat. The Office of the Secretariat will date stamp the appeal 
the same day that it receives the appeal. The time limitations on an 
appeal submitted electronically during working hours (8 a.m. to 4:30 
p.m. EST) shall begin to run at the time the appeal was electronically 
received, and the time limitations on appeals submitted electronically 
during non-working hours will begin to run when working hours resume.
    (c) After reviewing the appeal, the Secretariat will reconsider his/
her initial denial. If the Secretariat 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 Secretariat 
will so inform the requester and submitter of the information in 
accordance with Sec. Sec. 1015.6(a) and 1015.18(b). If the Secretariat 
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,

[[Page 43]]

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. The decision will 
inform the requester of the right to seek dispute resolution services 
from the Commission's FOIA Liaison or the Office of Government 
Information Services. 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 Secretariat.

(5 U.S.C. 552(a)(6)(A); 5 U.S.C. 553; 15 U.S.C. 2076(b)(10))

[50 FR 7753, Feb. 26, 1985, as amended at 82 FR 37009, Aug. 8, 2017]



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 
Secretariat shall determine and levy fees for duplication, search, 
review, and other services, in accordance with this section.
    (b) Fees shall be paid to the Treasury of the United States 
according to the directions provided by 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 and the reasonable efforts 
expended to locate and retrieve information from electronic records.
    (3) Duplication refers to the process of making a copy of a 
document, including electronically, necessary to respond to a FOIA 
request. The Commission will honor the requester's preference for 
receiving a record in a particular format when it can readily reproduce 
it in the form or format requested.
    (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 entity 
that gathers information of potential interest to a segment of the 
public, uses its editorial skills to turn the raw materials into a 
distinct work, and distributes that work to an audience. The term 
``news'' means information that is about current events or that would be 
of current interest to the public. Examples of news media entities 
include television or radio stations that broadcast

[[Page 44]]

``news'' to the public at large and publishers of periodicals that 
disseminate ``news'' and make their products available through a variety 
of means to the general public, including news organizations that 
disseminate solely on the Internet. A request for records supporting the 
news-dissemination function of the requester will not be considered to 
be for a commercial use. ``Freelance'' journalists who demonstrate a 
solid basis for expecting publication through a news media entity will 
be considered as a representative of the news media. A publishing 
contract would provide the clearest evidence that publication is 
expected; however, the Commission can also consider a requester's past 
publication record in making this determination. These examples are not 
all-inclusive.
    (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. Where paper documents must be scanned in order 
to comply with a requester's preference to receive records in an 
electronic format, the requester must also pay the direct costs 
associated with scanning those materials.
    (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 
Secretariat, 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 Secretariat 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 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 Secretariat 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.

[[Page 45]]

    (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) Search fees shall be waived for all requests and duplication 
fees shall be waived for requests from educational institutions, non-
commercial scientific institutions, and representatives of the news 
media if the Commission fails to comply with any time limit under 
Sec. Sec. 1015.5(a), (g)(3), 1015.7(b), and 5 U.S.C. 552(a)(6) other 
than those exceptions stated in 5 U.S.C. 552(a)(4)(A)(viii)(ll). Those 
exceptions include:
    (i) If the Commission has determined that unusual circumstances as 
defined in Sec. 1015.5(b) apply and the Commission provided timely 
written notice to the requester as required by Sec. 1015.5(c) or Sec. 
1015.7(f), then failure to comply with the time limit in Sec. Sec. 
1015.5(a), (g)(3), 1015.7(b), and 5 U.S.C. 552(a)(6) is excused for 10 
additional working days; or
    (ii) If the Commission has determined that unusual circumstances as 
defined in Sec. 1015.5(b) apply and more than 5,000 pages are necessary 
to respond to the request, and the Commission has provided timely 
written notice in accordance with Sec. 1015.5(c) and (e) and the 
Commission has discussed with the requester via written mail, email, or 
telephone (or made not less than three good-faith efforts to do so) how 
the requester could effectively limit the scope of the request; or
    (iii) If a court has determined that exceptional circumstances exist 
as defined in 5 U.S.C. 552(a)(6)(C), then failure to comply with 
Sec. Sec. 1015.5(a), (g)(3), 1015.7(b), and 5 U.S.C. 552(a)(6) shall be 
excused for the length of time provided by the court order.
    (7) Any determination made by the Secretariat 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; 82 
FR 37009, Aug. 8, 2017]

[[Page 46]]



Sec. 1015.10  [Reserved]



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 or 
other matter referred to 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 or other matter referred to 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 except when permitted by the provisions of section 29(f) of 
the CPSA.

[82 FR 37010, Aug. 8, 2017]



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. 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 reasonably foresees that disclosure would 
harm an interest protected by the exemption or disclosure is prohibited 
by law or otherwise exempted from disclosure under 5 U.S.C. 552(b)(3). 
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 indicate its 
tentative nature. Similarly, staff briefing packages, which have been 
completed but not yet transmitted to the Commission by the Office of the 
Secretariat 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 Secretariat upon the advice of the Office of the General 
Counsel has determined would be released upon request in accordance with 
this regulation, will be made available for public inspection in an 
electronic format through the Commission's Web site at https://

[[Page 47]]

www.cpsc.gov promptly after the briefing package has been transmitted to 
the Commissioners by the Office of the Secretariat. Such packages will 
be marked to indicate that they have not been acted upon by the 
Commission.
    (d) The exemptions contained in 5 U.S.C. 552(b) will be interpreted 
in accordance with the applicable law at the time a request for 
production or disclosure is considered.

[82 FR 37010, Aug. 8, 2017]



Sec. Sec. 1015.16--1015.17  [Reserved]



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
    (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

[[Page 48]]

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 unless such reports 
are subject to the investigatory file exemption contained in the Freedom 
of Information Act (5 U.S.C. 552(b)) 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.

[42 FR 10490, Feb. 22, 1977, as amended at 82 FR 37010, Aug. 8, 2017]



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.

    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.

[[Page 49]]

    (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.
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.

[[Page 50]]

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.
    (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.

[[Page 51]]

    (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 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.

[[Page 52]]

    (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 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

[[Page 53]]

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, 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

[[Page 54]]

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 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.

[[Page 55]]



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 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

[[Page 56]]

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]



                    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.

[[Page 57]]

    (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 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

[[Page 58]]

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.



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

[[Page 59]]

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 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

[[Page 60]]

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.



 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


[[Page 61]]

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:

    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?

[[Page 62]]

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;
    (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

[[Page 63]]

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.
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

[[Page 64]]

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), 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

[[Page 65]]

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.
    (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

[[Page 66]]

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 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

[[Page 67]]

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:
    (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

[[Page 68]]

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 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

[[Page 69]]

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.
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),

[[Page 70]]

(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 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.

[[Page 71]]

    (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 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 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.

[[Page 72]]

    (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 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

[[Page 73]]

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,
    (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

[[Page 74]]

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 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;

[[Page 75]]

    (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
    (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

[[Page 76]]

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:
    (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

[[Page 77]]

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 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;

[[Page 78]]

    (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 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

[[Page 79]]

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 
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.

[[Page 80]]

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 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

[[Page 81]]

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 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

[[Page 82]]

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), 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

[[Page 83]]

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 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

[[Page 84]]

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 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

[[Page 85]]

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.
    (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.

[[Page 86]]



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.
    (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

[[Page 87]]

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.
    (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

[[Page 88]]

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 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

[[Page 89]]

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 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

[[Page 90]]

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 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.

[[Page 91]]



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 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

[[Page 92]]

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.
    (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

[[Page 93]]

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.
    (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

[[Page 94]]

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 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

[[Page 95]]

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.
    (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.

[[Page 96]]

    (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:
    (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

[[Page 97]]

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 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.

[[Page 98]]



     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 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

[[Page 99]]

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.
    (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.

[[Page 100]]

    (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 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

[[Page 101]]

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 
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.

[[Page 102]]

    (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 
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

[[Page 103]]

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.



 Sec. 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 
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


[[Page 104]]

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 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 105]]

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 selection 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 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.

[[Page 106]]

    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 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

[[Page 107]]

    (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 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

[[Page 108]]

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.
    (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 (eff. until 1-19-18)--
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.

[[Page 109]]

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.

    Effective Date Note: At 82 FR 43460, Sept. 18, 2017, part 1028 was 
revised, effective Jan. 19, 2018. For the convenience of the user, the 
new part 1028 follows the text of this part.



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 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.

[[Page 110]]

    (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) 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 Human Research 
Protections, Department of Health and Human Services (HHS), or any 
successor office, and shall also publish them in the Federal Register or 
in

[[Page 111]]

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, subpart 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, as 
amended at 70 FR 36328, June 23, 2005]



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. ``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

[[Page 112]]

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 Human Research Protections, HHS, or any successor office, 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 
Human Research Protections, HHS, or any successor office.
    (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 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 Human Research Protections, HHS, or 
any successor office.
    (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

[[Page 113]]

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 
0990-0260)

[56 FR 28012, 28019, June 18, 1991; 56 FR 29756, June 28, 1991, as 
amended at 70 FR 36328, June 23, 2005]



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,

[[Page 114]]

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, 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 
0990-0260)

[56 FR 28012, 28019, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



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

[[Page 115]]

Secretary, HHS, in the Federal Register. A copy of the list is available 
from the Office for Human Research Protections, HHS, or any successor 
office.
    (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.

[56 FR 28012, 28019, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



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 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

[[Page 116]]

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 
0990-0260)

[56 FR 28012, 28019, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



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 
0990-0260)

[56 FR 28012, 28019, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



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

[[Page 117]]

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 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;

[[Page 118]]

    (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 
0990-0260)

[56 FR 28012, 28019, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



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 
0990-0260)

[56 FR 28012, 28019, June 18, 1991, as amended at 70 FR 36328, June 23, 
2005]



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

[[Page 119]]

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).



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.
    Effective Date Note: At 82 FR 43460, Sept. 18, 2017, part 1028 was 
revised, effective Jan. 19, 2018. For the convenience of the user, the 
revised text is set forth as follows:



PART 1028_PROTECTION OF HUMAN SUBJECTS; (eff. 1-19-18)

Sec.
1028.101 To what does this policy apply?
1028.102 Definitions for purposes of this policy.
1028.103 Assuring compliance with this policy--research conducted or 
          supported by any Federal department or agency.

[[Page 120]]

1028.104 Exempt research.
1028.105-1028.106 [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).



Sec. 1028.101  To what does this policy apply?

    (a) Except as detailed in Sec. 1028.104, this policy applies to all 
research involving human subjects conducted, supported, or otherwise 
subject to regulation by any Federal department or agency that 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. Institutions that are engaged in research 
described in this paragraph and institutional review boards (IRBs) 
reviewing research that is subject to this policy must comply with this 
policy.
    (b) [Reserved]
    (c) Department or agency heads retain final judgment as to whether a 
particular activity is covered by this policy and this judgment shall be 
exercised consistent with the ethical principles of the Belmont 
Report.\1\
---------------------------------------------------------------------------

    \1\ The National Commission for the Protection of Human Subjects of 
Biomedical and Behavioral Research--Belmont Report. Washington, DC: U.S. 
Department of Health and Human Services. 1979.
---------------------------------------------------------------------------

    (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 Federal 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 that provide additional protections for 
human subjects.
    (f) This policy does not affect any state or local laws or 
regulations (including tribal law passed by the official governing body 
of an American Indian or Alaska Native tribe) that may otherwise be 
applicable and that provide additional protections for human subjects.
    (g) This policy does not affect any foreign laws or regulations that 
may otherwise be applicable and that 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. 
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, provided the alternative procedures to 
be followed are consistent with the principles of the Belmont Report.\2\ 
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 Human Research Protections, Department of Health and 
Human Services (HHS), or any successor office, or to the equivalent 
office within the

[[Page 121]]

appropriate Federal department or agency, and shall also publish them in 
the Federal Register or in such other manner as provided in department 
or agency procedures. The waiver notice must include a statement that 
identifies the conditions under which the waiver will be applied and a 
justification as to why the waiver is appropriate for the research, 
including how the decision is consistent with the principles of the 
Belmont Report.
---------------------------------------------------------------------------

    \2\ Id.
---------------------------------------------------------------------------

    (j) Federal guidance on the requirements of this policy shall be 
issued only after consultation, for the purpose of harmonization (to the 
extent appropriate), with other Federal departments and agencies that 
have adopted this policy, unless such consultation is not feasible.
    (k) [Reserved]
    (l) Compliance dates and transition provisions:
    (1) For purposes of this section, the pre-2018 Requirements means 
this subpart as published in the 2016 edition of the Code of Federal 
Regulations.
    (2) For purposes of this section, the 2018 Requirements means the 
Federal Policy for the Protection of Human Subjects requirements 
contained in this subpart. The compliance date for Sec. 1028.114(b) 
(cooperative research) of the 2018 Requirements is January 20, 2020.
    (3) Research initially approved by an IRB, for which such review was 
waived pursuant to Sec. 1028.101(i), or for which a determination was 
made that the research was exempt before January 19, 2018, shall comply 
with the pre-2018 Requirements, except that an institution engaged in 
such research on or after January 19, 2018, may instead comply with the 
2018 Requirements if the institution determines that such ongoing 
research will comply with the 2018 Requirements and an IRB documents 
such determination.
    (4) Research initially approved by an IRB, for which such review was 
waived pursuant to Sec. 1028.101(i), or for which a determination was 
made that the research was exempt on or after January 19, 2018, shall 
comply with the 2018 Requirements.
    (m) Severability: Any provision of this part held to be invalid or 
unenforceable by its terms, or as applied to any person or circumstance, 
shall be construed so as to continue to give maximum effect to the 
provision permitted by law, unless such holding shall be one of utter 
invalidity or unenforceability, in which event the provision shall be 
severable from this part and shall not affect the remainder thereof or 
the application of the provision to other persons not similarly situated 
or to other dissimilar circumstances.



Sec. 1028.102  Definitions for purposes of this policy.

    (a) Certification means the official notification by the institution 
to the supporting Federal department or agency component, 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.
    (b) Clinical trial means a research study in which one or more human 
subjects are prospectively assigned to one or more interventions (which 
may include placebo or other control) to evaluate the effects of the 
interventions on biomedical or behavioral health-related outcomes.
    (c) Department or agency head means the head of any Federal 
department or agency, for example, the Secretary of HHS, and any other 
officer or employee of any Federal department or agency to whom the 
authority provided by these regulations to the department or agency head 
has been delegated.
    (d) Federal department or agency refers to a federal department or 
agency (the department or agency itself rather than its bureaus, offices 
or divisions) that takes appropriate administrative action to make this 
policy applicable to the research involving human subjects it conducts, 
supports, or otherwise regulates (e.g., the U.S. Department of Health 
and Human Services, the U.S. Department of Defense, or the Central 
Intelligence Agency).
    (e)(1) Human subject means a living individual about whom an 
investigator (whether professional or student) conducting research:
    (i) Obtains information or biospecimens through intervention or 
interaction with the individual, and uses, studies, or analyzes the 
information or biospecimens; or
    (ii) Obtains, uses, studies, analyzes, or generates identifiable 
private information or identifiable biospecimens.
    (2) Intervention includes both physical procedures by which 
information or biospecimens are gathered (e.g., venipuncture) and 
manipulations of the subject or the subject's environment that are 
performed for research purposes.
    (3) Interaction includes communication or interpersonal contact 
between investigator and subject.
    (4) 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 that has been 
provided for specific purposes by an individual and that the individual 
can reasonably expect will not be made public (e.g., a medical record).
    (5) Identifiable private information is private information for 
which the identity of the subject is or may readily be ascertained by 
the investigator or associated with the information.
    (6) An identifiable biospecimen is a biospecimen for which the 
identity of the subject is

[[Page 122]]

or may readily be ascertained by the investigator or associated with the 
biospecimen.
    (7) Federal departments or agencies implementing this policy shall:
    (i) Upon consultation with appropriate experts (including experts in 
data matching and re-identification), reexamine the meaning of 
``identifiable private information,'' as defined in paragraph (e)(5) of 
this section, and ``identifiable biospecimen,'' as defined in paragraph 
(e)(6) of this section. This reexamination shall take place within 1 
year and regularly thereafter (at least every 4 years). This process 
will be conducted by collaboration among the Federal departments and 
agencies implementing this policy. If appropriate and permitted by law, 
such Federal departments and agencies may alter the interpretation of 
these terms, including through the use of guidance.
    (ii) Upon consultation with appropriate experts, assess whether 
there are analytic technologies or techniques that should be considered 
by investigators to generate ``identifiable private information,'' as 
defined in paragraph (e)(5) of this section, or an ``identifiable 
biospecimen,'' as defined in paragraph (e)(6) of this section. This 
assessment shall take place within 1 year and regularly thereafter (at 
least every 4 years). This process will be conducted by collaboration 
among the Federal departments and agencies implementing this policy. Any 
such technologies or techniques will be included on a list of 
technologies or techniques that produce identifiable private information 
or identifiable biospecimens. This list will be published in the Federal 
Register after notice and an opportunity for public comment. The 
Secretary, HHS, shall maintain the list on a publicly accessible Web 
site.
    (f) Institution means any public or private entity, or department or 
agency (including federal, state, and other agencies).
    (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) 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. If there is no applicable law 
addressing this issue, legally authorized representative means an 
individual recognized by institutional policy as acceptable for 
providing consent in the nonresearch context on behalf of the 
prospective subject to the subject's participation in the procedure(s) 
involved in the research.
    (j) 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.
    (k) Public health authority means an agency or authority of the 
United States, a state, a territory, a political subdivision of a state 
or territory, an Indian tribe, or a foreign government, or a person or 
entity acting under a grant of authority from or contract with such 
public agency, including the employees or agents of such public agency 
or its contractors or persons or entities to whom it has granted 
authority, that is responsible for public health matters as part of its 
official mandate.
    (l) Research means a systematic investigation, including research 
development, testing, and evaluation, designed to develop or contribute 
to generalizable knowledge. Activities that meet this definition 
constitute research for purposes of this policy, whether or not they are 
conducted or supported under a program that is considered research for 
other purposes. For example, some demonstration and service programs may 
include research activities. For purposes of this part, the following 
activities are deemed not to be research:
    (1) Scholarly and journalistic activities (e.g., oral history, 
journalism, biography, literary criticism, legal research, and 
historical scholarship), including the collection and use of 
information, that focus directly on the specific individuals about whom 
the information is collected.
    (2) Public health surveillance activities, including the collection 
and testing of information or biospecimens, conducted, supported, 
requested, ordered, required, or authorized by a public health 
authority. Such activities are limited to those necessary to allow a 
public health authority to identify, monitor, assess, or investigate 
potential public health signals, onsets of disease outbreaks, or 
conditions of public health importance (including trends, signals, risk 
factors, patterns in diseases, or increases in injuries from using 
consumer products). Such activities include those associated with 
providing timely situational awareness and priority setting during the 
course of an event or crisis that threatens public health (including 
natural or man-made disasters).
    (3) Collection and analysis of information, biospecimens, or records 
by or for a criminal justice agency for activities authorized by law or 
court order solely for criminal justice or criminal investigative 
purposes.
    (4) Authorized operational activities (as determined by each agency) 
in support of intelligence, homeland security, defense, or other 
national security missions.

[[Page 123]]

    (m) Written, or in writing, for purposes of this part, refers to 
writing on a tangible medium (e.g., paper) or in an electronic format.



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

    (a) Each institution engaged in research that is covered by this 
policy, with the exception of research eligible for exemption under 
Sec. 1028.104, and that 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 
of 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 Human Research Protections, HHS, or any successor 
office, and approved for Federal-wide 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 Human Research Protections, HHS, or any successor 
office. Federal departments and agencies will conduct or support 
research covered by this policy only if the institution has provided an 
assurance that it will comply with the requirements of this policy, 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 (if such certification is required by paragraph (d) 
of this section).
    (b) 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.
    (c) The department or agency head may limit the period during which 
any assurance shall remain effective or otherwise condition or restrict 
the assurance.
    (d) Certification is required when the research is supported by a 
Federal department or agency and not otherwise waived under Sec. 
1028.101(i) or exempted under Sec. 1028.104. For such research, 
institutions shall certify that each proposed research study covered by 
the assurance and this section has been reviewed and approved by the 
IRB. Such certification must be submitted as prescribed by the Federal 
department or agency component supporting the research. Under no 
condition shall research covered by this section be initiated prior to 
receipt of the certification that the research has been reviewed and 
approved by the IRB.
    (e) For nonexempt research involving human subjects covered by this 
policy (or exempt research for which limited IRB review takes place 
pursuant to Sec. 1028.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or (8)) 
that takes place at an institution in which IRB oversight is conducted 
by an IRB that is not operated by the institution, the institution and 
the organization operating the IRB shall document the institution's 
reliance on the IRB for oversight of the research and the 
responsibilities that each entity will undertake to ensure compliance 
with the requirements of this policy (e.g., in a written agreement 
between the institution and the IRB, by implementation of an 
institution-wide policy directive providing the allocation of 
responsibilities between the institution and an IRB that is not 
affiliated with the institution, or as set forth in a research 
protocol).

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec. 1028.104  Exempt research.

    (a) Unless otherwise required by law or by department or agency 
heads, research activities in which the only involvement of human 
subjects will be in one or more of the categories in paragraph (d) of 
this section are exempt from the requirements of this policy, except 
that such activities must comply with the requirements of this section 
and as specified in each category.
    (b) Use of the exemption categories for research subject to the 
requirements of 45 CFR part 46, subparts B, C, and D: Application of the 
exemption categories to research subject to the requirements of 45 CFR 
part 46, subparts B, C, and D, is as follows:
    (1) Subpart B. Each of the exemptions at this section may be applied 
to research subject to subpart B if the conditions of the exemption are 
met.
    (2) Subpart C. The exemptions at this section do not apply to 
research subject to subpart C, except for research aimed at involving a 
broader subject population that only incidentally includes prisoners.
    (3) Subpart D. The exemptions at paragraphs (d)(1) and (d)(4) 
through (8) of this section may be applied to research subject to 
subpart D if the conditions of the exemption are met. Paragraphs 
(d)(2)(i) and (ii) of this section only may apply to research subject to 
subpart D involving educational tests or the observation of public 
behavior when the investigator(s) do not participate in the activities 
being observed. Paragraph (d)(2)(iii) of this section may not be applied 
to research subject to subpart D.
    (c) [Reserved.]
    (d) Except as described in paragraph (a) of this section, the 
following categories of human subjects research are exempt from this 
policy:
    (1) Research, conducted in established or commonly accepted 
educational settings,

[[Page 124]]

that specifically involves normal educational practices that are not 
likely to adversely impact students' opportunity to learn required 
educational content or the assessment of educators who provide 
instruction. This includes most research on regular and special 
education instructional strategies, and research on the effectiveness of 
or the comparison among instructional techniques, curricula, or 
classroom management methods.
    (2) Research that only includes interactions involving educational 
tests (cognitive, diagnostic, aptitude, achievement), survey procedures, 
interview procedures, or observation of public behavior (including 
visual or auditory recording) if at least one of the following criteria 
is met:
    (i) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects cannot readily be 
ascertained, directly or through identifiers linked to the subjects;
    (ii) Any disclosure of the human subjects' responses outside the 
research would not reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, educational advancement, or reputation; or
    (iii) The information obtained is recorded by the investigator in 
such a manner that the identity of the human subjects can readily be 
ascertained, directly or through identifiers linked to the subjects, and 
an IRB conducts a limited IRB review to make the determination required 
by Sec. 1028.111(a)(7).
    (3)(i) Research involving benign behavioral interventions in 
conjunction with the collection of information from an adult subject 
through verbal or written responses (including data entry) or 
audiovisual recording if the subject prospectively agrees to the 
intervention and information collection and at least one of the 
following criteria is met:
    (A) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects cannot readily be 
ascertained, directly or through identifiers linked to the subjects;
    (B) Any disclosure of the human subjects' responses outside the 
research would not reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, educational advancement, or reputation; or
    (C) The information obtained is recorded by the investigator in such 
a manner that the identity of the human subjects can readily be 
ascertained, directly or through identifiers linked to the subjects, and 
an IRB conducts a limited IRB review to make the determination required 
by Sec. 1028.111(a)(7).
    (ii) For the purpose of this provision, benign behavioral 
interventions are brief in duration, harmless, painless, not physically 
invasive, not likely to have a significant adverse lasting impact on the 
subjects, and the investigator has no reason to think the subjects will 
find the interventions offensive or embarrassing. Provided all such 
criteria are met, examples of such benign behavioral interventions would 
include having the subjects play an online game, having them solve 
puzzles under various noise conditions, or having them decide how to 
allocate a nominal amount of received cash between themselves and 
someone else.
    (iii) If the research involves deceiving the subjects regarding the 
nature or purposes of the research, this exemption is not applicable 
unless the subject authorizes the deception through a prospective 
agreement to participate in research in circumstances in which the 
subject is informed that he or she will be unaware of or misled 
regarding the nature or purposes of the research.
    (4) Secondary research for which consent is not required: Secondary 
research uses of identifiable private information or identifiable 
biospecimens, if at least one of the following criteria is met:
    (i) The identifiable private information or identifiable 
biospecimens are publicly available;
    (ii) Information, which may include information about biospecimens, 
is recorded by the investigator in such a manner that the identity of 
the human subjects cannot readily be ascertained directly or through 
identifiers linked to the subjects, the investigator does not contact 
the subjects, and the investigator will not re-identify subjects;
    (iii) The research involves only information collection and analysis 
involving the investigator's use of identifiable health information when 
that use is regulated under 45 CFR parts 160 and 164, subparts A and E, 
for the purposes of ``health care operations'' or ``research'' as those 
terms are defined at 45 CFR 164.501 or for ``public health activities 
and purposes'' as described under 45 CFR 164.512(b); or
    (iv) The research is conducted by, or on behalf of, a Federal 
department or agency using government-generated or government-collected 
information obtained for nonresearch activities, if the research 
generates identifiable private information that is or will be maintained 
on information technology that is subject to and in compliance with 
section 208(b) of the E-Government Act of 2002, 44 U.S.C. 3501 note, if 
all of the identifiable private information collected, used, or 
generated as part of the activity will be maintained in systems of 
records subject to the Privacy Act of 1974, 5 U.S.C. 552a, and, if 
applicable, the information used in the research was collected subject 
to the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.
    (5) Research and demonstration projects that are conducted or 
supported by a Federal

[[Page 125]]

department or agency, or otherwise subject to the approval of department 
or agency heads (or the approval of the heads of bureaus or other 
subordinate agencies that have been delegated authority to conduct the 
research and demonstration projects), and that are designed to study, 
evaluate, improve, or otherwise examine public benefit or service 
programs, including procedures for obtaining benefits or services under 
those programs, possible changes in or alternatives to those programs or 
procedures, or possible changes in methods or levels of payment for 
benefits or services under those programs. Such projects include, but 
are not limited to, internal studies by Federal employees, and studies 
under contracts or consulting arrangements, cooperative agreements, or 
grants. Exempt projects also include waivers of otherwise mandatory 
requirements using authorities such as sections 1115 and 1115A of the 
Social Security Act, as amended.
    (i) Each Federal department or agency conducting or supporting the 
research and demonstration projects must establish, on a publicly 
accessible Federal Web site or in such other manner as the department or 
agency head may determine, a list of the research and demonstration 
projects that the Federal department or agency conducts or supports 
under this provision. The research or demonstration project must be 
published on this list prior to commencing the research involving human 
subjects.
    (ii) [Reserved]
    (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.
    (7) Storage or maintenance for secondary research for which broad 
consent is required: Storage or maintenance of identifiable private 
information or identifiable biospecimens for potential secondary 
research use if an IRB conducts a limited IRB review and makes the 
determinations required by Sec. 1028.111(a)(8).
    (8) Secondary research for which broad consent is required: Research 
involving the use of identifiable private information or identifiable 
biospecimens for secondary research use, if the following criteria are 
met:
    (i) Broad consent for the storage, maintenance, and secondary 
research use of the identifiable private information or identifiable 
biospecimens was obtained in accordance with Sec. 1028.116(a)(1) 
through (4), (a)(6), and (d);
    (ii) Documentation of informed consent or waiver of documentation of 
consent was obtained in accordance with Sec. 1028.117;
    (iii) An IRB conducts a limited IRB review and makes the 
determination required by Sec. 1028.111(a)(7) and makes the 
determination that the research to be conducted is within the scope of 
the broad consent referenced in paragraph (d)(8)(i) of this section; and
    (iv) The investigator does not include returning individual research 
results to subjects as part of the study plan. This provision does not 
prevent an investigator from abiding by any legal requirements to return 
individual research results.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



Sec. 1028.105-1028.106  [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 (professional competence), and the diversity of its members, 
including 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. The 
IRB shall be able to ascertain the acceptability of proposed research in 
terms of institutional commitments (including policies and resources) 
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 
category of subjects that is vulnerable to coercion or undue influence, 
such as children, prisoners, individuals with impaired decision-making 
capacity, or economically or educationally disadvantaged persons, 
consideration shall be given to the inclusion of one or more individuals 
who are knowledgeable about and experienced in working with these 
categories of subjects.
    (b) 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.
    (c) 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.
    (d) 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.
    (e) An IRB may, in its discretion, invite individuals with 
competence in special areas

[[Page 126]]

to assist in the review of issues that 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.

    (a) In order to fulfill the requirements of this policy each IRB 
shall:
    (1) Have access to meeting space and sufficient staff to support the 
IRB's review and recordkeeping duties;
    (2) Prepare and maintain a current list of the IRB members 
identified by name; earned degrees; representative capacity; indications 
of experience such as board certifications or licenses sufficient to 
describe each member's chief anticipated contributions to IRB 
deliberations; and any employment or other relationship between each 
member and the institution, for example, full-time employee, part-time 
employee, member of governing panel or board, stockholder, paid or 
unpaid consultant;
    (3) Establish and follow written procedures for:
    (i) Conducting its initial and continuing review of research and for 
reporting its findings and actions to the investigator and the 
institution;
    (ii) 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) Ensuring prompt reporting to the IRB of proposed changes in a 
research activity, and for ensuring that investigators will conduct the 
research activity in accordance with the terms of the IRB approval until 
any proposed changes have been reviewed and approved by the IRB, except 
when necessary to eliminate apparent immediate hazards to the subject.
    (4) Establish and follow written procedures for ensuring prompt 
reporting to the IRB; appropriate institutional officials; the 
department or agency head; and the Office for Human Research 
Protections, HHS, or any successor office, or the equivalent office 
within the appropriate Federal department or agency 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.
    (b) Except when an expedited review procedure is used (as described 
in Sec. 1028.110), an IRB must 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.

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



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, including exempt research activities 
under Sec. 1028.104 for which limited IRB review is a condition of 
exemption (under Sec. 1028.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or 
(8)).
    (b) An IRB shall require that information given to subjects (or 
legally authorized representatives, when appropriate) 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, 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 requiring 
review by the convened IRB at intervals appropriate to the degree of 
risk, not less than once per year, except as described in paragraph (f) 
of this section.
    (f)(1) Unless an IRB determines otherwise, continuing review of 
research is not required in the following circumstances:
    (i) Research eligible for expedited review in accordance with Sec. 
1028.110;
    (ii) Research reviewed by the IRB in accordance with the limited IRB 
review described in Sec. 1028.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) 
or (8);
    (iii) Research that has progressed to the point that it involves 
only one or both of the following, which are part of the IRB-approved 
study:
    (A) Data analysis, including analysis of identifiable private 
information or identifiable biospecimens, or
    (B) Accessing follow-up clinical data from procedures that subjects 
would undergo as part of clinical care.
    (2) [Reserved.]
    (g) An IRB shall have authority to observe or have a third party 
observe the consent process and the research.

[[Page 127]]


(Approved by the Office of Management and Budget under Control Number 
0990-0260)



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 of 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 Secretary 
will evaluate the list at least every 8 years and amend it, as 
appropriate, after consultation with other Federal departments and 
agencies and after publication in the Federal Register for public 
comment. A copy of the list is available from the Office for Human 
Research Protections, HHS, or any successor office.
    (b)(1) An IRB may use the expedited review procedure to review the 
following:
    (i) Some or all of the research appearing on the list described in 
paragraph (a) of this section, unless the reviewer determines that the 
study involves more than minimal risk;
    (ii) Minor changes in previously approved research during the period 
for which approval is authorized; or
    (iii) Research for which limited IRB review is a condition of 
exemption under Sec. 1028.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7) and 
(8).
    (2) 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 nonexpedited procedure set forth in Sec. 
1028.108(b).
    (c) Each IRB that uses an expedited review procedure shall adopt a 
method for keeping all members advised of research proposals that 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 that are consistent with sound research 
design and that 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 (e.g., 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. The IRB should be 
particularly cognizant of the special problems of research that involves 
a category of subjects who are vulnerable to coercion or undue 
influence, such as children, prisoners, individuals with impaired 
decision-making capacity, or economically or educationally disadvantaged 
persons.
    (4) Informed consent will be sought from each prospective subject or 
the subject's legally authorized representative, in accordance with, and 
to the extent required by, Sec. 1028.116.
    (5) Informed consent will be appropriately documented or 
appropriately waived in accordance with 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.
    (i) The Secretary of HHS will, after consultation with the Office of 
Management and Budget's privacy office and other Federal departments and 
agencies that have adopted this policy, issue guidance to assist IRBs in 
assessing what provisions are adequate to protect the privacy of 
subjects and to maintain the confidentiality of data.
    (ii) [Reserved.]
    (8) For purposes of conducting the limited IRB review required by 
Sec. 1028.104(d)(7)), the IRB need not make the determinations at 
paragraphs (a)(1) through (7) of this section, and shall make the 
following determinations:
    (i) Broad consent for storage, maintenance, and secondary research 
use of identifiable private information or identifiable biospecimens is 
obtained in accordance with the requirements of Sec. 1028.116(a)(1)-
(4), (a)(6), and (d);
    (ii) Broad consent is appropriately documented or waiver of 
documentation is appropriate, in accordance with Sec. 1028.117; and

[[Page 128]]

    (iii) If there is a change made for research purposes in the way the 
identifiable private information or identifiable biospecimens are stored 
or maintained, 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, individuals 
with impaired decision-making capacity, 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.



Sec. 1028.114  Cooperative research.

    (a) Cooperative research projects are those projects covered by this 
policy that 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.
    (b)(1) Any institution located in the United States that is engaged 
in cooperative research must rely upon approval by a single IRB for that 
portion of the research that is conducted in the United States. The 
reviewing IRB will be identified by the Federal department or agency 
supporting or conducting the research or proposed by the lead 
institution subject to the acceptance of the Federal department or 
agency supporting the research.
    (2) The following research is not subject to this provision:
    (i) Cooperative research for which more than single IRB review is 
required by law (including tribal law passed by the official governing 
body of an American Indian or Alaska Native tribe); or
    (ii) Research for which any Federal department or agency supporting 
or conducting the research determines and documents that the use of a 
single IRB is not appropriate for the particular context.
    (c) For research not subject to paragraph (b) of this section, an 
institution participating in a cooperative project may enter into a 
joint review arrangement, rely on the review of another 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 forms, 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, including the rationale 
for conducting continuing review of research that otherwise would not 
require continuing review as described in Sec. 1028.109(f)(1).
    (4) Copies of all correspondence between the IRB and the 
investigators.
    (5) A list of IRB members in the same detail as described in Sec. 
1028.108(a)(2).
    (6) Written procedures for the IRB in the same detail as described 
in Sec. 1028.108(a)(3) and (4).
    (7) Statements of significant new findings provided to subjects, as 
required by Sec. 1028.116(c)(5).
    (8) The rationale for an expedited reviewer's determination under 
Sec. 1028.110(b)(1)(i) that research appearing on the expedited review 
list described in Sec. 1028.110(a) is more than minimal risk.
    (9) Documentation specifying the responsibilities that an 
institution and an organization operating an IRB each will undertake to 
ensure compliance with the requirements of this policy, as described in 
Sec. 1028.103(e).
    (b) The records required by this policy shall be retained for at 
least 3 years, and records relating to research that is conducted shall 
be retained for at least 3 years after completion of the research. The 
institution or IRB may maintain the records in printed form, or 
electronically. All records shall be accessible for inspection and 
copying by authorized representatives of the Federal department or 
agency at reasonable times and in a reasonable manner.

[[Page 129]]



Sec. 1028.116  General requirements for informed consent.

    (a) General. General requirements for informed consent, whether 
written or oral, are set forth in this paragraph and apply to consent 
obtained in accordance with the requirements set forth in paragraphs (b) 
through (d) of this section. Broad consent may be obtained in lieu of 
informed consent obtained in accordance with paragraphs (b) and (c) of 
this section only with respect to the storage, maintenance, and 
secondary research uses of identifiable private information and 
identifiable biospecimens. Waiver or alteration of consent in research 
involving public benefit and service programs conducted by or subject to 
the approval of state or local officials is described in paragraph (e) 
of this section. General waiver or alteration of informed consent is 
described in paragraph (f) of this section. Except as provided elsewhere 
in this policy:
    (1) Before involving a human subject in research covered by this 
policy, an investigator shall obtain the legally effective informed 
consent of the subject or the subject's legally authorized 
representative.
    (2) An investigator shall seek informed consent only under 
circumstances that provide the prospective subject or the legally 
authorized representative sufficient opportunity to discuss and consider 
whether or not to participate and that minimize the possibility of 
coercion or undue influence.
    (3) The information that is given to the subject or the legally 
authorized representative shall be in language understandable to the 
subject or the legally authorized representative.
    (4) The prospective subject or the legally authorized representative 
must be provided with the information that a reasonable person would 
want to have in order to make an informed decision about whether to 
participate, and an opportunity to discuss that information.
    (5) Except for broad consent obtained in accordance with paragraph 
(d) of this section:
    (i) Informed consent must begin with a concise and focused 
presentation of the key information that is most likely to assist a 
prospective subject or legally authorized representative in 
understanding the reasons why one might or might not want to participate 
in the research. This part of the informed consent must be organized and 
presented in a way that facilitates comprehension.
    (ii) Informed consent as a whole must present information in 
sufficient detail relating to the research, and must be organized and 
presented in a way that does not merely provide lists of isolated facts, 
but rather facilitates the prospective subject's or legally authorized 
representative's understanding of the reasons why one might or might not 
want to participate.
    (6) No informed consent may include any exculpatory language through 
which the subject or the legally authorized 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.
    (b) Basic elements of informed consent. Except as provided in 
paragraph (d), (e), or (f) of this section, in seeking informed consent 
the following information shall be provided to each subject or the 
legally authorized representative:
    (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 that 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 that 
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;
    (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; and
    (9) One of the following statements about any research that involves 
the collection of identifiable private information or identifiable 
biospecimens:
    (i) A statement that identifiers might be removed from the 
identifiable private information or identifiable biospecimens and that, 
after such removal, the information or biospecimens could be used for 
future research studies or distributed to another investigator for 
future research studies without additional informed consent from the 
subject or the legally authorized representative, if this might be a 
possibility; or
    (ii) A statement that the subject's information or biospecimens 
collected as part of the research, even if identifiers are removed,

[[Page 130]]

will not be used or distributed for future research studies.
    (c) Additional elements of informed consent. Except as provided in 
paragraphs (d), (e), or (f) of this section, one or more of the 
following elements of information, when appropriate, shall also be 
provided to each subject or the legally authorized representative:
    (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) that are currently unforeseeable;
    (2) Anticipated circumstances under which the subject's 
participation may be terminated by the investigator without regard to 
the subject's or the legally authorized representative'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 that may relate to the subject's willingness to 
continue participation will be provided to the subject;
    (6) The approximate number of subjects involved in the study;
    (7) A statement that the subject's biospecimens (even if identifiers 
are removed) may be used for commercial profit and whether the subject 
will or will not share in this commercial profit;
    (8) A statement regarding whether clinically relevant research 
results, including individual research results, will be disclosed to 
subjects, and if so, under what conditions; and
    (9) For research involving biospecimens, whether the research will 
(if known) or might include whole genome sequencing (i.e., sequencing of 
a human germline or somatic specimen with the intent to generate the 
genome or exome sequence of that specimen).
    (d) Elements of broad consent for the storage, maintenance, and 
secondary research use of identifiable private information or 
identifiable biospecimens. Broad consent for the storage, maintenance, 
and secondary research use of identifiable private information or 
identifiable biospecimens (collected for either research studies other 
than the proposed research or nonresearch purposes) is permitted as an 
alternative to the informed consent requirements in paragraphs (b) and 
(c) of this paragraph. If the subject or the legally authorized 
representative is asked to provide broad consent, the following shall be 
provided to each subject or the subject's legally authorized 
representative:
    (1) The information required in paragraphs (b)(2), (3), (5), and (8) 
and, when appropriate, (c)(7) and (9) of this section;
    (2) A general description of the types of research that may be 
conducted with the identifiable private information or identifiable 
biospecimens. This description must include sufficient information such 
that a reasonable person would expect that the broad consent would 
permit the types of research conducted;
    (3) A description of the identifiable private information or 
identifiable biospecimens that might be used in research, whether 
sharing of identifiable private information or identifiable biospecimens 
might occur, and the types of institutions or researchers that might 
conduct research with the identifiable private information or 
identifiable biospecimens;
    (4) A description of the period of time that the identifiable 
private information or identifiable biospecimens may be stored and 
maintained (which period of time could be indefinite), and a description 
of the period of time that the identifiable private information or 
identifiable biospecimens may be used for research purposes (which 
period of time could be indefinite);
    (5) Unless the subject or legally authorized representative will be 
provided details about specific research studies, a statement that they 
will not be informed of the details of any specific research studies 
that might be conducted using the subject's identifiable private 
information or identifiable biospecimens, including the purposes of the 
research, and that they might have chosen not to consent to some of 
those specific research studies;
    (6) Unless it is known that clinically relevant research results, 
including individual research results, will be disclosed to the subject 
in all circumstances, a statement that such results may not be disclosed 
to the subject; and
    (7) An explanation of whom to contact for answers to questions about 
the subject's rights and about storage and use of the subject's 
identifiable private information or identifiable biospecimens, and whom 
to contact in the event of a research-related harm.
    (e) Waiver or alteration of consent in research involving public 
benefit and service programs conducted by or subject to the approval of 
state or local officials--(1) Waiver. An IRB may waive the requirement 
to obtain informed consent for research under paragraphs (a), (b), and 
(c) of this section, provided the IRB satisfies the requirements of 
paragraph (e)(3) of this section. If an individual was asked to provide 
broad consent for the storage, maintenance, and secondary research use 
of identifiable private information or identifiable biospecimens in 
accordance with the requirements at paragraph (d) of this section, and

[[Page 131]]

refused to consent, an IRB cannot waive consent for the storage, 
maintenance, or secondary research use of the identifiable private 
information or identifiable biospecimens.
    (2) Alteration. An IRB may approve a consent procedure that omits 
some, or alters some or all, of the elements of informed consent set 
forth in paragraphs (b) and (c) of this section provided the IRB 
satisfies the requirements of paragraph (e)(3) of this section. An IRB 
may not omit or alter any of the requirements described in paragraph (a) 
of this section. If a broad consent procedure is used, an IRB may not 
omit or alter any of the elements required under paragraph (d) of this 
section.
    (3) Requirements for waiver and alteration. In order for an IRB to 
waive or alter consent as described in this subsection, the IRB must 
find and document that:
    (i) The research or demonstration project is to be conducted by or 
subject to the approval of state or local government officials and is 
designed to study, evaluate, or otherwise examine:
    (A) Public benefit or service programs;
    (B) Procedures for obtaining benefits or services under those 
programs;
    (C) Possible changes in or alternatives to those programs or 
procedures; or
    (D) Possible changes in methods or levels of payment for benefits or 
services under those programs; and
    (ii) The research could not practicably be carried out without the 
waiver or alteration.
    (f) General waiver or alteration of consent--(1) Waiver. An IRB may 
waive the requirement to obtain informed consent for research under 
paragraphs (a), (b), and (c) of this section, provided the IRB satisfies 
the requirements of paragraph (f)(3) of this section. If an individual 
was asked to provide broad consent for the storage, maintenance, and 
secondary research use of identifiable private information or 
identifiable biospecimens in accordance with the requirements at 
paragraph (d) of this section, and refused to consent, an IRB cannot 
waive consent for the storage, maintenance, or secondary research use of 
the identifiable private information or identifiable biospecimens.
    (2) Alteration. An IRB may approve a consent procedure that omits 
some, or alters some or all, of the elements of informed consent set 
forth in paragraphs (b) and (c) of this section provided the IRB 
satisfies the requirements of paragraph (f)(3) of this section. An IRB 
may not omit or alter any of the requirements described in paragraph (a) 
of this section. If a broad consent procedure is used, an IRB may not 
omit or alter any of the elements required under paragraph (d) of this 
section.
    (3) Requirements for waiver and alteration. In order for an IRB to 
waive or alter consent as described in this subsection, the IRB must 
find and document that:
    (i) The research involves no more than minimal risk to the subjects;
    (ii) The research could not practicably be carried out without the 
requested waiver or alteration;
    (iii) If the research involves using identifiable private 
information or identifiable biospecimens, the research could not 
practicably be carried out without using such information or 
biospecimens in an identifiable format;
    (iv) The waiver or alteration will not adversely affect the rights 
and welfare of the subjects; and
    (v) Whenever appropriate, the subjects or legally authorized 
representatives will be provided with additional pertinent information 
after participation.
    (g) Screening, recruiting, or determining eligibility. An IRB may 
approve a research proposal in which an investigator will obtain 
information or biospecimens for the purpose of screening, recruiting, or 
determining the eligibility of prospective subjects without the informed 
consent of the prospective subject or the subject's legally authorized 
representative, if either of the following conditions are met:
    (1) The investigator will obtain information through oral or written 
communication with the prospective subject or legally authorized 
representative, or
    (2) The investigator will obtain identifiable private information or 
identifiable biospecimens by accessing records or stored identifiable 
biospecimens.
    (h) Posting of clinical trial consent form. (1) For each clinical 
trial conducted or supported by a Federal department or agency, one IRB-
approved informed consent form used to enroll subjects must be posted by 
the awardee or the Federal department or agency component conducting the 
trial on a publicly available Federal Web site that will be established 
as a repository for such informed consent forms.
    (2) If the Federal department or agency supporting or conducting the 
clinical trial determines that certain information should not be made 
publicly available on a Federal Web site (e.g. confidential commercial 
information), such Federal department or agency may permit or require 
redactions to the information posted.
    (3) The informed consent form must be posted on the Federal Web site 
after the clinical trial is closed to recruitment, and no later than 60 
days after the last study visit by any subject, as required by the 
protocol.
    (i) Preemption. The informed consent requirements in this policy are 
not intended to preempt any applicable Federal, state, or local laws 
(including tribal laws passed by the official governing body of an 
American Indian or Alaska Native tribe) that require

[[Page 132]]

additional information to be disclosed in order for informed consent to 
be legally effective.
    (j) Emergency medical care. 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 (including tribal law passed by the official 
governing body of an American Indian or Alaska Native tribe).

(Approved by the Office of Management and Budget under Control Number 
0990-0260)



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 informed consent 
form approved by the IRB and signed (including in an electronic format) 
by the subject or the subject's legally authorized representative. A 
written copy shall be given to the person signing the informed consent 
form.
    (b) Except as provided in paragraph (c) of this section, the 
informed consent form may be either of the following:
    (1) A written informed consent form that meets the requirements of 
Sec. 1028.116. The investigator shall give either the subject or the 
subject's legally authorized representative adequate opportunity to read 
the informed consent form before it is signed; alternatively, this form 
may be read to the subject or the subject's legally authorized 
representative.
    (2) A short form written informed consent form 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, and that the key information required by Sec. 
1028.116(a)(5)(i) was presented first to the subject, before other 
information, if any, was provided. The IRB shall approve a written 
summary of what is to be said to the subject or the legally authorized 
representative. When this method is used, there shall be a witness to 
the oral presentation. Only the short form itself is to be signed by the 
subject or the subject's legally authorized 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 subject's 
legally authorized representative, in addition to a copy of the short 
form.
    (c)(1) An IRB may waive the requirement for the investigator to 
obtain a signed informed consent form for some or all subjects if it 
finds any of the following:
    (i) That the only record linking the subject and the research would 
be the informed consent form and the principal risk would be potential 
harm resulting from a breach of confidentiality. Each subject (or 
legally authorized representative) will be asked whether the subject 
wants documentation linking the subject with the research, and the 
subject's wishes will govern;
    (ii) 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; or
    (iii) If the subjects or legally authorized representatives are 
members of a distinct cultural group or community in which signing forms 
is not the norm, that the research presents no more than minimal risk of 
harm to subjects and provided there is an appropriate alternative 
mechanism for documenting that informed consent was obtained.
    (2) In cases in which the documentation requirement is waived, the 
IRB may require the investigator to provide subjects or legally 
authorized representatives with a written statement regarding the 
research.



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 Federal 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. Except for research waived under Sec. 
1028.101(i) or exempted under Sec. 1028.104, 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 Federal department 
or agency component supporting the research.



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

    Except for research waived under Sec. 1028.101(i) or exempted under 
Sec. 1028.104, 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 Federal department or 
agency component supporting the research,

[[Page 133]]

and final approval given to the proposed change by the Federal 
department or agency component.



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 Federal department 
or agency through such officers and employees of the Federal 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 Federal 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 Federal 
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 paragraph (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).



Sec. 1028.124  Conditions

    With respect to any research project or any class of research 
projects the department or agency head of either the conducting or the 
supporting Federal department or agency 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



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



                            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).

[61 FR 65458, Dec. 13, 1996]

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.

[[Page 134]]

1031.5 Criteria for Commission involvement 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 Criteria for employee involvement.
1031.14 Observation criteria.
1031.15 Communication criteria.

               Subpart C_Public Participation and Comment

1031.16 Purpose and scope.
1031.17 Background.
1031.18 Method of review and comment.

    Authority: 15 U.S.C. 2051-2083; 15 U.S.C. 1261-1276; 15 U.S.C. 1191-
1204; Sec. 3, 104, 106, 223 Pub. L. 110-314, 122 Stat. 3016, 3017 
(2008), Sec. 3, 4 Pub. L. 112-28 (2011).

    Source: 71 FR 38755, July 10, 2006, 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 involvement, and subpart B sets forth policies 
and guidelines on employee involvement in voluntary standards 
activities. Subpart C sets forth the criteria governing public review 
and comment on staff involvement in voluntary standards activities.
    (b) For purposes of both subpart A and subpart B of this part 1031, 
voluntary standards bodies are private 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 1990, Congress passed the Consumer Product Safety Improvement 
Act (CPSIA), amending section 15(b) of

[[Page 135]]

the CPSA to require that manufacturers, distributors, and retailers 
notify the Commission about products that fail to comply with an 
applicable voluntary standard upon which the Commission has relied under 
section 9 of the CPSA. CPSIA also amended section 9(b)(2) of the CPSA to 
require that the CPSC afford interested persons the opportunity to 
comment regarding any voluntary standard prior to CPSC termination and 
reliance.



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)).
    (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

[[Page 136]]

the identified inadequacies expeditiously.
    (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, 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 involvement in voluntary
standards activities.

    The Commission will consider the extent to which the following 
criteria are met in considering Commission involvement 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 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

[[Page 137]]

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 
be guided by the Commission's operating plan and performance budget.
    (c) Commission involvement in voluntary standards activities varies.
    (1) The Commission staff may maintain an awareness of the voluntary 
standards development process 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, Commission staff may respond 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, National Electronic Injury Surveillance System (NEISS) data, 
death, injury, and incident 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) Employee involvement may include membership as defined in Sec. 
1031.10(a). Commission staff may regularly attend meetings of a standard 
development committee or group and take an active part in the 
discussions of the committee and in developing the standard, in 
accordance with subpart B of this part. The Commission may 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) in support of 
the development and implementation of those voluntary standards 
referenced in the Commission's operating plan, performance budget, mid-
year review, or other official Commission document. The Commission may 
also support voluntary standards activities as described in Sec. 
1031.7. Employee involvement may include observation as defined in Sec. 
1031.10(c).
    (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 
staff 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.

[[Page 138]]

    (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 operating plan, performance budget, mid-year review, 
or other official Commission document.
    (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 staff's voluntary 
standards activities. The summary shall set forth, among other things, 
the goals of each voluntary standard under development, the extent of 
CPSC staff activity, 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 involvement 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 involvement:
    (1) Is consistent with the intent of the Consumer Product Safety Act 
and the other acts administered by the Commission;
    (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) Commission employees must obtain approval from their supervisor 
and the Office of the Executive Director to be involved in voluntary 
standards activities. They must regularly report to the Voluntary 
Standards Coordinator regarding their involvement in standards 
activities, and provide copies of all official correspondence and other 
communications between the CPSC and the standards developing entities.

[[Page 139]]

    (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.
    (b) Employee involvement. Employee involvement may include 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 voluntary standards project. These projects 
should be 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. 
Employee involvement may include regularly attending meetings of a 
standards development committee or group, taking an active part in 
discussions and technical debates, expressing opinions, expending other 
resources in support of a voluntary standard development activity, and 
participating as a voting member of, or in a leadership position on, a 
voluntary standard development group, when authorized. It includes all 
oral and written communications which are part of the process. Employee 
involvement may also involve maintaining an awareness related to general 
voluntary standards projects set forth in the agency's annual budget or 
operating plan or otherwise approved by the agency.
    (c) 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.

[71 FR 38755, July 10, 2006, as amended at 81 FR 5377, Feb. 2, 2016]



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 involvement 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) Commission officials or employees who are authorized to 
participate as a voting member of a voluntary standard development group 
represent the position of CPSC staff. Such votes or opinions do not bind 
the Commission in any way or necessarily represent the opinions or views 
of the Commission, but rather, solely represent the views of the CPSC 
staff.
    (d) Commission employees and officials who are involved in the 
development of voluntary standards may accept leadership positions in 
voluntary standard development groups (e.g., committee chairman or 
secretary) or leadership positions with the governing bodies of 
standard-making entities, when authorized with the prior approval of the 
Office of the Executive Director.
    (e) Attendance of Commission personnel at voluntary standards 
meetings shall be noted in the public calendar, and meeting summaries 
shall be

[[Page 140]]

submitted to the Office of the Secretary, as required by the 
Commission's meetings policy, 16 CFR part 1012.

[71 FR 38755, July 10, 2006, as amended at 81 FR 5377, Feb. 2, 2016]



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 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 Assistant Executive Director of the Office of Hazard 
Identification and Reduction, the Deputy Assistant Executive Director of 
the Office of Hazard Identification and Reduction and any Special 
Assistants to the Assistant Executive Director of that office.
    (b) All other officials and employees not covered under Sec. 
1031.12(a) may participate as voting members or accept leadership 
positions in voluntary standard development groups, when authorized with 
the prior approval of the Office of the Executive Director.
    (c) Commission employees or officials who have the approval of the 
Office 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.

[71 FR 38755, July 10, 2006, as amended at 81 FR 5377, Feb. 2, 2016]



Sec. 1031.13  Criteria for employee involvement.

    (a) Commission officials, other than those positions listed in Sec. 
1031.12(a), may be involved in 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 involvement shall be in accordance with Commission 
procedures.
    (b) Employees in positions listed in Sec. 1031.12(a)(4), (5), and 
(6) may be involved, on a case-by-case basis, in 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.

[[Page 141]]



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 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 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 involvement 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.



               Subpart C_Public Participation and Comment



Sec. 1031.16  Purpose and scope.

    (a) This subpart sets forth the Consumer Product Safety Commission's 
criteria and requirements governing public review and comment on staff 
involvement in the activities of voluntary standards development bodies.
    (b) The Commission realizes there are advantages and benefits 
afforded by greater public awareness of staff involvement in standards 
development activities. Furthermore, the Commission recognizes public 
comment and input as an important part of the voluntary standards 
development process.
    (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 
openness and transparency.



Sec. 1031.17  Background.

    (a) In a Federal Register Notice (Vol. 69, No. 200) dated October 
18, 2004, the CPSC announced that it was launching a pilot program to 
open CPSC staff activities for public review and comment. The pilot 
program covered information on CPSC staff participation with respect to 
a cross-section of voluntary standards, including advance notice of 
proposed staff positions on issues to be considered by voluntary 
standards organizations. The program

[[Page 142]]

was based on the premise that increased public awareness and 
participation would enhance the quality and conclusions of the proposed 
recommendations made by CPSC staff.
    (b) The pilot program ended on April 18, 2005, after a 6-month 
period. CPSC invited general comments on whether to continue the 
programs beyond the pilot period and solicited suggestions for improving 
the program.
    (c) On July 28, 2005, the CPSC staff submitted to the Commission an 
assessment of the pilot program's results, including data that indicated 
the voluntary standards site ranked among the top 20 directories visited 
on the CPSC Web site. Further, the report included the staff's 
recommendation that the voluntary standards Web site be expanded to 
include information on all standards activities.
    (d) On August 4, 2005, in accordance with the staff's 
recommendation, the Commission voted unanimously to continue the 
voluntary standards program and expand it to include all voluntary 
standards activities.



Sec. 1031.18  Method of review and comment.

    (a) Each of the voluntary standards activities in which Commission 
staff is involved shall have a unique Web link on the Commission Web 
site with relevant information regarding CPSC activity, including:
    (1) The name(s) of CPSC staff working on the activity; and
    (2) The e-mail and mailing addresses of the CPSC Office of the 
Secretary, to which any interested party may communicate their 
particular interest.
    (b) E-mail and written comments on voluntary standards from the 
public to the CPSC shall be managed by the Office of the Secretary. Such 
communication shall be forwarded to appropriate staff for consideration 
and/or response.
    (c) On the voluntary standards Web site, consumers shall have the 
opportunity to register for periodic e-mail notices from the Commission 
with respect to their standard of interest. Such notices shall be issued 
by the CPSC each time a voluntary standard site has been updated and no 
less than once every calendar year.



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 143]]



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 144]]

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 145]]



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 146]]



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 147]]

    (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 148]]

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 149]]

    (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 150]]

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 151]]

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 152]]


    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 153]]

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 154]]

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 155]]

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 156]]

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 157]]

    (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 158]]



          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 15 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 Section 6(b)(4)(A) 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: Section 6(b) of Public Law 92-573, as amended by Section 
211 of Public Law 110-314, 122 Stat. 3016, 15 U.S.C. 2055(b), 5 U.S.C. 
553(b).

    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

[[Page 159]]

Commission must follow when it releases certain firm specific 
information 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 15 days after notice to the manufacturer or 
private labeler unless the Commission publishes a finding that 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.

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72334, Nov. 28, 2008]



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). 
These provisions are now applicable to the Virginia Graeme Baker Pool 
and Spa Safety Act, 15 U.S.C. 8003(a); and the Children's Gasoline Burn 
Prevention Act Sec. 2(a), Public Law 110-278, 122 Stat. 2602 (July 17, 
2008).

[73 FR 72334, Nov. 28, 2008]



   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).

[[Page 160]]

    (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. 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.
    (h) Any federal, state, local, or foreign government agency pursuant 
to, and in accordance with, section 29(f) of the Consumer Product Safety 
Improvement Act of 2008 (Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008)).

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



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.

[[Page 161]]



  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 publishes a finding that the public health 
and safety requires a lesser period of notice 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 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).

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



Sec. 1101.22  Timing: request for time extensions.

    (a) Time for comment. (1) Generally firms will receive ten (10) 
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 publish a finding 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 publishes a finding 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 15 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

[[Page 162]]

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.

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



Sec. 1101.23  Providing less than 15 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 15 
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 15-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 the Commission may publish a finding that the public 
health and safety requires a lesser period of notice than the 15 days 
advance notice that section 6(b)(1) generally requires. The Commission 
may find that the public health and safety requires less than 15 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 15 
days advance notice either orally or in writing, depending on the 
immediacy of the need for quick action. 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).

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



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)),

[[Page 163]]

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 
shall notify the manufacturer or private labeler that it intends to 
disclose the information not less than 5 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 5 
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 5 
days advance notice either orally or in writing, depending on the 
immediacy of the need for quick action.

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



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

[[Page 164]]

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 fifteen 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.
    (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.

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



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

[[Page 165]]

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 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.

[[Page 166]]

    (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.



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 is in violation of any consumer product safety rule or 
provision under the Consumer Product Safety Act (15 U.S.C. 2051, et 
seq.) or similar rule or provision of any other act enforced by the 
Commission;
    (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.

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]

[[Page 167]]



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



Sec. 1101.43  Section 6(b)(4)(A) 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 any consumer product 
safety rule or provision under the Consumer Product Safety Act (15 
U.S.C. 2051 et seq.) or similar rule or provision of any other act 
enforced by the Commission.
    (b) Scope of exception. This exception applies once the Commission 
has ``reasonable cause to believe'' there has occurred a violation of 
any consumer product safety rule or provision under the Consumer Product 
Safety Act (15 U.S.C. 2051 et seq.) or similar rule or provision of any 
other act enforced by the Commission. 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 violation.

[73 FR 72335, Nov. 28, 2008]



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.

[[Page 168]]



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.
    (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.

[[Page 169]]

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 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.

[[Page 170]]

    (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 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.
    (4) The Commission publishes a finding that the public health and 
safety requires public disclosure with a lesser period of notice than is 
required by section 6(b)(1).

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



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 with respect to a consumer product which the 
Commission has reasonable cause to believe is in violation of any 
consumer product safety rule or provision under the Consumer Product 
Safety Act (Pub. L. 92-573, 86 Stat. 1207, as amended (15 U.S.C. 2051, 
et seq.)) or similar rule or provision of any other act enforced by the 
Commission; or
    (3) Information in the course of or concerning a judicial proceeding 
(see Sec. 1101.45).

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



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).

[[Page 171]]

    (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 15 days 
advance notice of proposed disclosures of information.
    (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 five (5) 
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.

[48 FR 57430, Dec. 29, 1983, as amended at 73 FR 72335, Nov. 28, 2008]



PART 1102_PUBLICLY AVAILABLE CONSUMER PRODUCT SAFETY INFORMATION
DATABASE--Table of Contents



                  Subpart A_Background and Definitions

Sec.
1102.2 Purpose.
1102.4 Scope.
1102.6 Definitions.

                     Subpart B_Content Requirements

1102.10 Reports of harm.
1102.12 Manufacturer comments.
1102.14 Recall notices.
1102.16 Additional information.

                    Subpart C_Procedural Requirements

1102.20 Transmission of reports of harm to the identified manufacturer 
          or private labeler.
1102.24 Designation of confidential information.
1102.26 Determination of materially inaccurate information.
1102.28 Publication of reports of harm.
1102.30 Publication of manufacturer comments.

              Subpart D_Notice and Disclosure Requirements

1102.42 Disclaimers.
1102.44 Applicability of sections 6(a) and (b) of the CPSA.

    Authority: 15 U.S.C. 2051, 2051 note, 2052, 2055, 2055a, 2065, 2068, 
2070, 2071, 2072, 2076, 2078, 2080, 2087.

    Source: 75 FR 76867, Dec. 9, 2010, unless otherwise noted.



                  Subpart A_Background and Definitions



Sec. 1102.2  Purpose.

    This part sets forth the Commission's interpretation, policy, and 
procedures with regard to the establishment and maintenance of a 
Publicly Available Consumer Product Safety Information Database (also 
referred to as the ``Database'') on the safety of consumer products and 
other products or substances regulated by the Commission.

[[Page 172]]



Sec. 1102.4  Scope.

    This part applies to the content, procedure, notice, and disclosure 
requirements of the Publicly Available Consumer Product Safety 
Information Database, including all information published therein.



Sec. 1102.6  Definitions.

    (a) Except as specified in paragraph (b) of this section, the 
definitions in section 3 of the Consumer Product Safety Act (CPSA) (15 
U.S.C. 2052) apply to this part.
    (b) For purposes of this part, the following definitions apply:
    (1) Additional information means any information that the Commission 
determines is in the public interest to include in the Publicly 
Available Consumer Product Safety Information Database.
    (2) Commission or CPSC means the Consumer Product Safety Commission.
    (3) Consumer product means a consumer product as defined in section 
3(a)(5) of the CPSA, and also includes any other products or substances 
regulated by the Commission under any other act it administers.
    (4) Harm means injury, illness, or death; or risk of injury, 
illness, or death, as determined by the Commission.
    (5) Mandatory recall notice means any notice to the public required 
of a firm pursuant to an order issued by the Commission under section 
15(c) of the CPSA.
    (6) Manufacturer comment means a comment made by a manufacturer or 
private labeler of a consumer product in response to a report of harm 
transmitted to such manufacturer or private labeler.
    (7) Publicly Available Consumer Product Safety Information Database, 
also referred to as the Database, means the database on the safety of 
consumer products established and maintained by the CPSC as described in 
section 6A of the CPSA.
    (8) Report of harm means any information submitted to the Commission 
through the manner described in Sec. 1102.10(b), regarding any injury, 
illness, or death; or any risk of injury, illness, or death, as 
determined by the Commission, relating to the use of a consumer product.
    (9) Submitter of a report of harm means any person or entity that 
submits a report of harm.
    (10) Voluntary recall notice means any notice to the public by the 
Commission relating to a voluntary corrective action, including a 
voluntary recall of a consumer product, taken by a manufacturer in 
consultation with the Commission.



                     Subpart B_Content Requirements



Sec. 1102.10  Reports of harm.

    (a) Who may submit. The following persons or entities may submit 
reports of harm:
    (1) Consumers including, but not limited to, users of consumer 
products, family members, relatives, parents, guardians, friends, 
attorneys, investigators, professional engineers, agents of a user of a 
consumer product, and observers of the consumer products being used;
    (2) Local, state, or federal government agencies including, but not 
limited to, local government agencies, school systems, social services, 
child protective services, state attorneys general, state agencies, and 
all executive and independent federal agencies as defined in Title 5 of 
the United States Code;
    (3) Health care professionals including, but not limited to, medical 
examiners, coroners, physicians, nurses, physician's assistants, 
hospitals, chiropractors, and acupuncturists;
    (4) Child service providers including, but not limited to, child 
care centers, child care providers, and prekindergarten schools; and
    (5) Public safety entities including, but not limited to, police, 
fire, ambulance, emergency medical services, federal, state, and local 
law enforcement entities, and other public safety officials and 
professionals, including consumer advocates or individuals who work for 
nongovernmental organizations, consumer advocacy organizations, and 
trade associations, so long as they have a public safety purpose.
    (b) Manner of submission. To be entered into the Database, reports 
of harm must be submitted to the CPSC using one of the following 
methods:

[[Page 173]]

    (1) Internet submissions through the CPSC's Internet Web site on an 
electronic incident report form specifically developed to collect such 
information.
    (2) Telephonic submissions through a CPSC call center, where the 
information is entered on the electronic incident form.
    (3) Electronic mail directed to the Office of the Secretary at 
[email protected], or by facsimile at 301-504-0127, provided that the 
submitter completes the incident report form available for download on 
the CPSC's Internet Web site specifically developed to collect such 
information.
    (4) Written submissions to the Office of the Secretary, Consumer 
Product Safety Commission, 4330 East West Highway, Bethesda, MD 20814-
4408. The Commission will accept only those written reports of harm that 
use the incident report form developed for the CPSC's Internet Web site; 
or
    (5) Other means the Commission subsequently makes available.
    (c) Size limit of reports of harm. The Commission may, in its 
discretion, limit the data size of reports of harm, which may include 
attachments submitted, where such reports of harm and attachments may 
negatively impact the technological or operational performance of the 
system.
    (d) Minimum requirements for publication. Subject to Sec. Sec. 
1102.24 and 1102.26, the Commission will publish in the Publicly 
Available Consumer Product Safety Information Database reports of harm 
containing all of the following information:
    (1) Description of the consumer product. The description of the 
consumer product must, at a minimum, include a word or phrase sufficient 
to distinguish the product as a consumer product, a component part of a 
consumer product, or a product or substance regulated by the Commission. 
In addition to a word or phrase sufficient to distinguish the product as 
a consumer product, a description of a consumer product may include, but 
is not limited to, the name, including the brand name of the consumer 
product, model, serial number, date of manufacture (if known) or date 
code, date of purchase, price paid, retailer, or any other descriptive 
information about the product.
    (2) Identity of the manufacturer or private labeler. The name of one 
or more manufacturers or private labelers of the consumer product. In 
addition to a firm name, identification of a manufacturer or private 
labeler may include, but is not limited to, a mailing address, phone 
number, or electronic mail address.
    (3) Description of the harm. A brief narrative description of 
illness, injury, or death; or risk of illness, injury, or death related 
to use of the consumer product. Examples of a description of harm or 
risk of harm include, but are not limited to: Death, asphyxiation, 
lacerations, burns, abrasions, contusions, fractures, choking, 
poisoning, suffocation, amputation, or any other narrative description 
relating to a bodily harm or risk of bodily harm. Incident reports that 
relate solely to the cost or quality of a consumer product, with no 
discernable bodily harm or risk of bodily harm, do not constitute 
``harm'' for purposes of this part. A description of harm may, but need 
not, include the severity of any injury and whether any medical 
treatment was received.
    (4) Incident date. The date, or an approximate date, on which the 
incident occurred.
    (5) Category of submitter. Indication of which category the 
submitter is in (i.e., consumers, government agencies, etc.) from Sec. 
1102.10(a).
    (6) Contact information. The submitter's first name, last name, and 
complete mailing address. Although this information will not be 
published in the Database, it is required information for the report of 
harm. Submitters also may, but are not required to, provide an 
electronic mail address and a phone number to allow for efficient and 
timely contact regarding a report of harm, when necessary.
    (7) Verification. A submitter of a report of harm must affirmatively 
verify that he or she has reviewed the report of harm, and that the 
information contained therein is true and accurate to the best of the 
submitter's knowledge, information, and belief. Verification procedures 
for each method of submission will be specified.
    (8) Consent. A submitter of a report of harm must consent to 
publication of

[[Page 174]]

the report of harm in the Database if he or she wants the information to 
be included in the Database.
    (e) Additional information requested on report of harm. The minimum 
requirements (at Sec. 1102.10(d)) for publication of a report of harm 
in the Database do not restrict the Commission from choosing to seek 
other categories of voluntary information in the future.
    (f) Information not published. The Commission will exclude the 
following information provided on a report of harm from publication in 
the Database:
    (1) Name and contact information of the submitter of a report of 
harm;
    (2) Victim's name and contact information, if the victim or the 
victim's parent, guardian, or appropriate legally authorized 
representative, has not provided appropriate legal consent;
    (3) Photographs that in the determination of the Commission are not 
in the public interest, including photographs that could be used to 
identify a person or photographs that would constitute an invasion of 
personal privacy based on the Privacy Act of 1974, Public Law 93-579 as 
amended;
    (4) Medical records without the consent of the person about whom 
such records pertain or without the consent of his or her parent, 
guardian, or appropriate legally authorized representative;
    (5) Confidential information as set forth in Sec. 1102.24;
    (6) Information determined to be materially inaccurate as set forth 
in Sec. 1102.26;
    (7) Reports of harm retracted at any time by the submitters of those 
reports, if they indicate in writing to the Commission that they 
supplied materially inaccurate information;
    (8) Consents and verifications associated with a report of harm; and
    (9) Any other information submitted on or with a report of harm, the 
inclusion of which in the Database, the Commission determines is not in 
the public interest. The Commission shall consider whether the 
information is related to a product safety purpose served by the 
Database, including whether or not the information helps Database users 
to:
    (i) Identify a consumer product;
    (ii) Identify a manufacturer or private labeler of a consumer 
product;
    (iii) Understand a harm or risk of harm related to the use of a 
consumer product; or
    (iv) Understand the relationship between a submitter of a report of 
harm and the victim.
    (g) Reports of harm from persons under the age of 18. The Commission 
will not accept any report of harm when the report of harm is or was 
submitted by anyone under the age of 18 without consent of the parent or 
guardian of that person.
    (h) Incomplete reports of harm. Any information received by the 
Commission related to a report of harm that does not meet the 
requirements for submission or publication will not be published, but 
will be maintained for internal use.
    (i) Official records of the Commission. All reports of harm that are 
submitted to the Commission become official records of the Commission in 
accordance with 16 CFR 1015.1. Alteration (or disposition) of any such 
records will only be in accordance with the procedures specified in this 
part.



Sec. 1102.12  Manufacturer comments.

    (a) Who may submit. A manufacturer or private labeler may submit a 
comment related to a report of harm if the report of harm identifies 
such manufacturer or private labeler.
    (b) How to submit. A manufacturer or private labeler may submit 
comments to the CPSC using one of the following methods:
    (1) A manufacturer or private labeler who registers with the 
Commission as described in Sec. 1102.20(f) may submit comments through 
a manufacturer portal maintained on the CPSC's Internet Web site;
    (2) A manufacturer or private labeler may submit comments by 
electronic mail, directed to the Office of the Secretary at 
[email protected]; or
    (3) A manufacturer or private labeler may submit written comments 
directed to the Office of the Secretary, Consumer Product Safety 
Commission, 4330 East West Highway, Bethesda, MD 20814-4408.
    (c) What must be submitted. Subject to Sec. Sec. 1102.24 and 
1102.26, the Commission

[[Page 175]]

will publish manufacturer comments related to a report of harm 
transmitted to a manufacturer or private labeler in the Database if such 
manufacturer comment meets the following requirements:
    (1) Manufacturer comment relates to report of harm. The manufacturer 
or private labeler's comment must relate to information contained in a 
specific report of harm that identifies such manufacturer or private 
labeler and that is submitted for publication in the Database.
    (2) Unique identifier. A manufacturer comment must state the unique 
identifier provided by the CPSC.
    (3) Verification. A manufacturer or private labeler must verify that 
it has reviewed the report of harm and the comment related to the report 
of harm and that the information contained in the comment is true and 
accurate to the best of the firm's knowledge, information, and belief.
    (4) Request for publication. When a manufacturer or private labeler 
submits a comment regarding a report of harm, it may request that the 
Commission publish such comment in the Database. A manufacturer or 
private labeler must affirmatively request publication of the comment, 
and consent to such publication in the Database, for each comment 
submitted to the CPSC.
    (d) Information published. Subject to Sec. Sec. 1102.24 and 
1102.26, the Commission will publish a manufacturer comment and the date 
of its submission to the CPSC in the Database if the comment meets the 
minimum requirements for publication as described in paragraph (c) of 
this section.
    (e) Information not published. The Commission will not publish in 
the Database consents and verifications associated with a manufacturer 
comment.



Sec. 1102.14  Recall notices.

    All information presented in a voluntary or mandatory recall notice 
that has been made available to the public shall be accessible and 
searchable in the Database.



Sec. 1102.16  Additional information.

    In addition to reports of harm, manufacturer comments, and recall 
notices, the CPSC shall include in the Database any additional 
information it determines to be in the public interest, consistent with 
the requirements of section 6(a) and (b) of the CPSA.



                    Subpart C_Procedural Requirements



Sec. 1102.20  Transmission of reports of harm to the identified
manufacturer or private labeler.

    (a) Information transmitted. Except as provided in paragraphs (a)(1) 
through (a)(3) of this section, the Commission will transmit all 
information provided in a report of harm, provided such report meets the 
minimum requirements for publication in the Database, to the 
manufacturer or private labeler identified in a report of harm. The 
following information will not be transmitted to a manufacturer or 
private labeler:
    (1) Name and contact information for the submitter of the report of 
harm, unless such submitter provides express written consent (for 
example, by checking a box on the report of harm) to provide such 
information to the manufacturer or private labeler;
    (2) Photographs that could be used to identify a person; and
    (3) Medical records, unless the person about whom such records 
pertain, or his or her parent, guardian, or appropriate legally 
authorized representative, consents to providing such records to the 
manufacturer or private labeler.
    (b) Limitation on use of contact information. A manufacturer or 
private labeler who receives name and contact information for the 
submitter of a report of harm and/or a victim must not use or 
disseminate such information to any other party for any other purpose 
other than verification of information contained in a report of harm. 
Verification of information contained in a report of harm must not 
include activities such as sales, promotion, marketing, warranty, or any 
other commercial purpose. Verification of information contained in a 
report of harm may include verification of the:

[[Page 176]]

    (1) Identity of the submitter and/or the victim, including name, 
location, age, and gender;
    (2) Consumer product, including serial or model number, date code, 
color, or size;
    (3) Harm or risk of harm related to the use of the consumer product;
    (4) Description of the incident related to use of the consumer 
product;
    (5) Date or approximate date of the incident; and/or
    (6) Category of submitter.
    (c) Timing. To the extent practicable, the Commission will transmit 
a report of harm to the manufacturer or private labeler within five 
business days of submission of the completed report of harm. If the 
Commission cannot determine whom the manufacturer or private labeler is 
from the report of harm, or otherwise, then it will not post the report 
of harm on the Database but will maintain the report for internal agency 
use. Examples of circumstances that may arise that may make transmission 
of the report of harm impracticable within five business days include, 
but are not limited to:
    (1) The manufacturer or private labeler is out of business with no 
identifiable successor;
    (2) The submitter misidentified a manufacturer or private labeler;
    (3) The report of harm contained inaccurate or insufficient contact 
information for a manufacturer or private labeler; or
    (4) The Commission cannot locate valid contact information for a 
manufacturer or private labeler.
    (d) Method of transmission. The Commission will use the method of 
transmission and contact information provided by the manufacturer or 
private labeler. The Commission will transmit reports of harm to a 
manufacturer or private labeler who has registered with the Commission 
as described in paragraph (f) of this section. If a manufacturer or 
private labeler has not registered with the Commission, the Commission 
will send reports of harm through the United States mail to the firm's 
principal place of business, unless the Commission selects another 
equally effective method of transmission.
    (e) Size limits of manufacturer comments. The Commission may, in its 
discretion, limit the data size of comments, which may include 
attachments submitted, where such comments and attachments may 
negatively impact the technological or operational performance of the 
system.
    (f) Manufacturer registration. Manufacturers and private labelers 
may register with the Commission to select a preferred method for 
receiving reports of harm that identify such firm as the manufacturer or 
private labeler. Manufacturers and private labelers that choose to 
register with the Commission must:
    (1) Register with the Commission through a process identified for 
such registration;
    (2) Provide and maintain updated contact information for the firm, 
including the name of the firm, title of a person to whom reports of 
harm should be directed, complete mailing address, telephone number, 
electronic mail address, and Web site address (if any); and
    (3) Select a specified method to receive reports of harm that 
identify the firm as the manufacturer or private labeler of a consumer 
product.
    (g) Manufacturer comments. A manufacturer or private labeler who 
receives a report of harm from the CPSC may comment on the information 
contained in such report of harm. The Commission, in its discretion, 
where it determines it is in the public interest, may choose not to 
publish a manufacturer comment in the Database. For example, it may not 
be in the public interest for the Commission to publish comments that, 
in the unlikely event, contain language reasonably described as lewd, 
lascivious, or obscene.



Sec. 1102.24  Designation of confidential information.

    (a) For purposes of this section, ``confidential information'' is 
considered to be information that contains or relates to a trade secret 
or other matter referred to in 18 U.S.C. 1905 or that is subject to 5 
U.S.C. 552(b)(4).
    (b) A manufacturer or private labeler identified in a report of harm 
and who receives a report of harm from the CPSC may review such report 
of harm

[[Page 177]]

for confidential information and request that portions of the report of 
harm be designated as confidential information. Each requester seeking 
such a designation of confidential information bears the burden of proof 
and must:
    (1) Specifically identify the exact portion(s) of the report of harm 
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) If known, state the company's relationship with the victim and/
or submitter of the report of harm and how the victim and/or submitter 
of the report of harm came to be in possession of such allegedly 
confidential information;
    (5) State how the release of the information would be likely to 
cause substantial harm to the company's competitive position; and
    (6) State whether the person submitting the request for treatment as 
confidential information is authorized to make claims of confidentiality 
on behalf of the person or organization concerned.
    (c) Manner of submission. Requests for designation of confidential 
information may be submitted in the same manner as manufacturer comments 
as described in Sec. 1102.12(b). A request for designation of 
confidential treatment must be conspicuously marked.
    (d) Timing of submission. In order to ensure that the allegedly 
confidential information is not placed in the database, a request for 
designation of confidential information must be received by the 
Commission in a timely manner prior to the 10th business day after the 
date on which the Commission transmits the report to the manufacturer or 
private labeler. If a request for confidential treatment is submitted in 
a timely fashion, the Commission will either make a determination on the 
claim prior to posting on the 10th business day after transmittal to the 
manufacturer or, as a matter of policy, redact the allegedly 
confidential information from a report of harm before publication in the 
Database until it makes a determination regarding confidential 
treatment.
    (e) Assistance with defense. No request to redact confidential 
information from a report of harm pursuant to 5 U.S.C. 552(b)(4) should 
be made by any person who does not intend in good faith, and so 
certifies in writing, to assist the Commission in the defense of any 
judicial proceeding that thereafter might be brought to compel the 
disclosure of information that the Commission has determined to be a 
trade secret or privileged or confidential commercial or financial 
information.
    (f) Commission determination of confidentiality. If the Commission 
determines that information in a report of harm is confidential, the 
Commission shall:
    (1) Notify the manufacturer or private labeler;
    (2) Redact such confidential information in the report of harm; and
    (3) Publish the report of harm in the Database without such 
confidential information.
    (g) Commission determination of no confidentiality. If the 
Commission determines that a report of harm does not contain 
confidential information, the Commission shall:
    (1) Notify the manufacturer or private labeler; and
    (2) Publish the report of harm, if not already published, in the 
Database.
    (h) Removal of confidential information. As stated at 
6A(c)(1)(C)(iii) of the CPSA, to seek removal of alleged confidential 
information that has been published in the Database, a manufacturer or 
private labeler may bring an action in the district court of the United 
States in the district in which the complainant resides, or has its 
principal place of business, or in the U.S. District Court for the 
District of Columbia.



Sec. 1102.26  Determination of materially inaccurate information.

    (a) For purposes of this section, the following definitions apply:

[[Page 178]]

    (1) Materially inaccurate information in a report of harm means 
information that is false or misleading, and which is so substantial and 
important as to affect a reasonable consumer's decision making about the 
product, including:
    (i) The identification of a consumer product;
    (ii) The identification of a manufacturer or private labeler;
    (iii) The harm or risk of harm related to use of the consumer 
product; or
    (iv) The date, or approximate date on which the incident occurred.
    (2) Materially inaccurate information in a manufacturer comment 
means information that is false or misleading, and which is so 
substantial and important as to affect a reasonable consumer's decision 
making about the product, including:
    (i) The description of the consumer product;
    (ii) The identity of the firm or firms responsible for the 
importation, manufacture, distribution, sale, or holding for sale of a 
consumer product;
    (iii) The harm or risk of harm related to the use of a consumer 
product;
    (iv) The status of a Commission, manufacturer, or private labeler 
investigation;
    (v) Whether the manufacturer or private labeler is engaging in a 
corrective action and whether such action has not been approved by the 
Commission; or
    (vi) Whether the manufacturer has taken, or promised to take, any 
other action with regard to the product.
    (b) Request for determination of materially inaccurate information. 
Any person or entity reviewing a report of harm or manufacturer comment, 
either before or after publication in the Database, may request that the 
report of harm or manufacturer comment, or portions of such report of 
harm or manufacturer comment, be excluded from the Database or corrected 
by the Commission because it contains materially inaccurate information. 
Each requester seeking an exclusion or correction bears the burden of 
proof and must:
    (1) State the unique identifier of the report of harm or 
manufacturer comment to which the request for a determination of 
materially inaccurate information pertains;
    (2) Specifically identify the exact portion(s) of the report of harm 
or the manufacturer comment claimed to be materially inaccurate;
    (3) State the basis for the allegation that such information is 
materially inaccurate;
    (4) Provide evidence, which may include documents, statements, 
electronic mail, Internet links, photographs, or any other evidence, 
sufficient for the Commission to make a determination that the 
designated information is materially inaccurate;
    (5) State what relief the requester is seeking: Exclusion of the 
entire report of harm or manufacturer comment; redaction of specific 
information; correction of specific information; or the addition of 
information to correct the material inaccuracy;
    (6) State whether and how an alleged material inaccuracy may be 
corrected without removing or excluding an entire report of harm or 
manufacturer comment; and
    (7) State whether the person submitting the allegation of material 
inaccuracy is authorized to make claims of material inaccuracy on behalf 
of the person or organization concerned.
    (c) Manner of submission--(1) Length of request and expedited 
review. The Commission strongly recommends requesters seeking an 
expedited review of claims of materially inaccurate information to limit 
the length of the request described in Sec. 1102.26(b) to no more than 
five pages, including attachments, to allow for the expedited review of 
the request. Regardless of length, all submissions will be reviewed.
    (2) Manufacturers and private labelers. A manufacturer or private 
labeler may request a Commission determination of materially inaccurate 
information related to a report of harm in the same manner as described 
in Sec. 1102.12(b). Such requests should be conspicuously marked.
    (3) All other requests. All other requests for a Commission 
determination of materially inaccurate information contained in a report 
of harm or manufacturer comment made by any other person or firm must be 
submitted to the CPSC using one of the methods listed below. The request 
seeking a

[[Page 179]]

Commission determination of materially inaccurate information may be 
made through:
    (i) Electronic mail. By electronic mail directed to the Office of 
the Secretary at [email protected]; or
    (ii) Paper-based. Written submission directed to the Office of the 
Secretary, Consumer Product Safety Commission, 4330 East West Highway, 
Bethesda, MD 20814-4408.
    (d) Timing of submission. A request for a Commission determination 
regarding materially inaccurate information may be submitted at any 
time. If a request for determination of materially inaccurate 
information is submitted prior to publication of a report of harm in the 
Database, the Commission cannot withhold the report of harm from 
publication in the Database until it makes a determination. Absent a 
determination, the Commission will publish reports of harm on the tenth 
business day after transmitting a report of harm to the manufacturer or 
private labeler.
    (e) Assistance with defense. No request for a determination of 
materially inaccurate information should be made by any person who does 
not intend in good faith, and so certifies in writing, to assist the 
Commission in the defense of any judicial proceeding that thereafter 
might be brought to compel the disclosure of information that the 
Commission has determined to be materially inaccurate information.
    (f) Notice. The Commission shall notify the person or firm 
requesting a determination regarding materially inaccurate information 
of its determination and method of resolution after resolving such 
request.
    (g) Commission determination of material inaccuracy before 
publication. If the Commission determines that information in a report 
of harm or manufacturer comment is materially inaccurate information 
before it is published in the Database, the Commission shall:
    (1) Decline to add the materially inaccurate information to the 
Database;
    (2) Correct the materially inaccurate information, and, if the 
minimum requirements for publication as set forth in Sec. Sec. 
1102.10(d) and 1102.12(c) are met, publish the report of harm or 
manufacturer comment in the Database; or
    (3) Add information to the report of harm or the manufacturer 
comment to correct the materially inaccurate information, and, if the 
minimum requirements for publication as set forth in Sec. Sec. 
1102.10(d) and 1102.12(c) are met, publish the report of harm or 
manufacturer comment in the Database.
    (h) Commission determination of material inaccuracy after 
publication. If the Commission determines, after an investigation, that 
the requested designated information in a report of harm or manufacturer 
comment contains materially inaccurate information after the report of 
harm or manufacturer comment has been published in the Database, the 
Commission shall, no later than seven business days after such 
determination:
    (1) Remove the information determined to be materially inaccurate 
from the Database, including any associated documents, photographs, or 
comments;
    (2) Correct the information, and, if the minimum requirements for 
publication as set forth in Sec. Sec. 1102.10(d) and 1102.12(c) are 
met, maintain the report of harm or manufacturer comment in the 
Database; or
    (3) Add information to the report of harm or the manufacturer 
comment to correct the materially inaccurate information, and, if the 
minimum requirements for publication as set forth in Sec. Sec. 
1102.10(d) and 1102.12(c) are met, maintain the report of harm or 
manufacturer comment in the Database.
    (i) Commission discretion. (1) In exercising its discretion to 
remove, correct, or add information to correct materially inaccurate 
information contained in a report of harm or manufacturer comment, the 
Commission shall preserve the integrity of information received for 
publication in the Database whenever possible. Subject to Sec. Sec. 
1102.10(d) and 1102.12(c), the Commission shall favor correction, and 
the addition of information to correct, over exclusion of entire reports 
of harm and manufacturer comments, where possible.
    (2) Expedited determinations. Where a manufacturer has filed a 
request for a

[[Page 180]]

correction or exclusion within the recommended page limit in Sec. 
1102.26(c)(1), the Commission shall attempt, where practicable, to make 
an expedited determination of a claim of material inaccuracy. Given the 
requirement of section 6A of the CPSA that reports of harm be published, 
the Commission will publish reports of harm on the tenth business day 
after transmitting a report of harm, where the Commission has been 
unable to make a determination regarding a claim of material inaccuracy 
prior to the statutorily mandated publication date. In such instances, 
the Commission will make any necessary correction, exclusion, or 
addition not later than seven business days after making a determination 
that there is materially inaccurate information in the report of harm. 
Manufacturer comments will be published at the same time as the report 
of harm is published, or as soon thereafter as practicable.
    (j) Commission determination of no material inaccuracy. If the 
Commission determines that the requested information in a report of harm 
or manufacturer comment does not contain materially inaccurate 
information, the Commission will:
    (1) Notify the requester of its determination; and
    (2) Publish the report of harm or manufacturer comment, if not 
already published, in the Database if it meets the minimum requirements 
set forth in Sec. Sec. 1102.10(d) and 1102.12(c).
    (k) Commission action in absence of request. The Commission may 
review a report of harm or manufacturer comment for materially 
inaccurate information on its own initiative, following the same notice 
and procedural requirements set forth in paragraphs (g) through (j) of 
this section.



Sec. 1102.28  Publication of reports of harm.

    (a) Timing. Subject to Sec. Sec. 1102.10, 1102.24, and 1102.26, the 
Commission will publish reports of harm that meet the requirements for 
publication in the Database. The Commission will publish reports of harm 
as soon as practicable, but not later than the tenth business day after 
such report of harm is transmitted to the manufacturer or private 
labeler by the CPSC.
    (b) Exceptions. The Commission may publish a report of harm that 
meets the requirements of Sec. 1102.10(d) in the Database beyond the 
10-business-day time frame set forth in paragraph (a) of this section if 
the Commission determines that a report of harm misidentifies or fails 
to identify all manufacturers or private labelers. Such information must 
be corrected through the procedures set forth in Sec. 1102.26 for 
materially inaccurate information in a report of harm. Once a 
manufacturer or a private labeler has been identified correctly, the 
time frame set forth in paragraph (a) of this section shall apply.



Sec. 1102.30  Publication of manufacturer comments.

    Timing. Subject to Sec. Sec. 1102.12, 1102.24, and 1102.26, the 
Commission will publish in the Database manufacturer comments submitted 
in response to a report of harm that meet the minimum requirements set 
forth in Sec. 1102.12(c). This publication will occur at the same time 
as the report of harm is published or as soon thereafter as practicable. 
An example of a circumstance that may make it impracticable to publish a 
manufacturer comment at the same time as a report of harm includes when 
the Commission did not receive the comment until on or after the 
publication date of the report of harm.



              Subpart D_Notice and Disclosure Requirements



Sec. 1102.42  Disclaimers.

    The Commission does not guarantee the accuracy, completeness, or 
adequacy of the contents of the Consumer Product Safety Information 
Database, particularly with respect to the accuracy, completeness, or 
adequacy of information submitted by persons outside of the CPSC. The 
Database will contain a notice to this effect that will be prominently 
and conspicuously displayed on the Database and on any documents that 
are printed from the Database.

[[Page 181]]



Sec. 1102.44  Applicability of sections 6(a) and (b) of the CPSA.

    (a) Generally. Sections 6(a) and 6(b) of the CPSA shall not apply to 
the submission, disclosure, and publication of information provided in a 
report of harm that meets the minimum requirements for publication in 
Sec. 1102.10(d) in the Database.
    (b) Limitation on construction. Section 1102.44(a) shall not be 
construed to exempt from the requirements of sections 6(a) and 6(b) of 
the CPSA information received by the Commission pursuant to:
    (1) Section 15(b) of the CPSA; or
    (2) Any other mandatory or voluntary reporting program established 
between a retailer, manufacturer, or private labeler and the Commission.



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 182]]

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 183]]

    (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 1107_TESTING AND LABELING PERTAINING TO PRODUCT CERTIFICATION
--Table of Contents



                      Subpart A_General Provisions

Sec.
1107.1 Purpose.
1107.2 Definitions.

Subpart B [Reserved]

             Subpart C_Certification of Children's Products

1107.20 General requirements.
1107.21 Periodic testing.
1107.23 Material change.
1107.24 Undue influence.
1107.26 Recordkeeping.

               Subpart D_Consumer Product Labeling Program

1107.30 Labeling consumer products to indicate that the certification 
          requirements of section 14 of the CPSA have been met.

    Authority: 15 U.S.C. 2063, Sec. 3, 102 Pub. L. 110-314, 122 Stat. 
3016, 3017, 3022.

    Source: 76 FR 69541, Nov. 8, 2011, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 1107.1  Purpose.

    This part establishes the protocols and standards for ensuring 
continued testing of children's products periodically and when there has 
been a material change in the product's design or manufacturing process 
and safeguarding against the exercise of undue influence by a 
manufacturer on a third party conformity assessment body. It also 
establishes a program for labeling of consumer products to indicate that 
the certification requirements have been met pursuant to sections 
14(a)(2) and (i)(2)(B) of the Consumer Product Safety Act (CPSA) (15 
U.S.C. 2063(a)(2) and (i)(2)(B)).



Sec. 1107.2  Definitions.

    Unless otherwise stated, the definitions of the Consumer Product 
Safety Act and the Consumer Product Safety Improvement Act of 2008 apply 
to this part. The following definitions apply for purposes of this part:
    CPSA means the Consumer Product Safety Act.
    CPSC means the Consumer Product Safety Commission.
    Due care means the degree of care that a prudent and competent 
person engaged in the same line of business or endeavor would exercise 
under similar circumstances. Due care does not permit willful ignorance.
    High degree of assurance means an evidence-based demonstration of 
consistent performance of a product regarding compliance based on 
knowledge of a product and its manufacture.
    Identical in all material respects means there is no difference with 
respect to compliance to the applicable rules, bans, standards, or 
regulations between the samples to be tested for compliance and the 
finished product distributed in commerce.
    Manufacturer means the parties responsible for certification of a 
consumer product pursuant to 16 CFR part 1110.
    Manufacturing process means the techniques, fixtures, tools, 
materials, and personnel used to create the component parts and assemble 
a finished product.

[[Page 184]]

    Material change means any change in the product's design, 
manufacturing process, or sourcing of component parts that a 
manufacturer exercising due care knows, or should know, could affect the 
product's ability to comply with the applicable rules, bans, standards, 
or regulations.
    Third party conformity assessment body means a testing laboratory 
whose accreditation has been accepted by the CPSC to conduct 
certification testing on children's products. Only third party 
conformity assessment bodies whose scope of accreditation includes the 
applicable required tests can be used for children's product 
certification or periodic testing purposes.

Subpart B [Reserved]



             Subpart C_Certification of Children's Products



Sec. 1107.20  General requirements.

    (a) Manufacturers must submit a sufficient number of samples of a 
children's product, or samples that are identical in all material 
respects to the children's product, to a third party conformity 
assessment body for testing to support certification. The number of 
samples selected must be sufficient to provide a high degree of 
assurance that the tests conducted for certification purposes accurately 
demonstrate the ability of the children's product to meet all applicable 
children's product safety rules.
    (b) If the manufacturing process for a children's product 
consistently creates finished products that are uniform in composition 
and quality, a manufacturer may submit fewer samples to provide a high 
degree of assurance that the finished product complies with the 
applicable children's product safety rules. If the manufacturing process 
for a children's product results in variability in the composition or 
quality of children's products, a manufacturer may need to submit more 
samples to provide a high degree of assurance that the finished product 
complies with the applicable children's product safety rules.
    (c) Except where otherwise specified by a children's product safety 
rule, component part testing pursuant to 16 CFR part 1109 may be used to 
support the certification testing requirements of this section.
    (d) If a product sample fails certification testing to the 
applicable children's product safety rule(s), even if other samples have 
passed the same certification test, the manufacturer must investigate 
the reasons for the failure and take the necessary steps to address the 
reasons for the failure. A manufacturer cannot certify the children's 
product until the manufacturer establishes, with a high degree of 
assurance that the finished product does comply with all applicable 
children's product safety rules.



Sec. 1107.21  Periodic testing.

    (a) General requirements for all manufacturers. All manufacturers of 
children's products must conduct periodic testing. All periodic testing 
must be conducted by a third party conformity assessment body. Periodic 
testing must be conducted pursuant to either paragraph (b), (c), or (d) 
of this section or as provided in regulations under this title. The 
testing interval selected for periodic testing may be based on a fixed 
production interval, a set number of units produced, or another method 
chosen by the manufacturer based on the product produced and its 
manufacturing process, so long as the applicable maximum testing 
interval specified in paragraph (b), (c), or (d) of this section is not 
exceeded. Component part testing pursuant to 16 CFR part 1109 may be 
used to support the periodic testing requirements of this section.
    (b) A manufacturer must conduct periodic testing to ensure 
compliance with the applicable children's product safety rules at least 
once a year, except as otherwise provided in paragraphs (c), and (d) of 
this section or as provided in regulations under this title. If a 
manufacturer does not conduct production testing under paragraph (c) of 
this section, or testing by a testing laboratory under paragraph (d) of 
this section, the manufacturer must conduct periodic testing as follows:
    (1) Periodic Testing Plan. Manufacturers must develop a periodic 
testing

[[Page 185]]

plan to ensure with a high degree of assurance that children's products 
manufactured after the issuance of a Children's Product Certificate, or 
since the previous periodic testing was conducted, continue to comply 
with all applicable children's product safety rules. The periodic 
testing plan must include the tests to be conducted, the intervals at 
which the tests will be conducted, and the number of samples tested. At 
each manufacturing site, the manufacturer must have a periodic testing 
plan specific to each children's product manufactured at that site.
    (2) Testing Interval. The testing interval selected must be short 
enough to ensure that, if the samples selected for testing pass the 
test, there is a high degree of assurance that the other untested 
children's products manufactured during the testing interval comply with 
the applicable children's product safety rules. The testing interval may 
vary depending upon the specific children's product safety rules that 
apply to the children's product, but may not exceed one year. Factors to 
be considered when determining the testing interval include, but are not 
limited to, the following:
    (i) High variability in test results, as indicated by a relatively 
large sample standard deviation in quantitative tests;
    (ii) Measurements that are close to the allowable numerical limit 
for quantitative tests;
    (iii) Known manufacturing process factors which could affect 
compliance with a rule. For example, if the manufacturer knows that a 
casting die wears down as the die nears the end of its useful life, the 
manufacturer may wish to test more often as the casting die wears down;
    (iv) Consumer complaints or warranty claims;
    (v) Introduction of a new set of component parts into the assembly 
process;
    (vi) The manufacture of a fixed number of products;
    (vii) Potential for serious injury or death resulting from a 
noncompliant children's product;
    (viii) The number of children's products produced annually, such 
that a manufacturer should consider testing a children's product more 
frequently if the product is produced in very large numbers or 
distributed widely throughout the United States;
    (ix) The children's product's similarity to other children's 
products with which the manufacturer is familiar and/or whether the 
children's product has many different component parts compared to other 
children's products of a similar type; or
    (x) Inability to determine the children's product's noncompliance 
easily through means such as visual inspection.
    (c)(1) If a manufacturer implements a production testing plan as 
described in paragraph (c)(2) of this section to ensure continued 
compliance of the children's product with a high degree of assurance to 
the applicable children's product safety rules, the manufacturer must 
submit samples of its children's product to a third party conformity 
assessment body for periodic testing to the applicable children's 
product safety rules at least once every two years. A manufacturer may 
consider the information obtained from production testing when 
determining the appropriate testing interval and the number of samples 
needed for periodic testing to ensure that there is a high degree of 
assurance that the other untested children's products manufactured 
during the testing interval comply with the applicable children's 
product safety rules.
    (2) Production Testing Plan. A production testing plan describes the 
production management techniques and tests that must be performed to 
provide a high degree of assurance that the products manufactured after 
certification continue to meet all the applicable children's product 
safety rules. A production testing plan may include recurring testing or 
the use of process management techniques, such as control charts, 
statistical process control programs, or failure modes and effects 
analyses (FMEAs) designed to control potential variations in product 
manufacturing that could affect the product's ability to comply with the 
applicable children's product safety rules. A manufacturer may use 
measurement techniques that are nondestructive and tailored to the needs 
of an individual

[[Page 186]]

product to ensure that a product complies with all applicable children's 
product safety rules. Any production test method used to conduct 
production testing must be effective in determining compliance. 
Production testing cannot consist solely of mathematical methods (such 
as an FMEA, with no additional components, or computer simulations). 
Production testing must include some testing, although it is not 
required that the test methods employed be the test methods used for 
certification. A manufacturer must document the production testing 
methods used to ensure continuing compliance and the basis for 
determining that the production testing plan provides a high degree of 
assurance that the product being manufactured continues to comply with 
all applicable children's product safety rules. A production testing 
plan must contain the following elements:
    (i) A description of the production testing plan, including, but not 
limited to, a description of the process management techniques used, the 
tests to be conducted, or the measurements to be taken; the intervals at 
which the tests or measurements will be made; the number of samples 
tested; and the basis for determining that the combination of process 
management techniques and tests provide a high degree of assurance of 
compliance if they are not the tests prescribed for the applicable 
children's product safety rule;
    (ii) At each manufacturing site, the manufacturer must have a 
production testing plan specific to each children's product manufactured 
at that site;
    (iii) The production testing interval selected for tests must ensure 
that, if the samples selected for production testing comply with an 
applicable children's product safety rule, there is a high degree of 
assurance that the untested products manufactured during that testing 
interval also will comply with the applicable children's product safety 
rule. Production testing intervals should be appropriate for the 
specific testing or alternative measurements being conducted.
    (3) If a production testing plan as described in this paragraph (c) 
fails to provide a high degree of assurance of compliance with all 
applicable children's product safety rules, the CPSC may require the 
manufacturer to meet the requirements of paragraph (b) of this section 
or modify its production testing plan to ensure a high degree of 
assurance of compliance.
    (d)(1) For manufacturers conducting testing to ensure continued 
compliance with the applicable children's product safety rules using a 
testing laboratory accredited to ISO/IEC 17025:2005(E), ``General 
requirements for the competence of testing and calibration 
laboratories,'' periodic tests by a third party conformity assessment 
body must be conducted at least once every three years. Any ISO/IEC 
17025:2005(E)-accredited testing laboratory used for ensuring continued 
compliance must be accredited by an accreditation body that is 
accredited to ISO/IEC 17011:2004(E), ``Conformity assessment--General 
requirements for accreditation bodies accrediting conformity assessment 
bodies.'' The test method(s) used by an ISO/IEC 17025:2005(E)-accredited 
testing laboratory when conducting testing to ensure continued 
compliance must be the same test method(s) used for certification to the 
applicable children's product safety rules. Manufacturers must conduct 
testing using the ISO/IEC 17025:2005(E)-accredited testing laboratory 
frequently enough to provide a high degree of assurance that the 
children's product continues to comply with the applicable children's 
product safety rules. A manufacturer may consider the information 
obtained from testing conducted by an ISO/IEC 17025:2005(E)-accredited 
testing laboratory when determining the appropriate testing interval and 
the number of samples for periodic testing that are needed to ensure 
that there is a high degree of assurance that the other untested 
children's products manufactured during the testing interval comply with 
the applicable children's product safety rules.
    (2) If the continued testing described in paragraph (d)(1) of this 
section fails to provide a high degree of assurance of compliance with 
all applicable children's product safety rules, the CPSC may require the 
manufacturer to meet the requirements of paragraph (b) of

[[Page 187]]

this section or modify the testing frequency or number of samples 
required to ensure a high degree of assurance of continued compliance.
    (e) [Reserved]
    (f) A manufacturer must select representative product samples to be 
submitted to the third party conformity assessment body for periodic 
testing. The procedure used to select representative product samples for 
periodic testing must provide a basis for inferring compliance about the 
population of untested products produced during the applicable periodic 
testing interval. The number of samples selected for the sampling 
procedure must be sufficient to ensure continuing compliance with all 
applicable children's product safety rules. The manufacturer must 
document the procedure used to select the product samples for periodic 
testing and the basis for inferring the compliance of the product 
manufactured during the periodic testing interval from the results of 
the tested samples.
    (g) The Director of the Federal Register approves the incorporations 
by reference of the standards in this section in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. You may inspect a copy of the standards 
at the Office of the Secretary, U.S. Consumer Product Safety Commission, 
Room 820, 4330 East West Highway, Bethesda, MD 20814, telephone (301) 
504-7923, or at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call (202) 
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
    (1) International Organization for Standardization (ISO), 1, ch. de 
la Voie-Creuse, Case postale 56, CH-1211 Geneva 20, Switzerland; 
Telephone + 41 22 749 01 11, Fax + 41 22 733 34 30; http://www.iso.org/
iso/home.html.
    (i) ISO/IEC 17011:2004(E), ``Conformity assessment--General 
requirements for accreditation bodies accrediting conformity assessment 
bodies,'' First Edition, September 1, 2004 (Corrected version February 
15, 2005);
    (ii) ISO/IEC 17025:2005(E), ``General requirements for the 
competence of testing and calibration laboratories,'' Second Edition, 
May 15, 2005.
    (2) [Reserved]

[76 FR 69541, Nov. 8, 2011, as amended at 77 FR 72219, Dec. 5, 2012]



Sec. 1107.23  Material change.

    (a) General Requirements. If a children's product undergoes a 
material change in product design or manufacturing process, including 
the sourcing of component parts, which a manufacturer exercising due 
care knows, or should know, could affect the product's ability to comply 
with the applicable children's product safety rules, the manufacturer 
must submit a sufficient number of samples of the materially changed 
children's product for testing by a third party conformity assessment 
body and issue a new Children's Product Certificate. The number of 
samples submitted must be sufficient to provide a high degree of 
assurance that the materially changed component part or finished product 
complies with the applicable children's product safety rules. A 
manufacturer of a children's product that undergoes a material change 
cannot issue a new Children's Product Certificate for the product until 
the product meets the requirements of the applicable children's product 
safety rules. The extent of such testing may depend on the nature of the 
material change. When a material change is limited to a component part 
of the finished children's product and does not affect the ability of 
other component parts of the children's product or the finished 
children's product to comply with other applicable children's product 
safety rules, a manufacturer may issue a new Children's Product 
Certificate based on the earlier third party certification tests and on 
test results of the changed component part conducted by a third party 
conformity assessment body. A manufacturer must exercise due care to 
ensure that any component part undergoing component part-level testing 
is identical in all material respects to the component part on the 
finished children's product. Changes that cause a children's product 
safety rule to no longer apply to a children's product are not 
considered to be material changes.
    (b) Product Design. For purposes of this subpart, the term ``product 
design'' includes all component parts,

[[Page 188]]

their composition, and their interaction and functionality when 
assembled. To determine which children's product safety rules apply to a 
children's product, a manufacturer should examine the product design for 
the children's product as received or assembled by the consumer.
    (c) Manufacturing Process. A material change in the manufacturing 
process is a change in how the children's product is made that could 
affect the finished children's product's ability to comply with the 
applicable children's product safety rules. For each change in the 
manufacturing process, a manufacturer should exercise due care to 
determine if compliance to an existing applicable children's product 
safety rule could be affected, or if the change results in a newly 
applicable children's product safety rule.
    (d) Sourcing of Component Parts. A material change in the sourcing 
of component parts results when the replacement of one component part of 
a children's product with another component part could affect compliance 
with the applicable children's product safety rule. This includes, but 
is not limited to, changes in component part composition, component part 
supplier, or the use of a different component part from the same 
supplier who provided the initial component part.



Sec. 1107.24  Undue influence.

    (a) Each manufacturer must establish procedures to safeguard against 
the exercise of undue influence by a manufacturer on a third party 
conformity assessment body.
    (b) The procedures required in paragraph (a) of this section, at a 
minimum, must include:
    (1) Safeguards to prevent attempts by the manufacturer to exercise 
undue influence on a third party conformity assessment body, including a 
written policy statement from company officials that the exercise of 
undue influence is not acceptable, and directing that every appropriate 
staff member receive training on avoiding undue influence, and sign a 
statement attesting to participation in such training;
    (2) A requirement that upon substantive changes to the requirements 
in this section regarding avoiding undue influence, the appropriate 
staff must be retrained regarding those changed requirements.
    (3) A requirement to notify the CPSC immediately of any attempt by 
the manufacturer to hide or exert undue influence over test results; and
    (4) A requirement to inform employees that allegations of undue 
influence may be reported confidentially to the CPSC and a description 
of the manner in which such a report can be made.



Sec. 1107.26  Recordkeeping.

    (a) A manufacturer of a children's product subject to an applicable 
children's product safety rule must maintain the following records:
    (1) A copy of the Children's Product Certificate for each product. 
The children's product covered by the certificate must be clearly 
identifiable and distinguishable from other products;
    (2) Records of each third party certification test. The manufacturer 
must have separate certification tests records for each manufacturing 
site;
    (3) Records of one of the following for periodic tests of a 
children's product:
    (i) A periodic test plan and periodic test results;
    (ii) A production testing plan, production test results, and 
periodic test results; or
    (iii) Testing results of tests conducted by a testing laboratory 
accredited to ISO/IEC 17025:2005(E) and periodic test results.
    (4) Records documenting the testing of representative samples, as 
set forth in Sec. 1107.21(f), including the number of representative 
samples selected and the procedure used to select representative 
samples. Records also must include the basis for inferring compliance of 
the product manufactured during the periodic testing interval from the 
results of the tested samples;
    (5) Records of descriptions of all material changes in product 
design, manufacturing process, and sourcing of component parts, and the 
certification tests run and the test values; and
    (6) Records of the undue influence procedures, including training 
materials and training records of all employees trained on these 
procedures, including attestations described at Sec. 1107.24(b)(1).

[[Page 189]]

    (b) A manufacturer must maintain the records specified in paragraph 
(a) of this section for five years. The manufacturer must make these 
records available, either in hard copy or electronically, such as 
through an Internet Web site, for inspection by the CPSC upon request. 
Records may be maintained in languages other than English if they can 
be:
    (1) Provided immediately by the manufacturer to the CPSC; and
    (2) Translated accurately into English by the manufacturer within 48 
hours of a request by the CPSC, or any longer period negotiated with 
CPSC staff.

[76 FR 69541, Nov. 8, 2011, as amended at 77 FR 72219, Dec. 5, 2012]



               Subpart D_Consumer Product Labeling Program



Sec. 1107.30  Labeling consumer products to indicate that the
certification requirements of section 14 of the CPSA have been met.

    (a) Manufacturers and private labelers of a consumer product may 
indicate, by a uniform label on, or provided with the product, that the 
product complies with any consumer product safety rule under the CPSA, 
or with any similar rule, ban, standard or regulation under any other 
act enforced by the CPSC.
    (b) The label must be visible and legible, and consist of the 
following statement:

                     Meets CPSC Safety Requirements

    (c) A consumer product may bear the label if the manufacturer or 
private labeler has certified, pursuant to section 14 of the CPSA, that 
the consumer product complies with all applicable consumer product 
safety rules under the CPSA and with all rules, bans, standards, or 
regulations applicable to the product under any other act enforced by 
the Consumer Product Safety Commission.
    (d) A manufacturer or private labeler may use a label in addition to 
the label described in paragraph (b) on the consumer product, as long as 
such label does not alter or mislead consumers as to the meaning of the 
label described in paragraph (b) of this section. A manufacturer or 
private labeler must not imply that the CPSC has tested, approved, or 
endorsed the product.



 PART 1109_CONDITIONS AND REQUIREMENTS FOR RELYING ON COMPONENT
 PART TESTING OR CERTIFICATION, OR ANOTHER PARTY'S FINISHED PRODUCT
 TESTING OR CERTIFICATION, TO MEET TESTING AND CERTIFICATION 
 REQUIREMENTS--Table of Contents



              Subpart A_General Conditions and Requirements

Sec.
1109.1 Scope.
1109.2 Purpose.
1109.3 Applicability.
1109.4 Definitions.
1109.5 Conditions, requirements, and effects generally.

 Subpart B_Conditions and Requirements for Specific Consumer Products, 
                     Component Parts, and Chemicals

1109.11 Component part testing for paint.
1109.12 Component part testing for lead content of children's products.
1109.13 Component part testing for phthalates in children's toys and 
          child care articles.

       Subpart C_Conditions and Requirements for Composite Testing

1109.21 Composite Testing.

    Authority: Secs. 3 and 102, Pub. L. 110-314, 122 Stat. 3016; 15 
U.S.C. 2063.

    Source: 76 FR 69580, Nov. 8, 2011, unless otherwise noted.



              Subpart A_General Conditions and Requirements



Sec. 1109.1  Scope.

    (a) This part applies to tests or certifications of the following 
when such testing or certification is used to support a certificate of 
compliance pursuant to section 14(a) of the Consumer Product Safety Act 
(CPSA) or to meet continued testing requirements pursuant to section 
14(i) of the CPSA:
    (1) Component parts of consumer products; and

[[Page 190]]

    (2) Finished products when conducted by a party that is not required 
to test or certify products pursuant to part 1110 of this chapter.
    (b) Component part manufacturers and suppliers may certify or test 
their component parts, but are not required to do so. Also, parties that 
are not required to test finished products, or to issue finished product 
certificates pursuant to part 1110 of this chapter, may do so 
voluntarily.
    (c) Subpart A establishes general requirements for component part 
testing and certification, and relying on component part testing or 
certification, or another party's finished product certification or 
testing, to support a certificate of compliance issued pursuant to 
section 14(a) of the Consumer Product Safety Act (CPSA) or to meet 
continued testing requirements pursuant to section 14(i) of the CPSA. 
Subpart B sets forth additional requirements for component part testing 
for specific consumer products, component parts, and chemicals. Subpart 
B is applicable only to those products or requirements expressly 
included in subpart B. Subpart C describes the conditions and 
requirements for composite testing.

[76 FR 69580, Nov. 8, 2011, as amended at 80 FR 61732, Oct. 14, 2015]



Sec. 1109.2  Purpose.

    The purpose of this part is to set forth the conditions and 
requirements under which passing component part test reports, 
certification of component parts of consumer products, or finished 
product testing or certification procured or issued by another party, 
can be used to meet, in whole or in part, the testing and certification 
requirements of sections 14(a) and 14(i) of the CPSA.



Sec. 1109.3  Applicability.

    The provisions of this part apply to all manufacturers and importers 
who are required to issue finished product certifications pursuant to 
section 14(a) of the CPSA and part 1110 of this chapter and to procure 
tests to ensure continued compliance pursuant to section 14(i) of the 
CPSA. This part also applies to manufacturers and suppliers of component 
parts or finished products who are not required to test or certify 
consumer products pursuant to part 1110 of this chapter, but who 
voluntarily choose to undertake testing or certification.



Sec. 1109.4  Definitions.

    The following definitions apply to this part:
    (a) Certifier means a party that is either a finished product 
certifier or a component part certifier as defined in this section.
    (b) Component part means any part of a consumer product, including a 
children's product that either must or may be tested separately from a 
finished consumer product to assess the consumer product's ability to 
comply with a specific rule, ban, standard, or regulation enforced by 
the CPSC. Within the same consumer product, the component parts to be 
tested and the tests to be conducted may vary, depending on the 
applicable regulations and required test methods, if any.
    (c) Component part certifier means a party who, although not 
required to do so pursuant to part 1110 of this chapter, voluntarily 
certifies the following as complying with one or more rules, bans, 
standards, or regulations enforced by the CPSC, consistent with the 
content requirements for certifications in part 1110 of this chapter:
    (1) Component parts to be used in consumer products; or
    (2) Finished products.
    (d) CPSA means the Consumer Product Safety Act.
    (e) CPSC means the Consumer Product Safety Commission.
    (f) CPSIA means the Consumer Product Safety Improvement Act of 2008.
    (g) Due care means the degree of care that a prudent and competent 
person engaged in the same line of business or endeavor would exercise 
under similar circumstances. Due care does not permit willful ignorance.
    (h) Finished product certifier means a party responsible for 
certifying compliance of a finished consumer product pursuant to part 
1110 of this chapter with all applicable rules, bans, standards, and 
regulations enforced by the CPSC.
    (i) Identical in all material respects means there is no difference 
with respect to compliance to the applicable

[[Page 191]]

rules, bans, standards, or regulations, between the samples to be tested 
for compliance and the component part or finished product distributed in 
commerce.
    (j) Paint means any type of surface coating that is subject to part 
1303 of this chapter or section 4.3.5.2 of ASTM F 963-08 (or any 
successor standard of section 4.3.5.2 of ASTM F 963-08 accepted by the 
Commission).
    (k) Testing party means a party (including, but not limited to, 
domestic manufacturers, foreign manufacturers, importers, private 
labelers, or component part suppliers) who procures tests (either by 
conducting the tests themselves, when this is allowed, or by arranging 
for another party to conduct the tests), of a consumer product, or any 
component part thereof, for compliance, in whole or in part, with any 
applicable rule, ban, standard, or regulation enforced by the CPSC. 
Testing laboratories and third party conformity assessment bodies are 
not testing parties under this definition.
    (l) Third party conformity assessment body means a testing 
laboratory whose accreditation has been accepted by the CPSC to conduct 
certification testing on children's products. Only third party 
conformity assessment bodies whose scope of accreditation includes the 
applicable required tests can be used to test children's products for 
purposes of supporting certification pursuant to section 14(a) of the 
CPSA and testing to ensure continued compliance pursuant to section 
14(i) of the CPSA.
    (m) Traceable means the ability of a certifier to identify all 
testing parties of a component part of a consumer product or a finished 
product, including the name and address of each testing party and any 
party that conducted testing on the component part or finished product. 
Parties that conduct testing may include a manufacturer, a supplier, a 
testing laboratory, or a third party conformity assessment body. 
Traceability extends to the component part of the product that was 
tested for compliance, such that if a subassembly is tested, that 
subassembly must be traceable, not each component part of the 
subassembly, if those parts were not individually tested for other 
rules, bans, standards, or regulations.



Sec. 1109.5  Conditions, requirements, and effects generally.

    (a) Component part testing allowed. Any party, including a component 
part manufacturer, a component part supplier, a component part 
certifier, or a finished product certifier, may procure component part 
testing as long as it complies with the requirements in this section, 
and with the requirements of subparts B and C of this part, if 
applicable in the circumstanced identified in subparts B and C. A 
finished product certifier may certify compliance of a consumer product 
with all applicable rules, bans, standards, and regulations as required 
by section 14(a) of the CPSA, and may ensure continued compliance of 
children's products pursuant to section 14(i) of the CPSA, based, in 
whole or in part, on passing component part test reports or 
certification of one or more component parts of a consumer product if 
the following requirements are met:
    (1) Testing of the component part is required or sufficient to 
assess compliance, in whole or in part, of the consumer product with the 
applicable rule, ban, standard, or regulation. Any doubts about whether 
testing one or more component parts of a consumer product is sufficient 
to assess whether the finished product complies with applicable rules, 
bans, standards, and regulations should be resolved in favor of testing 
the finished product; and
    (2) The component part tested is identical in all material respects 
to the component parts used in the finished consumer product. To be 
identical in all material respects to a component part for purposes of 
supporting a certification of a children's product, a sample need not 
necessarily be of the same size, shape, or finish condition as the 
component part of the finished product; rather, it may consist of any 
quantity that is sufficient for testing purposes and be in any form that 
has the same content as the component part of the finished product.
    (b) Test Result Integrity. A certifier or testing party must 
exercise due care to ensure that while a component part or finished 
product is in its custody:

[[Page 192]]

    (1) Proper management and control of all raw materials, component 
parts, subassemblies, and finished products is established and 
maintained for any factor that could affect the finished product's 
compliance with all applicable rules;
    (2) The manufacturing process does not add or result in a prohibited 
level of a chemical from any source, such as the material hopper, 
regrind equipment, or other equipment used in the assembly of the 
finished product; and
    (3) No action or inaction subsequent to testing and before 
distribution in commerce has occurred that would affect compliance, 
including contamination or degradation.
    (c) Limitation. A certifier must not use tests of a component part 
of a consumer product for any rule, ban, standard, or regulation that 
requires testing the finished product to assess compliance with that 
rule, ban, standard, or regulation.
    (d) Test method and sampling protocol. Each certifier and testing 
party must exercise due care to ensure that when it procures a test for 
use in meeting the requirements of sections 14(a) or 14(i) of the CPSA:
    (1) All testing is done using required test methods, if any;
    (2) Required sampling protocols are followed, if any; and
    (3) Testing and certification follows the applicable requirements in 
sections 14(a) and 14(i) of the CPSA, and part 1107 of this chapter or 
any more specific rules, bans, standards, or regulations, used to assess 
compliance of the component part or finished product.
    (e) Timing. Subject to any more specific rule, ban, standard, or 
regulation, component part testing may occur before final assembly of a 
consumer product, provided that nothing in the final assembly of the 
consumer product can cause the component part or the final consumer 
product to become noncompliant.
    (f) Traceability. A certifier must not rely on component part or 
finished product testing procured by a testing party or another 
certifier unless such component parts or finished products are 
traceable.
    (g) Documentation by certifiers and testing parties. Each certifier 
and testing party must provide the following documentation, either in 
hard copy or electronically, to a certifier relying on such 
documentation as a basis for issuing a certificate:
    (1) Identification of the component part or the finished product 
tested;
    (2) Identification of a lot or batch number, or other information 
sufficient to identify the component parts or finished products to which 
the testing applies;
    (3) Identification of the applicable rules, bans, standards, and 
regulations for which each component part or finished product was 
tested;
    (4) Identification of the testing method(s) and sampling protocol(s) 
used;
    (5) The date or date range when the component part or finished 
product was tested;
    (6) Test reports that provide the results of each test on a 
component part or finished product, and the test values, if any;
    (7) Identification of the party that conducted each test (including 
testing conducted by a manufacturer, testing laboratory, or third party 
conformity assessment body), and an attestation by the party conducting 
the testing that all testing of a component part or finished product by 
that party was performed in compliance with applicable provisions of 
section 14 of the CPSA, part 1107 of this chapter, or any more specific 
rules, bans, standards, or regulations;
    (8) Component part certificate(s) or finished product 
certificate(s), if any;
    (9) Records to support traceability as defined in Sec. 1109.4(m); 
and
    (10) An attestation by each certifier and testing party that while 
the component part or finished product was in its custody, it exercised 
due care to ensure compliance with the requirements set forth in 
subparagraph (b) of this section.
    (h) Effect of voluntary certification. (1) The Commission will 
consider any certificate issued by a component part certifier in 
accordance with this part to be a certificate issued in accordance with 
section 14(a) of the CPSA. All certificates must contain all of the 
information required by part 1110 of this chapter.

[[Page 193]]

    (2) Any party who elects to certify compliance of a component part 
or a finished product with applicable rules, standards, bans, or 
regulations, must assume all responsibilities of a manufacturer under 
sections 14(a) and 14(i) of the CPSA and part 1107 of this chapter with 
respect to that component part or finished product's compliance to the 
applicable rules, standards, bans, or regulations.
    (i) Certification by finished product certifiers. (1) A finished 
product certifier must exercise due care in order to rely, in whole or 
in part, on one or more of the following as a basis for issuing a 
finished product certificate:
    (i) Finished product certificate(s) issued by another party;
    (ii) Finished product test report(s) provided by another party;
    (iii) Component part certificate(s); or
    (iv) Component part test report(s).
    (2) If a finished product certifier fails to exercise due care in 
its reliance on another party's certifications or test reports, then the 
Commission will not consider the finished product certifier to hold a 
certificate issued in accordance with section 14(a) of the CPSA. 
Exercising due care in this context means taking the steps that a 
prudent and competent person in the same line of business would take to 
conduct a reasonable review of another party's certification or test 
reports, and to address any concern over their validity, before relying 
on such documents to issue a finished product certificate. Due care does 
not permit willful ignorance. Such steps may vary according to the 
circumstances.
    (3) A finished product certifier must not rely on another party's 
certifications or test reports unless the finished product certifier 
receives the documentation under paragraph (g) of this section from the 
certifier or testing party. The finished product certifier may receive 
such documentation either in hard copy or electronically, or access the 
documentation through an Internet Web site. The Commission may consider 
a finished product certifier who does not obtain such documentation 
before certifying a consumer product to have failed to exercise due 
care.
    (j) Recordkeeping requirements. Each certifier or testing party must 
maintain the documentation required in paragraph (g) of this section for 
five years, and must make such documentation available for inspection by 
the CPSC upon request, either in hard copy or electronically, such as 
through an Internet Web site. Records may be maintained in languages 
other than English if they can be:
    (1) Provided immediately by the certifier or testing party to the 
CPSC; and
    (2) Translated accurately into English by the certifier or testing 
party within 48 hours of a request by the CPSC or any longer period 
negotiated with CPSC staff.

[76 FR 69580, Nov. 8, 2011, as amended at 80 FR 61732, Oct. 14, 2015]



 Subpart B_Conditions and Requirements for Specific Consumer Products, 
                     Component Parts, and Chemicals



Sec. 1109.11  Component part testing for paint.

    (a) Generally. The Commission will permit certification of a 
consumer product, or a component part of a consumer product, as being in 
compliance with the lead paint limit of part 1303 of this chapter or the 
content limits for paint on toys of section 4.3 of ASTM F 963-11 or any 
successor standard of section 4.3 of ASTM F 963-11 accepted by the 
Commission if, for each paint used on the product, the requirements in 
Sec. 1109.5 and paragraph (b) of this section are met.
    (b) Requirement. For each paint used on the product:
    (1) Unless using the test method ASTM F 2853-10 to test for lead in 
paint, all testing must be performed on dry paint that is scraped off of 
a substrate for testing. The substrate used need not be of the same 
material as the material used in the finished product or have the same 
shape or other characteristics as the part of the finished product to 
which the paint will be applied; and
    (2) The tested paint is identical in all material respects to that 
used in production of the consumer product. The paint samples to be 
tested must have

[[Page 194]]

the same composition as the paint used on the finished product. However, 
a larger quantity of the paint may be tested than is used on the 
consumer product in order to generate a sufficient sample size. The 
paint may be supplied to the testing laboratory for testing either in 
liquid form or in the form of a dried film of the paint on any suitable 
substrate.

[76 FR 69580, Nov. 8, 2011, as amended at 80 FR 61732, Oct. 14, 2015]



Sec. 1109.12  Component part testing for lead content of children's
products.

    A certifier may rely on component part testing of each accessible 
component part of a children's product for lead content, where such 
component part testing is performed by a third party conformity 
assessment body, provided that the requirements in Sec. 1109.5 are met, 
and the determination of which, if any, parts are inaccessible pursuant 
to section 101(b)(2) of the Consumer Product Safety Improvement Act of 
2008 (CPSIA) and part 1500.87 of this chapter is based on an evaluation 
of the finished product.



Sec. 1109.13  Component part testing for phthalates in children's toys
and child care articles.

    A certifier may rely on component part testing of appropriate 
component parts of a children's toy or child care article for phthalate 
content provided that the requirements in Sec. 1109.5 are met, and the 
determination of which, if any, parts are inaccessible pursuant to 
section 108(d) of the CPSIA and part 1199 of this chapter is based on an 
evaluation of the finished product.

[80 FR 61732, Oct. 14, 2015]



       Subpart C_Conditions and Requirements for Composite Testing



Sec. 1109.21  Composite testing.

    (a) Paint. In testing paint for compliance with chemical content 
limits, certifiers and testing parties may procure tests conducted on a 
combination of different paint samples so long as test procedures are 
followed to ensure that no failure to comply with the lead limits will 
go undetected (see paragraph (c) of this section). A certificate may be 
based on testing each component part of the paint according to the 
requirements of Sec. 1109.11 and certifying that each component part in 
the mixture individually complies with the lead in paint limit or other 
paint limit. Testing and certification of composite paints must also 
comply with Sec. Sec. 1109.5 and 1109.11.
    (b) Component parts. A certifier or testing party may procure tests 
conducted on a combination of component parts for compliance with 
chemical content limits so long as test procedures are followed to 
ensure that no failure to comply with the content limits will go 
undetected (see paragraph (c) of this section). Testing and 
certification of composite component parts for lead content must also 
comply with Sec. Sec. 1109.5 and 1109.12. Testing and certification of 
composite component parts for phthalate content must also comply with 
Sec. Sec. 1109.5 and 1109.13.
    (c) How to evaluate composite testing. When using composite testing, 
only the total amount or percentage of the target chemical is 
determined, not how much was in each individual paint or component part. 
Therefore, to determine that each paint or component part is within the 
applicable limit, the entire amount of the target chemical in the 
composite is attributed to each paint or component part. If this method 
yields an amount of the target chemical that exceeds the limit 
applicable to any paint or component part in the composite sample, 
additional testing would be required to determine which of the paints or 
component parts, if any, fail to meet the applicable limit.



PART 1110_CERTIFICATES OF COMPLIANCE--Table of Contents



Sec.
1110.1 Purpose and scope.
1110.3 Definitions.
1110.5 Acceptable certificates.
1110.7 Who must certify and provide a certificate.
1110.9 Form of certificate.
1110.11 Content of certificate.
1110.13 Availability of electronic certificate.
1110.15 Legal responsibility for certificate information.


[[Page 195]]


    Authority: Pub. L. No. 110-314, Sec. 3, 122 Stat. 3016, 3017 
(2008); 15 U.S.C. 14.

    Source: 73 FR 68331, Nov. 18, 2008, unless otherwise noted.



Sec. 1110.1  Purpose and scope.

    (a) This part 1110:
    (1) Limits the entities required to provide certificates in 
accordance with section 14(a) of the Consumer Product Safety Act, as 
amended (CPSA), 15 U.S.C. 2063(a), to importers and U.S. domestic 
manufacturers;
    (2) Specifies the content, form, and availability requirements of 
the CPSA that must be met for a certificate to satisfy the certificate 
requirements of section 14(a); and
    (3) Specifies means by which an electronic certificate shall meet 
those requirements.
    (b) This part 1110 does not address issues related to type or 
frequency of testing necessary to satisfy the certification requirements 
of CPSA section 14(a). It does not address issues related to CPSA 
section 14(g)(4) concerning advance filing of electronic certificates of 
compliance with the Commission and/or the Commissioner of Customs.



Sec. 1110.3  Definitions.

    The following definitions apply for purposes of this part 1110.
    (a) Electronic certificate means, for purposes of this part 1110, a 
set of information available in, and accessible by, electronic means 
that sets forth the information required by CPSA section 14(a) and 
section 14(g) and that meets the availability requirements of CPSA 
section 14(g)(3).
    (b) Unless otherwise stated, the definitions of section 3 of the 
CPSA and additional definitions in the Consumer Product Safety 
Improvement Act of 2008 (CPSIA), Pub. L. 110-314, apply for purposes of 
this part 1110.



Sec. 1110.5  Acceptable certificates.

    A certificate that is in hard copy or electronic form and complies 
with all applicable requirements of this part 1110 meets the certificate 
requirements of section 14 of the CPSA. This does not relieve the 
importer or domestic manufacturer from the underlying statutory 
requirements concerning the supporting testing and/or other bases to 
support certification and issuance of certificates.



Sec. 1110.7  Who must certify and provide a certificate.

    (a) Imports. Except as otherwise provided in a specific standard, in 
the case of a product manufactured outside the United States, only the 
importer must certify in accordance with, and provide the certificate 
required by, CPSA section 14(a) as applicable, that the product or 
shipment in question complies with all applicable CPSA rules and all 
similar rules, bans, standards, and regulations applicable to the 
product or shipment under any other Act enforced by the Commission.
    (b) Domestic products. Except as otherwise provided in a specific 
standard, in the case of a product manufactured in the United States, 
only the manufacturer must certify in accordance with, and provide the 
certificate required by, CPSA section 14(a) as applicable, that the 
product or shipment in question complies with all applicable CPSA rules 
and all similar rules, bans, standards, and regulations applicable to 
the product or shipment under any other Act enforced by the Commission.
    (c) Availability of certificates--(1) Imports. In the case of 
imports, the certificate required by CPSA section 14(a) must be 
available to the Commission from the importer as soon as the product or 
shipment itself is available for inspection in the United States.
    (2) Domestic products. In the case of domestic products, the 
certificate required by CPSA section 14(a) must be available to the 
Commission from the manufacturer prior to introduction of the product or 
shipment in question into domestic commerce.



Sec. 1110.9  Form of certificate.

    As required by CPSA section 14(g)(2), the information on a hard copy 
or electronic certificate must be provided in English and may be 
provided in any other language.



Sec. 1110.11  Content of certificate.

    As required by CPSA sections 14(a) and 14(g), a certificate must 
contain the following information:
    (a) Identification of the product covered by the certificate.

[[Page 196]]

    (b) Citation to each CPSC product safety regulation or statutory 
requirement to which the product is being certified. Specifically, the 
certificate shall identify separately each applicable consumer product 
safety rule under the Consumer Product Safety Act and any similar rule, 
ban, standard or regulation under any other Act enforced by the 
Commission that is applicable to the product.
    (c) Identification of the importer or domestic manufacturer 
certifying compliance of the product, including the importer or domestic 
manufacturer's name, full mailing address, and telephone number.
    (d) Contact information for the individual maintaining records of 
test results, including the custodian's name, e-mail address, full 
mailing address, and telephone number. (CPSC suggests that each issuer 
maintain test records supporting the certification for at least three 
years as is currently required by certain consumer product specific CPSC 
standards, for example at 16 CFR 1508.10 for full-size baby cribs.)
    (e) Date (month and year at a minimum) and place (including city and 
state, country, or administrative region) where the product was 
manufactured. If the same manufacturer operates more than one location 
in the same city, the street address of the factory in question should 
be provided.
    (f) Date and place (including city and state, country or 
administrative region) where the product was tested for compliance with 
the regulation(s) cited above in subsection (b).
    (g) Identification of any third-party laboratory on whose testing 
the certificate depends, including name, full mailing address and 
telephone number of the laboratory.



Sec. 1110.13  Availability of electronic certificate.

    (a) CPSA section 14(g)(3) requires that the certificates required by 
section 14(a) ``accompany'' each product or product shipment and be 
``furnished'' to each distributor and retailer of the product in 
question.
    (1) An electronic certificate satisfies the ``accompany'' 
requirement if the certificate is identified by a unique identifier and 
can be accessed via a World Wide Web URL or other electronic means, 
provided the URL or other electronic means and the unique identifier are 
created in advance and are available, along with access to the 
electronic certificate itself, to the Commission or to the Customs 
authorities as soon as the product or shipment itself is available for 
inspection.
    (2) An electronic certificate satisfies the ``furnish'' requirement 
if the distributor(s) and retailer(s) of the product are provided a 
reasonable means to access the certificate.
    (b) An electronic certificate shall have a means to verify the date 
of its creation or last modification.



Sec. 1110.15  Legal responsibility for certificate information.

    Any entity or entities may maintain an electronic certificate 
platform and may enter the requisite data. However, the entity or 
entities required by CPSA section 14(a) to issue the certificate remain 
legally responsible for the accuracy and completeness of the certificate 
information required by statute and its availability in timely fashion.



PART 1112_REQUIREMENTS PERTAINING TO THIRD PARTY CONFORMITY
ASSESSMENT BODIES--Table of Contents



                    Subpart A_Purpose and Definitions

Sec.
1112.1 Purpose.
1112.3 Definitions.

  Subpart B_General Requirements Pertaining to Third Party Conformity 
                            Assessment Bodies

1112.11 What are the types of third party conformity assessment bodies?
1112.13 How does a third party conformity assessment body apply for CPSC 
          acceptance?
1112.15 When can a third party conformity assessment body apply for CPSC 
          acceptance for a particular CPSC rule or test method?
1112.17 How will the CPSC respond to each application?
1112.19 How does the CPSC publish information identifying third party 
          conformity assessment bodies that have been accepted?
1112.21 May a third party conformity assessment body use testing methods 
          other

[[Page 197]]

          than those specified in the relevant CPSC rule or test method?
1112.23 May a CSPC-accepted third party conformity assessment body 
          subcontract work conducted for purposes of section 14 of the 
          CPSA?
1112.25 What are a third party conformity assessment body's 
          recordkeeping responsibilities?
1112.27 Must a third party conformity assessment body allow CPSC 
          inspections related to investigations?
1112.29 How does a third party conformity assessment body voluntarily 
          discontinue its participation with the CPSC?

   Subpart C_Audit Requirements for Third Party Conformity Assessment 
                                 Bodies

1112.30 What is the purpose of this subpart?
1112.31 Who is subject to these audit requirements?
1112.33 What must an audit address or over and who conducts the audit?
1112.35 When must an audit be conducted?
1112.37 What must a third party conformity assessment body do after an 
          audit?
1112.39 What records should a third party conformity assessment body 
          retain regarding an audit?

   Subpart D_Adverse Actions: Types, Grounds, Allegations, Procedural 
                      Requirements, and Publication

1112.41 What are the possible adverse actions the CPSC may take against 
          a third party conformity assessment body?
1112.43 What are the grounds for denial of an application?
1112.45 What are the grounds for suspension of CPSC acceptance?
1112.47 What are the grounds for withdrawal of CPSC acceptance?
1112.49 How may a person submit information alleging grounds for adverse 
          action, and what information should be submitted?
1112.51 What are the procedures relevant to adverse actions?
1112.53 Can the CPSC immediately withdraw its acceptance of the 
          accreditation of a third party conformity assessment body?
1112.55 Will the CPSC publish adverse actions?

    Authority: 15 U.S.C. 2063; Pub. L. 110-314, section 3, 122 Stat. 
3016, 3017 (2008).

    Source: 77 FR 31084, May 24, 2012, unless otherwise noted.



                    Subpart A_Purpose and Definitions



Sec. 1112.1  Purpose.

    This part defines the term ``third party conformity assessment 
body'' and describes the types of third party conformity assessment 
bodies whose accreditations are accepted by the CPSC to test children's 
products under section 14 of the CPSA. It describes the requirements and 
procedures for becoming a CPSC-accepted third party conformity 
assessment body; the audit requirement applicable to CPSC-accepted third 
party conformity assessment bodies; how a third party conformity 
assessment body may voluntarily discontinue participation as a CPSC-
accepted third party conformity assessment body; the grounds and 
procedures for withdrawal or suspension of CPSC acceptance of the 
accreditation of a third party conformity assessment body; and how an 
individual may submit information alleging grounds for adverse action.

[78 FR 15858, Mar. 12, 2013]



Sec. 1112.3  Definitions.

    Unless otherwise stated, the definitions of section 3 of the CPSA 
and additional definitions in the Consumer Product Safety Improvement 
Act of 2008, Public Law 110-314, apply for purposes of this part. The 
following definitions apply for purposes of this subpart:
    Accreditation means a procedure by which an authoritative body gives 
formal recognition that a third party conformity assessment body meets 
competence requirements to perform specific tasks. Accreditation 
recognizes a third party conformity assessment body's technical 
capability and is usually specific for tests of the systems, products, 
components, or materials for which the third party conformity assessment 
body claims proficiency.
    Accept accreditation means that the CPSC has positively disposed of 
an application by a third party conformity assessment body to test 
children's products pursuant to a particular children's product safety 
rule, for purposes of the testing required in section 14 of the CPSA.

[[Page 198]]

    Accreditation body means an entity that:
    (1) Accredits or has accredited a third party conformity assessment 
body as meeting, at a minimum, the International Organization for 
Standardization (ISO)/International Electrotechnical Commission (IEC) 
Standard ISO/IEC 17025:2005, ``General Requirements for the Competence 
of Testing and Calibration Laboratories,'' and any test methods or 
consumer product safety requirements specified in the relevant notice of 
requirements issued by the Commission; and
    (2) Is a signatory to the International Laboratory Accreditation 
Cooperation-Mutual Recognition Arrangement.
    Audit means a systematic, independent, documented process for 
obtaining records, statements of fact, or other relevant information, 
and assessing them objectively to determine the extent to which 
specified requirements are fulfilled. An audit, for purposes of this 
part, consists of two parts:
    (1) An examination by an accreditation body to determine whether the 
third party conformity assessment body meets or continues to meet the 
conditions for accreditation (a process known more commonly as a 
``reassessment''); and
    (2) The resubmission of the ``Consumer Product Conformity Assessment 
Body Acceptance Registration Form'' (CPSC Form 223) and accompanying 
documentation by the third party conformity assessment body and the 
Consumer Product Safety Commission's (CPSC's) examination of the 
resubmitted CPSC Form 223 and accompanying documentation. Accompanying 
documentation includes the baseline documents required of all applicants 
in Sec. 1112.13(a), the documents required of firewalled applicants in 
Sec. 1112.13(b)(2), and/or the documents required of governmental 
applicants in Sec. 1112.13(c)(2).
    Commission means the body of Commissioners appointed to the Consumer 
Product Safety Commission.
    CPSA means the Consumer Product Safety Act, 15 U.S.C. 2051-2089.
    CPSC means the Consumer Product Safety Commission as an agency.
    Notice of requirements means a publication that provides the minimum 
qualifications necessary for a third party conformity assessment body to 
have its accreditation accepted to test children's products for 
conformity with a particular children's product safety rule.
    Quality manager means an individual (however named) who, 
irrespective of other duties and responsibilities, has defined 
responsibility and authority for ensuring that the management system 
related to quality is implemented and followed at all times and has 
direct access to the highest level of management at which decisions are 
made on the conformity assessment body's policy or resources.
    Scope means the range of particular CPSC safety rules and/or test 
methods to which a third party conformity assessment body has been 
accredited and for which it may apply for CPSC acceptance.
    Suspend means the CPSC has removed its acceptance, for purposes of 
the testing of children's products required in section 14 of the CPSA, 
of a third party conformity assessment body's accreditation for failure 
to cooperate in an investigation under this part.
    Third party conformity assessment body means a laboratory.
    Undue influence means that a manufacturer, private labeler, 
governmental entity, or other interested party affects a third party 
conformity assessment body, such that commercial, financial, or other 
pressures compromise the integrity of its testing processes or results.
    Withdraw means the CPSC removes its prior acceptance of a third 
party conformity assessment body's accreditation pursuant to a 
particular children's product safety rule for purposes of the testing of 
children's products required in section 14 of the CPSA.

[77 FR 31084, May 24, 2012, as amended at 78 FR 15858, Mar. 12, 2013]



  Subpart B_General Requirements Pertaining to Third Party Conformity 
                            Assessment Bodies

    Source: 78 FR 15859, Mar. 12, 2013, unless otherwise noted.

[[Page 199]]



Sec. 1112.11  What are the types of third party conformity assessment
bodies?

    (a) Independent. Independent third party conformity assessment 
bodies are third party conformity assessment bodies that are neither 
owned, managed, or controlled by a manufacturer or private labeler of a 
children's product to be tested by the third party conformity assessment 
body, nor owned or controlled, in whole or in part, by a government;
    (b) Firewalled. A third party conformity assessment body must apply 
for firewalled status if:
    (1) It is owned, managed, or controlled by a manufacturer or private 
labeler of a children's product;
    (i) For purposes of determining whether a third party conformity 
assessment body is firewalled, ``manufacturer'' includes a trade 
association.
    (ii) A manufacturer or private labeler is considered to own, manage, 
or control a third party conformity assessment body if any one of the 
following characteristics applies:
    (A) The manufacturer or private labeler of the children's product 
holds a 10 percent or greater ownership interest, whether direct or 
indirect, in the third party conformity assessment body. Indirect 
ownership interest is calculated by successive multiplication of the 
ownership percentages for each link in the ownership chain;
    (B) The third party conformity assessment body and a manufacturer or 
private labeler of the children's product are owned by a common 
``parent'' entity; or
    (C) A manufacturer or private labeler of the children's product has 
the ability to appoint any of the third party conformity assessment 
body's senior internal governing body (such as, but not limited to, a 
board of directors), the ability to appoint the presiding official (such 
as, but not limited to, the chair or president) of the third party 
conformity assessment body's senior internal governing body, the ability 
to hire, dismiss, or set the compensation level for third party 
conformity assessment body personnel, regardless of whether this ability 
is ever exercised;
    (2) The children's product is subject to a CPSC children's product 
safety rule that the third party conformity assessment body requests 
CPSC acceptance to test; and
    (3) The third party conformity assessment body intends to test such 
children's product made by the owning, managing, or controlling entity 
for the purpose of supporting a Children's Product Certificate.
    (c) Governmental. Governmental third party conformity assessment 
bodies are owned or controlled, in whole or in part, by a government. 
For purposes of this part, ``government'' includes any unit of a 
national, territorial, provincial, regional, state, tribal, or local 
government, and a union or association of sovereign states. 
``Government'' also includes domestic, as well as foreign entities. A 
third party conformity assessment body is ``owned or controlled, in 
whole or in part, by a government'' if any one of the following 
characteristics applies:
    (1) A governmental entity holds a 1 percent or greater ownership 
interest, whether direct or indirect, in the third party conformity 
assessment body. Indirect ownership interest is calculated by successive 
multiplication of the ownership percentages for each link in the 
ownership chain;
    (2) A governmental entity provides any direct financial investment 
or funding (other than fee for work);
    (3) A governmental entity has the ability to appoint a majority of 
the third party conformity assessment body's senior internal governing 
body (such as, but not limited to, a board of directors); the ability to 
appoint the presiding official of the third party conformity assessment 
body's senior internal governing body (such as, but not limited to, 
chair or president); and/or the ability to hire, dismiss, or set the 
compensation level for third party conformity assessment body personnel;
    (4) Third party conformity assessment body management or technical 
personnel include any government employees;
    (5) The third party conformity assessment body has a subordinate 
position to a governmental entity in its external organizational 
structure (not including its relationship as a regulated entity to a 
government regulator); or

[[Page 200]]

    (6) Apart from its role as regulator, the government can determine, 
establish, alter, or otherwise affect:
    (i) The third party conformity assessment body's testing outcomes;
    (ii) The third party conformity assessment body's budget or 
financial decisions;
    (iii) Whether the third party conformity assessment body may accept 
particular offers of work; or
    (iv) The third party conformity assessment body's organizational 
structure or continued existence.



Sec. 1112.13  How does a third party conformity assessment body apply
for CPSC acceptance?

    (a) Baseline Requirements. Each third party conformity assessment 
body seeking CPSC acceptance must:
    (1) Submit a completed Consumer Product Conformity Assessment Body 
Registration Form (CPSC Form 223 or Application). In submitting a CPSC 
Form 223, the third party conformity assessment body must attest to 
facts and characteristics about its business that will determine whether 
the third party conformity assessment body is independent, firewalled, 
or governmental. The third party conformity assessment body also must 
attest that it has read, understood, and agrees to the regulations in 
this part. The third party conformity assessment body must update its 
CPSC Form 223 whenever any information previously supplied on the form 
changes.
    (2) Submit the following documentation.
    (i) Accreditation certificate. (A) The third party conformity 
assessment body must be accredited to the ISO/IEC Standard 
17025:2005(E), ``General requirements for the competence of testing and 
calibration laboratories.''
    (B) The accreditation must be by an accreditation body that is a 
signatory to the International Laboratory Accreditation Cooperation-
Mutual Recognition Arrangement (ILAC-MRA).
    (ii) Statement of scope. The third party conformity assessment 
body's accreditation must include a statement of scope that clearly 
identifies each CPSC rule and/or test method for which CPSC acceptance 
is sought. Although a third party conformity assessment body may include 
more than one CPSC rule and/or test method in its scope in one 
application, it must submit a new application if the CPSC has already 
accepted the third party conformity assessment body for a particular 
scope, and the third party conformity assessment body wishes to expand 
its acceptance to include additional CPSC rules and/or test methods.
    (b) Additional Requirements for Firewalled Third Party Conformity 
Assessment Bodies. (1) A third party conformity assessment body may be 
accepted as a firewalled third party conformity assessment body if the 
Commission, by order, makes the findings described in Sec. 1112.17(b).
    (2) For the Commission to evaluate whether an applicant firewalled 
third party conformity assessment body satisfies the criteria listed in 
Sec. 1112.17(b), and in addition to the baseline accreditation 
requirements in paragraph (a) of this section, a firewalled third party 
conformity assessment body applying for acceptance of its accreditation 
must submit copies of:
    (i) The third party conformity assessment body's established 
policies and procedures that explain:
    (A) How the third party conformity assessment body will protect its 
test results from undue influence by the manufacturer, private labeler, 
or other interested party;
    (B) That the CPSC will be notified immediately of any attempt by the 
manufacturer, private labeler, or other interested party to hide or 
exert undue influence over the third party conformity assessment body's 
test results; and
    (C) That allegations of undue influence may be reported 
confidentially to the CPSC;
    (ii) Training documents, including a description of the training 
program content, showing how employees are trained annually on the 
policies and procedures described in paragraph (b)(2)(i) of this 
section;
    (iii) Training records, including a list and corresponding 
signatures, of the staff members who received the training identified in 
paragraph (b)(2)(ii) of this section. The records must include training 
dates, location, and the name

[[Page 201]]

and title of the individual providing the training;
    (iv) An organizational chart(s) of the third party conformity 
assessment body that includes the names of all third party conformity 
assessment body personnel, both temporary and permanent, and their 
reporting relationship within the third party conformity assessment 
body;
    (v) An organizational chart(s) of the broader organization that 
identifies the reporting relationships of the third party conformity 
assessment body within the broader organization (using both position 
titles and staff names); and
    (vi) A list of all third party conformity assessment body personnel 
with reporting relationships outside of the third party conformity 
assessment body. The list must identify the name and title of the 
relevant third party conformity assessment body employee(s) and the 
names, titles, and employer(s) of all individuals outside of the third 
party conformity assessment body to whom they report;
    (c) Additional Requirements for Governmental Third Party Conformity 
Assessment Bodies. (1) The CPSC may accept a governmental third party 
conformity assessment body if the CPSC determines that:
    (i) To the extent practicable, manufacturers or private labelers 
located in any nation are permitted to choose third party conformity 
assessment bodies that are not owned or controlled by the government of 
that nation;
    (ii) The third party conformity assessment body's testing results 
are not subject to undue influence by any other person, including 
another governmental entity;
    (iii) The third party conformity assessment body is not accorded 
more favorable treatment than other third party conformity assessment 
bodies in the same nation who have been accredited;
    (iv) The third party conformity assessment body's testing results 
are accorded no greater weight by other governmental authorities than 
those of other accredited third party conformity assessment bodies; and
    (v) The third party conformity assessment body does not exercise 
undue influence over other governmental authorities on matters affecting 
its operations or on decisions by other governmental authorities 
controlling distribution of products based on outcomes of the third 
party conformity assessment body's conformity assessments.
    (2) For the CPSC to evaluate whether a governmental third party 
conformity assessment body satisfies the criteria listed in paragraph 
(c)(1) of this section, and in addition to the baseline accreditation 
requirements in paragraph (a) of this section, a governmental third 
party conformity assessment body seeking CPSC-accepted status must 
submit:
    (i) Description. A description illustrating the relationships with 
other entities, such as government agencies and joint ventures partners. 
The description may be in the form of a diagram;
    (ii) Responses to questionnaires. The CPSC will provide a 
governmental third party conformity assessment body applicant with a 
questionnaire and will provide a separate questionnaire to the 
affiliated governmental entity;
    (iii) Executed memorandum. A copy of an executed memorandum 
addressing undue influence;
    (A) The memorandum must be:
    (1) Addressed to all staff of the third party conformity assessment 
body;
    (2) On company letterhead;
    (3) From senior management of the third party conformity assessment 
body;
    (4) In the primary written language used for business communication 
in the area where the third party conformity assessment body is located; 
if that language is different than English, an English translation of 
the executed memorandum must also be provided to the CPSC;
    (5) Displayed prominently for staff reference for as long as the 
accreditation of the third party conformity assessment body whose 
accreditation is accepted by the CPSC; and
    (B) The memorandum must state that:
    (1) The policy of the laboratory is to reject undue influence by any 
manufacturer, private labeler, governmental

[[Page 202]]

entity, or other interested party, regardless of that person or entity's 
affiliation with any organization;
    (2) Employees are required to report immediately to their supervisor 
or any other official designated by the third party conformity 
assessment body about any attempts to gain undue influence; and
    (3) The third party conformity assessment body will not tolerate 
violations of the undue influence policy.
    (iv) Attestation. A senior officer of the governmental third party 
conformity assessment body, who has the authority to make binding 
statements of policy on behalf of the third party conformity assessment 
body, must attest to the following:
    (A) The third party conformity assessment body seeks acceptance as a 
governmental third party conformity assessment body under the CPSC's 
program of requirements for the testing of children's products;
    (B) The official intends the attestation to be considered in support 
of any and all applications made by this third party conformity 
assessment body for acceptance of its accreditation by the CPSC, 
including future applications related to additional CPSC rules and/or 
test methods;
    (C) The attestation, and any other document submitted in support of 
the application, is accurate in its representation of current conditions 
or policies at the third party conformity assessment body, to the best 
of the official's knowledge, information, and/or belief. The information 
in the attestation, and any other document submitted in support of the 
application, will be understood by the CPSC as continuing in its 
accuracy in every respect, until and unless notice of its revocation by 
an authorized officer of the third party conformity assessment body is 
received by the CPSC. The official understands that acceptance by the 
CPSC carries with it the obligation to comply with this part, in order 
to remain on the CPSC's list of accepted third party conformity 
assessment bodies. The attestation is submitted as a condition of 
acceptance of this laboratory as a governmental third party conformity 
assessment body by the CPSC.
    (D) The word ``government'' in the attestation refers to any 
government (central, provincial, municipal, or other) in this third 
party conformity assessment body's country or administrative area and 
includes state-owned entities, even if those entities do not carry out 
governmental functions.
    (E) With regard to consumer products to be distributed in commerce 
in the United States and subject to CPSC third party testing 
requirements, the third party conformity assessment body does not 
receive, and will not accept from any governmental entity, treatment 
that is more favorable than that received by other third party 
conformity assessment bodies in the same country or administrative area, 
which have been accepted as accredited for third party testing by the 
CPSC. More favorable treatment for a governmental third party conformity 
assessment body includes, but is not limited to, authorization to 
perform essential export-related functions, while competing CPSC-
accepted laboratories in the same country or administrative area are not 
permitted to perform those same functions.
    (F) With regard to consumer products to be sold in the United States 
and subject to CPSC third party testing requirements, the third party 
conformity assessment body's testing results are not accorded greater 
weight by any governmental entity that may be evaluating such results 
for export control purposes, compared to other third party conformity 
assessment bodies in the same country or administrative area, which have 
been accepted as accredited for third party testing by the CPSC.
    (G) The third party conformity assessment body has an expressed 
policy, known to its employees, that forbids attempts at undue influence 
over any government authorities on matters affecting its operations.
    (H) When a governmental third party conformity assessment body is 
owned or controlled by a governmental entity that also has any ownership 
or control over consumer product production, the senior officer of the 
applicant third party conformity assessment body

[[Page 203]]

must attest that the third party conformity assessment body will not 
conduct CPSC tests in support of a Children's Product Certificate for 
products for export to the United States that have been produced by an 
entity in which that governmental entity holds such ownership or control 
until it has applied for and been accepted by the Commission as, a dual 
governmental-firewalled third party conformity assessment body.
    (v) Governmental entity attestation. In the event that the CPSC 
determines that its ability to accept a governmental third party 
conformity assessment body's application is dependent upon a recently 
changed circumstance in the relationship between the third party 
conformity assessment body and a governmental entity, and/or a recently 
changed policy of the related governmental entity, the CPSC may require 
the relevant governmental entity to attest to the details of the new 
relationship or policy.
    (d) Dual firewalled and governmental status. A third party 
conformity assessment body that meets both the firewalled and the 
governmental criteria must submit applications under both firewalled and 
governmental categories.
    (e) English language. All application materials must be in English.
    (f) Electronic submission. The CPSC Form 223 and all accompanying 
documentation must be submitted electronically via the CPSC Web site.
    (g) Clarification and verification. The CPSC may require additional 
information to determine whether the third party conformity assessment 
body meets the relevant criteria. In addition, the CPSC may verify 
accreditation certificate and scope information directly from the 
accreditation body before approving an application.
    (h) Retraction of application. A third party conformity assessment 
body may retract a submitted CPSC Form 223 any time before the CPSC has 
acted on the submission. A retraction will not end or nullify any 
enforcement action that the CPSC is otherwise authorized by law to 
pursue.
    (i) The Director of the Federal Register approves this incorporation 
by reference in paragraph (a)(2)(i) in accordance with 5 U.S.C. 552(a) 
and 1 CFR part 51. You may obtain a copy of ISO/IEC 17025:2005(E), 
``General requirements for the competence of testing and calibration 
laboratories,'' Second Edition, May 15, 2005 from the International 
Organization for Standardization (ISO), 1, ch. de la Voie-Creuse, Case 
postale 56, CH-1211 Geneva 20, Switzerland; Telephone + 41 22 749 01 11, 
Fax + 41 22 733 34 30; http://www.iso.org/iso/home.htm. You may inspect 
a copy at the Office of the Secretary, U.S. Consumer Product Safety 
Commission, Room 820, 4330 East West Highway, Bethesda, MD 20814, 
telephone 301-504-7923, or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or
go to: http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html.



Sec. 1112.15  When can a third party conformity assessment body apply
for CPSC acceptance for a particular CPSC rule or test method?

    (a) Once the CPSC publishes the requirements for accreditation to a 
particular CPSC rule or test method, a third party conformity assessment 
body may apply to the CPSC for acceptance to that scope of 
accreditation. An application may be made for acceptance of 
accreditation to more than one CPSC rule or test method. Once accepted 
by the CPSC, a third party conformity assessment body may apply at any 
time to expand the scope of its acceptance to include additional CPSC 
rules or test methods. A third party conformity assessment body may only 
issue test results for purposes of section 14 of the CPSA that fall 
within a scope for which the CPSC has accepted the third party 
conformity assessment body's accreditation.
    (b) The CPSC has published the requirements for accreditation for 
third party conformity assessment bodies to assess conformity for the 
following CPSC rules or test methods:
    (1) 16 CFR part 1203, Safety Standard for Bicycle Helmets;
    (2) 16 CFR part 1215, Safety Standard for Infant Bath Seats;

[[Page 204]]

    (3) 16 CFR part 1216, Safety Standard for Infant Walkers;
    (4) 16 CFR part 1217, Safety Standard for Toddler Beds;
    (5) 16 CFR part 1219, Safety Standard for Full-Size Baby Cribs;
    (6) 16 CFR part 1220, Safety Standard for Non-Full-Size Baby Cribs;
    (7) 16 CFR part 1221, Safety Standard for Play Yards;
    (8) 16 CFR part 1223, Safety Standard for Infant Swings;
    (9) 16 CFR part 1224, Safety Standard for Portable Bed Rails;
    (10) 16 CFR part 1303, Ban of Lead-Containing Paint and Certain 
Consumer Products Bearing Lead-Containing Paint. For its accreditation 
to be accepted by the Commission to test to 16 CFR part 1303, a third 
party conformity assessment body must have one or more of the following 
test methods referenced in its statement of scope:
    (i) CPSC Standard Operating Procedure for Determining Lead (Pb) in 
Paint and Other Similar Surface Coatings, CPSC-CH-E1003-09;
    (ii) CPSC Standard Operating Procedure for Determining Lead (Pb) in 
Paint and Other Similar Surface Coatings, CPSC-CH-E1003-09.1;
    (iii) ASTM F2853-10, ``Standard Test Method for Determination of 
Lead in Paint Layers and Similar Coatings or in Substrates and 
Homogenous Materials by Energy Dispersive X-Ray Fluorescence 
Spectrometry Using Multiple Monochromatic Excitation Beams.''
    (11) 16 CFR part 1420, Safety Standard for All-Terrain Vehicles;
    (12) 16 CFR 1500.86(a)(5), Exceptions from Classification as a 
Banned Toy or Other Banned Article for Use by Children (Clacker Balls);
    (13) 16 CFR 1500.86(a)(7) and (8), Exceptions from Classification as 
a Banned Toy or Other Banned Article for Use by Children (Dive Sticks 
and Similar Articles);
    (14) 16 CFR 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;
    (15) 16 CFR part 1505, Requirements for Electrically Operated Toys 
or Other Electrically Operated Articles Intended for Use by Children;
    (16) 16 CFR part 1510, Requirements for Rattles;
    (17) 16 CFR part 1511, Requirements for Pacifiers;
    (18) 16 CFR part 1512, Requirements for Bicycles;
    (19) 16 CFR part 1513, Requirements for Bunk Beds;
    (20) 16 CFR part 1610, Standard for the Flammability of Clothing 
Textiles;
    (21) 16 CFR part 1611, Standard for the Flammability of Vinyl 
Plastic Film;
    (22) 16 CFR part 1615, Standard for the Flammability of Children's 
Sleepwear: Sizes 0 Through 6X (FF 3-71);
    (23) 16 CFR part 1616, Standard for the Flammability of Children's 
Sleepwear: Sizes 7 Through 14 (FF 5-74);
    (24) 16 CFR part 1630, Standard for the Surface Flammability of 
Carpets and Rugs (FF 1-70);
    (25) 16 CFR part 1631, Standard for the Surface Flammability of 
Small Carpets and Rugs (FF 2-70);
    (26) 16 CFR part 1632, Standard for the Flammability of Mattresses 
and Mattress Pads (FF 4-72, amended);
    (27) 16 CFR part 1633, Standard for the Flammability (Open Flame) of 
Mattress Sets;
    (28) Lead Content in Children's Metal Jewelry. For its accreditation 
to be accepted by the Commission to test for lead content in children's 
metal jewelry, a third party conformity assessment body must have one or 
more of the following test methods referenced in its statement of scope:
    (i) CPSC Test Method CPSC-CH-E1001-08, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';
    (ii) CPSC Test Method CPSC-CH-E1001-08.1, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';
    (iii) CPSC Test Method CPSC-CH-E1001-08.2, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';

[[Page 205]]

    (iv) CPSC Test Method CPSC-CH-E1001-08.3, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';
    (v) Section I, ``Screening Test for Total Pb Analysis,'' from CPSC 
``Standard Operating Procedure for Determining Lead (Pb) and its 
Availability in Children's Metal Jewelry,'' February 3, 2005;
    (29) Limits on Total Lead in Children's Products: Children's Metal 
Products. For its accreditation to be accepted by the Commission to test 
for total lead content in children's metal products, a third party 
conformity assessment body must have one or more of the following test 
methods referenced in its statement of scope:
    (i) CPSC Test Method CPSC-CH-E1001-08, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';
    (ii) CPSC Test Method CPSC-CH-E1001-08.1, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';
    (iii) CPSC Test Method CPSC-CH-E1001-08.2, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';
    (iv) CPSC Test Method CPSC-CH-E1001-08.3, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Children's Metal Products 
(Including Children's Metal Jewelry)'';
    (30) Limits on Total Lead in Children's Products: Nonmetal 
Children's Products. For its accreditation to be accepted by the 
Commission to test for lead content in nonmetal children's products, a 
third party conformity assessment body must have one or more of the 
following test methods referenced in its statement of scope:
    (i) CPSC Test Method CPSC-CH-E1002-08, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Nonmetal Children's 
Products'';
    (ii) CPSC Test Method CPSC-CH-E1002-08.1, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Nonmetal Children's 
Products'';
    (iii) CPSC Test Method CPSC-CH-E1002-08.2, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Nonmetal Children's 
Products'';
    (iv) CPSC Test Method CPSC-CH-E1002-08.3, ``Standard Operating 
Procedure for Determining Total Lead (Pb) in Nonmetal Children's 
Products'';
    (31) Limits on Phthalates in Children's Toys and Child Care 
Articles. For its accreditation to be accepted by the Commission to test 
for phthalates in children's toys and child care articles, a third party 
conformity assessment body must have one or more of the following test 
methods referenced in its statement of scope:
    (i) CPSC Test Method CPSC-CH-1001-09.3, ``Standard Operating 
Procedure for Determination of Phthalates'';
    (ii) GB/T 22048-2008, ``Toys and Children's Products--Determination 
of Phthalate Plasticizers in Polyvinyl Chloride Plastic'';
    (32) 16 CFR part 1250, safety standard for toys. The CPSC only 
requires certain provisions of ASTM F963-16 to be subject to third party 
testing; and therefore, the CPSC only accepts the accreditation of third 
party conformity assessment bodies for testing under the following toy 
safety standards:
    (i) [Reserved]
    (ii) ASTM F963-16:
    (A) Section 4.3.5.1(2), Surface Coating Materials--Soluble Test for 
Metals
    (B) Section 4.3.5.2, Toy Substrate Materials
    (C) Section 4.3.6.3, Cleanliness of Liquids, Pastes, Putties, Gels, 
and Powders (except for cosmetics and tests on formulations used to 
prevent microbial degradation)
    (D) Section 4.3.7, Stuffing Materials
    (E) Section 4.5, Sound Producing Toys
    (F) Section 4.6, Small Objects (except labeling and/or instructional 
literature requirements)
    (G) Section 4.7, Accessible Edges (except labeling and/or 
instructional literature equirements)
    (H) Section 4.8, Projections (except bath toy projections)
    (I) Section 4.9, Accessible Points (except labeling and/or 
instructional literature requirements)
    (J) Section 4.10, Wires or Rods
    (K) Section 4.11, Nails and Fasteners
    (L) Section 4.12, Plastic Film

[[Page 206]]

    (M) Section 4.13, Folding Mechanisms and Hinges
    (N) Section 4.14, Cords, Straps, and Elastics
    (O) Section 4.15, Stability and Overload Requirements
    (P) Section 4.16, Confined Spaces
    (Q) Section 4.17, Wheels, Tires, and Axles
    (R) Section 4.18, Holes, Clearances, and Accessibility of Mechanisms
    (S) Section 4.19, Simulated Protective Devices (except labeling and/
or instructional literature requirements)
    (T) Section 4.20.1, Pacifiers with Rubber Nipples/Nitrosamine Test
    (U) Section 4.20.2, Toy Pacifiers
    (V) Section 4.21, Projectile Toys
    (W) Section 4.22, Teethers and Teething Toys
    (X) Section 4.23.1, Rattles with Nearly Spherical, Hemispherical, or 
Circular Flared Ends
    (Y) Section 4.24, Squeeze Toys
    (Z) Section 4.25, Battery-Operated Toys (except labeling and/or 
instructional literature requirements)
    (AA) Section 4.26, Toys Intended to Be Attached to a Crib or Playpen 
(except labeling and/or instructional literature requirements)
    (BB) Section 4.27, Stuffed and Beanbag-Type Toys
    (CC) Section 4.30, Toy Gun Marking
    (DD) Section 4.32, Certain Toys with Nearly Spherical Ends
    (EE) Section 4.35, Pompoms
    (FF) Section 4.36, Hemispheric-Shaped Objects
    (GG) Section 4.37, Yo-Yo Elastic Tether Toys
    (HH) Section 4.38, Magnets (except labeling and/or instructional 
literature requirements)
    (II) Section 4.39, Jaw Entrapment in Handles and Steering Wheels
    (JJ) Section 4.40, Expanding Materials
    (KK) Section 4.41, Toy Chests (except labeling and/or instructional 
literature requirements)
    (33) 16 CFR part 1218, Safety Standard for Bassinets and Cradles.
    (34) 16 CFR part 1225, Safety Standard for Hand-Held Infant 
Carriers.
    (35) 16 CFR part 1222, Safety Standard for Bedside Sleepers.
    (36) 16 CFR part 1227, Safety Standard for Carriages and Strollers.
    (37) 16 CFR part 1226, Safety Standard for Soft Infant and Toddler 
Carriers.
    (38) 16 CFR part 1230, Safety Standard for Frame Child Carriers.
    (39) 16 CFR part 1228, Safety Standard for Sling Carriers.
    (40) 16 CFR part 1233, Safety Standard for Portable Hook-On Chairs.
    (41) 16 CFR part 1234, Safety Standard for Infant Bath Tubs.
    (c) The Director of the Federal Register approves the incorporations 
by reference in paragraph (b) of this section in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. You may inspect a copy of the standards 
incorporated in this section at the Office of the Secretary, U.S. 
Consumer Product Safety Commission, Room 820, 4330 East West Highway, 
Bethesda, MD 20814, telephone 301-504-7923, or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (1) ASTM International, 100 Bar Harbor Drive, P.O. Box 0700, West 
Conshohocken, PA 19428: http://www.astm.org.
    (i) ASTM F2853-10, ``Standard Test Method for Determination of Lead 
in Paint Layers and Similar Coatings or in Substrates and Homogenous 
Materials by Energy Dispersive X-Ray Fluorescence Spectrometry Using 
Multiple Monochromatic Excitation Beams,'' July 1, 2010;
    (ii) ASTM F963-16, ``Standard Consumer Safety Specification for Toy 
Safety,'' August 1, 2016.
    (2) Code of China, Room 2118, New Fortune International Plaza, No.71 
Chaoyang Road, Chaoyang District, Beijing, 100123, China: http://
www.codeofchina.com/.
    (i) GB/T 22048-2008, National Standard of the People's Republic of 
China, ``Toys and Children's Products--Determination of Phthalate 
Plasticizers in Polyvinyl Chloride Plastic,'' June 18, 2008;
    (ii) [Reserved]
    (3) CPSC National Product Testing and Evaluation Center, 5 Research 
Place, Rockville, MD 20850; www.cpsc.gov.

[[Page 207]]

    (i) CPSC-CH-C1001-09.3, ``Standard Operating Procedure for 
Determination of Phthalates'', April 1, 2010;
    (ii) CPSC-CH-E1001-08, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Children's Metal Products (Including 
Children's Metal Jewelry)'', December 4, 2008;
    (iii) CPSC-CH-E1001-08.1, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Children's Metal Products (Including 
Children's Metal Jewelry), Revision'', June 21, 2010;
    (iv) CPSC-CH-E1001-08.2, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Children's Metal Products (Including 
Children's Metal Jewelry), Revision'', April 10, 2012;
    (v) CPSC-CH-E1001-08.3, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Children's Metal Products (Including 
Children's Metal Jewelry) Revision'', November 15, 2012;
    (vi) CPSC-CH-E1002-08, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Non-metal Children's Products'', February 
1, 2009;
    (vii) CPSC-CH-E1002-08.1, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Non-metal Children's Products, Revised'', 
June 21, 2010;
    (viii) CPSC-CH-E1002-08.2, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Nonmetal Children's Products, Revision'', 
April 10, 2012;
    (ix) CPSC-CH-E1002-08.3, ``Standard Operating Procedure for 
Determining Total Lead (Pb) in Non-metal Children's Products, 
Revision'', November 15, 2012;
    (x) CPSC-CH-E1003-09, ``Standard Operating Procedure for Determining 
Lead (Pb) in Paint and Other Similar Surface Coatings'', April 26, 2009;
    (xi) CPSC-CH-E1003-09.1, ``Standard Operating Procedure for 
Determining Lead (Pb) in Paint and Other Similar Surface Coatings'', 
February 25, 2011;
    (xii) CPSC ``Standard Operating Procedure for Determining Lead (Pb) 
and its Availability in Children's Metal Jewelry'', February 3, 2005.

[78 FR 15859, Mar. 12, 2013, as amended at 78 FR 63034, Oct. 23, 2013; 
78 FR 73424, Dec. 6, 2013; 79 FR 2589, Jan. 15, 2014; 79 FR 17433, Mar. 
28, 2014; 79 FR 13216, Mar. 10, 2014; 80 FR 11121, Mar. 2, 2015; 81 FR 
17065, Mar. 28, 2016; 82 FR 8687, Jan. 30, 2017; 82 FR 8993, Feb. 2, 
2017; 82 FR 15627, Mar. 30, 2017]

    Effective Date Notes: 1. At 82 FR 8687, Jan. 30, 2017, Sec. 1112.15 
was amended by adding paragraph (b)(39), effective Jan. 30, 2018. For 
the convenience of the user, the added text is set forth as follows:



Sec. 1112.15  When can a third party conformity assessment body apply 
          for CPSC acceptance for a particular CPSC rule and/or test 
          method?

                                * * * * *

    (b) * * *
    (39) 16 CFR part 1228, Safety Standard for Sling Carriers.

                                * * * * *

    2. At 82 FR 43480, Sept. 18, 2017, Sec. 1112.15 was amended by 
adding paragraph (b)(42), effective Mar. 19, 2018. For the convenience 
of the user, the added text is set forth as follows:



Sec. 1112.15  When can a third party conformity assessment body apply 
          for CPSC acceptance for a particular CPSC rule and/or test 
          method?

                                * * * * *

    (b) * * *
    (42) 16 CFR part 1229, Safety Standard for Infant Bouncer Seats.

                                * * * * *

    3. At 82 FR 57123, Dec. 4, 2017, Sec. 1112.15 was amended by 
revising paragraphs (b)(32) introductory text, (ii) and (c)(1)(ii), 
effective Feb. 28, 2018. For the convenience of the user, the revised 
text is set forth as follows:



Sec. 1112.15  When can a third party conformity assessment body apply 
          for CPSC acceptance for a particular CPSC rule or test method?

                                * * * * *

    (b) * * *
    (32) 16 CFR part 1250, safety standard for toys. The CPSC only 
requires certain provisions of ASTM F963-17 to be subject to third party 
testing; and therefore, the CPSC only accepts the accreditation of third 
party conformity assessment bodies for testing under the following toy 
safety standards:

                                * * * * *

    (ii) ASTM F963-17:

                                * * * * *

    (c) * * *
    (1) * * *

[[Page 208]]

    (ii) ASTM F963-17, ``Standard Consumer Safety Specification for Toy 
Safety,'' May 1, 2017.

                                * * * * *

    4. At 82 FR 59510, Dec. 15, 2017, Sec. 1112.15 was amended by 
adding paragraph (b)(43), effective June 15, 2018. For the convenience 
of the user, the added text is set forth as follows:



Sec. 1112.15  When can a third party conformity assessment body apply 
          for CPSC acceptance for a particular CPSC rule and/or test 
          method?

                                * * * * *

    (b) * * *
    (43) 16 CFR part 1232, Safety Standard for Children's Folding Chairs 
and Stools.

                                * * * * *



Sec. 1112.17  How will the CPSC respond to each application?

    (a) The CPSC staff will review each application and may contact the 
third party conformity assessment body with questions or to request 
submission of missing information.
    (b) The application of a firewalled third party conformity 
assessment body will be accepted by order of the Commission, if the 
Commission finds that:
    (1) Acceptance of the accreditation of the third party conformity 
assessment body would provide equal or greater consumer safety 
protection than the manufacturer's or private labeler's use of an 
independent third party third party conformity assessment body; and
    (2) The third party conformity assessment body has established 
procedures to ensure that:
    (i) Its test results are protected from undue influence by the 
manufacturer, private labeler, or other interested party;
    (ii) The CPSC is notified immediately of any attempt by the 
manufacturer, private labeler, or other interested party to hide or 
exert undue influence over test results; and
    (iii) Allegations of undue influence may be reported confidentially 
to the CPSC.
    (c) The CPSC will communicate its decision on each application in 
writing to the applicant, which may be by electronic mail.



Sec. 1112.19  How does the CPSC publish information identifying 
third party conformity assessment bodies that have been accepted?

    The CPSC will maintain on its Web site an up-to-date listing of 
third party conformity assessment bodies whose accreditations it has 
accepted and the scope of each acceptance. The CPSC will update the 
listing regularly to account for changes, such as the addition of new 
CPSC rules and/or test methods to its scope of accreditation, changes to 
accreditation certificates, new addresses, as well as changes to the 
status of a third party conformity assessment body due to voluntary 
discontinuance, suspension, and/or withdrawal. The CPSC will also list 
the firewalled or governmental status of accepted laboratories on the 
CPSC Web site.



Sec. 1112.21  May a third party conformity assessment body use testing
methods other than those specified in the relevant CPSC rule or
test method?

    If the CPSC has specified a test method, a third party conformity 
assessment body must use that test method for any tests conducted for 
purposes of section 14 of the CPSA.



Sec. 1112.23  May a CSPC-accepted third party conformity assessment
body subcontract work conducted for purposes of section 14 of the
CPSA?

    (a) A CPSC-accepted third party conformity assessment body (which, 
for purposes of this section, also will be referred to as the prime 
contractor) may only subcontract work conducted for purposes of section 
14 of the CPSA to other third party conformity assessment bodies whose 
accreditation has been accepted by the CPSC for the scope necessary for 
the subcontracted work. Violation of this provision constitutes 
compromising the integrity of the testing process and may be grounds for 
withdrawal of the CPSC's acceptance of the accreditation of the prime 
and/or subcontracting third party conformity assessment body.
    (b) The provisions of this part apply to all CPSC-accepted third 
party conformity assessment bodies, even if they are a prime contractor 
and/or a subcontractor.

[[Page 209]]



Sec. 1112.25  What are a third party conformity assessment body's 
recordkeeping responsibilities?

    (a) The third party conformity assessment body must maintain the 
following records, which must be legible:
    (1) All test reports and technical records related to tests 
conducted for purposes of section 14 of the CPSA must be maintained for 
a period of at least five years from the date the test was conducted;
    (2) In the case of a test report for a test conducted by a CPSC-
accepted third party conformity assessment body acting as a 
subcontractor, the prime contractor's test report must clearly identify 
which test(s) was performed by a CPSC-accepted third party conformity 
assessment body acting as a subcontractor(s), and the test report from 
the CPSC-accepted third party conformity assessment body acting as a 
subcontractor must be available upon request by CPSC.
    (3) Where a report, for purposes of section 14 of the CPSA, provided 
by the third party conformity assessment body to a customer is different 
from the test record, the third party conformity assessment body also 
must retain the report provided to the customer for a period of at least 
five years from the date the test was conducted.
    (4) Any and all third party conformity assessment body internal 
documents describing testing protocols and procedures (such as 
instructions, standards, manuals, guides, and reference data) that have 
applied to a test conducted for purposes of section 14 of the CPSA must 
be retained for a period of at least five years from the date such test 
was conducted.
    (b) Upon request by the CPSC, the third party conformity assessment 
body must make any and all of the records required by this section 
available for inspection, either in hard copy or electronically, such as 
through an Internet Web site. If the records are not in the English 
language, the third party conformity assessment body must make copies of 
the original (non-English language) available to the CPSC within 48 
hours, and they must make an English translation of the records 
available to the CPSC within 30 calendar days of the date the CPSC 
requested an English translation.



Sec. 1112.27  Must a third party conformity assessment body allow 
CPSC inspections related to investigations?

    A third party conformity assessment body, as a condition of the 
continued CPSC-acceptance of its accreditation, must allow an officer or 
employee duly designated by the CPSC to enter and inspect the third 
party conformity assessment body for purposes of an investigation under 
this part. The CPSC will conduct such inspections in accordance with 16 
CFR 1118.2. Failure to cooperate with such an inspection constitutes 
failure to cooperate with an investigation and is grounds for suspension 
under Sec. 1112.45.



Sec. 1112.29  How does a third party conformity assessment body
voluntarily discontinue its participation with the CPSC?

    (a) A third party conformity assessment body may voluntarily 
discontinue participation as a CPSC-accepted third party conformity 
assessment body at any time and for any portion of its scope that is 
accepted by the CPSC. The third party conformity assessment body must 
notify the CPSC, in writing, which may be electronic. The notice must 
include:
    (1) Name, address, phone number, electronic mail address for the 
third party conformity assessment body and the person responsible for 
submitting the request;
    (2) Scope of the discontinuance;
    (3) Beginning date for the discontinuance;
    (4) Statement that the third party conformity assessment body 
understands that it must reapply for acceptance of the accreditation 
scope for which it is requesting discontinuance; and
    (5) Verification that the person requesting the discontinuance has 
the authority to make such a request on behalf of the third party 
conformity assessment body.
    (b) The CPSC may verify the information submitted in a notice of 
voluntary discontinuance.
    (c) Upon receipt of a notice from a third party conformity 
assessment

[[Page 210]]

body that it wishes to discontinue voluntarily as a CPSC-accepted third 
party conformity assessment body, or after verifying the information in 
a notice, the CPSC will update its Web site to indicate that the CPSC no 
longer accepts the accreditation of the third party conformity 
assessment body for the scope indicated, as of the date provided in the 
notice.
    (d) Notwithstanding a third party conformity assessment body's 
voluntary discontinuance as a CPSC-accepted third party conformity 
assessment body, the CPSC may begin or continue an investigation related 
to an adverse action under this part, or other legal action.



   Subpart C_Audit Requirements for Third Party Conformity Assessment 
                                 Bodies



Sec. 1112.30  What is the purpose of this subpart?

    This subpart establishes the audit requirements for third party 
conformity assessment bodies pursuant to section 14(i)(1) of the 
Consumer Product Safety Act (CPSA) (15 U.S.C. 2063(i)(1)). Compliance 
with these requirements is a condition of the continuing accreditation 
of such third party conformity assessment bodies pursuant to section 
14(a)(3)(C) of the CPSA. However, this subpart does not apply to 
certifying organizations under the Labeling of Hazardous Art Materials 
Act, even if such organizations are third party conformity assessment 
bodies.



Sec. 1112.31  Who is subject to these audit requirements?

    Except for certifying organizations described in 16 CFR 
1500.14(b)(8), these audit requirements apply to third party conformity 
assessment bodies operating pursuant to section 14(a)(2) of the CPSA. 
Third party conformity assessment bodies must comply with the audit 
requirements as a continuing condition of the CPSC's acceptance of their 
accreditation.



Sec. 1112.33  What must an audit address or cover and who conducts 
the audit?

    (a) The reassessment portion of an audit must cover management 
requirements and technical requirements. Each reassessment portion of an 
audit also must examine the third party conformity assessment body's 
management systems to ensure that the third party conformity assessment 
body is free from any undue influence regarding its technical judgment.
    (b) The third party conformity assessment body must have the 
reassessment portion of the audit conducted by the same accreditation 
body that accredited the third party conformity assessment body. For 
example, if a third party conformity assessment body was accredited by 
an accreditation body named AB-1, then AB-1 would conduct the 
reassessment. If, however, the same third party conformity assessment 
body changes its accreditation so that it becomes accredited by a 
different accreditation body named AB-2, then AB-2 would conduct the 
reassessment.
    (c) The third party conformity assessment body must have the 
examination portion of the audit conducted by the CPSC. The examination 
portion of the audit will consist of resubmission of the ``Consumer 
Product Conformity Assessment Body Acceptance Registration Form'' (CPSC 
Form 223) by the third party conformity assessment body and the CPSC's 
examination of the resubmitted CPSC Form 223.
    (1) For ``firewalled'' conformity assessment bodies, the CPSC's 
examination may include verification to ensure that the ``firewalled'' 
conformity assessment body continues to meet the criteria set forth in 
section 14(f)(2)(D) of the CPSA.
    (2) For government-owned or government-controlled conformity 
assessment bodies, the CPSC's examination may include verification to 
ensure that the government-owned or government-controlled conformity 
assessment body continues to meet the criteria set forth in section 
14(f)(2)(B) of the CPSA.



Sec. 1112.35  When must an audit be conducted?

    (a) At a minimum, each third party conformity assessment body must 
be reassessed at the frequency established by its accreditation body.
    (b) For the examination portion of the audit, which is conducted by 
the CPSC:

[[Page 211]]

    (1) Each third party conformity assessment body must submit a CPSC 
Form 223 for audit purposes no less than every two years. When a CPSC 
Form 223 is submitted for audit purposes, the third party conformity 
assessment body must submit any accompanying documentation that would be 
required if it were a new application.
    (2) Under Sec. 1112.13(a)(1), a third party conformity assessment 
body must submit a new CPSC Form 223 whenever the information supplied 
on the form changes. In the event that the third party conformity 
assessment body submits a new CPSC Form 223 to provide updated 
information, the third party conformity assessment body may elect to 
have the new CPSC Form 223 satisfy the requirement of paragraph (b)(1) 
of this section. If the third party conformity assessment body intends 
to have the new CPSC Form 223 treated as its submission for audit 
purposes, the third party conformity assessment body must make that 
intention clear upon submission, and it must submit any accompanying 
documentation that would be required if it were a new application.
    (3) At least 30 days prior to the date by which a third party 
conformity assessment body must submit a CPSC Form 223 for audit 
purposes, the CPSC will notify the body in writing, which may be 
electronic, of the impending audit deadline. A third party conformity 
assessment body may request an extension of the deadline for the 
examination portion of the audit, but it must indicate how much 
additional time is requested and explain why such an extension is 
warranted. The CPSC will notify the third party conformity assessment 
body whether its request for an extension has been granted.

[77 FR 31084, May 24, 2012, as amended at 78 FR 15865, Mar. 12, 2013]



Sec. 1112.37  What must a third party conformity assessment body do
after an audit?

    (a) When the accreditation body presents its findings to the third 
party conformity assessment body, the third party conformity assessment 
body's quality manager must receive the findings and, if necessary, 
initiate corrective action in response to the findings.
    (b) The quality manager must prepare a resolution report identifying 
the corrective actions taken and any follow-up activities. If findings 
indicate that immediate corrective action is necessary, the quality 
manager must document that they notified the relevant parties within the 
third party conformity assessment body to take immediate corrective 
action and also document the action(s) taken.
    (c) If the accreditation body decides to reduce, suspend, or 
withdraw the third party conformity assessment body's accreditation, and 
the reduction, suspension, or withdrawal of accreditation is relevant to 
the third party conformity assessment body's activities pertaining to a 
CPSC regulation or test method, the quality manager must notify the 
CPSC. Such notification must be sent to the Assistant Executive 
Director, Office of Hazard Identification and Reduction, Consumer 
Product Safety Commission, 4330 East West Highway, Bethesda, MD 20814, 
within five business days of the accreditation body's notification to 
the third party conformity assessment body.
    (d) If the CPSC finds that the third party conformity assessment 
body no longer meets the conditions specified in CPSC Form 223, or in 
the relevant statutory provisions applicable to that third party 
conformity assessment body, the CPSC will notify the third party 
conformity assessment body, identify the condition or statutory 
provision that is no longer met, and specify a time by which the third 
party conformity assessment body shall notify the CPSC of the steps it 
intends to take to correct the deficiency, and indicate when it will 
complete such steps. The quality manager must document that they 
notified the relevant parties within the third party conformity 
assessment body to take corrective action and also document the 
action(s) taken.
    (e) If the third party conformity assessment body fails to remedy 
the deficiency in a timely fashion, the CPSC shall take whatever action 
it deems appropriate under the circumstances, up to and including 
withdrawing the

[[Page 212]]

CPSC's accreditation of the third party conformity assessment body or 
the CPSC's acceptance of the third party conformity assessment body's 
accreditation.



Sec. 1112.39  What records should a third party conformity assessment
body retain regarding an audit?

    A third party conformity assessment body must retain all records 
related to an audit that it receives from an accreditation body 
regarding a reassessment and all records pertaining to the third party 
conformity assessment body's resolution of, or plans for, resolving 
nonconformities identified through a reassessment by an accreditation 
body or through an examination by the CPSC. A third party conformity 
assessment body also must retain such records related to the last three 
reassessments (or however many reassessments have been conducted, if the 
third party conformity assessment body has been reassessed less than 
three times) and make such records available to the CPSC, upon request.



   Subpart D_Adverse Actions: Types, Grounds, Allegations, Procedural 
                      Requirements, and Publication

    Source: 78 FR 15865, Mar. 12, 2013, unless otherwise noted.



Sec. 1112.41  What are the possible adverse actions the CPSC may
take against a third party conformity assessment body?

    (a) Potential adverse actions against a third party conformity 
assessment body include:
    (1) Denial of Acceptance of Accreditation;
    (2) Suspension of Acceptance of Accreditation; or
    (3) Withdrawal of Acceptance of Accreditation.
    (b) Withdrawal of acceptance of accreditation can be on a temporary 
or permanent basis, and the CPSC may immediately withdraw its acceptance 
in accordance with Sec. 1112.53.



Sec. 1112.43  What are the grounds for denial of an application?

    (a) The CPSC may deny an application for any of the following 
reasons:
    (1) Failure to complete all information, and/or attestations, and/or 
failure to provide accompanying documentation, required in connection 
with an application within 30 days after notice of a deficiency by the 
CPSC;
    (2) Submission of false or misleading information concerning a 
material fact(s) on an application, any materials accompanying an 
application, or on any other information provided to the CPSC related to 
a third party conformity assessment body's ability to become or to 
remain a CPSC-accepted third party conformity assessment body; or
    (3) Failure to satisfy necessary requirements described in Sec. 
1112.13, such as ISO/IEC 17025:2005(E) accreditation by a ILAC-MRA 
signatory accreditation body for the CPSC scope for which acceptance of 
accreditation is being sought.
    (b) The CPSC's denial of an application will follow the process 
described in Sec. 1112.51.



Sec. 1112.45  What are the grounds for suspension of CPSC acceptance?

    (a) The CPSC may suspend its acceptance of a third party conformity 
assessment body's accreditation for any portion of its scope when the 
third party conformity assessment body fails to cooperate with an 
investigation under section 14 of the CPSA. A third party conformity 
assessment body ``fails to cooperate'' when it does not respond to CPSC 
inquiries or requests, or it responds in a manner that is unresponsive, 
evasive, deceptive, or substantially incomplete, or when it fails to 
cooperate with an investigatory inspection under Sec. 1112.27.
    (b) Suspension lasts until the third party conformity assessment 
body complies, to the satisfaction of the CPSC, with required actions, 
as outlined in the notice described in Sec. 1112.51(b), or until the 
CPSC withdraws its acceptance of the third party conformity assessment 
body.
    (c) If the CPSC determines that the third party conformity 
assessment body is cooperating sufficiently with

[[Page 213]]

the CPSC's investigation, the CPSC will lift the suspension. The 
suspension will lift as of the date of the CPSC's written notification 
to the third party conformity assessment body that the CPSC is lifting 
the suspension. The written notification may be by electronic mail.



Sec. 1112.47  What are the grounds for withdrawal of CPSC acceptance?

    (a) A manufacturer, private labeler, governmental entity, or other 
interested party has exerted undue influence on such third party 
conformity assessment body or otherwise interfered with or compromised 
the integrity of the testing process.
    (b) The third party conformity assessment body failed to comply with 
an applicable protocol, standard, or requirement under subpart C of this 
part.
    (c) The third party conformity assessment body failed to comply with 
any provision in subpart B of this part.



Sec. 1112.49  How may a person submit information alleging grounds
for adverse action, and what information should be submitted?

    (a) Initiating information. Any person may submit information to the 
Commission, such as by writing to the U.S. Consumer Product Safety 
Commission, 4330 East West Highway, Bethesda, MD 20814, or by sending 
electronic mail to: [email protected]. The submission must allege that 
one or more of the grounds for adverse action set forth in this part 
exists. Any request for confidentiality must be indicated clearly in the 
submission. The submission should include:
    (1) Contact information, including a name and/or a method by which 
the CPSC may contact the person providing the information;
    (2) Identification of the third party conformity assessment body 
against whom the allegation is being made, identification of any 
officials or employees of the third party conformity assessment body 
relevant to the allegation, and contact information for such 
individuals.
    (3) Identification of any manufacturers, distributors, importers, 
private labelers, and/or governmental entities relevant to the 
allegation. The submission also should identify any officials or 
employees of the manufacturers, distributors, importers, private 
labelers, or governmental entities relevant to the allegation, and 
contact information for such individuals.
    (4) Description of acts and/or omissions to support each asserted 
ground for adverse action. Generally, the submission should describe, in 
detail, the basis for the allegation that grounds for adverse action 
against a third party conformity assessment body exists. In addition to 
a description of the acts and omissions and their significance, a 
description may include: dates, times, persons, companies, governmental 
entities, locations, products, tests, test results, equipment, supplies, 
frequency of occurrence, and negative outcomes. When possible, the 
submission should attach documents, records, photographs, 
correspondence, notes, electronic mails, or any other information that 
supports the basis for the allegations;
    (5) Description of the impact of the acts and/or omissions, where 
known.
    (b) Review of initiating information. Upon receiving the 
information, the CPSC will review the information to determine if it is 
sufficient to warrant an investigation. The CPSC may deem the 
information insufficient to warrant an investigation if the information 
fails to address adequately the categories of information outlined in 
paragraph (a) of this section.



Sec. 1112.51  What are the procedures relevant to adverse actions?

    (a) Investigation. (1) Investigations under this part are 
investigations into grounds for an adverse action against a third party 
conformity assessment body.
    (2) The Commission will use its Procedures for Investigations, 
Inspections, and Inquiries, 16 CFR part 1118, subpart A, to investigate 
under this part.
    (3) An investigation under this part may include any act the CPSC 
takes to verify the accuracy, veracity, and/or completeness of 
information received in connection with an application for acceptance of 
accreditation, a submission alleging grounds for an adverse action, or 
any other information received by the CPSC that relates to a third

[[Page 214]]

party conformity assessment body's ability to become or remain a CPSC-
accepted third party conformity assessment body.
    (4) The CPSC will begin an investigation under this part by 
providing written notice, which may be electronic, to the third party 
conformity assessment body. The notice will inform the third party 
conformity assessment body that the CPSC has received information 
sufficient to warrant an investigation, and it will describe the 
information received by the CPSC and the CPSC's investigative process. 
The notice also will inform the third party conformity assessment body 
that failure to cooperate with a CPSC investigation is grounds for 
suspension under Sec. 1112.45.
    (5) The notice sent by the CPSC under Sec. 1112.35(b)(3) informing 
the third party conformity assessment body that it must submit a CPSC 
Form 223 for audit purposes, which may be electronic, constitutes notice 
of investigation for purposes of this section. The examination portion 
of an audit under Sec. 1112.33(c) constitutes an investigation for 
purposes of this section.
    (b) Initial notice. If, after investigation, the CPSC determines 
that grounds for adverse action exist and proposes to take an adverse 
action against a third party conformity assessment body, the CPSC will 
notify the third party conformity assessment body, in writing, which may 
be electronic, about the proposed adverse action. If the proposed 
adverse action is suspension or withdrawal, the notice formally begins a 
proceeding to suspend or withdraw, as described in section 14(e) of the 
CPSA. The notice will contain:
    (1) The proposed adverse action;
    (2) Specific grounds on which the proposed adverse action is based;
    (3) Findings of fact to support the proposed adverse action;
    (4) When appropriate, specific actions a third party conformity 
assessment body must take to avoid an adverse action;
    (5) When the proposed adverse action is withdrawal, consideration of 
the criteria set forth in paragraph (d)(1) of this section;
    (6) The time period by which a third party conformity assessment 
body has to respond to the notice. In general, the notice will inform 
the third party conformity assessment body that it has 30 calendar days 
to respond. A third party conformity assessment body may request an 
extension of the response time, but they must explain why such an 
extension is warranted and the amount of additional time needed for a 
response; and
    (7) Except under Sec. 1112.53, a CPSC-accepted third party 
conformity assessment body may continue to conduct tests for purposes of 
section 14 of the CPSA until a Final Notice of adverse action is issued.
    (c) Third party conformity assessment body response to initial 
notice. A third party conformity assessment body's response must be 
submitted in writing, in English, and may be in the form of electronic 
mail. The response may include, but is not limited to, an explanation or 
refutation of material facts upon which the Commission's proposed action 
is based, supported by documents or sworn affidavit; results of any 
internal review of the matter and action(s) taken as a result; or a 
detailed plan and schedule for an internal review. The written response 
must state the third party conformity assessment body's reasons why the 
ground(s) for adverse action does not exist, or why the CPSC should not 
pursue the proposed adverse action, or any portion of the proposed 
adverse action. If a third party conformity assessment body responds to 
the notice in a timely manner, the CPSC will review the response, and, 
if necessary, investigate further to explore or resolve issues bearing 
on whether grounds exist for adverse action and the nature of the 
proposed adverse action. If a third party conformity assessment body 
does not respond to the notice in a timely manner, the CPSC may proceed 
without further delay to a Final Notice, as described in paragraph (e) 
of this section.
    (d) Proceeding. (1) In any proceeding to withdraw the CPSC's 
acceptance of a third party conformity assessment body's accreditation, 
the CPSC will consider the gravity of the third party conformity 
assessment body's action or failure to act, including:

[[Page 215]]

    (i) Whether the action or failure to act resulted in injury, death, 
or the risk of injury or death;
    (ii) Whether the action or failure to act constitutes an isolated 
incident or represents a pattern or practice; and
    (iii) Whether and when the third party conformity assessment body 
initiated remedial action.
    (2) In all cases, the CPSC will review and take under advisement the 
response provided by the third party conformity assessment body. Except 
for cases under paragraph (d)(3) of this section, the CPSC will 
determine what action is appropriate under the circumstances.
    (3) If, after reviewing and taking under advisement the response 
provided by a CPSC-accepted firewalled third party conformity assessment 
body, the CPSC staff concludes that suspension or withdrawal of CPSC 
acceptance of accreditation is appropriate, staff will transmit its 
recommendation to the Commission for consideration. Any suspension or 
withdrawal of CPSC acceptance of accreditation of a firewalled third 
party conformity assessment body (including immediate and temporary 
withdrawal under Sec. 1112.53) will be by order of the Commission.
    (4) The CPSC may withdraw its acceptance of the accreditation of a 
third party conformity assessment body on a permanent or temporary 
basis.
    (5) If the CPSC withdraws its acceptance of the accreditation of a 
third party conformity assessment body, the CPSC may establish 
conditions for the reacceptance of the accreditation of the third party 
conformity assessment body, under section 14(e)(2)(B)(ii) of the CPSA. 
Any such conditions would be related to the reason(s) for the 
withdrawal.
    (e) Final notice. If, after reviewing a third party conformity 
assessment body's response to a notice and conducting additional 
investigation, where necessary, the CPSC determines that grounds for 
adverse action exist, it will send a Final Notice to the third party 
conformity assessment body, in writing, which may be electronic. The 
Final Notice will state:
    (1) The adverse action that the CPSC is taking;
    (2) Specific grounds on which the adverse action is based;
    (3) Findings of fact that support the adverse action;
    (4) When the adverse action is withdrawal, consideration of the 
criteria as set forth in paragraph (d)(1) of this section;
    (5) When the adverse action is withdrawal, whether the withdrawal is 
temporary or permanent, and if temporary, the duration of the 
withdrawal;
    (6) The third party conformity assessment body's accreditation is 
not accepted by the Commission as of the date of the Final Notice of 
denial, suspension, or withdrawal, for specified portion(s) of its CPSC 
scope. The CPSC Web site will be updated to reflect adverse actions to 
any previously CPSC-accepted third party conformity assessment bodies; 
and
    (7) Whether the third party conformity assessment body may submit a 
new application.
    (f) Possible actions after final notice. Upon receipt of a Final 
Notice, a third party conformity assessment body, as applicable, may:
    (1) If the Final Notice indicates such, the third party conformity 
assessment body may submit a new application; or
    (2) File an Administrative Appeal.
    (g) Administrative appeal. (1) Except for paragraph (g)(2) of this 
section, the third party conformity assessment body may file an 
Administrative Appeal with the Office of the Executive Director.
    (i) The Administrative Appeal must be sent, by mail, within 30 
calendar days of the date on the Final Notice to: the Office of the 
Executive Director, Room 812, U.S. Consumer Product Safety Commission, 
4330 East West Highway, Bethesda, MD 20814, or by electronic mail to: 
[email protected].
    (ii) All appeals must be in writing, and must be in English.
    (iii) All appeals must explain the nature and scope of the issues 
appealed from in the Final Decision, and must describe in detail the 
reasons why the third party conformity assessment body believes that no 
ground(s) for adverse action exist.
    (iv) If an Administrative Appeal is timely filed, the Executive 
Director will issue a Final Decision within 60

[[Page 216]]

calendar days of receipt. If the Executive Director's Final Decision 
requires more than 60 calendar days, he or she will notify the third 
party conformity assessment body that more time is required, state the 
reason(s) why more time is required, and, if feasible, include an 
estimated date for a Final Decision to be issued.
    (2) In the case that the Commission has suspended or withdrawn its 
acceptance of the accreditation of a firewalled third party conformity 
assessment body, the firewalled third party conformity assessment body 
may file an Administrative Appeal with the Commission.
    (i) The Administrative Appeal must be sent, by mail, within 30 
calendar days of the date on the Final Notice to: the Office of the 
Secretary, Room 820, U.S. Consumer Product Safety Commission, 4330 East 
West Highway, Bethesda, MD 20814, or by electronic mail to: cpsc-
[email protected].
    (ii) All appeals must be in writing, and must be in English.
    (iii) All appeals must explain the nature of the issues appealed 
from in the Final Decision, and must describe in detail the reasons why 
the third party conformity assessment body believes that no ground(s) 
for adverse action exist.



Sec. 1112.53  Can the CPSC immediately withdraw its acceptance of 
the accreditation of a third party conformity assessment body?

    (a) When it is in the public interest to protect health and safety, 
and notwithstanding any other provision of this part, the CPSC may 
withdraw immediately and temporarily its acceptance of a third party 
conformity assessment body's accreditation for any portion of its CPSC 
scope while the CPSC pursues an investigation and potential adverse 
action under Sec. 1112.51.
    (1) For purposes of this part, ``in the public interest to protect 
health and safety'' means that the CPSC has credible evidence that:
    (i) The integrity of test(s) being conducted under a scope for which 
the CPSC has accepted the third party conformity assessment body's 
accreditation, have been affected by undue influence or otherwise 
interfered with or compromised; and
    (ii) The scope for which the CPSC has accepted the third party 
conformity assessment body's accreditation involve a product(s) which, 
if noncompliant with CPSC rules, bans, standards, and/or regulations, 
constitutes an imminently hazardous consumer product under section 12 of 
the CPSA.
    (2) When presented with an allegation that, if credible, would 
result in immediate and temporary withdrawal of CPSC acceptance of a 
third party conformity assessment body's accreditation, the 
investigation and adverse action procedures described in Sec. 1112.51 
apply, except that instead of the timeframes described in Sec. 1112.51, 
the following timeframes will apply when the CPSC pursues immediate and 
temporary withdrawal:
    (i) The Initial Notice will generally inform the third party 
conformity assessment body that it has 7 calendar days to respond.
    (ii) An administrative appeal of a Final Notice of immediate and 
temporary withdrawal will be timely if filed within 7 calendar days of 
the date of the Final Notice.
    (b) If the third party conformity assessment body is already the 
subject of an investigation or adverse action process under Sec. 
1112.51, the immediate and temporary withdrawal will remain in effect 
until: the agency communicates in writing that the immediate and 
temporary withdrawal has been lifted; the investigation concludes and 
the agency does not propose an adverse action; or the adverse action 
process concludes with denial, suspension, or withdrawal.
    (c) If the third party conformity assessment body is not already the 
subject of an investigation or adverse action process under Sec. 
1112.51, an investigation under Sec. 1112.51(a) will be launched based 
on the same information that justified the immediate and temporary 
withdrawal.



Sec. 1112.55  Will the CPSC publish adverse actions?

    Immediately following a final adverse action, the CPSC may publish 
the fact of a final adverse action, the text of a final adverse action, 
or a summary

[[Page 217]]

of the substance of a final adverse action. After issuance of a final 
adverse action, the CPSC will amend its Web site listing of CPSC-
accepted third party conformity assessment bodies to reflect the nature 
and scope of such adverse action.



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 Compliance with product safety standards.
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.

   Subpart C_Guidelines and Requirements for Mandatory Recall Notices

1115.23 Purpose.
1115.24 Applicability.
1115.25 Definitions.
1115.26 Guidelines and policies.
1115.27 Recall notice content requirements.
1115.28 Multiple products or models.
1115.29 Final determination regarding form and content.

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 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

[[Page 218]]

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 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

[[Page 219]]

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 
obviousness of such risk; the adequacy of warnings and instructions to 
mitigate such risk; the role of consumer misuse of the product and the 
foreseeability of

[[Page 220]]

such misuse; the Commission's own experience and expertise; 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.

[43 FR 34998, Aug. 7, 1978, as amended at 71 FR 42030, July 25, 2006]



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

[[Page 221]]

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 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

[[Page 222]]

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 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. 1115.8  Compliance with product safety standards.

    (a) Voluntary standards. The CPSA and other federal statutes 
administered by the Commission generally encourage the private sector 
development of, and compliance with voluntary consumer product safety 
standards to help protect the public from unreasonable risks of injury 
associated with consumer products. To support the development of such 
consensus standards, Commission staff participates in many voluntary 
standards committees and other activities. The Commission also strongly 
encourages all firms to comply with voluntary consumer product safety 
standards and considers, where appropriate, compliance or non-compliance 
with such standards in exercising its authorities under the CPSA and 
other federal statutes, including when making determinations under 
section 15 of the CPSA. Thus, for example, whether a product is in 
compliance with applicable voluntary safety standards may be relevant to 
the Commission staff's preliminary determination of whether that product 
presents a substantial product hazard under section 15 of the CPSA.
    (b) Mandatory standards. The CPSA requires that firms comply with 
all applicable mandatory consumer product safety standards and to report 
to the Commission any products which do not comply with either mandatory 
standards or voluntary standards upon which the Commission has relied. 
As is the case with voluntary consumer product safety standards, 
compliance or non-compliance with applicable mandatory safety standards 
may be considered by the Commission and staff in making relevant 
determinations and exercising relevant authorities under the CPSA and 
other federal statutes. Thus, for example, while compliance with a 
relevant mandatory product safety standard does not, of itself, relieve 
a firm from the need to report to the Commission a product defect that 
creates a substantial product hazard under section 15 of the CPSA, it 
will be

[[Page 223]]

considered by staff in making the determination of whether and what type 
of corrective action may be required.

[71 FR 42030, July 25, 2006]



Sec. 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 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

[[Page 224]]

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 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:

[[Page 225]]

    (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 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. The Commission also recognizes that the 
number of products remaining with consumers is a relevant consideration.
    (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; 71 FR 42031, July 25, 2006]



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

[[Page 226]]

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 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

[[Page 227]]

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 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.

[[Page 228]]

    (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 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

[[Page 229]]

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 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

[[Page 230]]

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 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.

[[Page 231]]

    (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 
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:

[[Page 232]]

    (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)).
    (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).



   Subpart C_Guidelines and Requirements for Mandatory Recall Notices

    Source: 75 FR 3371, Jan. 21, 2010, unless otherwise noted.



Sec. 1115.23  Purpose.

    (a) The Commission establishes these guidelines and requirements for 
recall notices as required by section 15(i) of the Consumer Product 
Safety Act, as amended (CPSA) (15 U.S.C. 2064(i)). The guidelines and 
requirements set forth

[[Page 233]]

the information to be included in a notice required by an order under 
sections 12, 15(c), or 15(d) of the CPSA (15 U.S.C. 2061, 2064(c), or 
2064(d)). Unless otherwise ordered by the Commission under section 15(c) 
or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), or by a United States 
district court under section 12 of the CPSA (15 U.S.C. 2061), the 
content information required in this subpart must be included in every 
such notice.
    (b) The Commission establishes these guidelines and requirements to 
ensure that every recall notice effectively helps consumers and other 
persons to:
    (1) Identify the specific product to which the recall notice 
pertains;
    (2) Understand the product's actual or potential hazards to which 
the recall notice pertains, and information relating to such hazards; 
and
    (3) Understand all remedies available to consumers concerning the 
product to which the recall notice pertains.



Sec. 1115.24  Applicability.

    This subpart applies to manufacturers (including importers), 
retailers, and distributors of consumer products as those terms are 
defined herein and in the CPSA.



Sec. 1115.25  Definitions.

    In addition to the definitions given in section 3 of the CPSA (15 
U.S.C. 2052), the following definitions apply:
    (a) Recall means any one or more of the actions required by an order 
under sections 12, 15(c), or 15(d) of the CPSA (15 U.S.C. 2061, 2064(c), 
or 2064(d)).
    (b) Recall notice means a notification required by an order under 
sections 12, 15(c), or 15(d) of the CPSA (15 U.S.C. 2061, 2064(c), or 
2064(d)).
    (c) Direct recall notice means a notification required by an order 
under sections 12, 15(c), or 15(d) of the CPSA (15 U.S.C. 2061, 2064(c), 
or 2064(d)), that is sent directly to specifically-identified consumers.
    (d) Firm means a manufacturer (including an importer), retailer, or 
distributor as those terms are defined in the CPSA.
    (e) Other persons means, but is not limited to, consumer safety 
advocacy organizations, public interest groups, trade associations, 
industry advocacy organizations, other State, local, and Federal 
government agencies, and the media.



Sec. 1115.26  Guidelines and policies.

    (a) General. (1) A recall notice should provide sufficient 
information and motivation for consumers and other persons to identify 
the product and its actual or potential hazards, and to respond and take 
the stated action. A recall notice should clearly and concisely state 
the potential for injury or death.
    (2) A recall notice should be written in language designed for, and 
readily understood by, the targeted consumers or other persons. The 
language should be simple and should avoid or minimize the use of highly 
technical or legal terminology.
    (3) A recall notice should be targeted and tailored to the specific 
product and circumstances. In determining the form and content of a 
recall notice, the manner in which the product was advertised and 
marketed should be considered.
    (4) A direct recall notice is the most effective form of a recall 
notice.
    (5) At least two of the recall notice forms listed in subsection (b) 
should be used.
    (b) Form of recall notice--(1) Possible forms. A recall notice may 
be written, electronic, audio, visual, or in any other form ordered by 
the Commission in an order under section 15(c) or (d) of the CPSA (15 
U.S.C. 2064(c) or (d)), or by a United States district court under 
section 12 of the CPSA (15 U.S.C. 2061). The forms of, and means for 
communicating, recall notices include, but are not limited to:
    (i) Letter, Web site posting, electronic mail, RSS feed, or text 
message;
    (ii) Computer, radio, television, or other electronic transmission 
or medium;
    (iii) Video news release, press release, recall alert, Web stream, 
or other form of news release;
    (iv) Newspaper, magazine, catalog, or other publication; and
    (v) Advertisement, newsletter, and service bulletin.

[[Page 234]]

    (2) Direct recall notice. A direct recall notice should be used for 
each consumer for whom a firm has direct contact information, or when 
such information is obtainable, regardless of whether the information 
was collected for product registration, sales records, catalog orders, 
billing records, marketing purposes, warranty information, loyal 
purchaser clubs, or other such purposes. Direct contact information 
includes, but is not limited to, name and address, telephone number, and 
electronic mail address. Forms of direct recall notice include, but are 
not limited to, United States mail, electronic mail, and telephone 
calls. A direct recall notice should prominently show its importance 
over other consumer notices or mail by including ``Safety Recall'' or 
other appropriate terms in an electronic mail subject line, and, in 
large bold red typeface, on the front of an envelope and in the body of 
a recall notice.
    (3) Web site recall notice. A Web site recall notice should be on a 
Web site's first entry point such as a home page, should be clear and 
prominent, and should be interactive by permitting consumers and other 
persons to obtain recall information and request a remedy directly on 
the Web site.
    (c) Languages. Where the Commission for purposes of an order under 
section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), or a United 
States district court for purposes of an order under section 12 of the 
CPSA (15 U.S.C. 2061), determines that it is necessary or appropriate to 
adequately inform and protect the public, a recall notice may be 
required to be in languages in addition to English. For example, it may 
be necessary or appropriate to require a recall notice be in a language 
in addition to English when a product label is in a language in addition 
to English, when a product is marketed in a language in addition to 
English, or when a product is marketed or available in a geographic 
location where English is not the predominant language.



Sec. 1115.27  Recall notice content requirements.

    Except as provided in Sec. 1115.29, every recall notice must 
include the information set forth below:
    (a) Terms. A recall notice must include the word ``recall'' in the 
heading and text.
    (b) Date. A recall notice must include its date of release, 
issuance, posting, or publication.
    (c) Description of product. A recall notice must include a clear and 
concise statement of the information that will enable consumers and 
other persons to readily and accurately identify the specific product 
and distinguish it from similar products. The information must enable 
consumers to readily determine whether or not they have, or may be 
exposed to, the product. To the extent applicable to a product, 
descriptive information that must appear on a recall notice includes, 
but is not limited to:
    (1) The product's names, including informal and abbreviated names, 
by which consumers and other persons should know or recognize the 
product;
    (2) The product's intended or targeted use population (e.g., 
infants, children, or adults);
    (3) The product's colors and sizes;
    (4) The product's model numbers, serial numbers, date codes, stock 
keeping unit (SKU) numbers, and tracking labels, including their exact 
locations on the product;
    (5) Identification and exact locations of product tags, labels, and 
other identifying parts, and a statement of the specific identifying 
information found on each part; and
    (6) Product photographs. A firm must provide photographs. Each 
photograph must be electronic or digital, in color, of high resolution 
and quality, and in a format readily transferable with high quality to a 
Web site or other appropriate medium. As needed for effective 
notification, multiple photographs and photograph angles may be 
required.
    (d) Description of action being taken. A recall notice must contain 
a clear and concise statement of the actions that a firm is taking 
concerning the product. These actions may include, but are not limited 
to, one or more of the following: Stop sale and distribution in 
commerce; recall to the distributor, retailer, or consumer level; 
repair; request return and provide a replacement; and request return and 
provide a refund.

[[Page 235]]

    (e) Statement of number of product units. A recall notice must state 
the approximate number of product units covered by the recall, including 
all product units manufactured, imported, and/or distributed in 
commerce.
    (f) Description of substantial product hazard. A recall notice must 
contain a clear and concise description of the product's actual or 
potential hazards that result from the product condition or 
circumstances giving rise to the recall. The description must enable 
consumers and other persons to readily identify the reasons that a firm 
is conducting a recall. The description must also enable consumers and 
other persons to readily identify and understand the risks and potential 
injuries or deaths associated with the product conditions and 
circumstances giving rise to the recall. The description must include:
    (1) The product defect, fault, failure, flaw, and/or problem giving 
rise to the recall; and
    (2) The type of hazard or risk, including, by way of example only, 
burn, fall, choking, laceration, entrapment, and/or death.
    (g) Identification of recalling firm. A recall notice must identify 
the firm conducting the recall by stating the firm's legal name and 
commonly known trade name, and the city and state of its headquarters. 
The notice must state whether the recalling firm is a manufacturer 
(including importer), retailer, or distributor.
    (h) Identification of manufacturers. A recall notice must identify 
each manufacturer (including importer) of the product and the country of 
manufacture. Under the definition in section 3(a)(11) of the CPSA (15 
U.S.C. 2052(a)(11)), a manufacturer means ``any person who manufactures 
or imports a consumer product.'' If a product has been manufactured 
outside of the United States, a recall notice must identify the foreign 
manufacturer and the United States importer. A recall notice must 
identify the manufacturer by stating the manufacturer's legal name and 
the city and state of its headquarters, or, if a foreign manufacturer, 
the foreign manufacturer's legal name and the city and country of its 
headquarters.
    (i) Identification of significant retailers. A recall notice must 
identify each significant retailer of the product. A recall notice must 
identify such a retailer by stating the retailer's commonly known trade 
name. Under the definition in section 3(a)(13) of the CPSA (15 U.S.C. 
2052(a)(13)), a 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.'' A product's retailer is ``significant'' if, upon the 
Commission's information and belief, and in the sole discretion of the 
Commission for purposes of an order under section 15(c) or (d) of the 
CPSA (15 U.S.C. 2064(c) or (d)), or in the sole discretion of a United 
States district court for purposes of an order under section 12 of the 
CPSA (15 U.S.C. 2061), any one or more of the circumstances set forth 
below is present (the Commission may require manufacturers (including 
importers), retailers, and distributors to provide information relating 
to these circumstances):
    (1) The retailer was the exclusive retailer of the product;
    (2) The retailer was an importer of the product;
    (3) The retailer has stores nationwide or regionally-located;
    (4) The retailer sold, or held for purposes of sale or distribution 
in commerce, a significant number of the total manufactured, imported, 
or distributed units of the product; or
    (5) Identification of the retailer is in the public interest.
    (j) Region. Where necessary or appropriate to assist consumers in 
determining whether they have the product at issue, a description of the 
region where the product was sold, or held for purposes of sale or 
distribution in commerce, must be provided.
    (k) Dates of manufacture and sale. A recall notice must state the 
month and year in which the manufacture of the product began and ended, 
and the month and year in which the retail sales of the product began 
and ended. These dates must be included for each make and model of the 
product.
    (l) Price. A recall notice must state the approximate retail price 
or price range of the product.

[[Page 236]]

    (m) Description of incidents, injuries, and deaths. A recall notice 
must contain a clear and concise summary description of all incidents 
(including, but not limited to, property damage), injuries, and deaths 
associated with the product conditions or circumstances giving rise to 
the recall, as well as a statement of the number of such incidents, 
injuries, and deaths. The description must enable consumers and other 
persons to readily understand the nature and extent of the incidents and 
injuries. A recall notice must state the ages of all persons injured and 
killed. A recall notice must state the dates or range of dates on which 
the Commission received information about injuries and deaths.
    (n) Description of remedy. A recall notice must contain a clear and 
concise statement, readily understandable by consumers and other 
persons, of:
    (1) Each remedy available to a consumer for the product conditions 
or circumstances giving rise to the recall. Remedies include, but are 
not limited to, refunds, product repairs, product replacements, rebates, 
coupons, gifts, premiums, and other incentives.
    (2) All specific actions that a consumer must take to obtain each 
remedy, including, but not limited to, instructions on how to 
participate in the recall. These actions may include, but are not 
limited to, contacting a firm, removing the product from use, discarding 
the product, returning part or all of the product, or removing or 
disabling part of the product.
    (3) All specific information that a consumer needs in order to 
obtain each remedy and to obtain all information about each remedy. This 
information may include, but is not limited to, the following: 
Manufacturer, retailer, and distributor contact information (such as 
name, address, telephone and facsimile numbers, e-mail address, and Web 
site address); whether telephone calls will be toll-free or collect; and 
telephone number days and hours of operation including time zone.
    (o) Other information. A recall notice must contain such other 
information as the Commission for purposes of an order under section 
15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), or a United States 
district court for purposes of an order under section 12 of the CPSA (15 
U.S.C. 2061), deems appropriate and orders.



Sec. 1115.28  Multiple products or models.

    For each product or model covered by a recall notice, the notice 
must meet the requirements of this subpart.



Sec. 1115.29  Final determination regarding form and content.

    (a) Commission or court discretion. The recall notice content 
required by this subpart must be included in a recall notice whether or 
not the firm admits the existence of a defect or of an actual or 
potential hazard, and whether or not the firm concedes the accuracy or 
applicability of all of the information contained in the recall notice. 
The Commission will make the final determination as to the form and 
content of the recall notice for purposes of an order under section 
15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), and a United States 
district court will make the final determination as to the form and 
content of a recall notice for purposes of an order under section 12 of 
the CPSA (15 U.S.C. 2061).
    (b) Recall notice exceptions. The Commission for purposes of an 
order under section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), 
or a United States district court for purposes of an order under section 
12 of the CPSA (15 U.S.C. 2061), may determine that one or more of the 
recall notice requirements set forth in this subpart is not required, 
and will not be included, in a recall notice.
    (c) Commission approval. Before a firm may publish, broadcast, or 
otherwise disseminate a recall notice to be issued pursuant to an order 
under section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), the 
Commission must review and agree in writing to all aspects of the 
notice.



Sec. 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:

[[Page 237]]

    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;
    (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.


[[Page 238]]



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;
    (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)

[[Page 239]]

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.
    (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

[[Page 240]]

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 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

[[Page 241]]

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. 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

[[Page 242]]

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 
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

[[Page 243]]

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 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

[[Page 244]]

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 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;

[[Page 245]]

    (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.



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

[[Page 246]]

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 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,

[[Page 247]]

    (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 
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

[[Page 248]]

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: 15 U.S.C. 2063; 15 U.S.C. 2065; 15 U.S.C. 2068; 15 U.S.C. 
2076; sec. 3, Pub. L. 110-314, 122 Stat. 3016.

    Source: 44 FR 34929, June 18, 1979, 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.).
    (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.

[[Page 249]]



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 referred to as ``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, 
firewalled third party conformity assessment body, or establishment in 
which products are manufactured, tested, or held, in connection with 
distribution in commerce, or any conveyance being used to transport 
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, firewalled third 
party conformity assessment body, or establishment where products are 
manufactured, tested, held, or transported and that 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 
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 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, third party conformity assessment body'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.
    (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.

[[Page 250]]

    (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.

[44 FR 34929, June 18, 1979, as amended at 78 FR 15868, Mar. 12, 2013]



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 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.

[[Page 251]]



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 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

[[Page 252]]

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.
    (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.

[[Page 253]]



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 
Commission. 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 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

[[Page 254]]

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 
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

[[Page 255]]

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 1119_CIVIL PENALTY FACTORS--Table of Contents



Sec.
1119.1 Purpose.
1119.2 Applicability.
1119.3 Definitions.
1119.4 Factors considered in determining civil penalties.
1119.5 Enforcement notification.

    Authority: 15 U.S.C. 2058, 2063, 2064, 2067(b), 2068, 2069, 2076(e), 
2084, 1261, 1263, 1264, 1270, 1273, 1278, 1191, 1192, 1193, 1194, 1195, 
1196.

    Source: 75 FR 15998, Mar. 31, 2010, unless otherwise noted.



Sec. 1119.1  Purpose.

    This part sets forth the Consumer Product Safety Commission's 
(Commission) interpretation of the statutory factors considered in 
determining the amount of civil penalties that the Commission may seek 
or compromise. The policies behind, and purposes of, civil penalties 
include the following: Deterring violations; providing just punishment; 
promoting respect for the law; promoting full compliance with the law; 
reflecting the seriousness of the violation; and protecting the public.



Sec. 1119.2  Applicability.

    This part applies to all civil penalty determinations the Commission 
may seek or compromise under the Consumer Product Safety Act (CPSA) (15 
U.S.C. 2051-2089), the Federal Hazardous Substances Act (FHSA) (15 
U.S.C. 1261-1278), and the Flammable Fabrics Act (FFA) (15 U.S.C. 1191-
1204). Any person who knowingly violates section 19 of the CPSA, section 
4 of the FHSA, or section 5(e) of the FFA, is subject to a civil 
penalty.



Sec. 1119.3  Definitions.

    For purposes of this rule, the following definitions apply:
    (a) Product defect means a defect as referenced in the CPSA and 
defined in Commission regulations at 16 CFR 1115.4.
    (b) Violation means a violation committed knowingly, as the term 
``knowingly'' is defined in section 19 of the CPSA, section 4 of the 
FHSA, or section 5 of the FFA.
    (c) Person means any manufacturer (including importer), distributor, 
or retailer, as those terms are defined in the CPSA, FHSA, or FFA, and 
any other legally responsible party.



Sec. 1119.4  Factors considered in determining civil penalties.

    (a) Statutory Factors. (1) Section 20(b) of the CPSA, section 
5(c)(3) of the FHSA, and section 5(e)(2) of the FFA, specify factors 
considered by the Commission in determining the amount of a civil 
penalty to be sought upon commencing an action for knowing violations of 
each act. These factors are:
    (i) CPSA (15 U.S.C. 2069(b)). The nature, circumstances, extent, and 
gravity of the violation, including:
    (A) The nature of the product defect;
    (B) The severity of the risk of injury;
    (C) The occurrence or absence of injury;
    (D) The number of defective products distributed;
    (E) The appropriateness of such penalty in relation to the size of 
the business of the person charged, including how to mitigate undue 
adverse economic impacts on small businesses; and
    (F) Such other factors as appropriate.
    (ii) FHSA (15 U.S.C. 1264 (c)(3)). The nature, circumstances, 
extent, and gravity of the violation, including:
    (A) The nature of the substance;
    (B) Severity of the risk of injury;
    (C) The occurrence or absence of injury;
    (D) The amount of substance distributed;

[[Page 256]]

    (E) The appropriateness of such penalty in relation to the size of 
the business of the person charged, including how to mitigate undue 
adverse economic impacts on small businesses; and
    (F) Such other factors as appropriate.
    (iii) FFA (15 U.S.C. 1194 (e)(2)). The nature, circumstances, 
extent, and gravity of the violations:
    (A) The severity of the risk of injury;
    (B) The occurrence or absence of injury;
    (C) The appropriateness of such penalty in relation to the size of 
the business of the person charged; and
    (D) Such other factors as appropriate.
    (2) The nature, circumstances, extent, and gravity of the violation. 
Under this factor, the Commission will consider the totality of the 
circumstances and all other facts concerning a violation. The Commission 
will consider the enumerated statutory factors, as well as the factors 
described in paragraph (b) of this section.
    (3) Nature of the product defect. The Commission will consider the 
nature of the product defect associated with a CPSA violation. This 
consideration will include, for example, whether the defect arises from 
the product's design, composition, contents, construction, manufacture, 
packaging, warnings, or instructions, and will include consideration of 
conditions or circumstances in which the defect arises. The Commission 
will also consider the nature of the substance associated with an FHSA 
violation. Two of the statutory factors in the CPSA civil penalty 
factors include the terms ``product defect'' or ``defective products.'' 
However, certain violations of the CPSA, for example, failing to supply 
a required certificate that the product complies with an applicable 
consumer product safety rule, do not necessarily require that there be a 
product defect or defective product. The terms ``product defect'' or 
``defective products'' would not apply to such situation. In such cases, 
however, the other civil penalty factors would still be considered.
    (4) Severity of the risk of injury. Consistent with its discussion 
of severity of the risk at 16 CFR 1115.12, the Commission will consider, 
among other factors, the potential for serious injury, illness, or death 
(and whether any injury or illness required medical treatment including 
hospitalization or surgery); the likelihood of injury; the intended or 
reasonably foreseeable use or misuse of the product; and the population 
at risk (including vulnerable populations such as children, the elderly, 
or those with disabilities).
    (5) The occurrence or absence of injury. The Commission will 
consider whether injuries, illnesses, or deaths have or have not 
occurred with respect to any product or substance associated with a 
violation, and, if so, the number and nature of injuries, illnesses, or 
deaths. Both acute illnesses and the likelihood of chronic illnesses 
will be considered.
    (6) The number of defective products distributed. The Commission 
will consider the number of defective products or amount of substance 
distributed in commerce. The statutory language makes no distinction 
between those defective products distributed in commerce that consumers 
received and those defective products distributed in commerce that 
consumers have not received. Therefore both could be considered in 
appropriate cases. This factor will not be used to penalize a person's 
decision to conduct a wider-than-necessary recall out of an abundance of 
caution. This would not include situations where such a recall is 
conducted due to a person's uncertainty concerning how many or which 
products may need to be recalled.
    (7) The appropriateness of such penalty in relation to the size of 
the business of the person charged, including how to mitigate undue 
adverse economic impacts on small businesses.
    (i) The Commission is required to consider the size of the business 
of the person charged in relation to the amount of the penalty. This 
factor reflects the relationship between the size of a business and the 
policies behind, and purposes of, a penalty (as noted above in Sec. 
1119.1). In considering business size, the Commission may look to 
several factors including, but not limited to, the number of employees, 
net worth, and annual sales. A business's size and a business's ability 
to pay a penalty are separate considerations. In

[[Page 257]]

some cases for small businesses, however, these two considerations may 
relate to each other. The Commission will be guided, where appropriate, 
by relevant financial factors to determine a small business's ability to 
pay a penalty, including, but not limited to, liquidity, solvency, and 
profitability. The burden to present clear, reliable, relevant, and 
sufficient evidence relating to a business's size and ability to pay 
rests on the business.
    (ii) The statute requires the Commission to consider how to mitigate 
the adverse economic impacts on small businesses only if those impacts 
would be undue. What the Commission considers in determining what is 
undue may include, but is not limited to, the business's size and 
financial factors relating to its ability to pay. When considering how 
to mitigate undue adverse economic impacts, the Commission will, as 
appropriate, also follow its Small Business Enforcement Policy set forth 
at Sec. 1020.5.
    (b) Other factors as appropriate. In determining the amount of any 
civil penalty to be sought for a violation of the CPSA, FHSA, or FFA, 
the Commission may consider, as appropriate, such other factors in 
addition to those listed in the statutes. Both the Commission and a 
person may raise any factors they believe are relevant in determining an 
appropriate penalty amount. A person will be notified of any factors 
beyond those enumerated in the statutes that the Commission relies on as 
aggravating factors for purposes of determining a civil penalty amount. 
Additional factors that may be considered in a case include, but are not 
limited to, the following:
    (1) Safety/compliance program and/or system relating to a violation. 
The Commission may consider, when a safety/compliance program and/or 
system as established is relevant to a violation, whether a person had 
at the time of the violation a reasonable and effective program or 
system for collecting and analyzing information related to safety 
issues. Examples of such information would include incident reports, 
lawsuits, warranty claims, and safety-related issues related to repairs 
or returns. The Commission may also consider whether a person conducted 
adequate and relevant premarket and production testing of the product at 
issue; had a program in place for continued compliance with all relevant 
mandatory and voluntary safety standards; and other factors as the 
Commission deems appropriate. The burden to present clear, reliable, 
relevant, and sufficient evidence of such program, system, or testing 
rests on the person seeking consideration of this factor.
    (2) History of noncompliance. The Commission may consider whether or 
not a person's history of noncompliance with the CPSA, FHSA, FFA, and 
other laws that the CPSC enforces, and the regulations thereunder, 
should increase the amount of the penalty. A person's history of 
noncompliance may be indicated by, for example, multiple violations of 
one or more laws or regulations that the CPSC enforces, including 
repeated violations of the same law or regulation. History of 
noncompliance may include the number of previous violations or how 
recently a previous violation occurred.
    (3) Economic gain from noncompliance. The Commission may consider 
whether a person benefitted economically from a failure to comply, 
including a delay in complying, with the CPSA, FHSA, FFA, and other laws 
that the CPSC enforces, and the regulations thereunder.
    (4) Failure to respond in a timely and complete fashion to the 
Commission's requests for information or remedial action. The Commission 
may consider whether a person's failure to respond in a timely and 
complete fashion to requests from the Commission for information or for 
remedial action should increase a penalty. This factor is intended to 
address a person's dilatory and egregious conduct in responding to 
written requests for information or remedial action sought by the 
Commission, but not to impede any person's lawful rights.



Sec. 1119.5  Enforcement notification.

    A person will be informed in writing if it is believed that the 
person has violated the law and if the Commission intends to seek a 
civil penalty. Any person who receives such a writing will have an 
opportunity to submit evidence and arguments that it should not

[[Page 258]]

pay a penalty or should not pay a penalty in the amount sought by the 
Commission.



PART 1120_SUBSTANTIAL PRODUCT HAZARD LIST--Table of Contents



Sec.
1120.1 Authority.
1120.2 Definitions.
1120.3 Products deemed to be substantial product hazards.
1120.4 Standards incorporated by reference.

    Authority: 15 U.S.C. 2064(j).

    Source: 76 FR 37640, June 28, 2011, unless otherwise noted.



Sec. 1120.1  Authority.

    Under the authority of section 15(j) of the Consumer Product Safety 
Act (CPSA), the Commission determines that consumer products or classes 
of consumer products listed in Sec. 1120.3 of this part have 
characteristics whose existence or absence present a substantial product 
hazard under section 15(a)(2) of the CPSA. The Commission has determined 
that the listed products have characteristics that are readily 
observable and have been addressed by a voluntary standard, that the 
voluntary standard has been effective, and that there is substantial 
compliance with the voluntary standard. The listed products are subject 
to the reporting requirements of section 15(b) of the CPSA and to the 
recall provisions of section 15(c) and (d) of the CPSA, and shall be 
refused entry into the United States under section 17(a)(4) of the CPSA.



Sec. 1120.2  Definitions.

    The definitions in section 3 of the Consumer Product Safety Act (15 
U.S.C. 2052) apply to this part 1120.
    (a) Substantial product hazard means 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) Hand-supported hair dryer means an electrical appliance, 
intended to be held with one hand during use, which creates a flow of 
air over or through a self-contained heating element for the purpose of 
drying hair.
    (c) Drawstring means a non-retractable cord, ribbon, or tape of any 
material to pull together parts of upper outerwear to provide for 
closure.
    (d) Seasonal and decorative lighting product means portable, plug-
connected, temporary-use lighting products and accessories that have a 
nominal 120 volt input voltage rating. Lighting products within the 
scope of the rule are factory-assembled with push-in, midget- or 
miniature-screw base lampholders connected in series or with candelabra- 
or intermediate-screw base lampholders connected in parallel, directly 
across the 120 volt input. Such lighting products include lighted 
decorative outfits, such as stars, wreathes, candles without shades, 
light sculptures, blow-molded (plastic) figures, and animated figures. 
Lighting products outside the scope of the rule include: Battery-
operated products; solar-powered products; products that operate from a 
transformer or low-voltage power supply; flexible lighting products 
incorporating non-replaceable series and series/parallel connected lamps 
enclosed within a flexible polymeric tube or extrusion; and portable 
electric lamps that are used to illuminate seasonal decorations.
    (e) Extension cord (also known as a cord set) means a length of 
factory-assembled flexible cord with an attachment plug or current tap 
as a line fitting and with a cord connector as a load fitting. Extension 
cords are used for extending a branch circuit supply of an electrical 
outlet to the power-supply cord of a portable appliance, in accordance 
with the National Electrical Code.[supreg] For purposes of this rule, 
the term applies to extension cords that are equipped with National 
Electrical Manufacturer Association (``NEMA'') 1-15, 5-15 and 5-20 
fittings, and that are intended for indoor use only, or for both indoor 
and outdoor use. The term ``extension cord'' does not include detachable 
power supply cords, appliance cords, power strips and taps, and adaptor 
cords supplied with outdoor tools and yard equipment.

[76 FR 37640, June 28, 2011, as amended at 76 FR 42507, July 19, 2011; 
80 FR 25226, May 4, 2015; 80 FR 44269, July 27, 2015]

[[Page 259]]



Sec. 1120.3  Products deemed to be substantial product hazards.

    The following products or class of products shall be deemed to be 
substantial product hazards under section 15(a)(2) of the CPSA:
    (a) Hand-supported hair dryers that do not provide integral 
immersion protection in compliance with the requirements of section 5 of 
UL 859, or section 6 of UL 1727 (incorporated by reference, see Sec. 
1120.4).
    (b)(1) Children's upper outerwear in sizes 2T to 16 or the 
equivalent, and having one or more drawstrings, that is subject to, but 
not in conformance with, the requirements of ASTM F 1816-97 
(incorporated by reference, see Sec. 1120.4).
    (2) At its option, the Commission may use one or more of the 
following methods to determine what sizes of children's upper outerwear 
are equivalent to sizes 2T to 16:
    (i) Garments in girls' size Large (L) and boys' size Large (L) are 
equivalent to girls' or boys' size 12, respectively. Garments in girls' 
and boys' sizes smaller than Large (L), including Extra-Small (XS), 
Small (S), and Medium (M), are equivalent to sizes smaller than size 12. 
The fact that an item of children's upper outerwear with a hood and neck 
drawstring is labeled as being larger than a size Large (L) does not 
necessarily mean that the item is not equivalent to a size in the range 
of 2T to 12.
    (ii) Garments in girls' size Extra-Large (XL) and boys' size Extra-
Large (XL) are equivalent to size 16. The fact that an item of 
children's upper outerwear with a waist or bottom drawstring is labeled 
as being larger than size Extra-Large (XL) does not necessarily mean 
that the item is not equivalent to a size in the range of 2T to 16.
    (iii) In cases where garment labels give a range of sizes, if the 
range includes any size that is subject to a requirement in ASTM F 1816-
97, the garment will be considered subject, even if other sizes in the 
stated range, taken alone, would not be subject to the requirement. For 
example, a coat sized 12 through 14 remains subject to the prohibition 
of hood and neck area drawstrings, even though this requirement of ASTM 
F 1816-97 only applies to garments up to size 12. A coat size 13 through 
15 would not be considered within the scope of ASTM F 1816-97's 
prohibition of neck and hood drawstrings, but would be subject to the 
requirements for waist or bottom drawstrings.
    (iv) To fall within the scope of paragraphs (b)(2)(i) through 
(2)(iii) of this section, a garment need not state anywhere on it, or on 
its tags, labels, package, or any other materials accompanying it, the 
term ``girls,'' the term ``boys,'' or whether the garment is designed or 
intended for girls or boys.
    (v) The Commission may use any other evidence that would tend to 
show that an item of children's upper outerwear is a size that is 
equivalent to sizes 2T to 16.
    (c) Seasonal and decorative lighting products that lack one or more 
of the following characteristics in conformance with requirements in 
sections 6, 7, 15, 71, 79, and SB15 of UL 588 (incorporated by 
reference, see Sec. 1120.4):
    (1) Minimum wire size requirements in section 6 of UL 588;
    (2) Sufficient strain relief requirements in sections 15, 71, 79, 
and SB15 of UL 588; or
    (3) Overcurrent protection requirements in section 7 of UL 588.
    (d) Extension cords that lack one or more of the following specified 
characteristics in conformance with requirements in sections 2, 9, 16, 
19, 20, 21, 26, 30, 31, 32, 84, and 105 of UL 817 (incorporated by 
reference, see Sec. 1120.4):
    (1) Minimum wire size requirement in sections 2, 20, 21, and 30 of 
UL 817;
    (2) Sufficient strain relief requirement in sections 20, 30, and 84 
of UL 817;
    (3) Proper polarization requirement in sections 9, 19, 20, 30, 31, 
and 32 of UL 817;
    (4) Proper continuity requirement in sections 16, 20, 30, and 105 of 
UL 817;
    (5) Outlet cover requirement (for indoor 2-wire parallel extension 
cords with polarized parallel-blade and -slot fittings) in sections 20 
and 26 of UL 817; or

[[Page 260]]

    (6) Jacketed cord requirement (for outdoor use extension cords) in 
section 30 of UL 817.

[76 FR 37640, June 28, 2011, as amended at 76 FR 42507, July 19, 2011; 
80 FR 25226, May 4, 2015; 80 FR 44269, July 27, 2015]



Sec. 1120.4  Standards incorporated by reference.

    (a) The standards required in this part are incorporated by 
reference (``IBR'') into this section with the approval of the Director 
of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. You may 
inspect all approved material at the Office of the Secretary, U.S. 
Consumer Product Safety Commission, Room 820, 4330 East West Highway, 
Bethesda, MD 20814, telephone 301-504-7923, or at the National Archives 
and Records Administration (``NARA''). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal-register/cfr/ibr-locations.html.
    (b) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West 
Conshohocken, PA 19428-2959 USA, telephone: 610-832-9585; http://
www2.astm.org/.
    (1) ASTM F 1816-97, Standard Safety Specification for Drawstrings on 
Children's Upper Outerwear, approved June 10, 1997, published August 
1998 (``ASTM F 1816-97''), IBR approved for Sec. 1120.3(b).
    (2) [Reserved]
    (c) Underwriters Laboratories, Inc (``UL''), 333 Pfingsten Road, 
Northbrook, IL 60062 or through UL's Web site: www.UL.com.
    (1) UL 588, Standard for Safety for Seasonal and Holiday Decorative 
Products, 18th Edition, approved August 21, 2000 (``UL 588''), IBR 
approved for Sec. 1120.3(c).
    (2) UL 859, Standard for Safety for Household Electric Personal 
Grooming Appliances, 10th Edition, approved August 30, 2002, and revised 
through June 3, 2010 (``UL 859''), IBR approved for Sec. 1120.3(a).
    (3) UL 1727, Standard for Safety for Commercial Electric Personal 
Grooming Appliances, 4th Edition, approved March 25, 1999, and revised 
through June 25, 2010 (``UL 1727''), IBR approved for Sec. 1120.3(a).
    (4) UL 817, Standard for Cord Sets and Power-Supply Cords, 11th 
Edition, dated March 16, 2001, as revised through February 3, 2014 (``UL 
817''), IBR approved for Sec. 1120.3(d).

[80 FR 25226, May 4, 2015, as amended at 80 FR 44269, July 27, 2015]



PART 1130_REQUIREMENTS FOR CONSUMER REGISTRATION OF DURABLE INFANT
OR TODDLER PRODUCTS--Table of Contents



Sec.
1130.1 Purpose, scope and effective date.
1130.2 Definitions.
1130.3 General requirements.
1130.4 Identification on the product.
1130.5 Requirements for registration form.
1130.6 Requirements for format and text of registration forms.
1130.7 Requirements for website registration or alternative email 
          registration.
1130.8 Recordkeeping and notification requirements.

Figure 1 to Part 1130--Front of Registration Form
Figure 2 to Part 1130--Back of Registration Form

    Authority: 15 U.S.C. 2056a, 2065(b).

    Source: 74 FR 68676, Dec. 29, 2009, unless otherwise noted.



Sec. 1130.1  Purpose, scope, and effective date.

    (a) Purpose. This part prescribes a consumer product safety rule 
establishing requirements for consumer registration of durable infant or 
toddler products. These requirements are intended to improve the 
effectiveness of recalls of, and safety alerts regarding, such products.
    (b) Scope. Part 1130 applies to manufacturers, including importers, 
of durable infant or toddler products, as defined in Sec. 1130.2(a). It 
does not apply to infant or child restraint systems intended for use in 
automobiles that are covered by the registration program of the National 
Highway Traffic and Safety Administration (NHTSA) at 49 CFR 571.213, or 
to products that comprise a travel system, and are sold with a child 
restraint system that is covered by the NHTSA registration program at 49 
CFR 571.213.
    (c) Compliance Date. Compliance with this part 1130 shall be 
required on June 28, 2010 for the following products: full-size cribs 
and nonfull-size cribs; toddler

[[Page 261]]

beds; high chairs, booster chairs, and hook-on chairs; bath seats; gates 
and other enclosures for confining a child; play yards; stationary 
activity centers; infant carriers; strollers; walkers; swings; and 
bassinets and cradles. Compliance with this part 1130 shall be required 
on December 29, 2010 for the following products: Children's folding 
chairs, changing tables, infant bouncers, infant bath tubs, bed rails 
and infant slings. The rule shall apply to durable infant or toddler 
products, as defined in Sec. 1130.2(a), that are manufactured on or 
after those dates.



Sec. 1130.2  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:
    (a) Durable infant or toddler product means the following products, 
including combinations thereof:
    (1) Full-size cribs and non-full-size cribs;
    (2) Toddler beds;
    (3) High chairs, booster seats, and hook-on chairs;
    (4) Bath seats;
    (5) Gates and other enclosures for confining a child;
    (6) Play yards;
    (7) Stationary activity centers;
    (8) Infant carriers;
    (9) Strollers;
    (10) Walkers;
    (11) Swings; and
    (12) Bassinets and cradles;
    (13) Children's folding chairs;
    (14) Changing tables;
    (15) Infant bouncers;
    (16) Infant bathtubs;
    (17) Bed rails;
    (18) Infant slings.
    (b) Manufacturer, for purposes of this part, in the case of a 
product produced within the United States, means the domestic 
manufacturer of the product, and in the case of an imported product, 
means the importer of the product.
    (c) Product recall means action taken pursuant to sections 12, 15(c) 
or 15(d) of the CPSA (15 U.S.C. 2061, 2054(c), or 2064(d)), and action 
taken pursuant to a corrective action plan implemented by a company in 
cooperation with the Commission, where the firm is conducting one or 
more of the following: repair of the product; replacement of the 
product; or refund of the purchase price of the product.
    (d) Safety alert means notice or warning of a potential problem with 
an individual product or class of products so that consumers and other 
users of the affected products respond accordingly to reduce or 
eliminate the potential for injury.

    Effective Date Note: At 82 FR 59511, Dec. 15, 2017, Sec. 1130.2 was 
amended by revising paragraph (a)(13), effective June 15, 2018. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 1130.2  Definitions.

                                * * * * *

    (a) * * *
    (13) Children's folding chairs and stools;

                                * * * * *



Sec. 1130.3  General requirements.

    (a) Each manufacturer of a durable infant or toddler product shall:
    (1) Provide consumers with a postage-paid consumer registration form 
that meets the requirements of this part 1130 with each such product;
    (2) Maintain a record in accordance with the requirements set forth 
in Sec. 1130.8 of the contact information (names, addresses, e-mail 
addresses, and telephone numbers) of consumers who register their 
products with the manufacturer under this part 1130;
    (3) Permanently place the manufacturer name and contact information, 
model name and number, and the date of manufacture on each durable 
infant or toddler product in accordance with the requirements set forth 
in Sec. 1130.4.
    (b) Consumer information collected by a manufacturer pursuant to the 
requirements of this part 1130 shall not be used by the manufacturer, 
nor disseminated by the manufacturer to any other party, for any purpose 
other than notification to such consumer in the event of a product 
recall or safety alert.

[74 FR 68676, Dec. 29, 2009, as amended at 77 FR 9524, Feb. 17, 2012]

[[Page 262]]



Sec. 1130.4  Identification on the product.

    (a) Each durable infant or toddler product shall be permanently 
marked with the manufacturer name, and contact information (U.S. address 
and telephone number, toll free if available) model name and number, and 
date of manufacture.
    (1) If the manufacturer regularly uses only a model name or a model 
number, but not both, to identify the product, he/she may provide only 
the model name or number rather than creating a model name or number for 
the sole purpose of this part 1130.
    (2) If the manufacturer regularly identifies the product by a 
product identification number (``PIN'') or other similar identifying 
number rather than a model number, he/she may provide that identifying 
number instead of a model number.
    (3) The date referred to in paragraph (a) of this section shall 
include the month and year of manufacture and can be stated in code.
    (4) A permanent mark is one that can reasonably be expected to 
remain on the product during the useful life of the product.
    (b) The information required by this section shall be in English, 
legible, and in a location that is conspicuous to the consumer.
    (c) The information required by this section may be combined with 
other information marked on the product.



Sec. 1130.5  Requirements for registration forms.

    The registration form required under Sec. 1130.3(a)(1) shall:
    (a) Comply with the format and text requirements set forth in Sec. 
1130.6 as shown in figures 1 and 2 of this part;
    (b) State all information required by this part 1130 in the English 
language;
    (c) Be attached to the surface of each durable infant or toddler 
product so that, as a practical matter, the consumer must notice and 
handle the form after purchasing the product;
    (d) Include the manufacturer's name, model name and number for the 
product, and the date of manufacture;
    (e) Include an option for consumers to register through the 
Internet;
    (f) Include the statement required in Sec. 1130.6(c)(1) that 
information provided by the consumer shall not be used for any purpose 
other than to facilitate a recall of or safety alert regarding that 
product.

[74 FR 68676, Dec. 29, 2009, as amended at 77 FR 9524, Feb. 17, 2012]



Sec. 1130.6  Requirements for format and text of registration forms.

    (a) Size of form. The form shall be at least the size of two 
standard post cards, connected with perforation for later separation, so 
that each of the two portions is at least 3\1/2\ inches high x 5 inches 
wide x 0.007 inches thick.
    (b) Layout of form--(1) General. The form shall consist of four 
parts: top and bottom, divided by perforations for easy separation, and 
front and back.
    (2) Font size and typeface. The registration form shall use bold 
black typeface. The size of the type shall be at least 0.12 in (3.0 mm) 
for the purpose statement required in paragraph (c)(1) of this section, 
and no less than 0.10 in (2.5 mm) for the other information in the 
registration form. The title of the purpose statement and the retention 
statement required in paragraph (d)(2) of this section shall be in all 
capitals. All other information shall be in capital and lowercase type.
    (c) Front of form--(1) Top front of form: Purpose statement. The top 
portion of the front of each form shall state: ``PRODUCT REGISTRATION 
FOR SAFETY ALERT OR RECALL ONLY. We will use the information provided on 
this card to contact you only if there is a safety alert or recall for 
this product. We will not sell, rent, or share your personal 
information. To register your product, please complete and mail the 
bottom part of this card, or visit our online registration at: www.Web 
sitename.com.'' Manufacturers that do not have a Web site may provide an 
email address and state at the end of the purpose statement: ``To 
register your product, please complete and mail the bottom part of this 
card, or email your contact information, the model name and number, and 
date of manufacture of the product, as provided on this card, to: 
[email protected].''
    (2) Bottom front of form: Manufacturer's mailing address. The bottom 
portion of the front of each form shall be pre-addressed and postage-
paid with the

[[Page 263]]

manufacturer's name and mailing address where registration information 
is to be collected. A manufacturer may list a brand name in addition to 
the manufacturer's name. If a manufacturer uses a third party to process 
registration forms, the third party's name may be included as a ``c/o'' 
(``in care of'') in the address on the form.
    (d) Back of the form--(1) Top back of form--(i) Product information 
and manufacturer's identification. The top portion of the back of each 
form shall state: ``Manufacturer's Contact Information'' and provide the 
manufacturer's name and contact information (a U.S. mailing address 
displayed in sentence format, Web site address, a telephone number, 
toll-free, if available); product model name and number (or other 
identifier as described in Sec. 1130.4(a)(1) and (2)); and manufacture 
date of the product. A rectangular box shall be placed around the model 
name, model number, and manufacture date. A manufacturer may list the 
brand name in addition to the manufacturer's name.
    (ii) Retention statement. On the back of each form, just above the 
perforation line, the form shall state: ``KEEP THIS TOP PART FOR YOUR 
RECORDS. FILL OUT AND RETURN BOTTOM PART.''
    (2) Bottom back of form--(i) Consumer information. The bottom 
portion of the back of each form shall have blocks for the consumer to 
provide his/her name, address, telephone number, and email address. 
These blocks shall be 5 mm wide and 7 mm high, with as many blocks as 
possible to fill the width of the card allowing for normal printing 
practices.
    (ii) Product information. The following product information shall be 
provided on the bottom portion of the back of each form below the blocks 
for consumer information printed directly on the form or on a pre-
printed label that is applied to the form: the model name and number (or 
other identifier as described in Sec. 1130.4(a)(1) and (2)), and the 
date of manufacture of the product. A rectangular box shall be placed 
around the model name, model number, and manufacture date. A 
manufacturer may include its name on the bottom portion of the back of 
the form if they choose to do so.

[77 FR 9524, Feb. 17, 2012]



Sec. 1130.7  Requirements for Web site registration or alternative
e-mail registration.

    (a) Link to registration page. The manufacturer's Web site, or other 
Web site established for the purpose of registration under this part 
1130, shall be designed with a link clearly identified on the main web 
page that goes directly to ``Product Registration.''
    (b) Purpose statement. The registration page shall have the 
following statement at the top of the page: ``PRODUCT REGISTRATION FOR 
SAFETY ALERT OR RECALL ONLY. We will use the information provided on 
this page only to contact you if there is a safety alert or recall for 
this product. We will not sell, rent, or share your personal 
information. If you register on this Web site you do not need to fill 
out the card that came with your product.''
    (c) Content of registration page. The Web site registration page 
shall request only the consumer's name, address, telephone number, e-
mail address, product model name and number, and the date of 
manufacture. The consumer's telephone number and e-mail address shall 
not be required for the consumer to submit the registration form. No 
other information shall appear on the electronic registration form, 
except for identification of the manufacturer or a link to the 
manufacturer's home page, a field to confirm submission, and a prompt to 
indicate any incomplete or invalid fields before submission. Accessing 
the electronic registration form shall not cause additional screens or 
electronic banners to appear.
    (d) Alternative for manufacturers without a Web site. A manufacturer 
that lacks a Web site shall provide for consumers to register their 
product through e-mail. Such e-mail addresses shall be set up to provide 
an automatic reply to confirm receipt of the consumer's registration 
information.

[74 FR 68676, Dec. 29, 2009. Redesignated at 77 FR 9525, Feb. 17, 2012]

[[Page 264]]



Sec. 1130.8  Recordkeeping and notification requirements.

    (a) Each manufacturer of a durable infant or toddler product shall 
maintain a record of registrants for each product manufactured that 
includes all of the information provided by each consumer registered.
    (b) Each manufacturer of a durable infant or toddler product shall 
use the information provided by the registrant to notify the registrant 
in the event of a voluntary or involuntary recall of, or safety alert 
regarding, such product.
    (c) Each manufacturer of a durable infant or toddler product shall 
maintain a record of the information provided by the registrant for a 
period of not less than 6 years after the date of manufacture of the 
product.
    (d) Records required under this section shall be made available 
within 24 hours, upon the request of any officer, employee, or agent 
acting on behalf of the U.S. Consumer Product Safety Commission.
    (e) Optional barcode. (1) A manufacturer may include a barcode, or 
other machine readable data, that when scanned would provide a direct 
link for the consumer to register the product.
    (2) Such a link must comply with all the requirements of this part 
1130, including those in Sec. 1130.7 and the restriction that the 
manufacturer shall not use or disseminate the consumer registration 
information for any purpose other than notifying the consumer of a 
safety alert or recall.

[74 FR 68676, Dec. 29, 2009. Redesignated and amended at 77 FR 9525, 
Feb. 17, 2012]

[[Page 265]]



         Sec. Figure 1 to Part 1130--Front of Registration Form
[GRAPHIC] [TIFF OMITTED] TR17FE12.006


[74 FR 68676, Dec. 29, 2009, as amended at 77 FR 9525, Feb. 17, 2012]

[[Page 266]]



          Sec. Figure 2 to Part 1130--Back of Registration Form
[GRAPHIC] [TIFF OMITTED] TR17FE12.007


[74 FR 68676, Dec. 29, 2009, as amended at 77 FR 9526, Feb. 17, 2012]

[[Page 267]]



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 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

[[Page 268]]

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]



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. 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

[[Page 269]]

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 1199_ CHILDREN'S TOYS AND CHILD CARE ARTICLES CONTAINING 
PHTHALATES: GUIDANCE ON INACCESSIBLE COMPONENT PARTS--
Table of Contents



    Authority: 15 U.S.C. 1251-1289, 86 Stat. 1207, 125 Stat. 273.

    Source: 78 FR 10506, Feb. 14, 2013, unless otherwise noted.



Sec. 1199.1  Children's toys and child care articles: Phthalate-
containing inaccessible component parts.

    (a) Section 108 of the Consumer Product Safety Improvement Act of 
2008 (CPSIA) permanently prohibits the sale of any ``children's toy or 
child care article'' containing more than 0.1 percent of three specified 
phthalates (di-(2-ethylhexyl) phthalate (DEHP), dibutyl phthalate (DBP), 
and benzyl butyl phthalate (BBP)). Section 108 of the CPSIA also 
prohibits, on an interim basis, ``toys that can be placed in a child's 
mouth'' or ``child care article'' containing more than 0.1 percent of 
three additional phthalates (diisononyl phthalate (DINP), diisodecyl 
phthalate (DIDP), and di-n-octyl phthalate (DnOP)). A ``children's toy'' 
is defined as a consumer product designed or intended by the 
manufacturer for a child 12 years of age or younger for use by the child 
when the child plays. A toy can be placed in a child's mouth if any part 
of the toy can actually be brought to the mouth and kept in the mouth by 
a child so that it can be sucked and chewed. If the children's product 
can only be licked, it is not regarded as able to be placed in the 
mouth. If a toy or part of a toy in one dimension is smaller than 5 
centimeters, it can be placed in the mouth. The term ``child care 
article'' means a consumer product designed or intended by the 
manufacturer to facilitate sleep or the feeding of children age 3 years 
and younger, or to help such children with sucking or teething.
    (b) Section 108(d) of the CPSIA provides that the prohibitions in 
paragraph (a) of this section do not apply to component parts of a 
children's toy or child care article that are not accessible to children 
through normal and reasonably foreseeable use and abuse of such product, 
as determined by the Commission. A component part is not accessible if 
it is not physically exposed, by reason of a sealed covering or casing, 
and does not become physically exposed through reasonably foreseeable 
use and abuse of the product, including swallowing, mouthing, breaking, 
or other children's activities, and the aging of the product.
    (c) Section 108(d)(3) of the CPSIA directs the Commission to 
promulgate a rule to provide guidance with respect to what product 
components or classes of components will be considered to be 
inaccessible for a children's toy or child care article that contains 
phthalates or adopt the same guidance with respect to inaccessibility 
that was adopted by the Commission with regard to accessibility of lead 
under section 101(b)(2)(B) (15 U.S.C. 1278a(b)(2)(B)), with additional 
consideration, as appropriate, of whether such component can be placed 
in a child's mouth. 15 U.S.C. 2057c(d)(3). The Commission adopts the 
same guidance with respect to inaccessibility for the phthalates that 
was adopted by the Commission with regard to accessibility of lead, 
however, vinyl (or other plasticized material) covered mattresses/sleep 
surfaces, that contain phthalates that are designed or intended by the 
manufacturer to facilitate sleep of children age 3 and younger, are 
considered accessible and would

[[Page 270]]

not be considered inaccessible through the use of fabric coverings, 
including sheets and mattress pads.
    (d) The accessibility probes specified for sharp points or edges 
under the Commission's regulations at 16 CFR 1500.48-1500.49 should be 
used to assess the accessibility of phthalate-containing component parts 
of a children's toy or child care article. A phthalate-containing 
component part would be considered accessible if it can be contacted by 
any portion of the specified segment of the accessibility probe. A 
phthalate-containing component part would be considered inaccessible if 
it cannot be contacted by any portion of the specified segment of the 
accessibility probe.
    (e) For children's toys or child care articles intended for children 
that are 18 months of age or younger, the use and abuse tests set forth 
under the Commission's regulations at 16 CFR 1500.50 and 16 CFR 1500.51 
(excluding the bite test of Sec. 1500.51(c)), should be used to 
evaluate accessibility of phthalate-containing component parts of a 
children's toy or child care article as a result of normal and 
reasonably foreseeable use and abuse of the product.
    (f) For children's toys or child care articles intended for children 
that are over 18 months, but not over 36 months of age, the use and 
abuse tests set forth under the Commission's regulations at 16 CFR 
1500.50 and 16 CFR 1500.52 (excluding the bite test of Sec. 
1500.52(c)), should be used to evaluate accessibility of phthalate-
containing component parts of a children's toy or child care article as 
a result of normal and reasonably foreseeable use and abuse of the 
product.
    (g) For children's toys intended for children that are over 36 
months, but not over 96 months of age, the use and abuse tests set forth 
under the Commission's regulations at 16 CFR 1500.50 and 16 CFR 1500.53 
(excluding the bite test of Sec. 1500.53(c)), should be used to 
evaluate accessibility of phthalate-containing component parts of a 
children's toy as a result of normal and reasonably foreseeable use and 
abuse of the product.
    (h) For children's toys intended for children over 96 months through 
12 years of age, the use and abuse tests set forth under the 
Commission's regulations at 16 CFR 1500.50 and 16 CFR 1500.53 (excluding 
the bite test of Sec. 1500.53(c)) intended for children ages 37-96 
months should be used to evaluate accessibility of phthalate-containing 
component parts of a children's toy as a result of normal and reasonably 
foreseeable use and abuse of the product.
    (i) Because the Commission adopts the same guidance with respect to 
inaccessibility for phthalates that was adopted by the Commission with 
regard to inaccessibility of lead, paint, coatings, and electroplating 
may not be considered a barrier that would render phthalate-containing 
component parts of toys and child care articles inaccessible. A 
children's toy or child care article that is or contains a phthalate-
containing part that is enclosed, encased, or covered by fabric and 
passes the appropriate use and abuse tests on such covers, is considered 
inaccessible to a child, unless the product or part of the product, in 
one dimension, is smaller than 5 centimeters. However, vinyl (or other 
plasticized material) covered mattresses/sleep surfaces that contain 
phthalates that are designed or intended by the manufacturer to 
facilitate sleep of children age 3 and younger, are considered 
accessible and would not be considered inaccessible through the use of 
fabric coverings, including sheets and mattress pads.
    (j) The intentional disassembly or destruction of products by 
children older than age 8 years, by means or knowledge not generally 
available to younger children, including use of tools, will not be 
considered in evaluating products for accessibility of phthalate-
containing components.



PART 1200_DEFINITION OF CHILDREN'S PRODUCT UNDER THE CONSUMER 
PRODUCT SAFETY ACT--Table of Contents



Sec.
1200.1 Purpose.
1200.2 Definition of children's product.

    Authority: 15 U.S.C. 2052(2).

[[Page 271]]


    Source: 75 FR 63077, Oct. 14, 2010, unless otherwise noted.



Sec. 1200.1  Purpose.

    This part provides guidance on the definition of children's product 
and the factors the Commission will consider when making determinations 
regarding children's products as set forth under 15 U.S.C. 2052(2).



Sec. 1200.2  Definition of children's product.

    (a) Definition of ``Children's Product''--(1) Under section 3(a)(2) 
of the Consumer Product Safety Act (CPSA), a children's product means a 
consumer product designed or intended primarily for children 12 years of 
age or younger. The term ``designed or intended primarily'' applies to 
those consumer products mainly for children 12 years old or younger. 
Whether a product is primarily intended for children 12 years of age or 
younger is determined by considering the four specified statutory 
factors. These factors are:
    (i) A statement by a manufacturer about the intended use of such 
product, including a label on such product if such statement is 
reasonable.
    (ii) Whether the product is represented in its packaging, display, 
promotion, or advertising as appropriate for use by children 12 years of 
age or younger.
    (iii) Whether the product is commonly recognized by consumers as 
being intended for use by a child 12 years of age or younger.
    (iv) The Age Determination Guidelines issued by the Commission staff 
in September 2002 and any successor to such guidelines.
    (2) The examples discussed herein may also be illustrative in making 
such determinations; however, the determination of whether a product 
meets the definition of a children's product depends on factual 
information that may be unique to each product and, therefore, would 
need to be made on a case-by-case basis. The term ``for use'' by 
children 12 years or younger generally means that children will 
physically interact with such products based on the reasonably 
foreseeable use of such product. Toys and articles that are subject to 
the small parts regulations at 16 CFR Part 1501 and in ASTM F963 would 
fall within the definition of children's product since they are intended 
for children 12 years of age or younger. Toys and other articles 
intended for children up to 96 months (8 years old) that are subject to 
the requirements at 16 CFR 1500.48 through 1500.49 and 16 CFR 1500.50 
through 1500.53 would similarly fall within the definition of children's 
product given their age grading for these other regulations. Therefore, 
a manufacturer could reasonably conclude on the basis of the age grading 
for these other regulations that its product also must comply with all 
requirements applicable to children's products including, but not 
limited to, those under the Federal Hazardous Substances Act, ASTM F963, 
``Standard Consumer Safety Specification for Toy Safety,'' and the 
Consumer Product Safety Improvement Act of 2008.
    (b) Definition of ``General Use Product''--(1) A general use product 
means a consumer product that is not designed or intended primarily for 
use by children 12 years old or younger. General use products are those 
consumer products designed or intended primarily for consumers older 
than age 12. Some products may be designed or intended for use by 
consumers of all ages, including children 12 years old or younger, but 
are intended mainly for consumers older than 12 years of age. Examples 
of general use products may include products with which a child would 
not likely interact, or products with which consumers older than 12 
would be as likely, or more likely to interact. Products used by 
children 12 years of age or younger that have a declining appeal for 
teenagers are likely to be considered children's products.
    (2) Other products are specifically not intended for children 12 
years of age or younger. These products, such as cigarette lighters, 
candles, and fireworks, which the Commission has traditionally warned 
adults to keep away from children, are not subject to the CPSIA's lead 
limits, tracking label requirement, and third-party testing and 
certification provisions. Similarly, products that incorporate 
performance requirements for child resistance are

[[Page 272]]

not children's products as they are designed specifically to ensure that 
children cannot access the contents. This would include products such as 
portable gasoline containers and special packaging under the Poison 
Prevention Packaging Act.
    (c) Factors Considered--To determine whether a consumer product is 
primarily intended for a child 12 years of age or younger the four 
specified statutory factors must be considered together as a whole. The 
following four factors must be considered:
    (1) A statement by a manufacturer about the intended use of such 
product, including a label on such product if such statement is 
reasonable. A manufacturer's statement about the product's intended use, 
including the product's label, should be reasonably consistent with the 
expected use patterns for a product. A manufacturer's statement that the 
product is not intended for children does not preclude a product from 
being regulated as a children's product if the primary appeal of the 
product is to children 12 years of age or younger, as indicated, for 
example, by decorations or embellishments that invite use by the child, 
being sized for a child or being marketed to appeal primarily to 
children. Similarly, a label indicating that a product is for ages 9 and 
up does not necessarily make it a children's product if it is a general 
use product. Such a label may recommend 9 years old as the earliest age 
for a prospective user, but may or may not indicate the age for which 
the product is primarily intended. The manufacturer's label, in and of 
itself, is not considered to be determinative.
    (2) Whether the product is represented in its packaging, display, 
promotion, or advertising as appropriate for use by children 12 years of 
age or younger.
    (i) These representations may be express or implied. For example, 
advertising by the manufacturer expressly declaring that the product is 
intended for children 12 years of age or younger will support a 
determination that a product is a children's product. While, for example 
advertising by the manufacturer showing children 12 years of age or 
younger using the product may support a determination that the product 
is a children's product. These representations may be found in 
packaging, text, illustrations and/or photographs depicting consumers 
using the product, instructions, assembly manuals, or advertising media 
used to market the product.
    (ii) The product's physical location near, or visual association 
with, children's products may be a factor in making an age 
determination, but is not determinative. For example, a product 
displayed in a children's toy section of a store may support a 
determination that the product is a children's product. However, where 
that same product is also sold in department stores and marketed for 
general use, further evaluation would be necessary. The Commission 
recognizes that manufacturers do not necessarily control where a product 
will be placed in a retail establishment and such lack of control will 
be considered. The Commission evaluates products more broadly than on a 
shelf-by-shelf or store-by-store basis.
    (iii) The product's association or marketing in conjunction with 
nonchildren's products may not be determinative as to whether the 
product is a children's product. For example, packaging and selling a 
stuffed animal with a candle would not preclude a determination that the 
stuffed animal is a children's product since stuffed animals are 
commonly recognized as being primarily intended for children.
    (3) Whether the product is commonly recognized by consumers as being 
intended for use by children 12 years of age or younger. Consumer 
perception of the product's use by children, including its reasonably 
foreseeable use, will be evaluated. Sales data, market analyses, focus 
group testing, and other marketing studies may help support an analysis 
regarding this factor.
    (i) Features and Characteristics--additional considerations that may 
help distinguish children's products from nonchildren's products 
include:
    (A) Small sizes that would not be comfortable for the average adult;
    (B) Exaggerated features (large buttons, bright indicators) that 
simplify the product's use;

[[Page 273]]

    (C) Safety features that are not found on similar products intended 
for adults;
    (D) Colors commonly associated with childhood (pinks, blues, bright 
primary colors);
    (E) Decorative motifs commonly associated with childhood (such as 
animals, insects, small vehicles, alphabets, dolls, clowns, and 
puppets);
    (F) Features that do not enhance the product's utility (such as 
cartoons) but contribute to its attractiveness to children 12 years of 
age or younger; and
    (G) Play value, i.e., features primarily attractive to children 12 
years of age or younger that promote interactive exploration and 
imagination for fanciful purposes (whimsical activities lacking utility 
for accomplishing mundane tasks; actions performed for entertainment and 
amusement).
    (ii) Principal use of the product--the principal uses of a product 
take precedence over other actions that are less likely to be performed 
with a product. For example, when a child pretends that a broom is a 
horse, that does not mean the item is a children's product because the 
broom's principal use is for sweeping;
    (iii) Cost--the cost of a given product may influence the 
determination of the age of intended users; and
    (iv) Children's interactions, if any, with the product--products for 
use in a child's environment by the caregiver but not for use by the 
child would not be considered to be primarily intended for a child 12 
years of age or younger.
    (4) The Age Determination Guidelines issued by the Consumer Product 
Safety Commission staff in September 2002, and any successor to such 
guidelines. The product's appeal to different age groups and the 
capabilities of those age groups may be considered when making 
determinations about the appropriate user groups for products.
    (d) Examples--To help manufacturers understand what constitutes a 
children's product under the CPSA, the following additional examples 
regarding specific product categories are offered:
    (1) Furnishings and Fixtures--General home furnishings and fixtures 
(including, but not limited to: Rocking chairs, shelving units, 
televisions, digital music players, ceiling fans, humidifiers, air 
purifiers, window curtains, tissue boxes, rugs, carpets, lamps, clothing 
hooks and racks) that often are found in children's rooms or schools 
would not be considered children's products unless they are decorated or 
embellished with a childish theme and invite use by a child 12 years of 
age or younger, are sized for a child, or are marketed to appeal 
primarily to children. Examples of home or school furnishings that are 
designed or intended primarily for use by children and considered 
children's products include: Infant tubs, bath seats, small bean bag 
chairs with childish decorations, beds with children's themes, child-
sized desks, and child-sized chairs. Decorative items, such as holiday 
decorations and household seasonal items that are intended only for 
display, with which children are not likely to interact, are generally 
not considered children's products, since they are intended to be used 
by adults.
    (2) Collectibles--Adult collectibles may be distinguished from 
children's collectibles by themes that are inappropriate for children 12 
years of age or younger, have features that preclude use by children 
during play, such as high cost, limited production, fragile features, 
display features (such as hooks or pedestals), and are not marketed 
alongside children's products (for example, in a children's department) 
in ways that make them indistinguishable from children's products. For 
example, collectible plush bears have high cost, are highly detailed, 
with fragile accessories, display cases, and platforms on which to pose 
and hold the bears. Children's bears have lower costs and simple 
accessories that can be handled without fear of damage to the product. 
Another example of collectible items includes model railways and trains 
made for hobbyists.
    (3) Jewelry--Jewelry intended for children is generally sized, 
themed, and marketed to children. The following characteristics may 
cause a piece of jewelry to be considered a children's product: Size; 
very low cost; play value; childish themes on the jewelry; sale with 
children's products (such as a child's dress); sale with a child's book,

[[Page 274]]

a toy, or party favors; sale with children's cereal or snacks; sale at 
an entertainment or educational event attended primarily by children; 
sale in a store that contains mostly children's products; and sale in a 
vending machine. In addition, many aspects of an item's design and 
marketing are considered when determining the age of consumers for whom 
the product is intended and will be purchased including: Advertising; 
promotional materials; packaging graphics and text; dexterity 
requirements for wearing; appearance (coloring, textures, materials, 
design themes, licensing, and level of realism); and cost. These 
characteristics will help jewelry manufacturers and consumers determine 
whether a particular piece of jewelry is designed or intended primarily 
for children 12 years of age or younger.
    (4) DVDs, Video Games, and Computer Products--Most computer products 
and electronic media, such as CDs, DVDs, and video games, are considered 
general use products. However, CDs and DVDs with encoded content that is 
intended for and marketed to children, such as children's movies, games, 
or educational software may be determined to be children's products. 
CPSC staff may consider ratings given by entertainment industries and 
software rating systems when making an age determination. In addition, 
electronic media players and devices that are embellished or decorated 
with childish themes that are intended to attract children 12 years of 
age or younger, are sized for children, or are marketed to appeal 
primarily to children, are not likely to fall under the general use 
category where children 12 years or younger likely would be the primary 
users of such devices. However, electronic devices such as CD players, 
DVD players, game consoles, book readers, digital media players, cell 
phones, digital assistant communication devices, and accessories to such 
devices that are intended mainly for children older than 12 years of age 
or adults are products for general use.
    (5) Art Materials--Materials sized, decorated, and marketed to 
children 12 years of age or younger, such as crayons, finger paints, and 
modeling dough, would be considered children's products. Crafting kits 
and supplies that are not specifically marketed to children 12 years of 
age or younger likely would be considered products intended for general 
use. Consideration of the marketing and labeling of raw materials and 
art tools (such as modeling clay, paint, and paint brushes) may often be 
given high priority in an age determination because the appeal and 
utility of these raw materials has such a wide audience. If a 
distributor or retailer sells or rents a general use product in bulk 
(such as a raw art materials or art tools) through distribution channels 
that target children 12 years of age or younger in educational settings, 
such as schools, summer camps, or child care facilities, this type of a 
distribution strategy would not necessarily convert a general use 
product into a children's product. However, if the product is packaged 
in such a manner that either expressly states or implies with graphics, 
themes, labeling, or instructions that the product is designed or 
intended primarily for children 12 years of age or younger, then it may 
be considered a children's product if the required consideration of all 
four statutory factors supports that determination. The requirements of 
the Labeling of Hazardous Art Materials Act are similar to the labeling 
requirements of the FHSA, of which it is a part. Therefore, third party 
testing to LHAMA is not required. An art material designed or intended 
primarily for children 12 years of age or younger would have to be 
tested by a third party laboratory to demonstrate compliance with CPSIA, 
but it would not require third party testing and certification to the 
LHAMA requirements. For the same reasons, no general conformity 
certificate is required for general use art materials.
    (6) Books--The content of a book can determine its intended 
audience. Children's books have themes, vocabularies, illustrations, and 
covers that match the interests and cognitive capabilities of children 
12 years of age or younger. The age guidelines provided by librarians, 
education professionals, and publishers may be dispositive for 
determining the intended audience. Some children's books have a wide 
appeal to the general public, and in those

[[Page 275]]

instances, further analysis may be necessary to assess who the primary 
intended audience is based on consideration of relevant additional 
factors, such as product design, packaging, marketing, and sales data.
    (7) Science Equipment--Microscopes, telescopes, and other scientific 
equipment that would be used by an adult, as well as a child, are 
considered general use products. Equipment that is intended by the 
manufacturer for use primarily by adults, although there may be use by 
children through such programs, is a general use product. Toy versions 
of such items are considered children's products. If a distributor or 
retailer sells or rents a general use product in bulk through 
distribution channels that target children 12 years of age or younger in 
educational settings, such as schools or summer camps, this type of a 
distribution strategy would not necessarily convert a general use 
product into a children's product. However, if the product is packaged 
in such a manner that either expressly states or implies with graphics, 
themes, labeling, or instructions that the product is designed or 
intended primarily for children 12 years of age or younger, then it may 
be considered a children's product if the required consideration of all 
four statutory factors supports that determination. Products mainly 
intended for use by the instructor would not be considered children's 
products. In general, scientific equipment that is specifically sized 
for children, such as protective gear, eyewear, gloves, or aprons and/or 
has childish themes or decorations and invites use by a child 12 years 
of age or younger or is marketed to appeal primarily to children is 
considered a children's product.
    (8) Sporting Goods and Recreational Equipment--Sporting goods that 
are intended primarily for consumers older than 12 years of age are 
considered general use items. Sporting equipment, sized for adults, are 
general use items even though some children 12 years of age or younger 
will use them. Unless such items are specifically marketed to children 
12 years of age or younger, or have extra features that make them more 
suitable for children 12 years of age or younger than for adults, they 
would be considered general use products. If children 12 years or 
younger would mainly use the product because it would be too small or 
inappropriate for older children to use, then it likely would be 
considered a children's product. Likewise, recreational equipment, such 
as roller blades, skateboards, bicycles, camping gear, and fitness 
equipment are considered general use products unless they are sized to 
fit children 12 years of age or younger and/or are decorated with 
childish features by the manufacturer.
    (9) Musical Instruments--Musical instruments, including 
electronically-aided instruments suited for an adult musician, are 
general use products. Instruments intended primarily for children can be 
distinguished from adult instruments by their size and marketing themes. 
The Commission notes that if a distributor or retailer sells or rents in 
bulk, a general use musical instrument through distribution channels 
that target children 12 years of age or younger in educational settings, 
such as schools or summer camps, this type of a distribution strategy 
would not necessarily convert a general use product into a children's 
product. However, if the product is packaged in such a manner that 
either expressly states or implies with graphics, themes, labeling, or 
instructions that the product is designed or intended primarily for 
children 12 years of age or younger, then it may be considered a 
children's product if the required consideration of all four statutory 
factors supports that determination.



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.

Subpart B [Reserved]

[[Page 276]]

            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.



                         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

[[Page 277]]

    (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
    (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

[[Page 278]]

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 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

[[Page 279]]

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 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

[[Page 280]]

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 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

[[Page 281]]

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 (Class B) means any of the following 
Architectural products:
    (i) Storm doors or combination 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.
    (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 (Class A) 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.

[[Page 282]]

    (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 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.

[[Page 283]]

    (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 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; 81 FR 15431, Mar. 23, 2016]



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.

    Except as provided in Sec. Sec. 1201.1(c) and (d), architectural 
glazing products shall be tested in accordance with all of the 
applicable test provisions of ANSI Z97.1-2015 ``American National 
Standard for Safety Glazing Materials Used in Building--Safety 
Performance Specifications and Methods of Test,'' approved March 2015. 
The Director of the Federal Register approves the incorporation by 
reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may 
obtain a copy from ANSI Customer Service Department, 25 W. 43rd Street, 
4th Floor, New York, NY 10036. You may inspect a copy at the Office of 
the Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 
East West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal-register/cfr/ibr-locations.html.

[81 FR 15431, Mar. 23, 2016]



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

[[Page 284]]

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 
Z97.1-1972 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 National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.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

[[Page 285]]

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]

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.

[[Page 286]]

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, 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

[[Page 287]]

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, 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

[[Page 288]]

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 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

[[Page 289]]

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 
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.

[[Page 290]]

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.

Figure 1 to Part 1203--Anatomical Planes
Figure 2 to Part 1203--ISO Headform-Basic, Reference, and Median Planes
Figure 3 to Part 1203--Location of Reference Plane
Figure 4 to Part 1203--Location of Test Lines for Helmets Intended for 
          Persons Five (5) Years of Age and Older
Figure 5 to Part 1203--Location of Tesr Lines for Helmets Intended for 
          Persons Ages 1 and Older
Figure 6 to Part 1203--Field of Vision
Figure 7 to Part 1203--Typical Test Apparatus for Positional Stability 
          Test
Figure 8 to Part 1203--Apparatus for Test of Retention System Strength
Figure 9 to Part 1203--Impact Test Apparatus
Figure 10 to Part 1203--Center of Gravity for Drop Assembly
Figures 11, 12 and 13 to Part 1203--Hemispherical Anvil and Curbstone 
          Anvil

    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.

    Source: 63 FR 11729, Mar. 10, 1998, unless otherwise noted.



                         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

[[Page 291]]

inspected at the Office of the Secretary, Consumer Product Safety 
Commission, 4330 East-West Highway, Bethesda, Maryland 20814, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.



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.
---------------------------------------------------------------------------

    (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).

[[Page 292]]

    (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.



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.

[[Page 293]]

    (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 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.

[[Page 294]]

    (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 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. Sec. 1203.17 Impact tests
                                         Sec. Sec. 1203.16   ----------------------------------
                                        1203.14       1203.15      Retention
                                      Peripheral    Positional      system            Anvil           Number of
                                        vision       stability     strength                            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

[[Page 295]]

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. (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.

[[Page 296]]



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 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

[[Page 297]]

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.
    (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:

[[Page 298]]

    (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.
    (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

[[Page 299]]

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 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.

[[Page 300]]



                         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;
    (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.

[[Page 301]]

    (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
    (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 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.

[[Page 302]]



              Sec. Figure 1 to Part 1203--Anatomical Planes
[GRAPHIC] [TIFF OMITTED] TR10MR98.001


[[Page 303]]





 Sec. Figure 2 to Part 1203--ISO Headform-Basic, Reference, and Median 
                                 Planes
[GRAPHIC] [TIFF OMITTED] TR10MR98.002


[[Page 304]]





         Sec. Figure 3 to Part 1203--Location of Reference Plane
[GRAPHIC] [TIFF OMITTED] TR10MR98.003


[[Page 305]]





Sec. Figure 4 to Part 1203--Location of Test Lines for Helmets Intended 
               for Persons Five (5) Years of Age and Older
[GRAPHIC] [TIFF OMITTED] TR10MR98.004


[[Page 306]]





Sec. Figure 5 to Part 1203--Location of Test Lines for Helmets Intended 
                      for Persons Ages 1 and Older
[GRAPHIC] [TIFF OMITTED] TR10MR98.005


[[Page 307]]





               Sec. Figure 6 to Part 1203--Field of Vision
[GRAPHIC] [TIFF OMITTED] TR10MR98.006


[[Page 308]]





   Sec. Figure 7 to Part 1203--Typical Test Apparatus for Positional 
                             Stability Test
[GRAPHIC] [TIFF OMITTED] TR10MR98.007


[[Page 309]]





   Sec. Figure 8 to Part 1203--Apparatus for Test of Retention System 
                                Strength
[GRAPHIC] [TIFF OMITTED] TR10MR98.008


[[Page 310]]





            Sec. Figure 9 to Part 1203--Impact Test Apparatus
[GRAPHIC] [TIFF OMITTED] TR10MR98.009


[[Page 311]]





    Sec. Figure 10 to Part 1203--Center of Gravity for Drop Assembly
[GRAPHIC] [TIFF OMITTED] TR10MR98.010


[[Page 312]]





    Sec. Figures 11, 12 and 13 to Part 1203--Hemispherical Anvil and 
                             Curbstone Anvil
[GRAPHIC] [TIFF OMITTED] TR10MR98.011


[[Page 313]]





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 and 2 to Part 1204--Suggested Instrumentation for Current 
          Monitoring Device and High Voltage Facility
Figures 3 and 4 to Part 1204--High Voltage Test Facility and Antenna 
          System Test Setup

    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).

[[Page 314]]

    (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).
    (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

[[Page 315]]

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) 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.

[[Page 316]]



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 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:

[[Page 317]]

    (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 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

[[Page 318]]

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):

    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

[[Page 319]]

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 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

[[Page 320]]

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 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

[[Page 321]]

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 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

[[Page 322]]

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 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,

[[Page 323]]

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 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.

[[Page 324]]



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 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 325]]



Sec. Figures 1 and 2 to Part 1204--Suggested Instrumentation for Current 
               Monitoring Device and High Voltage Facility
[GRAPHIC] [TIFF OMITTED] TC03OC91.008


[[Page 326]]





   Sec. Figures 3 and 4 to Part 1204--High Voltage Test Facility and 
                        Antenna System Test Setup
[GRAPHIC] [TIFF OMITTED] TC03OC91.009


[47 FR 36201, Aug. 19, 1982; 48 FR 57125, Dec. 28, 1983]

[[Page 327]]



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 328]]

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 329]]

[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 330]]

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 331]]

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 (b)(1)(ii)(A)(1) of this section 
from both possible rear positions. (See Fig. 5.)

[[Page 332]]

[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 333]]


    (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 334]]

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 335]]

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 336]]

    (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 337]]

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 338]]

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 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 339]]

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 340]]

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 341]]

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 342]]

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 343]]

    (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 344]]

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 345]]

[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 346]]

[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 347]]

[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 (30.48 x 30.48 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

[[Page 348]]

top of 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 349]]

[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[deg]<[thetas]<40[deg].........  L=(34.09[thetas]rad-3.86)
                                             1
                                            =(86.59[thetas]rad-
                                             9.80)2.54 cm
Stairs: 40[deg]<[thetas]<70[deg]..........  l = 34 1
                                            = 86.36 2.54 cm
Ramps: [thetas]<70[deg]...................  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 350]]

[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 351]]

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 (12.7 x 12.7 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 352]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.024


                                 Table 2
------------------------------------------------------------------------
                                                      Runway side-rail
         [psi] = Maximum slide-slope angle              height inches
                                                        (centimeters)
------------------------------------------------------------------------
<60[deg]..........................................              2 (5.08)
60-70[deg]........................................              3 (7.62)
70-75[deg]........................................         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 ([alpha]), 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 353]]

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 354]]

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 355]]

[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 356]]

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.

Figure 1 to Subpart A of Part 1209--Partial Insulation Preparation 
          Apparatus
Figure 2 to Subpart A of Part 1209--Cyclone Receiver Weldment
Figure 3 to Subpart A of Part 1209--Flooring Radiant Tester Schematic 
          Side Elevation
Figure 4 to Subpart A of Part 1209--Flooring Radiant Panel Tester 
          Schematic Low Flux End, Elevation
Figure 5 to Subpart A of Part 1209--Zero Reference Point Related to 
          Detecting Plane
Figure 6 to Subpart A of Part 1209--Dummy Specimen in Specimen Holder
Figure 7 to Subpart A of Part 1209--Specimen Tray
Figure 8 to Subpart A of Part 1209--Standard Radiant Heat Energy Flux 
          Profile
Figure 9 to Subpart A of Part 1209--Flux Profile Data Log Format
Figure 10 to Subpart A of Part 1209--Insulation Radiant Panel Test Data 
          Log Format

                         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.

[[Page 357]]

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 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

[[Page 358]]

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).
    (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:

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    (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), applying 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 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.

[[Page 360]]

    (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 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 48.91.7 
[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

[[Page 361]]

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


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

[[Page 362]]

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.
    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

[[Page 363]]

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 30.5 x 45.7 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 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

[[Page 364]]

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 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

[[Page 365]]

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 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 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

[[Page 366]]

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 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\

[[Page 367]]

(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 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),

[[Page 368]]

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 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.

[[Page 369]]



Sec. Figure 1 to Subpart A of Part 1209--Partial Insulation Preparation 
                                Apparatus
[GRAPHIC] [TIFF OMITTED] TC03OC91.031


[[Page 370]]





   Sec. Figure 2 to Subpart A of Part 1209--Cyclone Receiver Weldment
[GRAPHIC] [TIFF OMITTED] TC03OC91.032


[[Page 371]]





    Sec. Figure 3 to Subpart A of Part 1209--Flooring Radiant Tester 
                        Schematic Side Elevation
[GRAPHIC] [TIFF OMITTED] TC03OC91.033


[[Page 372]]





 Sec. Figure 4 to Subpart A of Part 1209--Flooring Radiant Panel Tester 
                    Schematic Low Flux End, Elevation
[GRAPHIC] [TIFF OMITTED] TC03OC91.034


[[Page 373]]





Sec. Figure 5 to Subpart A of Part 1209--Zero Reference Point Related to 
                             Detecting Plane
[GRAPHIC] [TIFF OMITTED] TC03OC91.035


[[Page 374]]





  Sec. Figure 6 to Subpart A of Part 1209--Dummy Specimen in Specimen 
                                 Holder
[GRAPHIC] [TIFF OMITTED] TC03OC91.036


[[Page 375]]





         Sec. Figure 7 to Subpart A of Part 1209--Specimen Tray
[GRAPHIC] [TIFF OMITTED] TC03OC91.037


[[Page 376]]





 Sec. Figure 8 to Subpart A of Part 1209--Standard Radiant Heat Energy 
                              Flux Profile
[GRAPHIC] [TIFF OMITTED] TC03OC91.038


[[Page 377]]





  Sec. Figure 9 to Subpart A of Part 1209--Flux Profile Data Log Format
[GRAPHIC] [TIFF OMITTED] TC03OC91.039


[[Page 378]]





Sec. Figure 10 to Subpart A of Part 1209--Insulation Radiant Panel Test 
                             Data Log Format
[GRAPHIC] [TIFF OMITTED] TC03OC91.040



                         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

[[Page 379]]

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.
    (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

[[Page 380]]

such tests in accordance with Sec. 1209.38 below.



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

[[Page 381]]

the faulty manufacturing process must be corrected (see Sec. 1209.37). 
In addition, the material from which the samples 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

[[Page 382]]

certificate of compliance. See paragraphs (b) and (c), below.
    (iii) The date of manufacture by day, month, and year.
    (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

[[Page 383]]

manufactured after October 15, 1979 must be certified as complying with 
the standard. Cellulose insulation 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 appropriate monthly Producer Price Index 
(Producer Price Index for Miscellaneous Fabricated Products) from June 
1993. The adjusted figure, based on the change in that Index since June 
1993, as finalized July 2013, is $2.50.
    (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).

[[Page 384]]

    (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), 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).

[58 FR 37584, July 12, 1993, as amended at 69 FR 19763, Apr. 14, 2004; 
78 FR 52679, Aug. 26, 2013]



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.

[[Page 385]]

    (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 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.

[[Page 386]]

    (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 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

[[Page 387]]

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 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

[[Page 388]]

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 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.

[[Page 389]]



          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.
    (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

[[Page 390]]

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 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

[[Page 391]]

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 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

[[Page 392]]

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.



                  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

[[Page 393]]

(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),''
    (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

[[Page 394]]

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 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

[[Page 395]]

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 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

[[Page 396]]

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 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 primary 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 Unattended operation requirements.
1211.15 Vertically moving combination rigid one-piece overhead 
          residential garage door and operator system.
1211.16 Instruction manual.
1211.17 Field-installed labels.
1211.18 UL marking requirement.
1211.19 Statutory labeling requirement.

Figures 1-10 to Subpart A to Part 1211
Figure 1 to Subpart A to Part 1211--Critical Condition Flow Chart for 
          Residential Garage Door Operator Entrapment Protection Devices 
          and Functions
Figure 2 to Subpart A to Part 1211--Nozzle Section A-A
Figure 3 to Subpart A to Part 1211--Stationary Obstruction
Figure 4 to Subpart A to Part 1211--Moving Obstruction
Figure 5 to Subpart A to Part 1211--Ambient Light Test

[[Page 397]]

Figure 6 to Subpart A to Part 1211--Edge Sensor Normal Operation Test
Figure 7 to Subpart A to Part 1211--Puncture Probe
Figure 8 to Subpart A to Part 1211--Example Test Apparatus for 
          Measurements at 12 Inches or Greater
Figure 9 to Subpart A to Part 1211--Example Test Apparatus for 
          Measurements at 12 Inches or Greater
Figure 10 to Subpart A to Part 1211--Example Test Apparatus for 
          Measurements at 12 Inches or Greater
Table 1 to Subpart A to Part 1211--Physical Properties of Gasket-
          Accelerated Aging Test

                         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.

                  Subpart D_Incorporation by Reference

1211.40 Incorporation by reference.

    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.



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 NFPA 70 (incorporated by reference, see Sec. 1211.32).

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70657, Nov. 27, 2000; 81 FR 20228, Apr. 7, 2016]



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 UL 991 (incorporated by 
reference, see Sec. 1211.40), including environmental and stress tests 
appropriate to the intended usage of the end-product.

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70657, Nov. 27, 2000; 81 FR 20228, Apr. 7, 2016]



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 closing movement of the door 
meets the criteria for trouble indication.

[[Page 398]]

    (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, 
[lambda]p shall not be greater than 6 failures/10\6\ hours 
for the entire system. For external secondary entrapment protection 
devices or systems that are sold separately, [lambda]p shall 
not be greater than 0 failures/10\6\ hours. For internal secondary 
entrapment protection devices or systems whether or not they are sold 
separately, [lambda]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 or system that is sold 
separately, and that has a [lambda]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 or system [lambda]p does not exceed 6 
failures/10\6\ hours. See Sec. 1211.18(j) through (l).
    (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 to subpart A 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 UL 
991 (incorporated by reference, see Sec. 1211.40).

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70657, Nov. 27, 2000; 81 FR 20228, Apr. 7, 2016]



Sec. 1211.6  General entrapment protection requirements.

    (a) A residential garage door operator system shall be provided with 
inherent primary entrapment protection that complies with the 
requirements as specified in Sec. 1211.7.
    (b) In addition to the inherent primary entrapment protection as 
required by paragraph (a) of this section, a vertically moving 
residential garage door operator shall comply with one of the following:
    (1) Shall be constructed to:
    (i) Require constant pressure on a control intended to be installed 
and activated within line of sight of the door 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)(i) Shall be provided with an inherent secondary entrapment 
protection device as described in Sec. Sec. 1211.8(a), 1211.8(c), 
1211.8(f), 1211.10, and 1211.12 and is:
    (A) A combination sectional overhead garage door operator system as 
described in Sec. 1211.6(c); and
    (B) For use only with vertically moving garage doors.
    (ii) With respect to Sec. 1211.6(b)(3)(i)(A), trolley-driven 
operators do not meet

[[Page 399]]

the definition of a combination sectional overhead garage door operator 
system.
    (c) In the case of a vertically moving combination sectional 
overhead garage door operator system, the door shall comply with the 
requirements in ANSI/DASMA 102 (incorporated by reference, see Sec. 
1211.40).
    (d) In addition to the inherent primary entrapment protection as 
required by Sec. 1211.6(a), a horizontally sliding residential garage 
door operator shall comply with one of the following:
    (1) Shall be constructed to:
    (i) Require constant pressure on a control to close the door;
    (ii) Reverse direction and open the door a minimum of 2 in (50.8 mm) 
when constant pressure on a control is removed prior to operator 
reaching its position limit; and
    (iii) Stop the door if a second obstruction is detected in the 
reverse direction.
    (2) Shall be provided with a means for connection of an external 
secondary entrapment protection device for each leading edge as 
described in Sec. 1211.8.
    (e) 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.
    (f) In addition to complying with paragraph (e) of this section, in 
the event of a 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. 1211.7(a), Sec. 1211.7(b)(7), 
Sec. 1211.7(c)(7), Sec. 1211.8(a), or Sec. 1211.8(b), 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.

[81 FR 20228, Apr. 7, 2016]



Sec. 1211.7  Inherent primary entrapment protection requirements.

    (a) General requirements. A vertically moving residential garage 
door operator system shall be supplied with inherent primary entrapment 
protection that complies with the requirements as specified in paragraph 
(b) of this section. A horizontally sliding residential garage door 
operator system shall be supplied with inherent primary entrapment 
protection that complies with the requirements as specified in paragraph 
(c) of this section.
    (b) Inherent primary entrapment protection, vertically moving doors. 
(1)(i) For a vertically moving residential garage door operator system, 
other than for the first 1 foot (305mm) of door travel from the full 
upmost position both with and without any secondary 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 subparagraph 
(b)(3) of this section. After reversing the door, the operator shall 
return the door to, and stop at, the full upmost position. Compliance 
shall be determined in accordance with paragraphs (b)(3) through (10) of 
this section.
    (ii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when the operator senses a 
second obstruction during the upward travel.
    (iii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when a control is actuated to 
stop the door during the upward travel--but the door can not be moved 
downward until the operator reverses the door a minimum of 2 inches 
(50.8 mm).
    (2) The test shall be performed on a representative operating system 
installed in accordance with the manufacturer's installation 
instructions with the operator exerting a 25-lbf (111.21-N) pull or its 
rated pull, whichever is greater.
    (3)(i) 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.

[[Page 400]]

    (ii) For operators other than those attached to the door, a solid 
object is not required to be located in line with the driving point of 
the operator. The solid object is to be located at points at the center, 
and within 1 foot of each end of the door.
    (iii) To test operators for compliance with requirements in 
paragraphs (b)(1)(iii), (b)(7)(iii), and (b)(8)(iii) of this section and 
Sec. 1211.13(c), a solid rectangular object measuring 4 inches (102 mm) 
high by 6 inches (152 mm) wide by a minimum of 6 inches (152 mm)long is 
to be placed on the floor of the test installation to provide a 4-inch 
(102 mm) high obstruction when operated from a partially open position.
    (4) An operator is to be tested for compliance with paragraph (b)(1) 
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 paragraph 
(b)(6) 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.
    (5) 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)(3) of this section at the maximum setting or 
at the setting that represents the most severe operating condition.
    (6) 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. 1211.18.
    (7)(i) An operator, employing an inherent entrapment protection 
system that measures or 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 measure or monitor 
the position of the door at increments not greater than 1 inch (25.4 
mm).
    (ii) 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 during the upward travel.
    (iii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when a control is actuated to 
stop the door during the upward travel--but the door can not be moved 
downward until the operator reverses the door a minimum of 2 inches 
(50.8 mm).
    (8)(i) An operator, using an inherent entrapment protection system 
that does not measure or 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.
    (ii) 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 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.
    (iii) The door operator is not required to return the door to, and 
stop the door at, the full upmost position when a control is actuated to 
stop the door during the upward travel--but the door can not be moved 
downward until the operator reverses the door a minimum of 2 inches 
(50.8 mm). When the door is stopped manually during its descent,

[[Page 401]]

the 30 seconds shall be measured from the resumption of the close cycle.
    (9) To determine compliance with paragraph (b)(7) or (8) 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 
(b)(4) and (6) 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 (b)(1) of this section and Sec. 1211.8(a) or (b) 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.
    (10) During the closing cycle referred to in paragraph (b)(9) of 
this section, the system providing compliance with paragraphs (b)(1) and 
(7) of this section or paragraphs (b)(1) and (8) of this section 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.
    (c) Inherent primary entrapment protection, horizontally sliding 
doors. (1)(i) For a horizontally sliding residential garage door 
operator system, other than for the first 1 foot (305mm) of door travel 
from the full closed position both with and without any external 
entrapment protection device functional, the operator of a closing 
residential garage door shall initiate reversal of the door within 2 
seconds of contact with the obstruction as specified in paragraph (c)(3) 
of this section. After reversing the door, the operator shall open the 
door a minimum of 2 inches (50.8 mm) from the edge of the obstruction. 
Compliance shall be determined in accordance with paragraphs (c)(2) 
through (10) of this section.
    (ii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when the operator senses a second obstruction during 
the closing direction of travel.
    (iii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when a control is actuated to stop the door during 
movement towards the open position--but the door can not be moved 
towards the open position until the operator reverses the door a minimum 
of 2 inches (50.8 mm).
    (2) The test shall be performed on a representative operating system 
installed in accordance with the manufacturer's installation 
instructions with the operator exerting a 25-lbf (111.21-N) pull or its 
rated pull, whichever is greater.
    (3)(i) A solid object is to be placed on the floor of the test 
installation and rigidly supported within the bottom track and then 
repeated with the solid object placed on the floor and rigidly supported 
external to the track. The test shall then be repeated with the solid 
object rigidly supported at heights of 1 ft (305 mm), 3 ft (914 mm), 5 
ft (1524 mm), and within 1 ft (305 mm) of the top edge. The object shall 
be 1 inch (25.4 mm) in width.
    (ii) For operators other than those attached to the door, a solid 
object is not required to be located in line with the driving point of 
the operator. The solid object is to be located at points at the center 
and within 1 ft of each end of the door opening.
    (iii) To test operators for compliance with paragraphs (c)(1)(iii), 
(c)(7)(iii), and (c)(8)(iii) of this section, and Sec. 1211.13(c), a 
solid rectangular object measuring 4 inches (102 mm) high by 6 inches 
(152 mm) wide by a minimum of 6 in (152 mm) long is to be placed on the 
floor of the test installation to provide a 4 in (102 mm) high 
obstruction when operated from a partially open position with the test 
repeated with the bottom edge of the obstruction rigidly supported at 
heights of 1 ft (305 mm), 3ft (914 mm), 5ft (1524 mm), and within 1 ft 
(305 mm) of the top edge.
    (4) An operator is to be tested for compliance with paragraph (c)(1) 
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 paragraph 
(c)(6) 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

[[Page 402]]

operator, are to be attached and the test is to be repeated for one 
additional cycle.
    (5) 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 (c)(3) of this section at the maximum setting or 
at the setting that represents the most severe operating condition.
    (6) 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 of these 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 in Sec. 
1211.18.
    (7)(i) An operator, employing an inherent entrapment protection 
control that measures or 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 fully closed position in the event the inherent door 
operation ``profile'' of the door differs from the originally set 
parameters. The system shall measure or monitor the position of the door 
at increments not greater than 1 inch (25.4 mm).
    (ii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when an inherent entrapment circuit senses an 
obstruction during the reversing travel.
    (iii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when a control is actuated to stop the door during the 
opening direction--but the door can not be moved in the closing 
direction until the operator reverses the door a minimum of 2 inches 
(50.8 mm).
    (8)(i) An operator, using an inherent entrapment protection system 
that does not measure or monitor the actual position of the door, shall 
initiate reversal of the door and shall open the door a minimum 2 inches 
(50.8 mm) when the closed position limit device is not actuated within 
30 seconds or less following the initiation of the close cycle.
    (ii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when an inherent entrapment circuit senses an 
obstruction during the reversing travel.
    (iii) The door operator is not required to open the door a minimum 2 
inches (50.8 mm) when a control is actuated to stop the door during the 
opening direction--but the door can not be moved in the closing 
direction until the operator has reversed the door a minimum of 2 inches 
(50.8 mm). When the door is stopped manually during its closing, the 30 
seconds shall be measured from the resumption of the close cycle.
    (9) To determine compliance with paragraph (c)(7) or (8) 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)(4) and (6) 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 paragraph (c)(1) 
of this section and Sec. 1211.8(b) are to be inoperative or defeated 
during the test. An obstructing object is to be used so that the door is 
not capable of activating a position limiting device.
    (10) During the closing cycle referred to in paragraph (c)(9) of 
this section, the system providing compliance with paragraphs (c)(1) and 
(7) of this section or paragraphs (c)(1) and (8) of this section 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.

[81 FR 20228, Apr. 7, 2016]



Sec. 1211.8  Secondary entrapment protection requirements.

    (a)(1) For a vertically moving door operator, a secondary entrapment 
protection device supplied with, or as an accessory to, an operator 
shall consist of:

[[Page 403]]

    (i) An external photoelectric sensor that when activated results in 
an operator that is closing a door to reverse direction of the door, 
returns the door to, and stops the door at the fully open position, and 
the sensor prevents an operator from closing an open door,
    (ii) 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, returns the door to, and stops the door at the 
fully open position, and the sensor prevents an operator from closing an 
open door,
    (iii) 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
    (iv) Any other external or internal device that provides entrapment 
protection equivalent to paragraph (a)(1)(i), (ii), or (iii) of this 
section.
    (2) The door operator is not required to return the door to, and 
stop the door at, the fully open position when an inherent entrapment 
circuit senses an obstruction during the opening travel.
    (3) The door operator is not required to return the door to, and 
stop the door at, the fully open position when a control is actuated to 
stop the door during the opening travel--but the door cannot be moved 
towards the closing direction until the operator has reversed the door a 
minimum of 2 inches (50.8 mm).
    (b) For horizontal sliding garage door operators, 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 or opening a door to reverse direction of 
the door for a minimum of 2 inches (50.8 mm); or
    (2) An external edge sensor installed on the edge of the door that, 
when activated, results in an operator that is closing or opening a door 
to reverse direction of the door for a minimum of 2 inches (50.8 mm).
    (c) With respect to paragraphs (a) and (b) of this section, the 
operator shall monitor for the presence and correct operation of the 
device at least once during each close cycle. Should the device not be 
present or a fault condition occurs which precludes the sensing of an 
obstruction, including an interruption of the wireless signal to the 
wireless device or 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) For a vertically moving door, the closing door shall open and an 
open door shall not close more than 1 foot (305 mm) below the upmost 
position;
    (2) For a horizontally sliding door, the door shall not move in the 
opening or closing direction; or
    (3) The operator shall function as required by Sec. 1211.6(b)(1).
    (d) An external entrapment protection device or system, when 
employing a wireless control, shall comply with paragraph (e) of this 
section when installed at its farthest distance from the operator as 
recommended in the installation instructions.
    (e) An external entrapment protection device shall comply with the 
applicable requirements in Sec. Sec. 1211.10, 1211.11, and 1211.12.
    (f) An inherent secondary entrapment protection device described in 
Sec. 1211.6(b)(3) shall comply with the applicable requirements in 
Sec. 1211.13. Software used in an inherent entrapment protection device 
shall comply with UL 1998 (incorporated by reference, see Sec. 
1211.40).

[81 FR 20230, Apr. 7, 2016]



Sec. 1211.9  Additional entrapment protection requirements.

    (a) A means to manually detach the door operator from the door shall 
be 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. 1211.16(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

[[Page 404]]

the door obstructed in the down position. The obstructing object, as 
described in Sec. 1211.7(b)(3)(i), is to be located in several 
different positions. A marking with instructions for detaching the 
operator shall be provided as required by Sec. 1211.17(a), (b), and 
(j), as applicable.
    (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 (50.8-mm) point 
from any position between closed and the 2-inch (50.8-mm) point.
    (c) Actuation of a control that initiates movement of a door shall 
stop and may reverse the door on the closing cycle. On the opening 
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; 
81 FR 20231, Apr. 7, 2016]



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.
    (3) After restoring the connections in the intended manner:
    (i) A photoelectric sensor shall comply with the Normal Operation 
tests per Sec. 1211.11(a) through (c); and
    (ii) An edge sensor shall comply with the Normal Operation test, per 
Sec. 1211.12(a).
    (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, per paragraph (c)(3) of this section. 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 to subpart A 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 
brought closer than 10

[[Page 405]]

feet (3.05 m) horizontally to the device. The water is to be sprayed for 
1 minute.
    (3) After drying the external surface of the device:
    (i) A photoelectric sensor shall comply with the Normal Operation 
Tests per Sec. 1211.11(a) through (c); and
    (ii) An edge sensor shall comply with the Normal Operation Test, per 
Sec. 1211.12(a).
    (iii) There shall be no water on uninsulated live parts of a line 
voltage circuit.
    (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 UL 746C (incorporated by reference, see Sec. 1211.40).
    (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, per paragraph (e)(4) of 
this section, or, if dislodged after the test, is capable of being 
restored to its original condition.
    (2) Samples of the external entrapment protection device are to be 
subjected to the Resistance to Impact Test described in UL 746C 
(incorporated by reference, see Sec. 1211.40). 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) In lieu of conducting the room temperature test described in 
paragraph (e)(2) of this section, each of three samples of a device 
exposed to outdoor weather when the door is the closed position are to 
be cooled to a temperature of minus 31.0 3.6 
[deg]F (minus 35.0 2.0 [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.
    (4) To determine compliance with paragraph (e)(1)(ii) of this 
section:
    (i) A photoelectric sensor shall comply with the Normal Operation 
tests per Sec. 1211.11(a) through (c); and
    (ii) An edge sensor shall comply with the Normal Operation Test, per 
Sec. 1211.12(a).
    (f) External entrapment protection devices with wireless control--
(1) Initial test set-up. (i) For a wireless device intended to be 
powered by a non-rechargeable battery, a fully charged battery shall be 
installed per the instructions or markings on the product. See Sec. 
1211.16 (a)(7).
    (ii) An entrapment protection device or system employing a wireless 
control, or separately supplied for, shall be installed per the 
manufacturer's instructions.
    (2) Radiated immunity test. (i) An external entrapment protection 
device when employing wireless control shall operate as specified in 
Sec. 1211.8(a) through (e) as applicable; or is rendered inoperative 
(any case in which the operator will not complete a full cycle, open and 
close, of travel) when tested in accordance with paragraph (f)(2)(ii) of 
this section.
    (ii) Compliance to paragraph (f)(2)(i) of this section is verified 
by simulating an obstruction during the period of the electric field 
strength test of Sec. 1211.4(c).
    (g) Battery test for wireless devices. (1) An external entrapment 
protection device when employing a battery powered wireless control 
shall operate as specified in Sec. 1211.8(a) through (e) as applicable; 
or is rendered inoperative (any case in which the operator will not 
complete a full cycle, open and close, of travel) when tested in 
accordance with paragraph (g)(2) of this section.
    (2) Compliance with paragraph (g)(1) of this section shall be 
verified with battery charge at the following levels:
    (i) Fully charged; and
    (ii) Discharged per the manufacturer's recommendations to the 
wireless device's lowest operational voltage.
    (3) An external entrapment protection device employing a battery 
powered wireless device operating under

[[Page 406]]

conditions with a fully discharged battery or when the battery is 
discharged sufficiently to cause the device or system to render the 
moving door inoperative, shall be considered a single point fault for 
complying with Sec. Sec. 1211.5(b) and 1211.8(c).
    (h) Ambient light test for wireless device with IR communication. 
(1) An external entrapment protection device, when employing an IR 
communication shall operate as specified in Sec. 1211.8(a) through (e) 
as applicable; or is rendered inoperative (any case in which the 
operator will not complete a full cycle, open and close, of travel) when 
subjected to ambient light impinging at an angle of 15 to 20 degrees 
from the axis of the beam when tested in accordance with paragraph 
(h)(2) of this section.
    (2) An external entrapment protection device when employing an IR 
communication shall be set up at maximum range per paragraph (h)(1) of 
this section. The ambient light test described in Sec. 1211.11(e)(2) 
shall be conducted with the light source impinging on each IR receiver, 
one at a time that is part of the wireless control system between the 
external entrapment protection device and the operator.

[81 FR 20231, Apr. 7, 2016]



Sec. 1211.11  Requirements for photoelectric sensors.

    (a) Normal operation test. When installed as described in Sec. 
1211.10(a)(1) through (4), a photoelectric sensor of a vertically moving 
door shall sense an obstruction as described in paragraph (c) 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.
    (b) Normal operation test--Horizontally moving door. When installed 
as described in Sec. 1211.10(a)(1) through (4), a photoelectric sensor 
of a horizontally moving door shall be tested per paragraph (c) of this 
section that is to be placed on a level surface within the path of the 
moving door. The sensor is to be tested with the obstruction at a total 
of five different locations over the height of the door or gate opening. 
The locations shall include distances 1 in (25.4 mm) from each end, 1 ft 
(305 mm) from each end, and the midpoint.
    (c) Normal operation test--Obstruction. The obstruction noted in 
paragraphs (a) and (b) 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 in the opening perpendicular to the plane 
of the door when in the closed position. See Figure 3 to subpart A.
    (d) Sensitivity test. (1) When installed as described in Sec. 
1211.10(a)(1) through (4), a photoelectric sensor shall sense the 
presence of a moving object when tested according to paragraph (d)(2) of 
this section.
    (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 to subpart A.
    (3) The test described in paragraph (d)(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.
    (4) When the test fixture of Figure 4 to subpart A, prior to conduct 
of the test, interferes with the photoelectric sensor detection zone, 
the tests per paragraphs (d)(1) through (4) of this section may be 
conducted instead per paragraph (f)(4) of this section.
    (e) Ambient light test. (1) A photoelectric sensor shall operate as 
specified in Sec. 1211.8(a) and (c) 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 (e)(2) of this section and, if 
appropriate, paragraph (e)(3) of this section.
    (2) To determine compliance with paragraph (e)(1) of this section, a 
500 watt incandescent or equivalent minimum rated, 3600K or lower color 
rated

[[Page 407]]

flood lamp is to be energized from a 120-volt, 60-hertz source. 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 to subpart A.
    (3) If the photoelectric sensor uses a reflector, this test is to be 
repeated with the lamp aimed at the reflector.
    (4) During the test conditions described in paragraphs (e)(2) and 
(e)(3) of this section, a photoelectric sensor shall comply with the 
normal operation test requirements described in paragraph (a) of this 
section, and
    (i) A photoelectric sensor shall comply with sensitivity test 
requirements described in paragraph (d) of this section, and
    (ii) An edge sensor shall comply with the normal operation test 
requirements described in Sec. 1211.12.
    (f) Photoelectric sensor vertical arrays. (1) A vertical array shall 
be tested as required by paragraphs (a) through (e) of this section, 
except as noted in paragraphs (f)(2) through (5) of this section.
    (2) The array shall comply with the Normal Operation tests specified 
in paragraphs (a) through (c) of this section, with the solid 
obstruction placed on the floor. In addition, the obstruction shall be 
placed at various locations over the height of the light curtain array 
in accordance with the light curtain coverage area per the 
manufacturer's instructions.
    (3) In conducting the tests specified in paragraphs (a) through (c) 
of this section, when the product includes a blanking function whereby 
the light array is located directly in-line with the path of the door 
travel, and the door system is intended to detect any obstruction other 
than one in the ``next'' successive position that the door is programmed 
to travel, the obstruction is placed at any location other than the next 
successive door position expected by the system.
    (4) The array shall comply with the Sensitivity Test specified in 
paragraph (d) of this section, except that the edge of the pendulum 
nearest to the array is to be located 2 in. (50.8 mm) from one side of 
the plane of the array, rather than directly above one photoelectric 
sensor pair. For vertical arrays, this test need only be conducted with 
the test pendulum at the vertical height indicated in paragraph (d)(2) 
of this section.
    (5) When conducting the Ambient Light Test specified in paragraph 
(e) of this section, the position of the light source shall be aligned 
per paragraph (e)(2) of this section based on the axis of the lowest 
beam or detection zone. This arrangement shall be used to determine 
compliance with the requirements specified in paragraph (f)(2) of this 
section (with the obstruction at the floor level) and paragraph (f)(4) 
of this section, which are the only conditions for which the ambient 
light is required to be applied.

[81 FR 20232, Apr. 7, 2016]



Sec. 1211.12  Requirements for edge sensors.

    (a) Normal operation test. (1) When installed on a representative 
residential 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 to subpart A.
    (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

[[Page 408]]

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,
    (ii) Compliance to the Standard for Gaskets and Seals, UL 157, 
fulfills this requirement (see paragraph (c)(2) of this section for UL 
contact information); and
    (iii) 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 the table to 
subpart A after being conditioned in accordance with the Ultraviolet 
Light Exposure Test described in UL 746C (incorporated by reference, see 
Sec. 1211.40).
    (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 tests 
described in paragraph (d)(2) or (3) of this section, an elastomeric 
material that is a functional part of an edge sensor shall:
    (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) For a vertically moving door, 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 to subpart A is to be applied with a 20 
pound-force (89N) to any point on the sensor that is 3 inches (76 mm) or 
less above the floor is to be applied in the direction specified in the 
Edge Sensor Normal Operation Test, Figure 6 to Subpart A. The test is to 
be repeated on three locations on each surface of the sensor being 
tested.
    (3) For horizontally sliding doors, sample of the edge sensor is to 
be installed in the intended manner on a representative door edge. The 
probe described in figure 7 to subpart A is to be applied with a 20 lbf 
(89 N) to any point on the sensor when the door is within 3 in (76 mm) 
of its fully open position and within 3 in (76 mm) of any stationary 
wall. For each type of door, the force is to be applied in the direction 
specified in the Edge Sensor Normal Operation Test, Figure 6 to Subpart 
A. The test is to be repeated on three locations on each surface of the 
sensor being tested.

[57 FR 60455, Dec. 21, 1992, as amended at 62 FR 46667, Sept. 4, 1997; 
65 FR 70659, Nov. 27, 2000; 81 FR 20233, Apr. 7, 2016]



Sec. 1211.13  Inherent force activated secondary door sensors.

    (a) General. (1) A force activated door sensor of a door system 
installed according to the installation instructions shall actuate in 
accordance with paragraphs (b) through (f) of this section, which are to 
be conducted in sequence on a single system sample, except for the 
separate test sequences of paragraph (a)(2) of this section.
    (2) The system shall actuate with the maximum and minimum 
specifications of the door, operator, and hardware.
    (3) Tests conducted per paragraphs (b) through (f) of this section 
shall be performed with the force exerted by a drive adjusted to its 
highest value if the force can be adjusted by the user during use or 
user maintenance.
    (4) The test cylinder referred to in paragraph (b)(7) of this 
section shall be a 1\7/8\ in (47.6 mm) diameter cylinder placed under 
the door so that the axis is perpendicular to the plane of the door. See 
figure 6 to subpart A.
    (5) The measuring device referred to in paragraph (b)(1) of this 
section shall:
    (i) Have an accuracy of 1%;
    (ii) Have a rise and fall time not exceeding 5 ms;
    (iii) Have the equivalence of a spring constant of 2855 lb/in 285 lb/in (500 N/mm, 50 N/mm);

[[Page 409]]

    (iv) Be placed on a rigid, level surface; and
    (v) Have a rigid plate with a diameter of 3.1 in (80 mm).
    (vi) See paragraph (a)(6) of this section for test equipment 
alternatives for force measurements at 1 ft (305 mm) or greater for the 
tests conducted per paragraphs (b) and (d) of this section.
    (6) With regard to the alternative test equipment referred to in 
paragraph (a)(5)(vi) of this section, the test device described in 
paragraph (b)(5) of this section for force measurements at 1 foot (305 
mm) or greater shall be:
    (i) A spring constant means such as specified in paragraph (a)(5) of 
this section;
    (ii) A gravity based weight displacing means that suspends a weight 
off its supporting surface upon exceeding 15 lbf (67 N) such as the 
example shown in figures 8 through 10 of this subpart if the equipment 
described in paragraph (a)(5) of this section is applied before the 
tests specified in paragraph (c) of this section and after the tests 
specified in paragraph (d) of this section at the 1 ft (305 mm) height 
specified in paragraph (b)(6) of this section; or
    (iii) The equivalent requirements of paragraphs (a)(6)(i) or (ii) of 
this section.
    (7) The cycles specified in paragraph (d) of this section are not 
required to be consecutive. Continuous operation of the motor without 
cooling is not required.
    (b) Closing force test. (1) The door shall stop and reverse within 2 
seconds after contacting the obstruction. The door shall apply the 
following forces at the locations noted in paragraph (b)(2) of this 
section:
    (i) 90 lbf (400 N) or less average during the first 0.75 seconds 
after 15 lbf (67 N) is exceeded from initial impact; and
    (ii) 15 lbf (67 N) or less from 0.75 seconds after 15 lbf (67 N) is 
exceeded from initial impact until the door reverses.
    (2) The test referred to in paragraph (b)(1) of this section shall 
be conducted at the following test height and locations along the edge 
of the door:
    (i) The center point, at a height of 2 in (50.8) from the floor;
    (ii) Within 1 ft (305 mm) of the end of the door, at a height of 2 
in (50.8) from the floor; and
    (iii) Within 1 ft (305 mm) of the other end of the door, at a height 
of 2 in (50.8) from the floor.
    (3) The maximum force specified in paragraph (b)(1) of this section 
shall be tested by the door applying a force against the longitudinal 
edge of the test cylinder described in paragraph (a)(4) of this section.
    (4) The equipment used to measure force for the test described in 
paragraph (b)(1) of this section shall be in accordance with the 
requirements of paragraph (a)(5) of this section.
    (5) The door shall stop and reverse within 2 seconds after 
contacting the obstruction. The door shall apply a load of 15 lbf (67 N) 
or less in the closing direction along the path of door travel at the 
locations noted in paragraph (b)(6) of this section.
    (6) The test described in paragraph (b)(5) of this section shall be 
conducted at the following points along the edge of the door:
    (i) At the center at heights of 1 ft, 3 ft, and 5 ft (305 mm, 914 mm 
and 1.52 m) from the floor;
    (ii) Within 1 ft (305 mm) of the end of the door, at heights of 1 
ft, 3 ft, and 5 ft from the floor; and
    (iii) Within 1 ft of the other end of the door at heights of 1 ft, 3 
ft, and 5 ft from the floor.
    (7) The maximum force described in paragraph (b)(5) of this section 
shall be tested by the door applying a force against the longitudinal 
edge of the test cylinder as described in paragraph (a)(4) of this 
section.
    (8) The equipment used to measure forces for the test described in 
paragraph (b)(1) of this section shall be in accordance with the 
requirements of paragraph (a)(5) or (6) of this section.
    (c) Opening force test. (1) The door shall stop within 2 seconds 
after a weight of 44 lb (20 kg) is applied to the door.
    (2) The test described in paragraph (c)(1) of this section shall be 
conducted with the door starting from the fully closed position and at 
heights of approximately 1 ft, 3 ft, and 5 ft (305 mm, 914 mm and 1.52 
m) from the floor.
    (3) Test weight(s) shall be applied to sections of the door that are 
vertical in the initial stopped position for each

[[Page 410]]

test height prior to operator activation.
    (d) Fifty cycle test. (1) With the door(s) at the test point(s) 
determined by the tests described in paragraphs (b) and (c) of this 
section to be most severe with respect to both reversal time and force, 
the door system shall function as intended after 50 cycles of operation. 
After the last cycle, the system shall complete one additional cycle of 
opening the door to its fully open condition and closing the door to its 
fully closed position.
    (2) The tests described in paragraphs (b) and (c) of this section 
shall be repeated upon completion of cycling test.
    (e) Adjustment of door weight. At the point determined by the test 
described in paragraph (b)(5) 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 tests of paragraphs (b) and (c) of this section are to be 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 tests described in paragraphs (b) and (c) of this section 
are to be repeated by subtracting weight in 5.0 pound increments until a 
total of 15.0 pounds has been subtracted from the door.
    (f) Obstruction test. For a door traveling in the downward 
direction, when an inherent secondary entrapment protection device 
senses an obstruction and initiates a reversal, any control activation 
shall not move the door downward until the operator reverses the door a 
minimum of 2 inches (50.8 mm). The test is to be performed as described 
in Sec. 1211.7(b)(3)(iii). The system may be initially manually re-
profiled for the purpose of this test.

[81 FR 20233, Apr. 7, 2016]



Sec. 1211.14  Unattended operation requirements.

    (a) General requirements. (1) A residential garage door operator or 
system may permit unattended operation to close a garage door, provided 
the operator system complies with the additional requirements of 
paragraphs (b) through (e) of this section.
    (2) Unattended operation shall not be permitted on one-piece garage 
doors or swinging garage doors. An operator intended for use with both 
sectional doors and one-piece or swinging doors that have an unattended 
operation close feature shall identify that the unattended operation 
closing feature is only permitted to be enabled when installed with a 
sectional door by complying with:
    (i) The installation instructions stated in Sec. 1211.16(b)(1)(ii);
    (ii) The markings specified in Sec. 1211.17(h); and
    (iii) The carton markings specified in Sec. 1211.18(m) when the 
carton references the unattended operation close feature.
    (b) Operator system. The operator system shall require one or more 
intentional actions to enable unattended operation, such as setting a 
power head switch or wall-control switch. For an accessory requiring 
installation and set-up in order to enable unattended operation, the 
installation and set-up may be considered satisfying this requirement.
    (c) Alarm signal. (1) The operator system shall provide an audible 
and visual alarm signal.
    (2) The alarm shall signal for a minimum of 5 seconds before any 
unattended closing door movement.
    (3) The audible signal shall be heard within the confines of a 
garage. The audio alarm signals for the alarm specified in paragraph 
(c)(1) of this section shall be generated by devices such as bells, 
horns, sirens, or buzzers. The signal shall have a frequency in the 
range of 700 to 3400 Hz, either a cycle of the sound level pulsations of 
4 to 5 per second or one continuous tone, a sound level at least 45 dB 
10 ft (305 cm) in front of the device over the voltage range of 
operation.
    (4) The visual alarm signal described in paragraph (c)(1) of this 
section shall be visible within the confines of a garage using a 
flashing light of at least 40 watt incandescent or 360 lumens.
    (d) Controls. (1) During the pre-motion signaling period defined in 
paragraph (c)(2) of this section, activation of any user door control 
(e.g., wall control, wireless remote, keypad) shall prevent the pending 
unattended door movement. Door movement resulting

[[Page 411]]

from activation of a user door control is not prohibited.
    (2) Upon activation of a user door control during unattended door 
movement, the door shall stop, and may reverse the door on the closing 
cycle. On the opening cycle, activation of a user door control shall 
stop the door but not reverse it.
    (3) If an unattended door travelling in the closing direction is 
stopped and reversed by an entrapment protection device, the operator 
system shall be permitted one additional unattended operation attempt to 
close the door.
    (4) After two attempts per paragraph (d)(3) of this section, the 
operator system shall suspend unattended operation. The operator system 
shall require a renewed, intended input, via user door control (e.g., 
wall control wireless remote, keypad) other than the unattended 
activation device, prior to re-enabling unattended operation.
    (e) Entrapment protection. For a moving door, entrapment protection 
shall comply with Sec. Sec. 1211.7 and 1211.8.

[81 FR 20234, Apr. 7, 2016]



Sec. 1211.15  Vertically moving combination rigid one-piece
overhead residential garage door and operator system.

    (a) A vertically moving combination rigid one-piece overhead 
residential garage door and operator system shall comply with the 
applicable residential garage door operator requirements in this 
standard and shall additionally comply with the following:
    (1) The speed of the door edge during the opening or closing motion 
shall not exceed 6 in (152 mm) per second.
    (2) The system shall be supplied with two additional independent 
secondary entrapment protection devices complying with Secondary 
Entrapment Protection, Sec. 1211.8. When photoelectric sensors are 
used, a minimum of two sensors in addition to a third secondary device 
shall be supplied. The instructions shall state that one photoelectric 
sensor shall be positioned to comply with Sec. 1211.11 and the other(s) 
shall be positioned on the left and right sides of the door to detect 
solid objects that would be within the space where the door moves as it 
opens or closes.
    (3) A means to manually detach both door operators from the door 
shall be provided. For systems where the mechanical drive is located on 
a wall adjacent to the door, the manual detachment means is not required 
to comply with Sec. 1211.9(a). Instead, the manual detachment means 
shall be located 5 ft (1.52 m) above the floor, shall not require a 
torque of more than 5 ft-lb (6.78 N-m) to initiate disconnection when 
the door is obstructed, and shall be clearly marked with operating 
instructions adjacent to the mechanism. The gripping surface (handle) 
shall be colored red and shall be distinguishable from the rest of the 
operator. The marking which includes instructions for detaching the 
operator shall be provided in accordance with Sec. 1211.17(a), (b), and 
(j) as applicable.
    (4) A means (interlock) shall be supplied to de-energize the 
operator whenever the operator is manually detached from the door.
    (5) A means (interlock) shall be supplied to de-energize the 
operator whenever an operable window or access (service) door that is 
mounted in the garage door is opened perpendicular to the surface of the 
garage door.
    (6) The door shall not move outward from the exterior wall surface 
during the opening or closing cycle.
    (7) The moving parts of the door or door system (mounting hardware, 
track assembly, and components that make up the door) shall be guarded.
    (8) A horizontal track assembly, including installation hardware, 
shall support a dead load equal to the door weight when the door is in 
the horizontal position.
    (9) Instructions for the installation of operable windows and access 
(service) doors and the interlocks specified in paragraph (a)(5) of this 
section shall be supplied with the operator.
    (b) [Reserved]

[81 FR 20235, Apr. 7, 2016]



Sec. 1211.16  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.

[[Page 412]]

    (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 (b)(1) and (2) of this 
section 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).
    (7) For an operator or system provided with an external entrapment 
protection device requiring a non-rechargeable battery, instructions 
shall be provided with the operator and/or the device for:
    (i) The rating, size, number, and type of battery(s) to be used; and
    (ii) The proper insertion, polarity, orientation, and replacement of 
the battery(s).
    (8) For an operator or system provided with an external entrapment 
protection device or system utilizing wireless control, instructions 
shall be provided with the operator and/or the device for:
    (i) The proper method of configuring and initializing the wireless 
communication link between device and operator;
    (ii) The proper orientation, antenna positioning, and mounting 
location with regard to maintaining communication link between device 
and operator;
    (iii) The maximum range at which the wireless device will operate; 
and
    (iv) The proper location of the device where the transmission of the 
signals are not obstructed or impeded by building structures, natural 
landscaping or similar obstruction.
    (9) When provided with a detachable supply cord, the operator 
instructions shall contain complete details concerning proper selection 
of the power supply cord replacement.
    (10) The installation, operation, and maintenance instructions may 
be provided in electronic read-only media format only, such as CD-ROM, 
USB flash drive, or company Web site, if the following instructions are 
additionally provided with the operator in an instruction sheet, manual, 
booklet, or similar printed material:
    (i) Residential garage doors and door operators, instructions of 
this section, as applicable.
    (ii) [Reserved]
    (11) The printed instruction material referenced in this section 
shall contain detailed instructions of how to obtain a printed copy of 
the material contained in electronic format.
    (12) All printed instruction material referenced in this section 
shall also be provided in the electronic read-only media format.

[[Page 413]]

    (13) Instructions of a combination sectional overhead garage door 
operator system shall specify:
    (i) The operator by manufacturer and model;
    (ii) The door(s) by manufacturer(s), model(s), and maximum and 
minimum door width and height required for compliance to Sec. 1211.6(a) 
and (c); and
    (iii) Hardware required for compliance to Sec. 1211.6(a) and (c).
    (14) Installation and maintenance instructions of a combination 
sectional overhead garage door operator system shall indicate how to 
properly counter-balance the door.
    (b) Specific required instructions for residential garage door 
operators and systems. (1)(i) 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.
    3. Remove all pull 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 within reach, but at least 6 feet above the floor and avoiding 
contact with vehicles to avoid accidental release.
    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 above floors, landings, steps, or any other adjacent 
walking surface 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.
    9. For products having a manual release, instruct the end user on 
the operation of the manual release.
    10. For horizontally sliding doors, Item 2 shall be replaced with 
``Have a qualified service person make repairs and hardware adjustments 
before installing the opener.''

    (ii) In accordance with Sec. 1211.14(a)(2), the installation 
instructions in paragraph (b)(1) of this section for a residential 
garage door operator intended for use with both sectional and one-piece 
door that has an unattended operation close feature shall comply with 
paragraph (b)(1) of this section and include:

    ``WARNING: To reduce the risk of injury to persons--Only enable [+] 
feature when installed with a sectional door,'' where + is the 
unattended operation function.

    (iii) Exception: For operators that automatically sense one piece 
door operation, the warning in paragraph (b)(1)(ii) of this section is 
not required.
    (iv) For residential garage door operators that do not have 
permanent connection of the wiring system, the installation instructions 
shall include the following or equivalent text:

``This operator not equipped for permanent wiring. Contact licensed 
electrician to install a suitable receptacle if one is not available.''

    (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. NEVER GO UNDER A STOPPED PARTIALLY OPEN DOOR.
    5. 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.
    6. 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.
    7. KEEP GARAGE DOOR PROPERLY BALANCE. See user's manual. An 
improperly balanced door could cause severe injury

[[Page 414]]

or death. Have a qualified service person make repairs to cables, spring 
assemblies and other hardware.
    8. For operator systems equipped with an unattended operation 
feature, the following statement shall be included: ``This operator 
system is equipped with an unattended operation feature. The door could 
move unexpectedly. NO ONE SHOULD CROSS THE PATH OF THE MOVING DOOR.''
    9. SAVE THESE INSTRUCTIONS.
    10. For horizontally moving doors, Item 4 shall be replaced with 
``NEVER GO THROUGH A STOPPED, PARTIALLY OPEN DOOR''.
    11. For horizontally moving doors, Item 6 is not required.
    12. For horizontally moving doors, Item 7 shall be replaced with 
``Have a qualified service person make repairs and hardware adjustments 
before installing the opener.''
    13. The installation instructions provided with a combination rigid 
one-piece overhead residential garage door and operator system shall 
specify the locations where attachments to the horizontal track shall be 
made for the purpose of supporting the track.

[81 FR 20235, Apr. 7, 2016]



Sec. 1211.17  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:
    (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.''
    (v) For products equipped with an unattended operation feature, the 
instructions shall include the following: ``This operator system is 
equipped with an unattended operation feature. The door could move 
unexpectedly.''
    (3) Instructions--

[[Page 415]]

    (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)(1) In accordance with Sec. 1211.14(a)(2), the instructions of a 
residential garage door operator intended for use with both sectional 
doors and either one-piece or swinging doors and are provided with an 
unattended operation feature shall comply with paragraph (g) of this 
section and include the following under the avoidance statements of 
paragraph (g)(2) of this section:

    ``Only enable [+] feature when installed with a sectional door.'', 
or equivalent, where + is the unattended operation closing function.

    (2) For operators that automatically sense one piece door operation, 
this warning is not required.
    (i) 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.
    (j) 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.)''
    (k) Both the operator and the door that comprise a combination 
sectional overhead garage door operator system shall be provided with 
permanent labels. The labels shall contain the following statement or 
the equivalent: ``WARNING: THIS OPERATOR AND DOOR FUNCTION AS A SYSTEM. 
IF EITHER THE DOOR OR THE HARDWARE MUST BE REPLACED, THE REPLACEMENT 
DOOR OR HARDWARE MUST BE IDENTICAL TO THE ORIGINAL EQUIPMENT WITH 
RESPECT TO MANUFACTURER AND MODEL TO MAINTAIN THE SAFETY OF THE SYSTEM. 
SEE INSTRUCTION MANUAL.'' The marking shall be visible to the user after 
installation without the need to remove any covers.
    (l) A label specified in paragraph (m) of this section when intended 
to be affixed during installation shall:
    (1) Be provided with the operator or door assembly; and
    (2) Have installation instructions of how and where to install the 
label so that it is visible to the user after installation.
    (m) The operator of a combination sectional overhead garage door 
operator system shall be provided with a permanent marking that contains 
the following statement or the equivalent: ``NO USER SERVICEABLE PARTS 
INSIDE.''

[57 FR 60455, Dec. 21, 1992. Redesignated and amended at 65 FR 70659, 
Nov. 27, 2000. Further redesignated and amended at 81 FR 20234, 20237, 
Apr. 7, 2016]



Sec. 1211.18  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

[[Page 416]]

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, VA, or watts. The 
ampere or VA rating shall be included unless the full-load power factor 
is 80 percent or more, or, for a cord-connected appliance, unless the 
rating is 50 W or less. The number of phases shall be indicated when an 
appliance is for use on a polyphase circuit; and
    (4) The date or other dating period of manufacture not exceeding any 
three consecutive months.
    (c) 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) Exception No 3: The input in amperes or watts may be shown as 
part of the motor nameplate, if the appliance employs a single motor, 
the nameplate is readily visible after the appliance has been installed.
    (g) If a manufacturer produces or assembles operators at more than 
one factory, each finished operator shall have a distinctive marking, 
which may be in code, to identify it as the product of a particular 
factory.
    (h) 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).''
    (i) For products with user adjustments, 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.'' This 
marking shall be located where visible to the user when making the 
adjustments.
    (j) For a separately supplied accessory, including external 
entrapment protection device, the instructions, packaging, or marking on 
the product shall indicate the accessory manufacturer's name and 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.
    (k) An appliance provided with terminals or connectors for 
connection of a separately supplied accessory, such as an external 
entrapment protection device or system, 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.
    (l) 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.
    (m)(1) In accordance with Sec. 1211.14(a)(2), a residential garage 
door operator intended for use with both sectional and one-piece or 
swinging door that has an unattended operation close feature indicating 
the function in the carton markings shall include the following carton 
marking:

    ``WARNING: To reduce the risk of injury to persons--Only enable [+] 
feature when installed with sectional door,'' where + is the unattended 
operation closing function.


[[Page 417]]


    (2) Exception: For operators that automatically sense one piece door 
operation, this warning is not required.
    (n) A residential garage door operator is not required to be 
provided with permanent wiring systems when marked with the following or 
equivalent text: ``This operator not equipped for permanent wiring. 
Contact licensed electrician to install a suitable receptacle if one is 
not available.'' This marking is to be placed adjacent to the power cord 
entry.

[57 FR 60455, Dec. 21, 1992. Redesignated at 65 FR 70659, Nov. 27, 2000. 
Further redesignated and amended at 81 FR 20234, 20237, Apr. 7, 2016]



Sec. 1211.19  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 stated in Sec. 1211.18 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. 
Further redesignated and amended at 81 FR 20234, 20238, Apr. 7, 2016]

[[Page 418]]



               Sec. Figures 1-10 to Subpart A of Part 1211
[GRAPHIC] [TIFF OMITTED] TR07AP16.031


[81 FR 20238, Apr. 7, 2016]

[[Page 419]]

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[81 FR 20238, Apr. 7, 2016]
[GRAPHIC] [TIFF OMITTED] TR07AP16.201


[[Page 420]]



[81 FR 20238, Apr. 7, 2016]
[GRAPHIC] [TIFF OMITTED] TR07AP16.202


[81 FR 20238, Apr. 7, 2016]

[[Page 421]]

[GRAPHIC] [TIFF OMITTED] TR07AP16.203


[81 FR 20238, Apr. 7, 2016]
[GRAPHIC] [TIFF OMITTED] TR07AP16.204


[81 FR 20238, Apr. 7, 2016]

[[Page 422]]

[GRAPHIC] [TIFF OMITTED] TR07AP16.205


[81 FR 20238, Apr. 7, 2016]

[[Page 423]]

[GRAPHIC] [TIFF OMITTED] TR07AP16.035


[81 FR 20238, Apr. 7, 2016]

[[Page 424]]

[GRAPHIC] [TIFF OMITTED] TR07AP16.036


[81 FR 20238, Apr. 7, 2016]

[[Page 425]]

[GRAPHIC] [TIFF OMITTED] TR07AP16.037


[81 FR 20238, Apr. 7, 2016]

[[Page 426]]



 Sec. Table 1 to Subpart A of Part 1211--Physical Properties of Gasket-
                         Accelerated Aging Test
[GRAPHIC] [TIFF OMITTED] TR07AP16.038


[81 FR 20238, Apr. 7, 2016]



                         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 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

[[Page 427]]

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.



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

[[Page 428]]

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 
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.

[[Page 429]]

    (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.



                  Subpart D_Incorporation by Reference

    Source: 81 FR 20245, Apr. 7, 2016, unless otherwise noted.



Sec. 1211.40  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. All approved material is available for 
inspection at Consumer Product Safety Commission, Office of the 
Secretary, 4330 East-West Highway, Bethesda, MD 20814, telephone 302-
504-7923 and is available from the sources listed below. It is also 
available for inspection at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030 or
go to http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html.
    (b) Door and Access Systems Manufacturers' Association, 
International (DASMA), 1300 Sumner Avenue, Cleveland, OH 44115-2851, 
Telephone: (216) 241-7333, http://www.dasma.com/dasma-pages/D-AS-
standards.asp.
    (1) ANSI/DASMA 102, Specifications for Sectional Doors, 2011 
revision, dated May 19, 2011, into Sec. 1211.6(c).
    (2) [Reserved]
    (c) National Fire Prevention Association (NFPA), 1 Batterymarch 
Park, Quincy, MA 02269-9101, Telephone: (800) 344-3555, http://
www.nfpa.org/.
    (1) NFPA 70, National Electrical Code, 2014 edition, effective 
August 21, 2013, into Sec. 1211.2(c).
    (2) [Reserved]
    (d) UL, formerly Underwriters Laboratories, International, 151 
Eastern Avenue, Bensenville, IL 60106, Telephone: 1-888-853-3503, http:/
/ulstandards.ul.com/.
    (1) UL 746C, Standard for Safety: Polymeric Materials--Use in 
Electrical Equipment Evaluations, Sixth Edition, dated September 10, 
2004, into Sec. Sec. 1211.10(d) and (e) and 1211.12(c).
    (2) UL 991, Standard for Safety: Tests for Safety-Related Controls 
Employing Solid-State Devices, Third Edition, dated October 22, 2004, 
into Sec. Sec. 1211.4(c) and 1211.5(b)(3).
    (3) UL 1998, Standard for Safety: Software in Programmable 
Components, Third Edition, December 18, 2013, into Sec. 1211.8(f).

[81 FR 20245, Apr. 7, 2016]



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

[[Page 430]]

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-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

[[Page 431]]

    (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 (20 1 
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 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

[[Page 432]]

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 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.

[[Page 433]]

    (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 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

[[Page 434]]

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 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

[[Page 435]]

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 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.

[[Page 436]]



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).



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.

[[Page 437]]

    (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:
    (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

[[Page 438]]

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.
    (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.

[[Page 439]]

    (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 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

[[Page 440]]

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 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

[[Page 441]]

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.



Sec. 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'' 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

[[Page 442]]

with the rule. In general, costs that manufacturers would incur in 
developing, producing, and selling new complying lighters include the 
following:
     Research and development toward finding the most 
promising approaches to improving child resistance, including building 
prototypes and surrogate lighters for preliminary child panel testing;
     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;
     Labor and material costs of the additional 
assembly steps, or modification of assembly steps, in the manufacturing 
process;
     The additional labeling, recordkeeping, 
certification, testing, and reporting that will be required for each new 
model;
     Various administrative costs of compliance, such 
as legal support and executive time spent at related meetings and 
activities; and
     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 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

[[Page 443]]

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 $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

[[Page 444]]

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 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.

Figure 1 to Part 1213--Wedge Block for Tests in Sec. 1213.4(a), (b), 
          and (c)
Figure 2 to Part 1213--Test Template for Neck Entrapment
Figure 3 to Part 1213--Motion of Test Template Arrested by Simultaneous 
          Contact With Both Sides of ``A'' Section and Boundaries of 
          Opening

[[Page 445]]

Figure 4 to Part 1213--Neck Portion of ``B'' Section of Template Enters 
          Completely Into Opening
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 
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).

[[Page 446]]

    (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 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,

[[Page 447]]

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 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 likely to result in the elimination or adequate reduction of the 
risk of injury; or it is unlikely that there will be

[[Page 448]]

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.



 Sec. Figure 1 to Part 1213--Wedge Block for Tests in Sec. 1213.4(a), 
                               (b) and (c)
[GRAPHIC] [TIFF OMITTED] TR22DE99.007


[[Page 449]]





      Sec. Figure 2 to Part 1213--Test Template for Neck Entrapment
[GRAPHIC] [TIFF OMITTED] TR22DE99.003


[[Page 450]]





    Sec. 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 451]]





 Sec. Figure 4 to Part 1213--Neck Portion of ``B'' Section of Template 
                     Enters Completely Into Opening
[GRAPHIC] [TIFF OMITTED] TR22DE99.005



 Sec. 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

[[Page 452]]

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 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 453]]

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 454]]

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 1215_SAFETY STANDARD FOR INFANT BATH SEATS--Table of Contents



Sec.
1215.1 Scope.
1215.2 Requirements for infant bath seats.

    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008); Sec. 3, Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 75 FR 31698, June 4, 2010, unless otherwise noted.



Sec. 1215.1  Scope.

    This part 1215 establishes a consumer product safety standard for 
infant bath seats manufactured or imported on or after December 6, 2010.



Sec. 1215.2  Requirements for infant bath seats.

    Each infant bath seat shall comply with all applicable provisions of 
ASTM F1967-13, Standard Consumer Safety Specification for Infant Bath 
Seats, approved on August 1, 2013. The Director of the Federal Register 
approves the incorporation by reference listed in this section in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
of these ASTM standards from ASTM International, 100 Barr Harbor Drive, 
P.O. Box C700, West Conshohocken, PA 19428-2959 USA, telephone: 610-832-
9585; http://www.astm.org/. You may inspect copies at the Office of the 
Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 East 
West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/

[[Page 455]]

federal_register/code_of_federal regulations/ibr_locations.html.

[79 FR 73696, Dec. 9, 2013]



PART 1216_SAFETY STANDARD FOR INFANT WALKERS--Table of Contents



Sec.
1216.1 Scope.
1216.2 Requirements for infant walkers.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008); section 3 of 
Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 75 FR 35273, June 21, 2010, unless otherwise noted.



Sec. 1216.1  Scope.

    This part 1216 establishes a consumer product safety standard for 
infant walkers manufactured or imported on or after December 21, 2010.



Sec. 1216.2  Requirements for infant walkers.

    Each infant walker shall comply with all applicable provisions of 
ASTM F977-12, Standard Consumer Safety Specification for Infant Walkers, 
approved on May 1, 2012. The Director of the Federal Register approves 
the incorporation by reference listed in this section in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of these ASTM 
standards from ASTM International, 100 Barr Harbor Drive, PO Box C700, 
West Conshohocken, PA 19428-2959 USA, telephone: 610-832-9585; http://
www.astm.org/. You may inspect copies at the Office of the Secretary, 
U.S. Consumer Product Safety Commission, Room 820, 4330 East West 
Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.

[78 FR 37709, June 24, 2013]



PART 1217_SAFETY STANDARD FOR TODDLER BEDS--Table of Contents



Sec.
1217.1 Scope, application, and effective date.
1217.2 Requirements for toddler beds.

    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008); Sec. 3, Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 76 FR 22028, Apr. 20, 2011, unless otherwise noted.



Sec. 1217.1  Scope, application, and effective date.

    This part 1217 establishes a consumer product safety standard for 
toddler beds manufactured or imported on or after October 20, 2011.



Sec. 1217.2  Requirements for toddler beds.

    Each toddler bed shall comply with all applicable provisions of ASTM 
F1821-16, Standard Consumer Safety Specification for Toddler Beds, 
approved October 1, 2016. The Director of the Federal Register approves 
the incorporation by reference listed in this section in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of this ASTM 
standard from ASTM International, 100 Barr Harbor Drive, PO Box C700, 
West Conshohocken, PA 19428-2959 USA; phone: 610-832-9585; http://
www.astm.org/. You may inspect a copy at the Office of the Secretary, 
U.S. Consumer Product Safety Commission, Room 820, 4330 East West 
Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federalregulations/
ibr_locations.html.

[82 FR 11320, Feb. 22, 2017]



PART 1218_SAFETY STANDARD FOR BASSINETS AND CRADLES--Table of Contents



Sec.
1218.1 Scope.
1218.2 Requirements for bassinets and cradles.


[[Page 456]]


    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008); Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 78 FR 63034, Oct. 23, 2013, unless otherwise noted.



Sec. 1218.1  Scope.

    This part establishes a consumer product safety standard for 
bassinets and cradles manufactured or imported on or after April 23, 
2014, except for the removable bassinet bed attachment requirements at 
Sec. 1218.2(b)(3)(i) through (iv), (b)(5), and (b)(7), which are 
effective April 23, 2015.



Sec. 1218.2  Requirements for bassinets and cradles.

    (a) Except as provided in paragraph (b) of this section, each 
bassinet and cradle must comply with all applicable provisions of ASTM 
F2194-13, Standard Consumer Safety Specification for Bassinets and 
Cradles, approved on April 1, 2013. The Director of the Federal Register 
approves this incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. You may obtain a copy from ASTM International, 
100 Bar Harbor Drive, P.O. Box 0700, West Conshohocken, PA 19428; http:/
/www.astm.org/cpsc.htm. You may inspect a copy at the Office of the 
Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 East 
West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal regulations/
ibr_locations.html.
    (b) Comply with ASTM F2194-13 standard with the following additions 
or exclusions:
    (1) Instead of complying with Note 1 of section 1.3.1 of ASTM F2194-
13, comply with the following:
    (i) Note 1--Cradle swings with an incline less than or equal to 
10[deg] from horizontal while in the rest (non-rocking) position are 
covered under the scope of this standard. A sleep product that only has 
inclined sleeping surfaces (intended to be greater than 10[deg] from 
horizontal while in the rest (non-rocking) position) does not fall under 
the scope of this standard. If a product can be converted to a bassinet/
cradle use mode and meets the definition of a bassinet/cradle found in 
3.1.1 while in that mode, the product shall be included in the scope of 
this standard, when it is in the bassinet/cradle use mode. For example, 
strollers that have a carriage/bassinet feature are covered by the 
stroller/carriage standard when in the stroller use mode. Carriage 
baskets/bassinets that are removable from the stroller base are covered 
under the scope of this standard when the carriage basket/bassinet meets 
the definition of a bassinet/cradle found in 3.1.1. In addition, 
bassinet/cradle attachments to cribs or play yards, as defined in 3.1.2 
or 3.1.13, are included in the scope of the standard when in the 
bassinet/cradle use mode.
    (ii) [Reserved]
    (2) Add ``CAMI Newborn Dummy (see Figure 1A). Drawing numbers 126-
0000 through 126-0015 (sheets 1 through 3), 126-0017 through 126-0027, a 
parts list entitled ``Parts List for CAMI Newborn Dummy,'' and a 
construction manual entitled ``Construction of the Newborn Infant 
Dummy'' (July 1992). Copies of the materials may be inspected at NHTSA's 
Docket Section, 400 Seventh Street SW., Room 5109, Washington, DC, or at 
the Office of the Federal Register, 800 North Capital Street NW., Suite 
700, Washington, DC.'' to ``2.3 Other References'' and use the following 
figure:

[[Page 457]]

[GRAPHIC] [TIFF OMITTED] TR23OC13.000

    (3) In addition to complying with section 3.1.17 of ASTM F2194-13, 
comply with the following:
    (i) 3.1.18. bassinet bed, n--the sleeping area of the bassinet/
cradle, containing the sleep surface and side walls.
    (ii) 3.1.19. removable bassinet bed, n--A bassinet bed that is 
designed to separate from the base/stand without the use of tools. Play 
yard bassinets, as defined in 3.1.13, are excluded from this definition.
    (iii) 3.1.20. false lock/latch visual indicator, n--a warning 
system, using contrasting colors, lights, or other similar means 
designed to visually alert caregivers when a removable bassinet bed is 
not properly locked onto its base/stand.
    (iv) 3.1.21. intended use orientation, n--The bassinet bed 
orientation (i.e., the position where the head and foot ends of the 
bassinet bed are located), with respect to the base/stand, as 
recommended by the manufacturer for intended use.
    (4) Instead of complying with section 6.7 of ASTM F2194-13, comply 
with the following:
    (i) 6.7. Bassinets with Segmented Mattresses: Flatness Test--If the 
bassinet or bassinet accessory has a folding or segmented mattress, or 
both, any angle when measured in 7.8 less than or equal to 10[deg] is an 
immediate pass. Any angle when measured in 7.8 greater than 10[deg] is 
an immediate failure. Segmented bassinet mattresses that have seams 
(located between segments or where the mattress folds) that are less 
than 15 inches in length are excluded from this requirement.
    (ii) [Reserved]
    (5) In addition to complying with section 6.9.2 of ASTM F2194-13, 
comply with the following:
    (i) 6.10. Removable Bassinet Bed Attachment--Any product containing 
a removable bassinet bed with a latching or locking device intended to 
secure the bassinet bed to the base/stand, shall comply with at least 
one of the following 6.10.1, 6.10.2, 6.10.3, 6.10.4 or 6.10.5 when 
tested in accordance with 7.12.
    (ii) 6.10.1. The base/stand shall not support the bassinet bed 
(i.e., the bassinet bed falls from the stand and contacts the floor or 
the base/stand collapses when the bassinet bed is not locked on the 
base/stand).
    (iii) 6.10.2. The lock/latch shall automatically engage under the 
weight of the bassinet bed (without any other force or action) in all 
lateral positions (Figure 24).
    (iv) 6.10.3. The sleep surface of the bassinet bed shall be at an 
angle of at least 20[deg] from a horizontal plane when the bassinet bed 
is in an unlocked position.
    (v) 6.10.4. The bassinet/cradle shall provide a false latch/lock 
visual indicator(s). At a minimum, an indicator

[[Page 458]]

shall be visible to a person standing near both of the two longest sides 
of the product.
    (vi) 6.10.5. The bassinet bed shall not tip over and shall retain 
the CAMI newborn dummy when tested in accordance with 7.12.4.3.
    (6) Instead of complying with section 7.4.4 of ASTM F2194-13, comply 
with the following:
    (i) 7.4.4. Place the CAMI Newborn Dummy, Mark II, on the sleeping 
pad in the center of the product face up with the arms and legs 
straightened.
    (A) Rationale. The newborn CAMI dummy represents a 50th percentile 
newborn infant, which is a more appropriate user of a bassinet than the 
CAMI infant dummy, which represents a 50th percentile 6-month-old 
infant.
    (B) [Reserved]
    (ii) [Reserved]
    (7) In addition to complying with section 7.11.4 of ASTM F2194-13, 
comply with the following:
    (i) 7.12. Removable Bassinet Bed Attachment Tests
    (ii) 7.12.1. Assemble the bassinet/cradle base/stand only, in 
accordance with manufacturer's instructions in one of the manufacturer's 
recommended use positions. If the base/stand does not remain in the use 
position when the bassinet bed is not locked onto it, the product meets 
the requirements of 6.10.1.
    (iii) 7.12.2. Place the base/stand and the inclinometer on a flat 
level horizontal surface (0 -0.5[deg]) to 
establish a test plane. Zero the inclinometer.
    (iv) 7.12.3. Remove the mattress pad from the bassinet bed.

    Note to paragraph (b)(7)(iv): For mattresses that are integral with 
the mattress support, do not remove the mattress and perform all angle 
measurements for 7.12 on a 6 by 6 by \3/8\-in. nominal aluminum block 
placed on the center of the mattress.

    (v) 7.12.4. Place the bassinet bed on the base/stand in the intended 
use orientation without engaging any latch or lock mechanism between the 
base/stand and the bassinet bed. If the bed automatically engages to the 
base/stand do not disengage the lock/latch. If the bassinet bed can rest 
on the base/stand in its intended use orientation in one or more lateral 
unlocked position (Figure 24), the unit shall be evaluated in the 
lateral position most likely to fail the requirements specified in 6.10.
    (vi) Figure 24: Bassinet Bed Resting on Stand, Showing Possible 
Alternate Lateral Positions.
[GRAPHIC] [TIFF OMITTED] TR23OC13.001

    (vii) 7.12.4.1. If the base/stand supports the bassinet bed in any 
unlocked position, place the inclinometer on the mattress support at the 
approximate center of the mattress support. Care should be taken to 
avoid seams, snap fasteners, or other items that may affect the 
measurement reading. Record the angle measurement.

[[Page 459]]

    (viii) 7.12.4.2. If the base/stand supports the bassinet bed and the 
angle of the mattress support surface measured in 7.12.4.1 is less than 
20 degrees from a horizontal plane, evaluate whether the bassinet has a 
false latch/lock visual indicator per 6.10.4.
    (ix) 7.12.4.3. If the base/stand supports the bassinet bed, and the 
angle of the mattress support surface measured in 7.12.4.1 is less than 
20 degrees from a horizontal plane, and the bassinet does not contain a 
false latch/lock visual indicator, test the unit in accordance with 
sections 7.4.2 through 7.4.7.
    (x) 7.12.5. Repeat 7.12.2 through 7.12.4 for all of the 
manufacturer's base/stand recommended positions and use modes.
    (xi) 7.12.6. Repeat 7.12.4 through 7.12.5 with the bassinet bed 
rotated 180 degrees from the manufacturers recommended use orientation, 
if the base/stand supports the bassinet bed in this orientation.
    (A) Rationale. (1) This test requirement addresses fatal and 
nonfatal incidents involving bassinet beds that tipped over or fell off 
their base/stand when they were not properly locked/latched to their 
base/stand or the latch failed to engage as intended. Products that 
appear to be in an intended use position when the lock or latch is not 
properly engaged can create a false sense of security by appearing to be 
stable. Unsecured or misaligned lock/latch systems are a hidden hazard 
because they are not easily seen by consumers due to being located 
beneath the bassinet or covered by decorative skirts. In addition, 
consumers will avoid activating lock/latch mechanisms for numerous 
reasons if a bassinet bed appears stable when placed on a stand/base. 
Because of these foreseeable use conditions, this requirement has been 
added to ensure that bassinets with a removable bassinet bed feature 
will be inherently stable or it is obvious that they are not properly 
secured.
    (2) 6.10 allows bassinet bed designs that:
    (i) Cannot be supported by the base/stand in an unlocked 
configuration,
    (ii) Automatically lock and cannot be placed in an unlocked position 
on the base/stand,
    (iii) Are clearly and obviously unstable when the lock/latch is 
misaligned or unused,
    (iv) Provide a visual warning to consumers when the product is not 
properly locked onto the base/stand, or
    (v) Have lock/latch mechanisms that are not necessary to provide 
needed stability.
    (B) [Reserved]

[78 FR 63034, Oct. 23, 2013; 78 FR 77574, Dec. 24, 2013]



PART 1219_SAFETY STANDARD FOR FULL-SIZE BABY CRIBS--Table of Contents



Sec.
1219.1 Scope, compliance dates, and definitions.
1219.2 Requirements for full-size baby cribs.

    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008); Sec. 3, Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 75 FR 81786, Dec. 28, 2010, unless otherwise noted.



Sec. 1219.1  Scope, compliance dates, and definitions.

    (a) Scope. This part establishes a consumer product safety standard 
for new and used full-size baby cribs.
    (b) Compliance dates. (1) Except as provided in paragraph (b)(2) of 
this section, compliance with this part 1219 shall be required on June 
28, 2011, and applies to the manufacture, sale, contract for sale or 
resale, lease, sublet, offer, provision for use, or other placement in 
the stream of commerce of a new or used full-size baby crib on or after 
that date.
    (2) Child care facilities, family child care homes, and places of 
public accommodation affecting commerce shall be required to comply with 
this part on December 28, 2012, but this provision applies only to the 
offer or provision for use of cribs by child care facilities, family 
child care homes, and places of public accommodation affecting commerce 
and not the sale, resale, or other placement in the stream of commerce 
of cribs by these entities.
    (c) Definitions. (1) Full-size baby crib means a bed that is:
    (i) Designed to provide sleeping accommodations for an infant;
    (ii) Intended for use in the home, in a child care facility, a 
family child care

[[Page 460]]

home, or place of public accommodation affecting commerce; and
    (iii) Within a range of 5.1 cm (2 in.) of the following interior dimensions: The 
interior dimensions shall be 71 1.6 cm (28 \5/8\ in.) wide as measured between the innermost 
surfaces of the crib sides and 133 1.6 cm (52\3/8\ 
\5/8\ in.) long as measured between the innermost 
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 cm (2 in.) 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 cm (4 in.) 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.
    (2) Place of public accommodation affecting commerce means any inn, 
hotel, or other establishment that provides lodging to transient guests, 
except that such term does not include an establishment treated as an 
apartment building for purposes of any State or local law or regulation 
or an establishment located within a building that contains not more 
than five rooms for rent or hire and that is actually occupied as a 
residence by the proprietor of such establishment.



Sec. 1219.2  Requirements for full-size baby cribs.

    Each full-size baby crib shall comply with all applicable provisions 
of ASTM F1169-13, Standard Consumer Safety Specification for Full-Size 
Baby Cribs, approved May 1, 2013. The Director of the Federal Register 
approves this incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. You may obtain a copy from ASTM International, 
100 Barr Harbor Drive, P.O. Box 0700, West Conshohocken, PA 19428; 
telephone 610-832-9585; www.astm.org. You may inspect a copy at the 
Office of the Secretary, U.S. Consumer Product Safety Commission, Room 
820, 4330 East West Highway, Bethesda, MD 20814, telephone 301-504-7923, 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or
go to: http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html.

[79 FR 73696, Dec. 9, 2013]



PART 1220_SAFETY STANDARD FOR NON-FULL-SIZE BABY CRIBS--
Table of Contents



Sec.
1220.1 Scope, compliance dates, and definitions.
1220.2 Requirements for non-full-size baby cribs.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008).

    Source: 75 FR 81787, Dec. 28, 2010, unless otherwise noted.



Sec. 1220.1  Scope, compliance dates, and definitions.

    (a) Scope. This part establishes a consumer product safety standard 
for new and used non-full-size baby cribs.
    (b) Compliance dates. (1) Except as provided in paragraph (b)(2) of 
this section, compliance with this part 1220 shall be required on June 
28, 2011, and applies to the manufacture, sale, contract for sale or 
resale, lease, sublet, offer, provision for use, or other placement in 
the stream of commerce of a new or used non-full-size baby crib on or 
after that date.
    (2) Child care facilities, family child care homes, and places of 
public accommodation affecting commerce shall be required to comply with 
this part on December 28, 2012, but this provision applies only to the 
offer or provision for use of cribs by child care facilities, family 
child care homes, and places of public accommodation affecting commerce 
and not the sale, resale, or other placement in the stream of commerce 
of cribs by these entities.
    (c) Definitions. (1) Non-full-size baby crib means a bed that is:
    (i) Designed to provide sleeping accommodations for an infant;

[[Page 461]]

    (ii) Intended for use in or around the home, for travel, in a child 
care facility, in a family child care home, in a place of public 
accommodation affecting commerce and other purposes;
    (iii) Has an interior length dimension either greater than 139.7 cm 
(55 in.) or smaller than 126.3 cm (49 \3/4\ in.), or, an interior width 
dimension either greater than 77.7 cm (30\5/8\ in.) or smaller than 64.3 
cm (25\3/8\ in.), or both;
    (iv) Includes, but is not limited to, the following:
    (A) 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.
    (B) Crib pen--a non-full-size baby crib with rigid sides the legs of 
which may be removed or adjusted to provide a play pen or play yard for 
a child.
    (C) Specialty crib--an unconventionally shaped (circular, hexagonal, 
etc.) non-full-size baby crib incorporating a special mattress or other 
unconventional components.
    (D) Undersize crib--a non-full-size baby crib with an interior 
length dimension smaller than 126.3 cm (49\3/4\ in.), or an interior 
width dimension smaller than 64.3 cm (25\3/8\ in.), or both.
    (E) Oversize crib--a non-full-size baby crib with an interior length 
dimension greater than 139.7 cm (55 in.), or an interior width dimension 
greater than 77.7 cm (30\5/8\ in.), or both.
    (v) Does not include 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).
    (2) Play yard means a framed enclosure that includes a floor and has 
mesh or fabric sided panels primarily intended to provide a play or 
sleeping environment for children. It may fold for storage or travel.
    (3) Place of public accommodation affecting commerce means any inn, 
hotel, or other establishment that provides lodging to transient guests, 
except that such term does not include an establishment treated as an 
apartment building for purposes of any State or local law or regulation 
or an establishment located within a building that contains not more 
than five rooms for rent or hire and that is actually occupied as a 
residence by the proprietor of such establishment.



Sec. 1220.2  Requirements for non-full-size baby cribs.

    (a) Except as provided in paragraph (b) of this section, each non-
full-size baby crib shall comply with all applicable provisions of ASTM 
F 406-10a, Standard Consumer Safety Specification for Non-Full-Size Baby 
Cribs/Play Yards, approved October 15, 2010. The Director of the Federal 
Register approves this incorporation by reference in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy from ASTM 
International, 100 Bar Harbor Drive, PO Box 0700, West Conshohocken, PA 
19428; telephone 610-832-9585; http://www.astm.org. You may inspect a 
copy at the Office of the Secretary, U.S. Consumer Product Safety 
Commission, Room 820, 4330 East West Highway, Bethesda, MD 20814, 
telephone 301-504-7923, or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html.
    (b) Comply with the ASTM F 406-10a standard with the following 
additions or exclusions:
    (1) Do not comply with sections 5.6.2 through 5.6.2.4 of ASTM F 406-
10a.
    (2) Do not comply with section 5.16.2 of ASTM F 406-10a.
    (3) Do not comply with section 6.10 of ASTM F 406-10a.
    (4) Do not comply with section 7, Performance Requirements for Mesh/
Fabric Products, of ASTM F 406-10a.
    (5) Instead of complying with section 8.10.1 of ASTM F 406-10a, 
comply with the following:
    (i) The spindle/slat static force test shall be performed with the 
spindle/slat assemblies removed from the crib and rigidly supported 
within 3 in. of each end of the upper and lower horizontal rails in a 
manner that shall not interfere with a spindle/slat deflecting under the 
applied force. For cribs incorporating foldable or moveable sides

[[Page 462]]

for purposes of easier access to the occupant, storage and/or transport, 
each side segment (portion of side separated by hinges for folding) 
shall be tested separately.
    (ii) [Reserved]
    (6) Do not comply with sections 8.11 through 8.11.2.4 of ASTM F 406-
10a.
    (7) Do not comply with sections 8.12 through 8.12.2.2 of ASTM F 406-
10a.
    (8) Do not comply with section 8.14 through 8.14.2 of ASTM F 406-
10a.
    (9) Do not comply with sections 8.15 through 8.15.3.3 of ASTM F 406-
10a.
    (10) Do not comply with sections 8.16 through 8.16.3 of ASTM F 406-
10a.
    (11) Do not comply with section 9.3.2 through 9.3.2.4 of ASTM F 406-
10a.
    (12) Instead of complying with section 9.4.2.6 of ASTM F 406-10a, 
comply with the following warning requirement:
    (i) Child can become entrapped and die when improvised netting or 
covers are placed on top of product. Never add such items to confine 
child in product.
    (ii) [Reserved]



PART 1221_SAFETY STANDARD FOR PLAY YARDS--Table of Contents



Sec.
1221.1 Scope.
1221.2 Requirements for play yards.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, section 104, 122 Stat. 3016 (August 14, 2008).

    Source: 77 FR 52228, Aug. 29, 2012, unless otherwise noted.



Sec. 1221.1  Scope.

    This part establishes a consumer product safety standard for play 
yards manufactured or imported on or after February 19, 2014.

[78 FR 50335, Aug. 19, 2013]



Sec. 1221.2  Requirements for play yards.

    (a) Except as provided in paragraph (b) of this section, each play 
yard must comply with all applicable provisions of ASTM F406-13, 
Standard Consumer Safety Specification for Non-Full-Size Baby Cribs/Play 
Yards, approved on May 1, 2013. The Director of the Federal Register 
approves this incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR Part 51. You may obtain a copy from ASTM International, 
100 Bar Harbor Drive, P.O. Box 0700, West Conshohocken, PA 19428; http:/
/www.astm.org. You may inspect a copy at the Office of the Secretary, 
U.S. Consumer Product Safety Commission, Room 820, 4330 East West 
Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go 
to:http://www.archives.gov/federal_register/code_of_federal regulations/
ibr_locations.html.
    (b) Comply with the ASTM F406-13 standard with the following 
exclusions:
    (1) Do not comply with section 5.17 of ASTM F406-13.
    (2) Do not comply with section 5.20 of ASTM F406-13.
    (3) Do not comply with section 6, Performance Requirements for 
Rigid-Sided Products, of ASTM F406-13, in its entirety.
    (4) Do not comply with sections 8.1 through 8.10.5 of ASTM F406-13.
    (5) Instead of complying with section 9.4.2.10 of ASTM F406-13, 
comply only with the following:
    (i) 9.4.2.10 For products that have a separate mattress that is not 
permanently fixed in place: Use ONLY mattress/pad provided by 
manufacturer.
    (ii) [Reserved]
    (6) Do not comply with section 10.1.1.1 of ASTM F406-13.

[78 FR 50335, Aug. 19, 2013]



PART 1222_SAFETY STANDARD FOR BEDSIDE SLEEPERS--Table of Contents



Sec.
1222.1 Scope.
1222.2 Requirements for bedside sleepers.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008); Pub. L. 112-28, 
125 Stat. 273 (August 12, 2011).

    Source: 79 FR 2589, Jan. 15, 2014, unless otherwise noted.



Sec. 1222.1  Scope.

    This part establishes a consumer product safety standard for bedside 
sleepers.

[[Page 463]]



Sec. 1222.2  Requirements for bedside sleepers.

    (a) Except as provided in paragraph (b) of this section, each 
bedside sleeper must comply with all applicable provisions of ASTM 
F2906-13, Standard Consumer Safety Specification for Bedside Sleepers, 
approved on July 1, 2013. The Director of the Federal Register approves 
this incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 
CFR part 51. You may obtain a copy from ASTM International, 100 Bar 
Harbor Drive, P.O. Box 0700, West Conshohocken, PA 19428; http://
www.astm.org/cpsc.htm. You may inspect a copy at the Office of the 
Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 East 
West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go 
to:http://www.archives.gov/federal_register/code_of_federal regulations/
ibr_locations.html.
    (b) Comply with ASTM F2906-13 with the following changes:
    (1) Instead of complying with section 5.1 of ASTM F2906-13, comply 
with the following:
    (i) Prior to or immediately after testing to this consumer safety 
specification, the bedside sleeper must be tested to 16 CFR part 1218. 
Multimode products must also be tested to each applicable standard. When 
testing to 16 CFR part 1218 the unit shall be freestanding, and not be 
secured to the test platform as dictated elsewhere in this standard.
    (ii) 5.1.1 The bassinet minimum side height shall be as required in 
16 CFR part 1218, with the exception of a lowered side rail as permitted 
in 5.4.
    (2) Instead of complying with section 7.1 of ASTM F2906-13, comply 
with the following:
    (i) All bedside sleeper products shall comply with the marking and 
labeling requirements of 16 CFR part 1218.
    (ii) [Reserved]
    (3) Instead of complying with section 8.1 of ASTM F2906-13, comply 
with the following:
    (i) All bedside sleeper products shall comply with the instructional 
literature requirements of 16 CFR part 1218.
    (ii) [Reserved]



PART 1223_SAFETY STANDARD FOR INFANT SWINGS--Table of Contents



Sec.
1223.1 Scope.
1223.2 Requirements for infant swings.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008); section 3 of 
Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 77 FR 66713, Nov. 7, 2012, unless otherwise noted.



Sec. 1223.1  Scope.

    This part establishes a consumer product safety standard for infant 
swings.



Sec. 1223.2  Requirements for infant swings.

    Each infant swing shall comply with all applicable provisions of 
ASTM F2088-13, Standard Consumer Safety Specification for Infant Swings, 
approved on January 15, 2013. The Director of the Federal Register 
approves this incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. You may obtain a copy from ASTM International, 
100 Barr Harbor Drive, PO Box 0700, West Conshohocken, PA 19428; 
telephone 610-832-9585; www.astm.org. You may inspect a copy at the 
Office of the Secretary, U.S. Consumer Product Safety Commission, Room 
820, 4330 East West Highway, Bethesda, MD 20814, telephone 301-504-7923, 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.

[78 FR 37709, June 24, 2013]



PART 1224_SAFETY STANDARD FOR PORTABLE BED RAILS--Table of Contents



Sec.
1224.1 Scope, application, and effective date.
1224.2 Requirements for portable bed rails.


[[Page 464]]


    Authority: Sections 3 and 104 of Pub. L. 110-314, 122 Stat. 3016 
(August 14, 2008).

    Source: 77 FR 12197, Feb. 29, 2012, unless otherwise noted.



Sec. 1224.1  Scope, application, and effective date.

    This part establishes a consumer product safety standard for 
portable bed rails manufactured or imported on or after August 29, 2012.



Sec. 1224.2  Requirements for portable bed rails.

    (a) Each portable bed rail as defined in ASTM F2085-12, Standard 
Consumer Safety Specification for Portable Bed Rails, approved January 
1, 2012, must comply with all applicable provisions of ASTM F2085-12. 
The Director of the Federal Register approves this incorporation by 
reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may 
obtain a copy of this ASTM standard from ASTM International, 100 Barr 
Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959 USA, 
phone: 610-832-9585; http://www.astm.org/. You may inspect copies at the 
Office of the Secretary, U.S. Consumer Product Safety Commission, Room 
820, 4330 East West Highway, Bethesda, MD 20814, telephone 301-504-7923, 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
    (b) [Reserved]



PART 1225_SAFETY STANDARD FOR HAND-HELD INFANT CARRIERS--
Table of Contents



Sec.
1225.1 Scope.
1225.2 Requirements for hand-held infant carriers.

    Authority: Pub. L. 110-314, sec. 104, 122 Stat. 3016 (August 14, 
2008).

    Source: 78 FR 73424, Dec. 6, 2013, unless otherwise noted.



Sec. 1225.1  Scope.

    This part establishes a consumer product safety standard for hand-
held infant carriers.



Sec. 1225.2  Requirements for hand-held infant carriers.

    (a) Except as provided in paragraph (b) of this section, each hand-
held infant carrier must comply with all applicable provisions of ASTM F 
2050-13a, Standard Consumer Safety Specification for Hand-Held Infant 
Carriers, approved on September 1, 2013. The Director of the Federal 
Register approves this incorporation by reference in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy from ASTM 
International, 100 Bar Harbor Drive, P.O. Box 0700, West Conshohocken, 
PA 19428; http://www.astm.org. You may inspect a copy at the Office of 
the Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 
East West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal regulations/
ibr_locations.html.
    (b) Instead of complying with section 3.1.3 of ASTM F2050-13a, 
comply with the following:
    (1) 3.1.3 hand-held infant carrier, n--a freestanding, rigid- or 
semirigid-sided product intended to carry an occupant whose torso is 
completely supported by the product to facilitate transportation by a 
caregiver by means of hand-holds or handles.
    (2) [Reserved]



PART 1226_SAFETY STANDARD FOR SOFT INFANT AND TODDLER CARRIERS--
Table of Contents



Sec.
1226.1 Scope.
1226.2 Requirements for soft infant and toddler carriers.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008); Pub. L. 112-28, 
125 Stat. 273 (August 12, 2011).

    Source: 79 FR 17433, Mar. 28, 2014, unless otherwise noted.

[[Page 465]]



Sec. 1226.1  Scope.

    This part establishes a consumer product safety standard for soft 
infant and toddler carriers.



Sec. 1226.2  Requirements for soft infant and toddler carriers.

    (a) Each soft infant and toddler carrier must comply with all 
applicable provisions of ASTM F2236-14, Standard Consumer Safety 
Specification for Soft Infant and Toddler Carriers, approved on January 
1, 2014. The Director of the Federal Register approves this 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. You may obtain a copy from ASTM International, 100 Bar Harbor 
Drive, P.O. Box 0700, West Conshohocken, PA 19428; http://www.astm.org/
cpsc.htm. You may inspect a copy at the Office of the Secretary, U.S. 
Consumer Product Safety Commission, Room 820, 4330 East West Highway, 
Bethesda, MD 20814, telephone 301-504-7923, or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (b) [Reserved]



PART 1227_SAFETY STANDARD FOR CARRIAGES AND STROLLERS--
Table of Contents



Sec.
1227.1 Scope.
1227.2 Requirements for carriages and strollers.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008); Pub. L. 112-28, 
125 Stat. 273 (August 12, 2011).

    Source: 79 FR 13216, Mar. 10, 2014, unless otherwise noted.



Sec. 1227.1  Scope.

    This part establishes a consumer product safety standard for 
carriages and strollers.



Sec. 1227.2  Requirements for carriages and strollers.

    Each carriage and stroller shall comply with all applicable 
provisions of ASTM F833-15, Standard Consumer Safety Specification for 
Carriages and Strollers, approved November 1, 2015. The Director of the 
Federal Register approves the incorporation by reference listed in this 
section in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may 
obtain a copy of this ASTM standard from ASTM International, 100 Barr 
Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959 USA; phone: 
610-832-9585; http://www.astm.org/. You may inspect a copy at the Office 
of the Secretary, U.S. Consumer Product Safety Commission, Room 820, 
4330 East West Highway, Bethesda, MD 20814, telephone 301-504-7923, or 
at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federalregulations/ibr_locations.html.

[81 FR 37132, June 9, 2016]



PART 1228_SAFETY STANDARD FOR SLING CARRIERS; (eff. 1-30-18)
--Table of Contents



Sec.
1228.1 Scope.
1228.2 Requirements for sling carriers.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008); Pub. L. 112-28, 
125 Stat. 273 (August 12, 2011).

    Effective Date Note: 82 FR 8687, Jan. 30, 2017, part 1228 was added, 
effective Jan. 30, 2018.



Sec. 1228.1  Scope.

    This part establishes a consumer product safety standard for sling 
carriers.



Sec. 1228.2  Requirements for sling carriers.

    (a) Except as provided in paragraph (b) of this section, each sling 
carrier must comply with all applicable provisions of ASTM F2907-15, 
Standard Consumer Safety Specification for Sling Carriers, approved on 
October 15, 2015. The Director of the Federal Register approves this 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. You may obtain a copy from ASTM International,

[[Page 466]]

100 Bar Harbor Drive, P.O. Box 0700, West Conshohocken, PA 19428; http:/
/www.astm.org/cpsc.htm. You may inspect a copy at the Office of the 
Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 East 
West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federalregulations/
ibr_locations.html.
    (b) In addition to complying with section 5.7.2 of ASTM F2907-15, 
comply with the following:
    (1) 5.7.3 Warning labels that are attached to the fabric with seams 
shall remain in contact with the fabric around the entire perimeter of 
the label, when the sling is in all manufacturer recommended use 
positions.
    (2) [Reserved]



PART 1229_SAFETY STANDARD FOR INFANT BOUNCER SEATS; (eff. 3-19-18)
--Table of Contents



Sec.
1229.1 Scope.
1229.2 Requirements for infant bouncer seats.

    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (15 U.S.C. 
2056a).

    Effective Date Note: At 82 FR 43480, Sept. 18, 2017, part 1229 was 
added, effective Mar. 19, 2018.



Sec. 1229.1  Scope.

    This part establishes a consumer product safety standard for infant 
bouncer seats.



Sec. 1229.2  Requirements for infant bouncer seats.

    (a) Except as provided in paragraph (b) of this section, each infant 
bouncer seat must comply with all applicable provisions of ASTM F2167-
17, Standard Consumer Safety Specification for Infant Bouncer Seats, 
approved on June 1, 2017. The Director of the Federal Register approves 
this incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 
CFR part 51. You may obtain a copy from ASTM International, 100 Bar 
Harbor Drive, P.O. Box 0700, West Conshohocken, PA 19428; http://
www.astm.org/cpsc.htm. You may inspect a copy at the Office of the 
Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 East 
West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
www.archives.gov/federal-register/cfr/ibr-locations.html.
    (b) Comply with ASTM F2167-17 with the following additions or 
exclusions:
    (1) Instead of complying with section 7.11.3.1 of ASTM F2167-17, 
comply with the following:
    (i) 7.11.3.1 Visibility With CAMI Dummy Restrained in Seat--While 
standing in front of the product with the Newborn CAMI dummy installed, 
verify that the required warnings are visible and placed above an 
imaginary horizontal line that crosses through the junctions of under 
arm and side of the torso armpits on both left and right and not 
obscured by any part of the dummy (as shown in paragraph (b)(1)(ii), 
``Fig. 10'').
    (ii) Fig. 10: CAMI Dummy Restrained in Seat; Allowable area for 
warning label placement starts from the dotted line that crosses the 
junctions of underarm and both sides of the torso.

[[Page 467]]

[GRAPHIC] [TIFF OMITTED] TR18SE17.001

    (2) In section 8.5.1.1 of ASTM F2167-17, replace the warning 
statement ``ALWAYS use restraints. Adjust to fit snugly'' with ``ALWAYS 
use restraints and adjust to fit snugly, even if baby falls asleep.''
    (3) In section 8.5.2.1 of ASTM F2167-17, replace the warning 
statement ``ALWAYS use restraints. Adjust to fit snugly'' with ``ALWAYS 
use restraints and adjust to fit snugly, even if baby falls asleep.''
    (4) In section 8.5.3 of ASTM F2167-17, replace the reference to 
``Figs. 10 and 11'' with ``Figs. 11 and 12.''
    (5) In section 9.2.1 of ASTM F2167-17:
    (i) Replace the reference to ``Fig. 12'' with ``Fig. 13.''
    (ii) Replace Fig. 10 with paragraph (b)(5)(iii), ``Fig. 11''.
    (iii) Fig. 11: Fall Hazard Warning.

[[Page 468]]

[GRAPHIC] [TIFF OMITTED] TR18SE17.002

    (iv) Replace Fig. 11 with paragraph (b)(5)(v), ``Fig. 12''.
    (v) Fig. 12: Suffocation Hazard Warning.
    [GRAPHIC] [TIFF OMITTED] TR18SE17.003
    
    (vi) Replace Fig. 12 with paragraph (b)(5)(vii), ``Fig. 13''.
    (vii) Fig. 13: Instruction Warning Statements.

[[Page 469]]

[GRAPHIC] [TIFF OMITTED] TR18SE17.004

    (6) In section 9.2.2 of ASTM F2167-17, replace the reference to 
``Fig. 12'' with ``Fig. 13.''



PART 1230_SAFETY STANDARD FOR FRAME CHILD CARRIERS--Table of Contents



Sec.
1230.1 Scope.
1230.2 Requirements for frame child carriers.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, Sec. 104, 122 Stat. 3016 (August 14, 2008); Pub. L. 112-28, 
125 Stat. 273 (August 12, 2011).

    Source: 80 FR 11121, Mar. 2, 2015, unless otherwise noted.



Sec. 1230.1  Scope.

    This part establishes a consumer product safety standard for frame 
child carriers.



Sec. 1230.2  Requirements for frame child carriers.

    Each frame child carrier must comply with all applicable provisions 
of ASTM F2549-14a, Standard Consumer Safety Specification for Frame 
Child Carriers, approved on July 1, 2014. The Director of the Federal 
Register approves this incorporation by reference in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy from ASTM 
International, 100 Bar Harbor Drive, P.O. Box 0700, West Conshohocken, 
PA 19428; http://www.astm.org. You may inspect a copy at the Office of 
the Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 
East West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.



PART 1232_SAFETY STANDARD FOR CHILDREN'S FOLDING CHAIRS AND STOOLS;
(eff. 6-15-18)--Table of Contents



Sec.
1232.1 Scope.
1232.2 Requirements for children's folding chairs and stools.

    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008); Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Effective Date Note: At 82 FR 59511, Dec. 15, 2017, part 1232 was 
added, effective June 15, 2018.

[[Page 470]]



Sec. 1232.1  Scope.

    This part establishes a consumer product safety standard for 
children's folding chairs and stools.



Sec. 1232.2  Requirements for children's folding chairs and stools.

    (a) Each children's folding chair and stool shall comply with all 
applicable provisions of ASTM F2613-17a, Standard Consumer Safety 
Specification for Children's Chairs and Stools, approved on October 1, 
2017. The Director of the Federal Register approves this incorporation 
by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You 
may obtain a copy from ASTM International, 100 Bar Harbor Drive, P.O. 
Box 0700, West Conshohocken, PA 19428; http://www.astm.org. You may 
inspect a copy at the Office of the Secretary, U.S. Consumer Product 
Safety Commission, Room 820, 4330 East West Highway, Bethesda, MD 20814, 
telephone 301-504-7923, or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal-register/cfr/ibr-locations.html.
    (b) [Reserved]



PART 1233_SAFETY STANDARD FOR PORTABLE HOOK-ON CHAIRS--
Table of Contents



Sec.
1233.1 Scope.
1233.2 Requirements for portable hook-on chairs.

    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008); Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 81 FR 17065, Mar. 28, 2016, unless otherwise noted.



Sec. 1233.1  Scope.

    This part establishes a consumer product safety standard for 
portable hook-on chairs.



Sec. 1233.2  Requirements for portable hook-on chairs.

    Each portable hook-on chair must comply with all applicable 
provisions of ASTM F1235-15, Standard Consumer Safety Specification for 
Portable Hook-On Chairs, approved on May 1, 2015. The Director of the 
Federal Register approves this incorporation by reference in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy from ASTM 
International, 100 Bar Harbor Drive, P.O. Box 0700, West Conshohocken, 
PA 19428; http://www.astm.org/cpsc.htm. You may inspect a copy at the 
Office of the Secretary, U.S. Consumer Product Safety Commission, Room 
820, 4330 East West Highway, Bethesda, MD 20814, telephone 301-504-7923, 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federalregulations/ibr_locations.html.



PART 1234_SAFETY STANDARD FOR INFANT BATH TUBS--Table of Contents



Sec.
1234.1 Scope.
1234.2 Requirements for infant bath tubs.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
L. 110-314, 104, 122 Stat. 3016 (August 14, 2008); Pub. L. 112-28, 125 
Stat. 273 (August 12, 2011).

    Source: 82 FR 15627, Mar. 30, 2017, unless otherwise noted.



Sec. 1234.1  Scope.

    This part establishes a consumer product safety standard for infant 
bath tubs.



Sec. 1234.2  Requirements for infant bath tubs.

    Each infant bath tub must comply with all applicable provisions of 
ASTM F2670-17, Standard Consumer Safety Specification for Infant Bath 
Tubs, approved on January 1, 2017. The Director of the Federal Register 
approves this incorporation by reference in accordance with 5 U.S.C. 
552(a) and 1 CFR part 51. You may obtain a copy from ASTM International, 
100 Bar Harbor Drive, P.O. Box 0700, West Conshohocken, PA 19428; http:/
/www.astm.org/. You may inspect a copy at the Office of the Secretary, 
U.S. Consumer Product Safety Commission, Room 820, 4330 East West 
Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the National 
Archives and

[[Page 471]]

Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/code_of_federalregulations/
ibr_locations.html.

                          PART 1240 [Reserved]



PART 1250_SAFETY STANDARD MANDATING ASTM F963 FOR TOYS--
Table of Contents



Sec.
1250.1 Scope.
1250.2 Requirements for toy safety.

    Authority: Pub. L. 110-314, sec. 106, 122 Stat. 3016 (August 14, 
2008); Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Source: 82 FR 8993, Feb. 2, 2017, unless otherwise noted.



Sec. 1250.1  Scope.

    This part establishes a consumer product safety standard for toys 
that mandates provisions of ASTM F963.



Sec. 1250.2  Requirements for toy safety.

    (a) Except as provided for in paragraph (b) of this section, toys 
must comply with the provisions of ASTM F963-16, Standard Consumer 
Safety Specification for Toy Safety, approved August 1, 2016. The 
Director of the Federal Register approves the incorporation by reference 
listed in this section in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51. You may obtain a copy of this ASTM standard from ASTM International, 
100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959 
USA; phone: 610-832-9585; http://www.astm.org/. You may inspect a copy 
at the Office of the Secretary, U.S. Consumer Product Safety Commission, 
Room 820, 4330 East-West Highway, Bethesda, MD 20814, telephone 301-504-
7923, or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federalregulations/ibr_locations.html.
    (b) Pursuant to section 106(a) of the Consumer Product Safety 
Improvement Act of 2008 section 4.2 and Annex 5 or any provision of ASTM 
F963 that restates or incorporates an existing mandatory standard or ban 
promulgated by the Commission or by statute or any provision that 
restates or incorporates a regulation promulgated by the Food and Drug 
Administration or any statute administered by the Food and Drug 
Administration are not part of the mandatory standard incorporated in 
paragraph (a) of this section.

    Effective Date Note: At 82 FR 57123, Dec. 4, 2017, Sec. 1250.2 was 
amended by revising paragraph (a) and adding paragraph (c), effective 
Feb. 28, 2018. For the convenience of the user, the added and revised 
text follows:



Sec. 1250.2  Requirements for toy safety.

    (a) Except as provided for in paragraphs (b) and (c) of this 
section, toys must comply with the provisions of ASTM F963-17, Standard 
Consumer Safety Specification for Toy Safety, approved May 1, 2017. The 
Director of the Federal Register approves the incorporation by reference 
listed in this section in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51. You may obtain a copy of this ASTM standard from ASTM International, 
100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959 
USA; phone: 610-832-9585; http://www.astm.org/. You may inspect a copy 
at the Office of the Secretary, U.S. Consumer Product Safety Commission, 
Room 820, 4330 East West Highway, Bethesda, MD 20814, telephone 301-504-
7923, or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federalregulations/ibr_locations.html.

                                * * * * *

    (c) Instead of complying with section 8.20.1.5(5) of ASTM F963-17, 
comply with the following:
    (1) Floor and tabletop toys that move, where the sound is caused as 
a result of the movement imparted on the toy (for example, a noise 
making mechanism attached to an axle of a toy vehicle) shall be tested 
using the method for push and pull toys. In addition to the C-weighted 
peak measurement maximum A-weighted sound pressure level, 
LAFmax, shall be made and compared to the requirements of 
4.5.1.2.
    (2) [Reserved]

[[Page 472]]



PART 1251_TOYS: DETERMINATIONS REGARDING HEAVY ELEMENTS LIMITS FOR
CERTAIN MATERIALS--Table of Contents



Sec.
1251.1 The toy standard and testing requirements.
1251.2 Wood.

    Authority: Sec. 3, Pub. L. 110-314, 122 Stat. 3016; 15 U.S.C. 
2063(d)(3)(B).

    Source: 80 FR 78656, Dec. 17, 2015, unless otherwise noted.



Sec. 1251.1  The toy standard and testing requirements.

    The Consumer Product Safety Improvement Act of 2008 (``CPSIA'') made 
provisions of ASTM F963, Consumer Product Safety Specifications for Toy 
Safety (``toy standard''), a mandatory consumer product safety standard. 
15 U.S.C. 2056b. The toy standard requires that surface coating 
materials and accessible substrates of toys that can be sucked, mouthed, 
or ingested, must comply with solubility limits that the toy standard 
establishes for eight heavy elements. Materials used in toys subject to 
the heavy elements limits in the toy standard must comply with the third 
party testing requirements of section 14(a)(2) of the Consumer Product 
Safety Act (``CPSA''), unless listed in Sec. 1251.2.



Sec. 1251.2  Wood.

    (a) Unfinished and untreated wood does not exceed the limits for the 
heavy elements established in the toy standard with a high degree of 
assurance as that term is defined in 16 CFR part 1107, provided that the 
material has been neither treated nor adulterated with materials that 
could result in the addition of any of the heavy elements listed in the 
toy standard at levels above their respective solubility limits.
    (b) For purposes of this section, unfinished and untreated wood 
means wood harvested from the trunks of trees with no added surface 
coatings (such as, varnish, paint, shellac, or polyurethane) and no 
materials added to the wood substrate (such as, stains, dyes, 
preservatives, antifungals, or insecticides). Unfinished and untreated 
wood does not include manufactured or engineered woods (such as pressed 
wood, plywood, particle board, or fiberboard).



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 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.

[[Page 473]]

    (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.
    (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

[[Page 474]]

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 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

[[Page 475]]

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.
    (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.)

[[Page 476]]

[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 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

[[Page 477]]

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 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,

[[Page 478]]

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 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

[[Page 479]]

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 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

[[Page 480]]

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 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

[[Page 481]]

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, 
122 Stat. 3016, (15 U.S.C. 2057, 2058), Sec. 101, 122 Stat. 3016.

    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 (0.06 percent is 
reduced to 0.009 percent effective August 14, 2009 as mandated by 
Congress in section 101(f) of the Consumer Product Safety Improvement 
Act of 2008, Pub. L. 110-314) 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. 
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 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 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 that no feasible consumer product safety 
standard under the CPSA would adequately protect the public from this 
risk. The 0.06 percent is reduced to

[[Page 482]]

0.009 percent effective August 14, 2009 as mandated by Congress in 
section 101(f) of the Consumer Product Safety Improvement Act of 2008, 
Public Law 110-314.
    (d) Any ban or rule promulgated under 16 CFR 1303.1 shall be 
considered a regulation of the Commission promulgated under or for the 
enforcement of section 2(q) of the Federal Hazardous Substances Act (15 
U.S.C. 1261(q)).

[42 FR 44199, Sept. 1, 1977, as amended at 73 FR 77493, Dec. 19, 2008]



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 
(0.06 percent is reduced to 0.009 percent effective August 14, 2009) 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.

[42 FR 44199, Sept. 1, 1977, as amended at 73 FR 77493, Dec. 19, 2008]



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:

[[Page 483]]

    (1) Agricultural and industrial equipment refinish coatings.
    (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.

[[Page 484]]

    (5) Former U.S. Surgeon-General Jesse L. Steinfeld, however, 
estimated in 1971 that 400,000 pre-school American 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

[[Page 485]]

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. 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

[[Page 486]]

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 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.

[[Page 487]]

In addition, all other consumer patching compounds containing 
intentionally-added, respirable free-form asbestos, no matter when 
manufactured or initially introduced into commerce, 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

[[Page 488]]

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-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

[[Page 489]]

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.



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

[[Page 490]]

mesothelioma. Measurements are not available of the amounts of asbestos 
in the air from asbestos-containing 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

[[Page 491]]

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, 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

[[Page 492]]

from other products. Lawn darts will not be available through commercial 
channels after the effective date of the ban.
    (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 1307_PROHIBITION OF CHILDREN'S TOYS AND CHILD CARE ARTICLES 
CONTAINING SPECIFIED PHTHALATES; (eff. 4-25-18)--Table of Contents



Sec.
1307.1 Scope and application.
1307.2 Definitions.
1307.3 Prohibition on children's toys and child care articles containing 
          specified phthalates.

    Authority: Sec. 108, Pub. L. 110-314, 122 Stat. 3016 (August 14, 
2008); Pub. L. 112-28, 125 Stat. 273 (August 12, 2011).

    Effective Date Note: At 82 FR 49982, Oct. 27, 2017, part 1307 was 
added, effective Apr. 25, 2018.



Sec. 1307.1  Scope and application.

    This part prohibits the manufacture for sale, offer for sale, 
distribution in commerce or importation into the United States of any 
children's toy or child care article containing any of the phthalates 
specified in Sec. 1307.3.



Sec. 1307.2  Definitions.

    The definitions of the Consumer Product Safety Act (CPSA) (15 U.S.C. 
2052(a)) and the Consumer Product Safety Improvement Act of 2008 (CPSIA) 
(Pub. L. 110-314, sec. 108(g)) apply to this part. Specifically, as 
defined in the CPSIA:
    (a) Children's toy means a consumer product designed or intended by 
the manufacturer for a child 12 years of age or younger for use by the 
child when the child plays.
    (b) Child care article means a consumer product designed or intended 
by the manufacturer to facilitate sleep or the feeding of children age 3 
and younger, or to help such children with sucking or teething.



Sec. 1307.3  Prohibition of children's toys and child care articles
containing specified phthalates.

    (a) As provided in section 108(a) of the CPSIA, the manufacture for 
sale, offer for sale, distribution in commerce, or importation into the 
United States of any children's toy or child care article that contains 
concentrations of more than 0.1 percent of di-(2-ethyhexyl) phthalate 
(DEHP), dibutyl phthalate (DBP), or benzyl butyl phthalate (BBP) is 
prohibited.

[[Page 493]]

    (b) In accordance with section 108(b)(3) of the CPSIA, the 
manufacture for sale, offer for sale, distribution in commerce, or 
importation into the United States of any children's toy or child care 
article that contains concentrations of more than 0.1 percent of 
diisononyl phthalate (DINP), diisobutyl phthalate (DIBP), di-n-pentyl 
phthalate (DPENP), di-n-hexyl phthalate (DHEXP), and dicyclohexly 
phthalate (DCHP) is prohibited.
    (c) In accordance with section 108(c) of the CPSIA, the restrictions 
stated in paragraphs (a) and (b) of this section apply to any 
plasticized component part of a children's toy or child care article or 
any other component part of a children's toy or child care article that 
is made of other materials that may contain phthalates.



PART 1308_PROHIBITION OF CHILDREN'S TOYS AND CHILD CARE ARTICLES 
CONTAINING SPECIFIED PHTHALATES: DETERMINATIONS REGARDING CERTAIN
PLASTICS--Table of Contents



Sec.
1308.1 Prohibited children's toys and child care articles containing 
          specified phthalates and testing requirements.
1308.2 Determinations for specified plastics.

    Authority: Sec. 3, Pub. L. 110-314, 122 Stat. 3016; 15 U.S.C. 
2063(d)(3)(B).

    Source: 82 FR 41171, Aug. 30, 2017, unless otherwise noted.



Sec. 1308.1  Prohibited children's toys and child care articles 
containing specified phthalates and testing requirements.

    Section 108(a) of the Consumer Product Safety Improvement Act of 
2008 (CPSIA) permanently prohibits any children's toy or child care 
article that contains concentrations of more than 0.1 percent of di-(2-
ethylhexl) phthalate (DEHP), dibutyl phthalate (DBP), or benzyl butyl 
phthalate (BBP). Section 108(b)(1) of the CPSIA prohibits on an interim 
basis any children's toy that can be placed in a child's mouth or child 
care article that contains concentrations of more than 0.1 percent of 
diisononyl phthalate (DINP), diisodecyl phthalate (DIDP), or di-n-octyl 
phthalate (DnOP). Materials used in children's toys and child care 
articles subject to section 108(a) and (b)(1) of the CPSIA must comply 
with the third party testing requirements of section 14(a)(2) of the 
Consumer Product Safety Act (CPSA), unless listed in Sec. 1308.2.



Sec. 1308.2  Determinations for specified plastics.

    (a) The following plastics do not exceed the phthalates content 
limits with a high degree of assurance as that term is defined in 16 CFR 
part 1107:
    (1) Polypropylene (PP), with any of the following additives:
    (i) The plasticizers polybutenes, dioctyl sebacate, isooctyl 
tallate, paraffinic, naphthenic, and mineral plasticizing oils, and 
polyol;
    (ii) Unrecovered catalysts;
    (iii) Fillers;
    (iv) Primary and secondary antioxidants;
    (v) Neutralizing agents;
    (vi) Antistatic agents;
    (vii) Slip agents;
    (viii) Metal deactivators;
    (ix) Quenchers;
    (x) UV stabilizers;
    (xi) Nucleating agents;
    (xii) Flame retardants;
    (xiii) Blowing or foaming agents;
    (xiv) Antiblocking agents;
    (xv) Lubricants; or
    (xvi) Colorants.
    (2) Polyethylene (PE), with any of the following additives:
    (i) The plasticizers glyceryl tribenzoate, polyethylene glycol, 
sunflower oil, paraffin wax, paraffin oil, mineral oil, glycerin, EPDM 
rubber, and EVA polymer;
    (ii) Initiators;
    (iii) Promoters;
    (iv) Unrecovered catalysts;
    (v) Fillers;
    (vi) Antistatic agents;
    (vii) Flame retardants;
    (viii) Anti-blocking agents;
    (ix) Slip agents;
    (x) Blowing agents;
    (xi) Cross-linking agents;
    (xii) Antioxidants;
    (xiii) Carbon black; or
    (xiv) Colorants.
    (3) General purpose polystyrene (GPPS), medium-impact polystyrene 
(MIPS), high-impact polystyrene

[[Page 494]]

(HIPS), and super high-impact polystyrene (SHIPS) with any of the 
following additives:
    (i) Unrecovered catalysts;
    (ii) Internal lubricants;
    (iii) Chain transfer/transition agents;
    (iv) Stabilizers;
    (v) Diluents;
    (vi) Colorants;
    (vii) Aluminum chloride, ethyl chloride, hydrochloric acid;
    (viii) Iron oxide, potassium oxide, chromium oxide; or
    (ix) Bifunctional peroxides.
    (4) Acrylonitrile butadiene styrene (ABS), with any of the following 
additives:
    (i) The plasticizers hydrocarbon processing oil, triphenyl 
phosphate, resorcinol bis(diphenyl phosphate), oligomeric phosphate, 
long chain fatty acid esters and aromatic sulfonamide;
    (ii) Stabilizers;
    (iii) Lubricants;
    (iv) Antioxidants;
    (v) Molecular weight regulators;
    (vi) Initiators/unrecovered catalysts,
    (vii) Activators;
    (viii) Emulsifiers; or
    (ix) Colorants.
    (b) Accessible component parts of children's toys and child care 
articles made with the specified plastics, and specified additives, 
listed in paragraph (a) of this section are not required to be third 
party tested pursuant to section 14(a)(2) of the CPSA and 16 CFR part 
1107.
    (c) Accessible component parts of children's toys and child care 
articles made with a plastic or additives not listed in paragraph (a) of 
this section that are plasticized or may contain phthalates are required 
to be third party tested pursuant to section 14(a)(2) of the CPSA and 16 
CFR part 1107.



    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 Commission's 
jurisdiction. Scientific research has indicated that chlorofluorocarbons 
may pose a risk of depletion of ozone in the stratosphere.

[[Page 495]]

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 496]]



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 497]]

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 National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. 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 National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
    (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 National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. 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

[[Page 498]]

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 
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

[[Page 499]]

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 
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]



   Sec. 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.

[[Page 500]]

    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:
    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

[[Page 501]]

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.
    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

[[Page 502]]

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 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

[[Page 503]]

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 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.

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

[[Page 504]]

    (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-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

[[Page 505]]

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 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.

[[Page 506]]

 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 underlined blank spaces or by 
asterisks. The Commission recommends the ``two label'' format shown in 
Fig. 1.
[GRAPHIC] [TIFF OMITTED] TC03OC91.049


[[Page 507]]


[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.
     ``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:
     ``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.''
     ``Overfiring the appliance may cause a house 
fire. If a unit or chimney connector glows, you are overfiring.''
     ``Never use gasoline or other flammable liquids 
to start or `freshen up' a fire.''
     ``Dispose of ashes in a metal container.''

                      II. Installation Instructions

    A. The parts and materials required, including:
     The size and type of chimney to which the 
appliance is to be connected.
     The size and thickness or gage of metal of the 
chimney connector.
     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:
     Clearances from the appliance and chimney 
connector to combustibles,
     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 508]]

     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,
     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 509]]

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]



PART 1407_PORTABLE GENERATORS: REQUIREMENTS TO PROVIDE PERFORMANCE
AND TECHNICAL DATA BY LABELING--Table of Contents



Sec.
1407.1 Purpose, scope, and effective date.
1407.2 Definitions.
1407.3 Providing performance and technical data to purchasers by 
          labeling.

Figure 1 to Part 1407--On-product carbon monoxide poisoning hazard label
Figure 2 to Part 1407--Safety alert symbol
Figure 3 to Part 1407--Carbon monoxide poisoning hazard label for 
          package

    Authority: 15 U.S.C. 2076(e).

    Source: 72 FR 1450, Jan. 12, 2007, unless otherwise noted.



Sec. 1407.1  Purpose, scope, and effective date.

    This part 1407 establishes requirements under section 27(e) of the 
Consumer Product Safety Act (15 U.S.C. 2076(e)) for manufacturers to 
provide consumers with a specified notification concerning the carbon 
monoxide poisoning hazard associated with the use of portable 
generators. The notification is intended to provide consumers with 
technical and performance information related to the safety of portable 
generators. This part applies to any generator manufactured or imported 
on or after May 14, 2007.



Sec. 1407.2  Definitions.

    (a) The definitions in section 3 of the Consumer Product Safety Act 
(15 U.S.C. 2052) apply to this part 1407.
    (b) A portable generator is an internal combustion engine-driven 
electric generator rated no higher than 15 kilowatts and 250 volts that 
is intended to be moved for temporary use at a location where utility-
supplied electric power is not available. It has receptacle outlets for 
the alternating-current (AC) output circuits, and may have alternating- 
or direct-current (DC) sections for supplying energy to battery charging 
circuits.



Sec. 1407.3  Providing performance and technical data to purchasers
by labeling.

    (a) Notice to purchasers. Manufacturers of portable generators 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 other than resale, in the manner set forth below.
    (1) On-product label. The CO poisoning hazard label shown in fig. 1 
shall be used on the product. A different representation of the 
generator may be substituted for accuracy if consumers are more likely 
to recognize the substituted representation as the generator to which 
this label is affixed. Alternate-language versions of this label may 
appear on the product in addition to the label specified in figure 1. If 
the product label is also provided by the manufacturer in additional 
language(s), it shall appear adjacent to or below the English-language 
version of the product label, and shall be no larger than the English-
language version of the label. Versions of the product label that are in 
a language other than English may appear without the pictograms that 
appear in the English-language versions.
    (i) The signal word ``DANGER'' shall be in letters not less than 
0.15 inch (3.8 mm) high. The remaining text shall be

[[Page 510]]

in type whose uppercase letters are not less than 0.1 inch (2.5 mm) 
high.
    (ii) The signal word ``DANGER'' shall appear in white letters on a 
safety red background. The safety alert symbol shown in fig. 2 shall 
appear immediately before and next to the signal word and be no smaller 
than the height of the signal word with the base of the triangle on the 
same horizontal line as the base of the signal word. The solid portion 
of the triangle (within the lines of the triangle, around the 
exclamation mark) shall be white and the exclamation mark shall be 
safety red. The prohibition circle-slash symbols shall be opaque.
    (iii) The on-product hazard label shown in fig. 1 shall be located:
    (A) On a part of the portable generator that cannot be removed 
without the use of tools, and
    (B) On a location that is prominent and conspicuous to an operator 
while performing at least two of the following actions: Filling the fuel 
tank, accessing the receptacle panel, and starting the engine.
    (iv) The on-product hazard label shown in fig. 1 shall be designed 
to remain permanently affixed, intact, legible, and largely unfaded in 
the environment in which the product is expected to be operated and 
stored over the life of the product.
    (2) Carbon monoxide poisoning hazard label for package. The CO 
poisoning hazard label shown in fig. 3 shall be affixed to the principal 
display panel(s) of the package, as well as the surface containing the 
top flaps of the package. The principal display panel(s) of the package 
is the portion(s) of the outer packaging that is designed to be most 
prominently displayed, shown, presented, or examined under conditions of 
retail sale. Any panel of the package that includes text in a language 
other than English shall also include a CO poisoning hazard label in 
that language. Alternate-language versions of the label, in addition to 
the label specified in figure 3, may also appear on the top flaps of the 
package as long as they are physically separate from one another. A 
different representation of the generator may be substituted for 
accuracy if consumers are more likely to recognize the substituted 
representation as the generator contained within the packaging.
    (i) The signal word ``DANGER'' shall be in letters not less than 
0.15 inch (3.8 mm) high. The remaining text shall be in type whose 
uppercase letters are not less than 0.1 inch (2.5 mm) high.
    (ii) The signal word ``DANGER'' shall appear in white letters on a 
safety red background. The safety alert symbol shown in fig. 2 shall 
appear immediately before and next to the signal word and be no smaller 
than the height of the signal word with the base of the triangle on the 
same horizontal line as the base of the signal word. The solid portion 
of the triangle (within the lines of the triangle, around the 
exclamation mark) shall be white and the exclamation mark shall be 
safety red. The prohibition circle-slash symbols shall be opaque.
    (b) [Reserved]

[[Page 511]]

[GRAPHIC] [TIFF OMITTED] TR18JA07.006

[GRAPHIC] [TIFF OMITTED] TR18JA07.007


[[Page 512]]


[GRAPHIC] [TIFF OMITTED] TR18JA07.008


[72 FR 1450, Jan. 12, 2007, as amended at 72 FR 2184, Jan. 18, 2007]



PART 1420_REQUIREMENTS FOR ALL TERRAIN VEHICLES--Table of Contents



Sec.
1420.1 Scope, application and effective date.
1420.2 Definitions.
1420.3 Requirements for four-wheel ATVs.
1420.4 Restrictions on three-wheel ATVs.

    Authority: The Consumer Product Safety Improvement Act of 2008, Pub. 
Law 110-314, Sec. 232, 122 Stat. 3016 (August 14, 2008).

    Source: 73 FR 67386, Nov. 14, 2008, unless otherwise noted.



Sec. 1420.1  Scope, application and effective date.

    This part 1420, a consumer product safety standard, prescribes 
requirements for all terrain vehicles. The requirements for four-wheel 
ATVs in Sec. 1420.3 take effect on April 30, 2012, and apply to new 
assembled or unassembled ATVs manufactured or imported on or after that 
date. The restrictions on three-wheel ATVs stated in Sec. 1420.4 take 
effect September 13, 2008.

[73 FR 67386, Nov. 14, 2008, as amended at 77 FR 12200, Feb. 29, 2012]



Sec. 1420.2  Definitions.

    In addition to the definitions in section 3 of the Consumer Product 
Safety Act (15 U.S.C. 2052), the following definitions apply for 
purposes of this Part 1420.
    (a) All terrain vehicle or ATV means:
    (1) Any motorized, off-highway vehicle designed to travel on 3 or 4 
wheels, having a seat designed to be straddled by the operator and 
handlebars for steering control; but
    (2) Does not include a prototype of a motorized, off-highway, all-
terrain vehicle that is intended exclusively for research and 
development purposes unless the vehicle is offered for sale.
    (b) ATV action plan means a written plan or letter of undertaking 
that describes actions the manufacturer or distributor agrees to take to 
promote ATV safety, including rider training, dissemination of safety 
information, age recommendations, other policies governing marketing and 
sale of the ATVs, the monitoring of such sales, and other safety related 
measures, and that is substantially similar to the

[[Page 513]]

plans described under the heading ``The Undertakings of the Companies'' 
in the Commission Notice published in the Federal Register on September 
9, 1998 (63 FR 48199-48204).



Sec. 1420.3  Requirements for four-wheel ATVs.

    (a) Each ATV shall comply with all applicable provisions of the 
American National Standard for Four-Wheel All-Terrain Vehicles (American 
National Standards Institute, Inc. ANSI/SVIA 1-2010), approved December 
23, 2010. The Director of the Federal Register approves this 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. You may obtain a copy from the Specialty Vehicle Institute of 
America, 2 Jenner, Suite 150, Irvine, CA 92618-3806; telephone 949-727-
3727 ext.3023; www.svia.org. You may inspect a copy at the Office of the 
Secretary, U.S. Consumer Product Safety Commission, Room 820, 4330 East 
West Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (b) Each ATV must be subject to an ATV action plan filed with the 
Commission before August 14, 2008 or subsequently filed with and 
approved by the Commission, and shall bear a label certifying such 
compliance and identifying the manufacturer, importer or private labeler 
and the ATV action plan to which it is subject.
    (c) The ATV manufacturer or distributor shall be in compliance with 
all provisions of the applicable ATV action plan.

[73 FR 67386, Nov. 14, 2008, as amended at 77 FR 12200, Feb. 29, 2012]



Sec. 1420.4  Restrictions on three-wheel ATVs.

    Until a mandatory consumer product safety standard applicable to 
three-wheel ATVs promulgated pursuant to the Consumer Product Safety Act 
is in effect, new three wheel ATVs may not be imported into or 
distributed in commerce in the United States.



PART 1450_VIRGINIA GRAEME BAKER POOL AND SPA SAFETY ACT REGULATIONS
--Table of Contents



Sec.
1450.1-1450.2 [Reserved]
1450.3 Incorporation by reference.

    Authority: 15 U.S.C. 2051-2089, 86 Stat. 1207; 15 U.S.C. 8001-8008, 
121 Stat. 1794.

    Source: 75 FR 21987, Apr. 27, 2010, unless otherwise noted.



Sec. Sec. 1450.1-1450.2  [Reserved]



Sec. 1450.3  Incorporation by reference.

    (a) Each swimming pool or spa drain cover manufactured, distributed, 
or entered into commerce in the United States shall conform to the 
entrapment protection standards of ANSI/APSP-16 2011, Suction Fittings 
for Use in Swimming Pools, Wading Pools, Spas, and Hot Tubs, approved on 
February 17, 2011. The Director of the Federal Register approves this 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. You may obtain a copy from the Association of Pool & Spa 
Professionals, 2111 Eisenhower Avenue, Alexandria, Virginia 22314; 
http://www.apsp.org, telephone 703-838-0083. You may inspect a copy at 
the Office of the Secretary, U.S. Consumer Product Safety Commission, 
Room 820, 4330 East West Highway, Bethesda, MD 20814, telephone 301-504-
7923, or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030 or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
    (b) [Reserved]

[76 FR 47438, July 5, 2011]



PART 1460_CHILDREN'S GASOLINE BURN PREVENTION ACT REGULATION--
Table of Contents



Sec.
1460.1 Scope and application.
1460.2 Definition.
1460.3 Requirements for child-resistance for closures on portable 
          gasoline containers.

    Authority: Sec. 2, Pub. L. 110-278, 122 Stat. 2602.

[[Page 514]]


    Source: 80 FR 16963, Mar. 31, 2015, unless otherwise noted.



Sec. 1460.1  Scope and application.

    In accordance with the Children's Gasoline Burn Prevention Act, 
portable gasoline containers must comply with the requirements specified 
in Sec. 1460.3, which are considered to be a consumer product safety 
rule.



Sec. 1460.2  Definition.

    Portable gasoline container means any portable gasoline container 
intended for use by consumers.



Sec. 1460.3  Requirements for child-resistance for closures on
portable gasoline containers.

    Each portable gasoline container manufactured on or after April 12, 
2015 for sale in the United States shall conform to the child-resistance 
requirements for closures on portable gasoline containers specified in 
sections 2 through 6 of ASTM F2517-15 (including Appendixes X2 and X3 
referenced therein), Standard Specification for Determination of Child 
Resistance of Portable Fuel Containers for Consumer Use, approved on 
January 1, 2015. The Director of the Federal Register approves the 
incorporation by reference listed in this section in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of these ASTM 
standards from ASTM International, 100 Barr Harbor Drive, PO Box C700, 
West Conshohocken, PA 19428-2959 USA, telephone: 610-832-9585; http://
www.astm.org/. You may inspect copies at the Office of the Secretary, 
U.S. Consumer Product Safety Commission, Room 820, 4330 East West 
Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.

    Effective Date Note: At 82 FR 58730, Dec. 14, 2017, Sec. 1460.3 was 
revised, effective Jan. 12, 2018. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 1460.3  Requirements for child-resistance for closures on portable 
          gasoline containers.

    Each portable gasoline container manufactured on or after January 
12, 2018 for sale in the United States shall conform to the child-
resistance requirements for closures on portable gasoline containers 
specified in sections 2 through 6 of ASTM F2517-17 (including Appendices 
X1, X3, and X4), Standard Specification for Determination of Child 
Resistance of Portable Fuel Containers for Consumer Use, approved on 
October 1, 2017. The Director of the Federal Register approves the 
incorporation by reference listed in this section in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of these ASTM 
standards from ASTM International, 100 Barr Harbor Drive, PO Box C700, 
West Conshohocken, PA 19428-2959 USA; telephone: 610-832-9585; http://
www.astm.org/. You may inspect copies at the Office of the Secretary, 
U.S. Consumer Product Safety Commission, Room 820, 4330 East West 
Highway, Bethesda, MD 20814, telephone 301-504-7923, or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
www.archives.gov/federal-register/cfr/ibr-locations.html.

[[Page 515]]



        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.
1500.20 Labeling requirement for advertising toys and games.
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.
1500.48 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.
1500.87 Children's products containing lead: inaccessible component 
          parts.
1500.88 Exemptions from lead limits under section 101 of the Consumer 
          Product Safety Improvement Act for certain electronic devices.
1500.89 Procedures and requirements for determinations regarding lead 
          content of materials or products under section 101(a) of the 
          Consumer Product Safety Improvement Act.
1500.90 Procedures and requirements for exclusions from lead limits 
          under section 101(b) of the Consumer Product Safety 
          Improvement Act.
1500.91 Determinations regarding lead content for certain materials or 
          products under section 101 of the Consumer Product Safety 
          Improvement Act.
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.

[[Page 516]]

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.
1500.232 Statement on animal testing policy.

                                 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.

    Authority: 15 U.S.C. 1261-1278, 122 Stat. 3016; the Consumer Product 
Safety Improvement Act of 2008, Pub. L. 110-314, Sec. 104, 122 Stat. 
3016 (August 14, 2008).

    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,

[[Page 517]]

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.
    (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

[[Page 518]]

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 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

[[Page 519]]

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 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, and 
to emphasize in vitro testing methods, 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:

[[Page 520]]

    (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 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.
    (iii) A substance that produces a result of `highly toxic' in any of 
the approved test methods described in the CPSC's animal testing policy 
set forth in 16 CFR 1500.232, including data from in vitro or in silico 
test methods that the Commission has approved; or a validated weight-of-
evidence analysis comprising all of the following that are available: 
existing human and animal data, structure activity relationships, 
physicochemical properties, and chemical reactivity data.
    (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. ``Toxic'' applies to any 
substance that is ``toxic'' (but not ``highly toxic'') on the basis of 
human experience. The following categories are not intended to be 
inclusive.
    (i) 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 can 
be labeled as such, based on the outcome of any of the approved test 
methods described in the CPSC's animal testing policy set forth in 16 
CFR 1500.232, including data from, including data from in vitro or in 
silico test methods that the Commission has approved; or a validated 
weight-of-evidence analysis comprising all of the following that are 
available: existing human and animal data, structure activity 
relationships, physicochemical properties, and chemical reactivity data.
    (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) 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 a weight-of-evidence analysis 
suggests that it is corrosive, or validated in vitro test method 
suggests that it is corrosive, or if, when tested by the in vivo 
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. A substance 
could also be labeled corrosive based on the outcome of any of the 
approved test methods described in the CPSC's animal testing policy set 
forth in 16 CFR 1500.232, including data from in vitro or in silico test 
methods that the Commission has approved; or a validated weight-of-
evidence analysis

[[Page 521]]

comprising all of the following that are available: Existing human and 
animal data, structure activity relationships, physicochemical 
properties, and chemical reactivity data.
    (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 
1500.41; and/or a substance that can be considered a primary irritant 
based on the outcome of any of the approved test methods described in 
the CPSC's animal testing policy set forth in 16 CFR 1500.232, including 
data from in vitro or in silico test methods that the Commission has 
approved; or a validated weight-of-evidence analysis comprising all of 
the following that are available: existing human and animal data, 
structure activity relationships, physicochemical properties, and 
chemical reactivity data. 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 1500.42; and/or means a substance that can be 
considered an eye irritant based on the outcome of any of the approved 
test methods described in the CPSC's animal testing policy set forth in 
16 CFR 1500.232, including data from in vitro or in silico test methods 
that the Commission has approved; or a validated weight-of-evidence 
analysis comprising all of the following that are available: existing 
human and animal data, structure activity relationships, physicochemical 
properties, and chemical reactivity data.
    (5) The definition of strong sensitizer in section 2(k) of the 
Federal Hazardous Substances Act (restated in paragraph (b)(9) of this 
section) is supplemented by the following definitions:
    (i) Sensitizer. A sensitizer is a substance that is capable of 
inducing a state of immunologically mediated hypersensitivity (including 
allergic photosensitivity) following a variable period of exposure to 
that substance. Hypersensitivity to a substance will become evident by 
an allergic reaction elicited upon reexposure to the same substance.
    (ii) Significant potential for causing hypersensitivity. (A) Before 
designating any substance a ``strong sensitizer,'' the Commission shall 
find that the substance has significant potential for causing 
hypersensitivity. Significant potential for causing hypersensitivity is 
a relative determination that must be made separately for each 
substance. The determination may be based on documented medical evidence 
of hypersensitivity reactions upon subsequent exposure to the same 
substance obtained from epidemiological surveys or case histories; 
controlled in vivo or in vitro experimental studies; susceptibility 
profiles (e.g., genetics, age, gender, atopic status) in non-sensitized 
or allergic subjects; and chemical or functional properties of the 
substance.
    (B) In determining whether a substance is a ``strong'' sensitizer, 
the Commission shall consider the available data for a number of 
factors, following a weight-of-evidence approach. The following factors 
(if available), ranked in descending order of importance, should be 
considered: well-conducted clinical and diagnostic studies, 
epidemiological studies, with a preference for general population 
studies over occupational studies, well-conducted animal studies, well-
conducted in vitro test studies, cross-reactivity data, and case 
histories.
    (C) Additional consideration may be given to Quantitative Structure-
Activity Relationships (QSARs), in silico data, specific human 
sensitization threshold values, other data on potency and sensitizer 
bioavailability, if data are available and the methods validated. 
Bioavailability is the dose of the allergen available to interact with a 
tissue. Bioavailability is a reflection of how well the skin or another 
organ can absorb the allergen and the actual penetrating ability of the 
allergen, including factors such as size and composition of the 
chemical.

[[Page 522]]

    (D) Criteria for a ``well-conducted'' study would include: validated 
outcomes, relevant dosing, route of administration, and use of 
appropriate controls. Studies should be carried out according to 
national and/or international test guidelines and according to good 
laboratory practice (GLP), compliance with good clinical practice (GCP), 
and good epidemiological practice (GEP).
    (E) Before the Commission designates any substance as a ``strong'' 
sensitizer, frequency of occurrence and range of severity of reactions 
in exposed subpopulations having average or high susceptibility will be 
considered. The minimal severity of a reaction for the purpose of 
designating a material as a ``strong sensitizer'' is a clinically 
important reaction. A clinically important reaction would be considered 
one with a significant impact on quality of life. Consideration should 
be given to the location of the hypersensitivity response, such as the 
face, hands, and feet as well as persistence of clinical manifestations. 
For example, strong sensitizers may produce substantial illness, 
including any or all of the following: substantial physiological 
effects, such as discomfort and distress, substantial hardship, 
functional or structural impairment, persistent morbidity, or in rare 
cases, mortality.
    (iii) Normal living tissue. The allergic hypersensitivity reaction 
occurs in normal living tissues, including the skin, mucous membranes 
(e.g., ocular, oral), and other organ systems, such as the respiratory 
tract and 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 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

[[Page 523]]

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.
    (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

[[Page 524]]

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 
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; 77 FR 
73293, Dec. 10, 2012; 79 FR 8831, Feb. 14, 2014]



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

[[Page 525]]

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) Metal-cored candlewicks that have a lead content of more than 
0.06 percent of the total weight of the metal core, and candles made 
with such wicks.
    (b) [Reserved]

[38 FR 27012, Sept. 27, 1973, as amended at 68 FR 19147, Apr. 18, 2003]



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 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.

[[Page 526]]

    (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 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


[[Page 527]]


    (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 ``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.

[[Page 528]]

                          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.

                                 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.


[[Page 529]]


    (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.
    (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,

[[Page 530]]

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 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,

[[Page 531]]

    (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 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.

[[Page 532]]

    (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.
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.

[[Page 533]]

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 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.

[[Page 534]]

    (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 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

[[Page 535]]

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 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

[[Page 536]]

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).
    (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

[[Page 537]]

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.
    (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.

[[Page 538]]

    (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 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

[[Page 539]]

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.
    (13)(i) Candles made with metal-cored wicks. Candles manufactured or 
imported on or after October 15, 2003, made with metal-cored 
candlewicks, unless:
    (A) The metal core of each candlewick has a lead content (calculated 
as the metal) of not more than 0.06 percent of the total weight of the 
metal core; and
    (B) Each outer container or wrapper in which candles subject to 
paragraph (a)(13)(i)(A) of this section are shipped, including each 
outer container or wrapper in which such candles are distributed to a 
retail outlet, is labeled ``Conforms to 16 CFR 1500.17(a)(13).'' For 
purposes of this paragraph (B), the term ``outer container or wrapper'' 
does not include the immediate container in which candle(s) is/are 
intended to be displayed at retail or during use in the home, unless 
that container or wrapper is also the only container or wrapper in which 
the candle(s) is/are shipped to a retailer.
    (ii) Metal-cored candlewicks. Metal-cored candlewicks manufactured 
or imported on or after October 15, 2003, unless:
    (A) The metal core of each candlewick has a lead content (calculated 
as the metal) of not more than 0.06 percent of the total weight of the 
metal core; and
    (B) Each outer container or wrapper in which candlewicks subject to 
paragraph (a)(13)(ii)(A) of this section is shipped, including each 
outer container or wrapper of a shipment distributed to a retail outlet, 
is labeled ``Conforms to 16 CFR 1500.17(a)(13).'' For purposes of this 
paragraph (B), the term ``outer container or wrapper'' does not include 
the immediate container in which candlewick(s) is/are intended to be 
displayed or sold at retail, unless that container or wrapper is also 
the only container or wrapper in which the candlewick(s) is/are shipped 
to a retailer.
    (iii) Findings--(A) General. To issue a rule under 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 Commission must make certain findings 
and include them in the regulation. These findings are discussed in 
paragraphs (a)(13)(iii)(B) through (D) of this section.
    (B) Voluntary standard. One alternative to the ban that the 
Commission considered is to take no mandatory action, and to depend on a 
voluntary standard. One organization has a standard for candlewicks 
intended to address the potential for substantial illness posed by such 
wicks and candles with such wicks. The Commission has found that the 
standard is technically unsound and that substantial compliance with it 
is unlikely. Furthermore, there is no evidence that the standard has 
been adopted and implemented by candlewick or candle manufacturers.
    (C) Relationship of benefits to costs. The Commission estimates that 
the ban will reduce the potential for exposure to lead and resulting 
lead poisoning because there is no ``safe'' level of lead in the blood. 
The annual cost to the candle/wick industry of the ban is estimated by 
the Commission to be in the range of $100,000 to $300,000. On a 
percentage basis these costs represent only 0.005 to 0.015 percent of 
the overall value of candle shipments in 2000, which was approximately 
$2 billion. Accordingly, 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: no action; labeling all

[[Page 540]]

metal-cored candles with wicks containing more than 0.06 percent lead by 
weight of the metal; recordkeeping for shipments of wicks containing 
0.06 percent or less lead by weight of the metal and of candles with 
such wicks; and relying on the voluntary standard. Neither no action, 
nor labeling, nor reliance on the voluntary standard would adequately 
reduce the risk of illness. Recordkeeping for shipments of wicks and of 
candles was not the least burdensome requirement that would prevent or 
adequately reduce the risk of illness. Therefore the Commission finds 
that a ban on candlewicks containing more than 0.06 percent lead by 
weight of the metal and candles with such wicks is the least burdensome 
requirement that would prevent or adequately reduce the risk of illness.
    (b) [Reserved]

(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; 68 FR 
19147, Apr. 18, 2003]



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 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) [Reserved]
    (6) Any article known as a ``baby-bouncer'' or ``walker-jumper'' and 
any other similar article (referred to in this paragraph as 
``article(s)''), except an infant walker subject to part 1216, which is 
intended to support very young children while sitting, 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

[[Page 541]]

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 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.
    (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 (But see Sec. 1500.86(a)(9)):
    (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.

[[Page 542]]

    (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. 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.

[[Page 543]]

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 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.


[[Page 544]]


    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.
    (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]

    Editorial Note: For Federal Register citations affecting Sec. 
1500.18, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



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

[[Page 545]]

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 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:

[[Page 546]]

[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:
[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


[[Page 547]]


    (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 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

[[Page 548]]

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.

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/  \1/8\    thn-eq>     thn-eq>  2\
St. Haz...........................      \3/      \3/      \1/       \3/       \3/  \7/64\     thn-eq>  4\
Oth. Mat..........................      \1/      \3/      \1/       \1/       \5/  \3/32\     thn-eq>  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

[[Page 549]]

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


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. 1500.20  Labeling requirement for advertising toys and games.

    (a) Scope. This section applies to catalogue and other printed 
material

[[Page 550]]

advertisements which provide a direct means of purchase or order of 
products requiring cautionary labeling under sections 24(a) and (b) of 
the FHSA.
    (b) Effective Date. Under the Consumer Product Safety Improvement 
Act of 2008, Public Law 110-314, 122 Stat. 3016 (August 14, 2008), 
(``CPSIA''), the effective date of the CPSIA's amendment to Section 24 
of the FHSA to require cautionary statements in catalogues and other 
printed materials is February 10, 2009. By this rule, the Commission is 
providing a grace period of 180 days, or until August 9, 2009, during 
which catalogues and other printed materials printed prior to February 
10, 2009, may be distributed without such cautionary statements. 
Catalogues and other printed materials that are printed on or after 
February 10, 2009, must have the required cautionary statements. All 
catalogues and other printed materials distributed on or after August 9, 
2009, must comply with this rule. This rule addresses only catalogues 
and other printed materials; however, the CPSIA extends the requirements 
for cautionary statements to Internet advertisements as well. Internet 
advertisements must comply with Section 24 of the FHSA as amended by the 
CPSIA no later than December 12, 2008.
    (c) 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 a 
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 other 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 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) Direct means of purchase or order means any method of purchase 
that allows the purchaser to order the product without being in the 
physical presence of the product. Advertising that provides a direct 
means of purchase or order of a product would include catalogues or 
other printed advertising material that contain order blanks, telephone 
numbers or fax numbers for placing orders, and Internet Web sites that 
enable consumers to purchase a product online or through the use of a 
telephone number or fax number provided on the Internet Web site.
    (d) Advertising requirements. Any toy or game that requires a 
cautionary statement about the choking hazard associated with small 
parts, balloons, small balls, or marbles must bear that

[[Page 551]]

cautionary statement in the product's advertising if the advertising 
provides a direct means to purchase or order the product.
    (1) The advertising for 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] TR17NO08.093

    (2) The advertising for any latex balloon, or toy or game that 
contains a latex balloon, shall bear the following cautionary statement:
[GRAPHIC] [TIFF OMITTED] TR17NO08.094

    (3)(i) The advertising for any small ball intended for children 
three years of age or older shall bear the following cautionary 
statement:

[[Page 552]]

[GRAPHIC] [TIFF OMITTED] TR17NO08.095

    (ii) The advertising for 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] TR17NO08.096

    (4)(i) The advertising for any marble intended for children three 
years of age or older shall bear the following cautionary statement:
[GRAPHIC] [TIFF OMITTED] TR17NO08.097

    (ii) The advertising for 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:

[[Page 553]]

[GRAPHIC] [TIFF OMITTED] TR17NO08.098

    (e) Abbreviated warnings for catalogues and other printed materials. 
Abbreviated versions of the required cautionary statements are permitted 
in each individual product advertisement, provided that the 
corresponding full cautionary statements appear in the catalogue and a 
statement referring to the precise location of the full cautionary 
statements--such as the page number on which the cautionary statements 
can be found--is located at the bottom of each catalogue page that 
contains one or more abbreviated cautionary statements. If abbreviated 
cautionary statements are used:
    (1) The full cautionary statements associated with the abbreviated 
cautionary statements shall appear:
    (i) Near the beginning of the catalogue, before any catalogue pages 
that contain advertisements of products available for purchase, or
    (ii) Adjacent to the ordering information or order form in the 
catalogue.
    (2) The full cautionary statements shall be in conspicuous and 
legible type in contrast by typography, layout or color.
    (3) The full cautionary statements shall be clearly numbered 
according to the following scheme:

------------------------------------------------------------------------
              Required cautionary statement                   Number
------------------------------------------------------------------------
16 CFR 1500.19(b)(1) \1\................................               1
16 CFR 1500.19(b)(2) \2\................................               2
16 CFR 1500.19(b)(3)(i) \3\.............................               3
16 CFR 1500.19(b)(3)(ii) \4\............................               4
16 CFR 1500.19(b)(4)(i) \5\.............................               5
16 CFR 1500.19(b)(4)(ii) \6\............................               6
------------------------------------------------------------------------
\1\ See figure 1.
\2\ See Figure 2.
\3\ See Figure 3.
\4\ See Figure 4.
\5\ See Figure 5.
\6\ See Figure 6.

    (4) The abbreviated cautionary statements shall consist of items 
1500.20(e)(3)(i) through 1500.20(e)(3)(iv):
    (i) A safety alert symbol substantially similar to that shown in 
figure 7.
[GRAPHIC] [TIFF OMITTED] TR17NO08.099

    (ii) The phrase, ``CHOKING HAZARD,'' written in capital letters.
    (iii) Numbers, separated by commas and enclosed within a single set 
of parentheses, that identify the applicable cautionary statements for 
the product being advertised, followed by a period. These numbers shall 
match the numbers used to identify each full cautionary statement, as 
specified in 1500.20(e)(2).

[[Page 554]]

    (iv) A single prohibited age range written as either ``Not for under 
3 yrs'' or ``Not for under 8 yrs,'' based on the most restrictive age 
range for all required cautionary statements for that product. Thus, if 
an advertised product requires the cautionary statement specified in 16 
CFR 1500.19(b)(2), the prohibited age range in the abbreviated 
cautionary statement shall be ``Not for under 8 yrs.''
    (v) For example, see Figure 8 for the abbreviated cautionary 
statement for an advertisement of a product that requires the cautionary 
statements specified in 16 CFR 1500.19(b)(1) and 16 CFR 1500.19(b)(2).
[GRAPHIC] [TIFF OMITTED] TR17NO08.100

    (f) Alternatives to cautionary statements for individual product 
advertisements in catalogues and other printed materials. Multiple 
identical full or abbreviated cautionary statements may be replaced with 
a single full cautionary statement under the following circumstances:
    (1) If all products available for purchase within a catalogue 
require the same cautionary statement, that cautionary statement, in 
full, may appear on the front cover, or equally conspicuous location, of 
the catalogue in lieu of repeating the cautionary statement within the 
catalogue, provided that it is communicated to consumers that the 
cautionary statement applies to all products in the catalogue.
    (2) If all products on one catalogue page or on two facing catalogue 
pages require the same cautionary statement, that cautionary statement, 
in full, may appear at the top of the page or pages in lieu of repeating 
the cautionary statement in each product advertisement, provided that it 
is communicated to consumers that the cautionary statement applies to 
all products on the catalogue page or pages.
    (g) Prominence and conspicuousness of labeling statements. The type 
size of abbreviated cautionary statements shall be reasonably related to 
the type size of any other printed matter in the product advertisement, 
and must be in conspicuous and legible type by typography, layout, or 
color with other printed matter in the advertisement and separated from 
other graphic matter.
    (h) Business to Business Catalogue Exception. The requirements of 
section 24(c)of the Federal Hazardous Substances Act, as amended by 
section 105 of the CPSIA, do not apply to catalogues and other printed 
materials distributed solely between businesses unless the recipient 
business is one that could be expected to be purchasing the product for 
the use of children (instead of for resale, e.g.). Examples of 
businesses that can be expected to be purchasing products for the use of 
children include day care centers, schools, and churches.

[73 FR 67736, Nov. 17, 2008, as amended at 73 FR 71545, Nov. 25, 2008]



Sec. 1500.40  Method of testing toxic substances.

    Guidelines for testing the toxicity of substances, including testing 
that does not require animals, are presented in the CPSC's animal 
testing policy set forth in 16 CFR 1500.232. A weight-of-evidence 
analysis, including any of the following: existing human and animal 
data, structure activity relationships, physicochemical properties; and 
chemical reactivity, or validated in vitro or in silico testing are 
recommended to evaluate existing information before in vivo tests are 
considered. If in vivo testing is conducted, a sequential testing 
strategy is recommended to reduce the

[[Page 555]]

number of test animals. The method of testing the toxic substances 
referred to in Sec. 1500.3(c)(1)(ii)(C) and (c)(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.

                                                  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.

[38 FR 27012, Sept. 27, 1973, as amended at 77 FR 73294, Dec. 10, 2012]



Sec. 1500.41  Method of testing primary irritant substances.

    Guidelines for testing the dermal irritation and corrosivity 
properties of substances, including testing that does not require 
animals, are presented in the CPSC's animal testing policy set forth in 
16 CFR 1500.232. A weight-of-evidence analysis or a validated in vitro 
test method is recommended to evaluate existing information before in 
vivo tests are considered. This analysis should include all of the 
following that are available: human and animal data, structure activity 
relationships, physicochemical properties, and dermal toxicity. If in 
vivo testing is conducted, a sequential testing strategy is recommended 
to reduce the number of test animals. The method of testing

[[Page 556]]

the dermal corrosivity and primary irritation of substances referred to 
in Sec. 1500.3(c)(3) and (4), respectively, is a patch-test technique 
on the abraded and intact skin of the albino rabbit, clipped free of 
hair. 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 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.

[38 FR 27012, Sept. 27, 1973, as amended at 77 FR 73294, Dec. 10, 2012]



Sec. 1500.42  Test for eye irritants.

    Guidelines for in vivo and in vitro testing of ocular irritation of 
substances, including testing that does not require animals, are 
presented in the CPSC's animal testing policy set forth in 16 CFR 
1500.232. A weight-of-evidence analysis or a validated in vitro test 
method is recommended to evaluate existing information before in vivo 
tests are considered. This analysis should include any of the following: 
Existing human and animal data on ocular or dermal irritation, structure 
activity relationships, physicochemical properties, and chemical 
reactivity. If in vivo testing is conducted, a sequential testing 
strategy is recommended to reduce the number of test animals. 
Additionally, the routine use of topical anesthetics, systemic 
analgesics, and humane endpoints to avoid or minimize

[[Page 557]]

pain and distress in ocular safety testing is recommended.
    (a)(1) In the method of testing the ocular irritation of a substance 
referred to in Sec. 1500.3(c)(4), 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.
    (c) To assist testing laboratories and others interested in 
interpreting ocular irritation test results, the CPSC animal testing 
policy Web page at http://www.cpsc.gov/library/animaltesting.html will 
contain the scoring system defined in the U.S. EPA's Test Guideline, 
OPPTS 870.2400: Acute Eye Irritation \1\ or the OECD Test Guideline 405: 
Acute Eye Irritation/Corrosion.\2\
---------------------------------------------------------------------------

    \1\ EPA. 1998. Health Effects Test Guidelines, OPPTS 870.2400 Acute 
Eye Irritation. EPA 712-C-98-195. Washington, DC: U.S. Environmental 
Protection Agency. (Available: http://iccvam.niehs.nih.gov/SuppDocs/
FedDocs/EPA/EPA_870_2400.pdf)
    \2\ OECD. 2002. OECD Guideline for the Testing of Chemicals 405: 
Acute Eye Irritation/Corrosion. Paris: Organisation for Economic Co-
operation and Development. (Available: http://iccvam.niehs.nih.gov/
SuppDocs/FedDocs/OECD/OECDtg405.pdf)

[38 FR 27012, Sept. 27, 1973; 38 FR 30105, Nov. 1, 1973; 62 FR 46667, 
Sept. 4, 1997; 77 FR 73294, Dec. 10, 2012]

[[Page 558]]



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.
[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

[[Page 559]]

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 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

[[Page 560]]

          and diluents (ASTM) designation D 1078). The range shall 
          include the boiling 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 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

[[Page 561]]

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 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

[[Page 562]]

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

    \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.
---------------------------------------------------------------------------

A = ambient barometer pressure, kPa. \4\

    (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

[[Page 563]]

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.
---------------------------------------------------------------------------

    (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

[[Page 564]]

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 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

[[Page 565]]

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.
    (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

[[Page 566]]

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-xylene\A\ (Caution).\B\
Specific gravity. 15.6/15.6 [deg]C (60/60   0.850 to 0.866.
 [deg]F).
Boiling range.............................  2 [deg]C maximum including
                                             138.35 [deg]C (281.03
                                             [deg]F).
Freezing point............................  11.23 [deg]C (52.2 [deg]F)
                                             minimum.
Flashpoint [deg]C (acceptable range)......  25.6 0.5 (78 1 [Phi]).
 
\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, [deg]C ([deg]F)           [deg]C      Reproducibility,
                                           ([deg]F)      [deg]C ([deg]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 [deg]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 567]]

[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

[[Page 568]]

time of testing shall be between 68 [deg]F. 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. 1500.48  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

[[Page 569]]

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 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

[[Page 570]]

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 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 571]]

[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 572]]

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 573]]

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 574]]

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 575]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.057


[[Page 576]]


[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

[[Page 577]]

age. If an article is marked, labeled, 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 578]]

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 579]]

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 580]]

[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 581]]

    (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 582]]

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 583]]

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 584]]

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 585]]

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 586]]

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 
an ``extremely flammable solid'' or ``flammable solid'' as defined in 
Sec. 1500.3(c)(6)(v) and (vi).
    (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 an ``extremely flammable solid'' or 
``flammable solid'' as defined in Sec. 1500.3(c)(6)(v) and (vi).
    (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 an ``extremely 
flammable solid'' or ``flammable solid'' as defined in Sec. 
1500.3(c)(6)(v) and (vi).
    (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

[[Page 587]]

of Sec. 1500.14(b)(3)(ii) and (5) if the 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 588]]

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 solid'' 
hazard as defined in Sec. 1500.3(c)(6)(vi), 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 589]]

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
    (ii) The carton of the kit bears on the main display panel (or 
panels) within a

[[Page 590]]

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 bears directions for use also bears all

[[Page 591]]

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 detonators or blasting caps are exempt from bearing 
the statement, ``Keep out of the reach of children,'' or its practical 
equivalent, if:
    (i) Each detonator or cap bears conspicuously in the largest type 
size practicable the statement, ``DANGEROUS--BLASTING CAPS--EXPLOSIVE'' 
or ``DANGEROUS--DETONATOR--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

[[Page 592]]

recovery system activation devices intended for use with premanufactured 
model rocket engines are exempt from bearing the full labeling required 
by 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), (9) or (14);
    (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; 68 FR 
4699, Jan. 30, 2003; 74 FR 27249, June 9, 2009; 75 FR 49380, Aug. 13, 
2010]

[[Page 593]]



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 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.
    (14) Model rocket propellant devices (model rocket motors) designed 
to propel rocket-powered model cars, provided--
    (i) Such devices:

[[Page 594]]

    (A) Are designed to be ignited electrically and are intended to be 
operated from a minimum distance of 15 feet (4.6 m) away;
    (B) Contain no more than 4 g. of propellant material and produce no 
more than 2.5 Newton-seconds of total impulse with a thrust duration not 
less than 0.050 seconds;
    (C) Are constructed such that all the chemical ingredients are pre-
loaded into a cylindrical paper or similarly constructed non-metallic 
tube that will not fragment into sharp, hard pieces;
    (D) 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 recovery 
system activation charge;
    (E) Bear labeling, including labeling that the devices are intended 
for use by persons age 12 and older, and include instructions providing 
adequate warnings and instructions for safe use; and
    (F) Comply with the requirements of 16 CFR 1500.83(a)(36)(ii and 
iii); and
    (ii) The surface vehicles intended for use with such devices:
    (A) Are lightweight, weighing no more than 3.0 oz. (85 grams), and 
constructed mainly of materials such as balsa wood or plastics that will 
not fragment into sharp, hard pieces;
    (B) Are designed to utilize a braking system such as a parachute or 
shock absorbing stopping mechanism;
    (C) Are designed so that they cannot accept propellant devices 
measuring larger than 0.5 (13 mm) in diameter and 
1.75 (44 mm) in length;
    (D) Are designed so that the engine mount is permanently attached by 
the manufacturer to a track or track line that controls the vehicle's 
direction for the duration of its movement;
    (E) Are not designed to carry any type of explosive or pyrotechnic 
material other than the model rocket motor used for primary propulsion;
    (F) Bear labeling and include instructions providing adequate 
warnings and instructions for safe use; and
    (G) Are designed to operate on a track or line that controls the 
vehicles' direction for the duration of their movement and either cannot 
operate off the track or line or, if operated off the track or line, are 
unstable and fail to operate in a guided fashion so that they will not 
strike the operator or bystanders.
    (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; 68 FR 4699, Jan. 30, 
2003]



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:
    (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'' or ``walker-jumper'' and 
any other similar article (referred to in this paragraph as 
``article(s)''), except an infant walker subject to part 1216 of this 
chapter, 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-

[[Page 595]]

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 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.

[[Page 596]]

    (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 = 179 x 10-5(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 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

[[Page 597]]

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 rejection
shipment, delivery, lot, or retail     Number of units in      constituting rejection     when testing per Sec.
               stock                      random sample         when testing per Sec. 1500.86(a)(5)(ii) (C),
                                                                1500.86(a)(5)(ii)(B)        (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
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) [Reserved]
    (7) Dive sticks and similar articles described in Sec. 
1500.18(a)(19) 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

[[Page 598]]

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 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)(19) 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]
    (9) Boston Billow Nursing Pillow and substantially similar nursing 
pillows that are designed to be used only as a nursing aide for 
breastfeeding mothers. For example, are tubular in form, C- or crescent-
shaped to fit around a nursing mother's waist, round in circumference 
and filled with granular material.

[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; 68 FR 70140, 
Dec. 17, 2003; 73 FR 77495, Dec. 19, 2008; 75 FR 35282, June 21, 2010; 
78 FR 66841, Nov. 7, 2013]



Sec. 1500.87  Children's products containing lead: inaccessible
component parts.

    (a) The Consumer Product Safety Improvement Act (CPSIA) provides for 
specific lead limits in children's products. Section 101(a) of the CPSIA 
provides that by February 10, 2009, products designed or intended 
primarily for children 12 and younger may not contain more than 600 ppm 
of lead. After August 14, 2009, products designed or

[[Page 599]]

intended primarily for children 12 and younger cannot contain more than 
300 ppm of lead. On August 14, 2011, the limit may be further reduced to 
100 ppm after three years, unless the Commission determines that it is 
not technologically feasible to have this lower limit.
    (b) Section 101 (b)(2) of the CPSIA provides that the lead limits do 
not apply to component parts of a product that are not accessible to a 
child. This section specifies that a component part is not accessible if 
it is not physically exposed by reason of a sealed covering or casing 
and does not become physically exposed through reasonably foreseeable 
use and abuse of the product including swallowing, mouthing, breaking, 
or other children's activities, and the aging of the product, as 
determined by the Commission. Paint, coatings, or electroplating may not 
be considered to be a barrier that would render lead in the substrate to 
be inaccessible to a child.
    (c) Section 101(b)(2)(B) of the CPSIA directs the Commission to 
promulgate by August 14, 2009, this interpretative rule to provide 
guidance with respect to what product components or classes of 
components will be considered to be inaccessible.
    (d) The accessibility probes specified for sharp points or edges 
under the Commissions' regulations at 16 CFR 1500.48-1500.49 will be 
used to assess the accessibility of lead-component parts of a children's 
product. A lead-containing component part would be considered accessible 
if it can be contacted by any portion of the specified segment of the 
accessibility probe. A lead-containing component part would be 
considered inaccessible if it cannot be contacted by any portion of the 
specified segment of the accessibility probe.
    (e) For products intended for children that are 18 months of age or 
less, the use and abuse tests set forth under the Commission's 
regulations at 16 CFR 1500.50 and 16 CFR 1500.51 (excluding the bite 
test of Sec. 1500.51(c)), will be used to evaluate accessibility of 
lead-containing component parts of a children's product as a result of 
normal and reasonably foreseeable use and abuse of the product.
    (f) For products intended for children that are over 18 months but 
not over 36 months of age, the use and abuse tests set forth under the 
Commission's regulations at 16 CFR 1500.50 and 16 CFR 1500.52 (excluding 
the bite test of Sec. 1500.52(c)), will be used to evaluate 
accessibility of lead-containing component parts of a children's product 
as a result of normal and reasonably foreseeable use and abuse of the 
product.
    (g) For products intended for children that are over 36 months but 
not over 96 months of age, the use and abuse tests set forth under the 
Commission's regulations at 16 CFR 1500.50 and 16 CFR 1500.53 (excluding 
the bite test of Sec. 1500.53(c)), will be used to evaluate 
accessibility of lead-containing component parts of a children's product 
as a result of normal and reasonably foreseeable use and abuse of the 
product.
    (h) For products intended for children over 96 months through 12 
years of age, the use and abuse tests set forth under the Commission's 
regulations at 16 CFR 1500.50 and 16 CFR 1500.53 (excluding the bite 
test of Sec. 1500.53(c)) intended for children aged 37-96 months will 
be used to evaluate accessibility of lead-containing component parts of 
a children's product as a result of normal and reasonably foreseeable 
use and abuse of the product.
    (i) A children's product that is or contains a lead-containing part 
which is enclosed, encased, or covered by fabric and passes the 
appropriate use and abuse tests on such covers, is inaccessible to a 
child unless the product or part of the product in one dimension is 
smaller than 5 centimeters.
    (j) The intentional disassembly or destruction of products by 
children older than age 8 years by means or knowledge not generally 
available to younger children, including use of tools, will not be 
considered in evaluating products for accessibility of lead-containing 
components.

[74 FR 39540, Aug. 7, 2009]



Sec. 1500.88  Exemptions from lead limits under section 101 of the
Consumer Product Safety Improvement Act for certain electronic
devices.

    (a) The Consumer Product Safety Improvement Act (CPSIA) provides for

[[Page 600]]

specific lead limits in children's products. Section 101(a) of the CPSIA 
provides that by February 10, 2009, products designed or intended 
primarily for children 12 and younger may not contain more than 600 ppm 
of lead. After August 14, 2009, products designed or intended primarily 
for children 12 and younger cannot contain more than 300 ppm of lead. On 
August 14, 2011, the limit will be further reduced to 100 ppm, unless 
the Commission determines that it is not technologically feasible to 
meet this lower limit. Section 101(b)(2) of the CPSIA further provides 
that the lead limits do not apply to component parts of a product that 
are not accessible to a child. This section specifies that a component 
part is not accessible if it is not physically exposed by reason of a 
sealed covering or casing and does not become physically exposed through 
reasonably foreseeable use and abuse of the product including 
swallowing, mouthing, breaking, or other children's activities, and the 
aging of the product, as determined by the Commission. Paint, coatings, 
or electroplating may not be considered to be a barrier that would 
render lead in the substrate to be inaccessible to a child.
    (b) Section 101(b)(4) of the CPSIA provides that if the Commission 
determines that it is not technologically feasible for certain 
electronic devices to comply with the lead limits, the Commission must 
issue requirements by regulation to eliminate or minimize the potential 
for exposure to and accessibility of lead in such electronic devices and 
establish a compliance schedule unless the Commission determines that 
full compliance is not technologically feasible within a schedule set by 
the Commission.
    (c) Certain accessible lead-containing component parts in children's 
electronic devices unable to meet the lead limits set forth in paragraph 
(a) of this section due to technological infeasibility are granted the 
exemptions that follow in paragraph (d) of this section below, provided 
that use of lead is necessary for the proper electronic functioning of 
the component part and it is not technologically feasible for the 
component part to meet the lead content limits set forth in paragraph 
(a) of this section.
    (d) Exemptions for lead as used in certain electronic components 
parts in children's electronic devices include:
    (1) Lead blended into the glass of cathode ray tubes, electronic 
components, and fluorescent tubes.
    (2) Lead used as an alloying element in steel. The maximum amount of 
lead shall be less than 0.35% by weight (3,500 ppm).
    (3) Lead used in the manufacture of aluminum. The maximum amount of 
lead shall be less than 0.4% by weight (4,000 ppm).
    (4) Lead used in copper-based alloys. The maximum amount of lead 
shall be less than 4% by weight (40,000 ppm).
    (5) Lead used in lead-bronze bearing shells and bushings.
    (6) Lead used in compliant pin connector systems.
    (7) Lead used in optical and filter glass.
    (8) Lead oxide in plasma display panels (PDP) and surface conduction 
electron emitter displays (SED) used in structural elements; notably in 
the front and rear glass dielectric layer, the bus electrode, the black 
stripe, the address electrode, the barrier ribs, the seal frit and frit 
ring, as well as in print pastes.
    (9) Lead oxide in the glass envelope of Black Light Blue (BLB) 
lamps.
    (e) Components of electronic devices that are removable or 
replaceable, such as battery packs and light bulbs that are inaccessible 
when the product is assembled in functional form or are otherwise 
granted an exemption, are not subject to the lead limits in paragraph 
(a) of this section.
    (f) Commission staff is directed to reevaluate and report to the 
Commission on the technological feasibility of compliance with the lead 
limits in paragraph (a) of this section for children's electronic 
devices, including the technological feasibility of making accessible 
component parts inaccessible, and the status of the exemptions, no less 
than every five years after publication of a final rule in the Federal 
Register on children's electronic devices.

[75 FR 3158, Jan. 20, 2010]

[[Page 601]]



Sec. 1500.89  Procedures and requirements for determinations regarding
lead content of materials or products under section 101(a) of the 
Consumer Product Safety Improvement Act.

    (a) The Consumer Product Safety Improvement Act provides for 
specific lead limits in children's products. Section 101(a) of the CPSIA 
provides that by February 10, 2009, products designed or intended 
primarily for children 12 years of age or younger may not contain more 
than 600 ppm of lead. After August 14, 2009, products designed or 
intended primarily for children 12 years of age or younger cannot 
contain more than 300 ppm of lead. On August 14, 2011, the limit will be 
further reduced to 100 ppm, unless the Commission determines that this 
lower limit is not technologically feasible. Paint, coatings or 
electroplating may not be considered a barrier that would make the lead 
content of a product inaccessible to a child or prevent the absorption 
of any lead in the human body through normal and reasonably foreseeable 
use and abuse of the product.
    (b) The Commission may, either on its own initiative or upon the 
request of any interested person, make a determination that a material 
or product does not contain leads levels that exceed 600 ppm, 300 ppm, 
or 100 ppm, as applicable.
    (c) A determination by the Commission under paragraph (b) of this 
section that a material or product does not contain lead levels that 
exceed 600 ppm, 300 ppm, or 100 ppm, as applicable does not relieve the 
material or product from complying with the applicable lead limit as 
provided under paragraph (a) of this section.
    (d) To request a determination under paragraph (b) of this section, 
the request must:
    (1) Be e-mailed to [email protected]. and titled ``Section 101 
Request for Lead Content Determination.'' Requests may also be mailed, 
preferably in five copies, to the Office of the Secretary, Consumer 
Product Safety Commission, Room 502, 4330 East West Highway, Bethesda, 
Maryland 20814, or delivered to the same address.
    (2) Be written in the English language.
    (3) Contain the name and address, and e-mail address or telephone 
number, of the requestor.
    (4) Provide documentation including:
    (i) A detailed description of the product or material and how it is 
used by a child;
    (ii) Representative data on the lead content of parts of the product 
or materials used in the production of a product;
    (iii) All relevant data or information on manufacturing processes 
through which lead may be introduced into the material or product;
    (iv) An assessment of the likelihood or lack thereof that the 
manufacturing processes will result in lead contamination of a material 
or product that ordinarily does not contain lead;
    (v) All relevant data or information on the facilities used to 
manufacture the material or product, and any other materials used in the 
product;
    (vi) An assessment of the likelihood or lack thereof that the use of 
leaded materials in a facility will result in lead contamination of a 
material or product that ordinarily does not contain lead;
    (vii) Any other information relevant to the potential for lead 
content of the product or material to exceed the statutory lead limit 
specified in the request, that is 600 ppm, 300 ppm, or 100 ppm, as 
applicable;
    (viii) Detailed information on the relied upon test methods for 
measuring lead content of products or materials including the type of 
equipment used or any other techniques employed and a statement as to 
why the data is representative of the lead content of such products or 
materials generally; and
    (ix) Any data or information that is unfavorable to the request that 
is reasonably available to the requestor.
    (e) Where a submission fails to meet all of the requirements of 
paragraph (d) of this section, the Office of the Secretary shall notify 
the person submitting it, describe the deficiency, and explain that the 
request may be resubmitted when the deficiency is corrected.
    (f) Upon receipt of a complete request for a determination, the 
Office of Hazard Identification and Reduction

[[Page 602]]

(EXHR) will assess the request to determine whether the product or 
material is one that does not contain lead in excess of the limits as 
provided under paragraph (a) of this section. EXHR will make an initial 
recommendation within thirty (30) calendar days, to the extent 
practicable. EXHR may request an extension from the Executive Director 
of the CPSC, if necessary, to make its initial determination. A complete 
request is one that does not require additional information from the 
requestor for EXHR to make an initial recommendation to the Commission.
    (g) Where the Office of Hazard Identification and Reduction's (EXHR) 
initial recommendation is to deny the request for a lead content 
determination, it will provide, in a staff memorandum to the Commission, 
submitted to the Commission for ballot vote, the basis for the denial 
with sufficient detail for the Commission to make an informed decision 
that reasonable grounds for a determination are not presented. The 
Commission, by ballot vote, will render a decision on the staff's 
recommendation. The ballot vote and the staff memorandum will be posted 
on the CPSC Web site. Any determination by the Commission to grant a 
request will be published in the Federal Register for comment. If the 
Commission concludes that the request shall be denied, the requestor 
shall be notified in writing of the denial from the Office of the 
Secretary along with the official ballot results and the EXHR staff's 
memorandum of recommendation.
    (h) Where the Office of Hazard Identification and Reduction's (EXHR) 
initial recommendation is to grant the request for a lead content 
determination, it will submit the basis for that recommendation to the 
Commission in a memorandum to be voted on by ballot, with sufficient 
detail for the Commission to make an informed decision that reasonable 
grounds for a determination are presented. If the notice of proposed 
rulemaking (NPR) is published, it will invite public comment in the 
Federal Register. EXHR will review and evaluate any comments and 
supporting documentation before making its final recommendation to the 
Commission for final agency action, by staff memorandum submitted to the 
Commission. If the Commission, after review of the staff's final 
recommendation, determines that a material or product does not and would 
not exceed the lead content limits, it will decide by ballot vote, on 
whether to publish a final rule in the Federal Register.
    (i) The filing of a request for a determination does not have the 
effect of staying the effect of any provision or limit under the 
statutes and regulations enforced by the Commission. Even though a 
request for a determination has been filed, unless a Commission 
determination is issued in final form after notice and comment, 
materials or products subject to the lead limits under section 101 of 
the CPSIA must be tested in accordance with section 102 of the CPSIA, 
unless the testing requirement is otherwise stayed by the Commission.

[74 FR 10480, Mar. 11, 2009]



Sec. 1500.90  Procedures and requirements for exclusions from lead 
limits under section 101(b) of the Consumer Product Safety Improvement
Act.

    (a) The Consumer Product Safety Improvement Act provides for 
specific lead limits in children's products. Section 101(a) of the CPSIA 
provides that by February 10, 2009, products designed or intended 
primarily for children 12 years of age or younger may not contain more 
than 600 ppm of lead. After August 14, 2009, products designed or 
intended primarily for children 12 years of age or younger cannot 
contain more than 300 ppm of lead. On August 14, 2011, the limit will be 
further reduced to 100 ppm, unless the Commission determines that this 
lower limit is not technologically feasible. Paint, coatings or 
electroplating may not be considered a barrier that would make the lead 
content of a product inaccessible to a child or prevent the absorption 
of any lead in the human body through normal and reasonably foreseeable 
use and abuse of the product.
    (b) Exclusion of certain materials or products and inaccessible 
component parts. The CPSIA provides the following functional purpose 
exception from the lead limits stated in section 101(a) of the CPSIA.

[[Page 603]]

    (1) Functional purpose exception--(i) In general. The Commission, on 
its own initiative or upon petition by an interested party, shall grant 
an exception to the limit under paragraph (a) of this section for a 
specific product, class of product, material, or component part if the 
Commission, after notice and a hearing, determines that:
    (A) The product, class of product, material, or component part 
requires the inclusion of lead because it is not practicable or not 
technologically feasible to manufacture such product, class of product, 
material, or component part, as the case may be, in accordance with 
paragraph (a) of this section by removing the excessive lead or by 
making the lead inaccessible;
    (B) The product, class of product, material, or component part is 
not likely to be placed in the mouth or ingested, taking into account 
normal and reasonably foreseeable use and abuse of such product, class 
of product, material, or component part by a child; and
    (C) An exception for the product, class of product, material, or 
component part will have no measurable adverse effect on public health 
or safety, taking into account normal and reasonably foreseeable use and 
abuse.
    (ii) Measurement. For purposes of paragraph (b)(1)(i)(C) of this 
section, there is no measurable adverse effect on public health or 
safety if the exception described in paragraph (b)(1)(i) of this section 
will result in no measurable increase in blood lead levels of a child. 
The Commission may adopt an alternative method of measurement other than 
blood lead levels if it determines, after notice and a hearing, that 
such alternative method is a better scientific method for measuring 
adverse effect on public health and safety.
    (iii) Procedures for granting exception--(A) Burden of proof. A 
party seeking an exception under paragraph (b)(1)(i) of this section has 
the burden of demonstrating that it meets the requirements of such 
paragraph.
    (B) Grounds for decision. In the case where a party has petitioned 
for an exception, in determining whether to grant the exception, the 
Commission may base its decision solely on the materials presented by 
the party seeking the exception and any materials received through 
notice and a hearing.
    (C) Admissible evidence. In demonstrating that it meets the 
requirements of paragraph (b)(1)(i) of this section, a party seeking an 
exception under such paragraph may rely on any nonproprietary 
information submitted by any other party seeking such an exception and 
such information shall be considered part of the record presented by the 
party that relies on that information.
    (D) Scope of exception. If an exception is sought for an entire 
product, the burden is on the petitioning party to demonstrate that the 
criteria in paragraph (b)(1)(i) of this section are met with respect to 
every accessible component or accessible material of the product.
    (iv) Limitation on exception. If the Commission grants an exception 
for a product, class of product, material, or component part under 
paragraph (b)(1)(i) of this section, the Commission may, as necessary to 
protect public health or safety:
    (A) Establish a lead limit that such product, class of product, 
material, or component part may not exceed; or
    (B) Place a manufacturing expiration date on such exception or 
establish a schedule after which the manufacturer of such product, class 
of product, material, or component part shall be in full compliance with 
the limit established under paragraph (b)(1)(iv)(A) of this section or 
the limit set forth under paragraph (a) of this section.
    (v) Application of exception. An exception under paragraph (b)(1)(i) 
of this section for a product, class of product, material, or component 
part shall apply regardless of the date of manufacture unless the 
Commission expressly provides otherwise.
    (vi) Previously submitted petitions. A party seeking an exception 
under this paragraph may rely on materials previously submitted in 
connection with a petition for exclusion under this section. In such 
cases, petitioners must notify the Commission of their intent to rely on 
materials previously submitted. Such reliance does not affect 
petitioners' obligation to demonstrate that they meet all requirements 
of this

[[Page 604]]

paragraph as required by paragraph (b)(1)(iii)(A) of this section.
    (2) [Reserved]

[74 FR 10480, Mar. 11, 2009, as amended at 78 FR 41298, July 10, 2013]



Sec. 1500.91  Determinations regarding lead content for certain 
materials or products under section 101 of the Consumer Product 
Safety Improvement Act.

    (a) The Consumer Product Safety Improvement Act provides for 
specific lead limits in children's products. Section 101(a) of the CPSIA 
provides that by February 10, 2009, products designed or intended 
primarily for children 12 and younger may not contain more than 600 ppm 
of lead. After August 14, 2009, products designed or intended primarily 
for children 12 and younger cannot contain more than 300 ppm of lead. On 
August 14, 2011, the limit may be further reduced to 100 ppm, unless the 
Commission determines that it is not technologically feasible to have 
this lower limit. Paint, coatings or electroplating may not be 
considered a barrier that would make the lead content of a product 
inaccessible to a child. Materials used in products intended primarily 
for children 12 and younger that are treated or coated with paint or 
similar surface-coating materials that are subject to 16 CFR part 1303, 
must comply with the requirements for lead paint under section 14(a) of 
the Consumer Product Safety Act (CPSA), as amended by section 102(a) of 
the CPSIA.
    (b) Section 3 of the CPSIA grants the Commission general rulemaking 
authority to issue regulations, as necessary, either on its own 
initiative or upon the request of any interested person, to make a 
determination that a material or product does not exceed the lead limits 
as provided under paragraph (a) of this section.
    (c) A determination by the Commission under paragraph (b) of this 
section that a material or product does not contain lead levels that 
exceed 600 ppm, 300 ppm, or 100 ppm, as applicable, does not relieve the 
material or product from complying with the applicable lead limit as 
provided under paragraph (a) of this section if the product or material 
is changed or altered so that it exceeds the lead content limits.
    (d) The following materials do not exceed the lead content limits 
under section 101(a) of the CPSIA provided that these materials have 
neither been treated or adulterated with the addition of materials that 
could result in the addition of lead into the product or material:
    (1) Precious gemstones: diamond, ruby, sapphire, emerald.
    (2) Semiprecious gemstones and other minerals, provided that the 
mineral or material is not based on lead or lead compounds and is not 
associated in nature with any mineral based on lead or lead compounds 
(excluding any mineral that is based on lead or lead compounds 
including, but not limited to, the following: aragonite, bayldonite, 
boleite, cerussite, crocoite, galena, linarite, mimetite, phosgenite, 
vanadinite, and wulfenite).
    (3) Natural or cultured pearls.
    (4) Wood.
    (5) Paper and similar materials made from wood or other cellulosic 
fiber, including, but not limited to, paperboard, linerboard and medium, 
and coatings on such paper which become part of the substrate.
    (6) CMYK process printing inks (excluding spot colors, other inks 
that are not used in CMYK process, inks that do not become part of the 
substrate under 16 CFR part 1303, and inks used in after-treatment 
applications, including screen prints, transfers, decals, or other 
prints).
    (7) Textiles (excluding any textiles that contain treatments or 
applications that do not consist entirely of dyes) consisting of:
    (i) Natural fibers (dyed or undyed) including, but not limited to, 
cotton, kapok, flax, linen, jute, ramie, hemp, kenaf, bamboo, coir, 
sisal, silk, wool (sheep), alpaca, llama, goat (mohair, cashmere), 
rabbit (angora), camel, horse, yak, vicuna, qiviut, guanaco;
    (ii) Manufactured fibers (dyed or undyed) including, but not limited 
to, rayon, azlon, lyocell, acetate, triacetate, rubber, polyester, 
olefin, nylon, acrylic, modacrylic, aramid, spandex.
    (8) Other plant-derived and animal-derived materials including, but 
not

[[Page 605]]

limited to, animal glue, bee's wax, seeds, nut shells, flowers, bone, 
sea shell, coral, amber, feathers, fur, leather.
    (e) The following metals and alloys do not exceed the lead content 
limits under section 101(a) of the CPSIA, provided that no lead or lead-
containing metal is intentionally added but does not include the non-
steel or non-precious metal components of a product, such as solder or 
base metals in electroplate, clad, or fill applications:
    (1) Surgical steel and other stainless steel within the designations 
of Unified Numbering System, UNS S13800-S66286, not including the 
stainless steel designated as 303Pb (UNS S30360).
    (2) Precious metals: Gold (at least 10 karat); sterling silver (at 
least 925/1000); platinum; palladium; rhodium; osmium; iridium; 
ruthenium, titanium.

[74 FR 43041, Aug. 26, 2009, as amended at 80 FR 61732, Oct. 14, 2015]



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 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.''

[[Page 606]]

    (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 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

[[Page 607]]

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:
    (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

[[Page 608]]

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   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.
    (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

[[Page 609]]

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 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

[[Page 610]]

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.



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

[[Page 611]]

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.''
    (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.

[[Page 612]]

    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.
    (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

[[Page 613]]

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 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

[[Page 614]]

    (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.
    (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''

[[Page 615]]

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 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

[[Page 616]]

``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 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

[[Page 617]]

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.
    (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.

[[Page 618]]

    (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 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.

[[Page 619]]



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 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

[[Page 620]]

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 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

[[Page 621]]

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 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

[[Page 622]]

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 products 
do not contain hazardous liquid chemicals.

[63 FR 70648, Dec. 22, 1998]



Sec. 1500.232  Statement on animal testing policy.

    (a) Summary. (1) The U.S. Consumer Product Safety Commission issues 
this statement of policy on animal testing and alternatives to animal 
testing of hazardous substances regulated under the Federal Hazardous 
Substances Act (FHSA). The FHSA requires appropriate cautionary labeling 
on certain hazardous household products to alert consumers to the 
potential hazard(s) that the products may present. Among the hazards 
addressed by the FHSA are toxicity, corrosivity, sensitization, and 
irritation.
    (2) In order to determine the appropriate cautionary labeling, it is 
necessary to have objective criteria by which the existence of each 
hazard can be determined. Hazards such as toxicity, tissue 
corrosiveness, eye irritancy, and skin irritancy result from the 
biological response of living tissue and organs to the presence of the 
hazardous substance. One means of characterizing these hazards is to use 
animal testing as a proxy for the human reaction. In fact, the FHSA 
defines the hazard category of ``highly toxic'' in terms of animal 
toxicity when groups of 10 or more rats are exposed to specified amounts 
of the substance. The Commission's regulations under the FHSA concerning 
toxicity and irritancy allow the use of animal tests to determine the 
presence of the hazard when human data or existing animal data are not 
available.

[[Page 623]]

    (3) Neither the FHSA nor the Commission's regulations requires 
animal testing. The FHSA and its implementing regulations only require 
that a product be labeled to reflect the hazards associated with that 
product. If animal testing is conducted, Commission policy supports 
limiting such tests to a minimum number of animals and advocates 
measures that eliminate or reduce the pain or discomfort to animals that 
can be associated with such tests. The Commission has prepared this 
statement of policy with respect to animal testing to encourage the 
manufacturers subject to the FHSA to follow a similar policy.
    (4) In making the appropriate hazard determinations, manufacturers 
of products subject to the FHSA should use existing alternatives to 
animal testing whenever possible. These include: prior human experience 
(e.g., published case studies), in vitro or in silico test methods that 
have been approved by the Commission, literature sources containing the 
results of prior animal testing or limited human tests (e.g., clinical 
trials, dermal patch testing), and expert opinion (e.g., hazard 
assessment, structure-activity analysis). If a manufacturer or other 
entity performs a hazard test for FHSA labeling purposes that has not 
been previously approved by the Commission, CPSC staff will consider the 
data on a case-by-case basis and, upon review, determine whether to post 
the test method on the animal testing Web site. The Commission 
recommends resorting to animal testing only when the other information 
sources have been exhausted. At this time, the Commission recommends use 
of the most humane procedures with the fewest animals possible to 
achieve reliable results. Recommended procedures are summarized in the 
following statement and can be accessed on the Commission's Web page at: 
http://www.cpsc.gov/library/animaltesting.html. If a manufacturer or 
other entity performs a hazard test for FHSA labeling purposes that has 
not been previously approved by the Commission (e.g., an ICCVAM-
recommended test method or one of the tests described in the current 
version of the FHSA), CPSC staff will consider the data on a case-by-
case basis and, upon review, determine whether to post the test method 
on the animal testing Web site.
    (b) Statement of policy on animal testing. (1) Neither the FHSA nor 
the Commission's regulations requires animal testing. Reliable human 
experience always takes precedence over results from animal data. In the 
cases where animal tests are conducted, the Commission prefers test 
methods that reduce stress and suffering in test animals and that use 
fewer animals while maintaining scientific integrity. To this end, the 
Commission reviews recommendations on alternative test methods developed 
by the scientific and regulatory communities. Current descriptions of 
test method recommendations approved by or known to the Commission can 
be accessed via the Internet at: http://www.cpsc.gov/library/
animaltesting.html. The Commission strongly supports the use of 
scientifically sound alternatives to animal testing. The following parts 
of this section outline some of these alternatives. Testing laboratories 
and other interested persons requiring assistance interpreting the 
results obtained when a substance is tested in accordance with the 
methods described here, or in following the testing strategies outlined 
in the section, should refer to the Commission's animal testing Web page 
at: http://www.cpsc.gov/library/animaltesting.html.
    (i) Acute toxicity. The traditional FHSA animal test for acute 
toxicity determines the median lethal dose (LD50) or lethal 
concentration (LC50), the dose or concentration that is expected to kill 
half the test animals. Procedures for determining the median LD50/LC50 
are described in section 2(h)(1) of the Act and supplemented in Sec. 
1500.3(c)(1) and (2) and the test method outlined in Sec. 1500.40. The 
Commission recommends in vitro alternatives over in vivo LD50/LC50 
tests, or using modifications of the traditional LD50/LC50 test during 
toxicity testing that reduce the number of animals tested whenever 
possible. Data from in vitro or in silico test methods that have not 
been approved by the Commission may be submitted to the Commission for 
consideration of their acceptability. Commission-approved testing 
alternatives are

[[Page 624]]

identified on the Web site at: http://www.cpsc.gov/library/
animaltesting.html and include:
    (A) In vitro and in vivo test methods that have been scientifically 
validated and approved for use in toxicity testing by the Commission;
    (B) Valid in vitro methods to estimate a starting dose for an acute 
in vivo test;
    (C) A sequential version of the traditional LD50/LC50 tests 
described in Sec. 1500.3(c)(1) and (2) and the test method described in 
Sec. 1500.40, in which dose groups are run successively rather than 
simultaneously;
    (D) A limit-dose test where the LD50/LC50 is determined as a point 
estimate, which can still be used to categorize a hazard, although it 
gives no information on hazard dose-response. In the limit test, animals 
(10 rats) each receive a single dose of product at 5g per kilogram of 
body weight. If not more than one animal dies in 14 days, the product is 
considered to have an LD50 of greater than 5g/kg, and thus, deemed to be 
nontoxic. Only if two or more animals die is a second group of 10 rats 
tested (at a lower dose). This procedure reduces the number of animals 
tested from the 80 to 100 animals involved in a full LD50 test to, 
typically, 10 to 20 rats per product. This reduction in the number of 
animals tested is justified because an exact LD50 is not required by 
either the FHSA or the regulations. The FHSA requires only a categorical 
determination that the toxicity is greater than 5g/kg, between 50 mg/kg 
and 5g/kg, or less than 50 mg/kg.
    (ii) Dermal irritation/corrosivity. An acceptable in vitro test 
method or weight-of-evidence analysis is recommended before in vivo 
dermal irritation testing is considered to determine appropriate 
cautionary labeling. The weight-of-evidence analysis should incorporate 
any existing data on humans and animals, validated in vitro or in silico 
test results (valid tests are identified on the Commission's animal 
testing Web site at: http://www.cpsc.gov/library/animaltesting.html), 
the substance's dermal toxicity, evidence of corrosivity/irritation of 
one or more structurally related substances or mixtures of such 
substances, data demonstrating low or high pH (<=2 or =11.5) 
of the substance, and any other relevant physicochemical properties that 
indicate the substance might be a dermal corrosive or irritant. If there 
is any indication from this analysis that the substance is either 
corrosive or irritating to the skin, the substance should be labeled 
appropriately. If the substance is not corrosive in vitro, but no data 
exist regarding its irritation potential, human patch testing should be 
considered. If in vitro data are unavailable, human patch testing is not 
an option, and there are insufficient data to determine the weight-of-
evidence, a tiered in vivo animal test is recommended.
    (A) In a tiered in vivo dermal study, a single rabbit is tested 
initially. If the outcome is positive for corrosivity, testing is 
stopped, and the substance is labeled appropriately. If the substance is 
not corrosive, two more rabbits should be patch-tested to complete the 
assessment of skin irritation potential.
    (B) If a tiered test is not feasible, the Commission recommends the 
test method described in Sec. 1500.41. Note that in any in vivo dermal 
irritation test method, the Commission recommends using a semiocclusive 
patch to cover the animal's test site and eliminating the use of stocks 
for restraint during the exposure period, thereby allowing the animal 
free mobility and access to food and water.
    (iii) Ocular irritation. A weight-of-evidence analysis is 
recommended to evaluate existing information before any in vivo ocular 
irritation testing is considered. This analysis should incorporate any 
existing data on humans and animals, validated in vitro or in silico 
test data (identified on the Commission's animal testing Web site at: 
http://www.cpsc.gov/library/animaltesting.html), the substance's dermal 
corrosivity/irritation (primary skin irritants and corrosives are also 
usually eye irritants and therefore do not need to be tested in the 
eye), evidence of ocular irritation of one or more structurally related 
substances or mixtures of such substances, data demonstrating high 
acidity or alkalinity of the substance, and any other relevant 
physicochemical properties that indicate the substance might be a dermal 
corrosive or irritant or ocular irritant.

[[Page 625]]

    (A) When the weight-of-evidence is insufficient to determine a 
substance's ocular irritation, a Commission-approved in vitro or in 
silico assay for ocular irritancy should be run to assess eye irritation 
potential and determine labeling. Examples of Commission-validated in 
vitro assays are identified on the Commission's animal testing Web site 
at: http://www.cpsc.gov/library/animaltesting.html). If no valid in 
vitro test exists, the test strategy for determining dermal corrosion/
irritation outlined in paragraph (b)(1)(ii)(B) of this section can be 
followed to determine ocular irritation.
    (B) If the dermal test strategy outlined in section paragraph 
(b)(1)(ii)(B) of this section leads to a conclusion of not corrosive, a 
tiered in vivo ocular irritation test should be performed, in which a 
single rabbit is exposed to the substance initially. If the outcome of 
this initial test is positive, testing is stopped, and the substance is 
labeled an eye irritant. If the outcome of this initial test is 
negative, one to two more rabbits are tested for ocular irritation, and 
the outcome of this test will determine the label. If a tiered test is 
not feasible, the Commission recommends the test method described in 
Sec. 1500.42.
    (C) When any ocular irritancy testing on animals is conducted, 
including the method described in Sec. 1500.42, the Commission 
recommends a threefold plan to reduce animal suffering: The use of 
preemptive pain management, including topical anesthetics and systemic 
analgesics that eliminate or reduce suffering that may occur as a result 
of the application process or from the test substance itself (an example 
of a typical preemptive pain treatment is two applications of tetracaine 
ophthalmic anesthetic, 10-15 minutes apart, prior to instilling the test 
material to the eye); post-treatment with systemic analgesics for pain 
relief; and implementation of humane endpoints, including scheduled 
observations, monitoring, and recording of clinical signs of distress 
and pain, and recording the nature, severity, and progression of eye 
injuries. The specific techniques that have been approved by the 
Commission can be found at: http://www.cpsc.gov/library/
animaltesting.html.
    (iv) Dermal sensitization. An acceptable in vitro test method 
(examples of valid in vitro tests are identified on the Commission's 
animal testing Web site at: http://www.cpsc.gov/library/
animaltesting.html), or weight-of-evidence analysis is recommended 
before in vivo animal sensitization testing is considered to determine 
appropriate cautionary labeling. The weight-of-evidence analysis should 
incorporate any existing data on humans and animals, validated in vitro 
or in silico test results, and any relevant physicochemical properties 
that indicate the substance might be a dermal sensitizer. If there is 
any indication from this analysis that the substance is sensitizing to 
the skin, the substance should be labeled appropriately.
    (2) [Reserved]

[77 FR 73288, Dec. 10, 2012]

                                 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

[[Page 626]]

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;
    (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

[[Page 627]]

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.
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

[[Page 628]]

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 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 629]]

[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 630]]

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 631]]

    (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

[[Page 632]]

description and analysis for an objection constitutes a waiver of the 
right 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

[[Page 633]]

promulgating the final regulation or 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

[[Page 634]]

constitutes a waiver of the right to judicial review of the objection or 
issue, 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 635]]

    (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 636]]

    (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 637]]

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 638]]

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 639]]

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 640]]



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 641]]

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 642]]

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 643]]

    (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 644]]

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 645]]

    (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 646]]

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 647]]

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 648]]

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

[[Page 649]]

not 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 650]]

    (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 651]]

    (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 652]]

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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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

[[Page 653]]

electrical capacity for the particular application.
    (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 National Archives and Records Administration (NARA). For information 
on the availability of this material at NARA, call 202-741-6030, or go 
to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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),

[[Page 654]]

(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 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

[[Page 655]]

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 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

[[Page 656]]

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, 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 National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. 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

[[Page 657]]

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 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))

[[Page 658]]

    (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).
    (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 National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. 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

[[Page 659]]

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.
    (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\   [deg]C.    [deg]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).

[[Page 660]]

 
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.

------------------------------------------------------------------------
                   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 [deg]C. (149 [deg]F.) for an electrolytic type and 90 [deg]C. (194 [deg]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.

[[Page 661]]

    (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.
    (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).

[[Page 662]]

    (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.



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

[[Page 663]]

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.

                        Figure 1 to Sec. 1507.12
[GRAPHIC] [TIFF OMITTED] TR26MR96.011


[61 FR 13096, Mar. 26, 1996]

[[Page 664]]



               Sec. Figure 2 to Part 1508--Headform Probe
[GRAPHIC] [TIFF OMITTED] TC03OC91.062


[47 FR 47544, Oct. 27, 1982]

[[Page 665]]



                       Sec. Figure 3 to Part 1508
[GRAPHIC] [TIFF OMITTED] TC03OC91.063


[47 FR 47544, Oct. 27, 1982]

[[Page 666]]



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 667]]

[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.

Figure 1 to Part 1511--Pacifier Test Fixture
Figure 2 to Part 1511--Small Parts Gage

    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 668]]

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 669]]

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 670]]



            Sec. Figure 1 to Part 1511--Pacifier Test Fixture
[GRAPHIC] [TIFF OMITTED] TC03OC91.068


[[Page 671]]





              Sec. Figure 2 to Part 1511--Small Parts Gage
[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.

[[Page 672]]

            Subpart B_Policies and Interpretations [Reserved]



Figure 1 to Part 1512--Bicycle Front Fork Cantilever Bending Test Rig
Figures 2 and 3 to Part 1512--Handlebar Stem Loading and Entrance 8 
          Observation Angles
Figure 5 to Part 1512--Typical Handbrake Actuator Showing Grip Dimension
Figures 6 and 7 to Part 1512--Toe Clearance and Chain Guard Requirements
Figure 8 to Part 1512--Reflectorized Bicycle Wheel Rim Abrasion Test 
          Device
Table 1 to Part 1512--Minimum Candlepower per Incident Foot-Candle for 
          Clear Reflector \1\
Table 2 to Part 1512--Minimum Candlepower per Incident Foot-Candle for 
          Clear Reflector \1\
Table 3 to Part 1512--Minimum Acceptable Values for the Quantity A 
          Defined in the Retroreflective Tire and Rim Test Procedure
Table 4 to Part 1512--Relative Energy Distribution of Sources

    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); Pub. L. 107-319, 116 Stat. 2776.

    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:
    (1) A two-wheeled vehicle having a rear drive wheel that is solely 
human-powered;
    (2) A two- or three-wheeled vehicle with fully operable pedals and 
an electric motor of less than 750 watts (1 h.p.), whose maximum speed 
on a paved level surface, when powered solely by such a motor while 
ridden by an operator who weighs 170 pounds, is less than 20 mph.
    (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. Recumbent bicycles are not included in 
this definition.
    (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 velodrome machine having no brake levers or calipers, 
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.
    (g) Recumbent bicycle means a bicycle in which the rider sits in a 
reclined position with the feet extended forward to the pedals.

[43 FR 60034, Dec. 22, 1978, as amended at 68 FR 7073, Feb. 12, 2003; 76 
FR 27888, May 13, 2011]



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

[[Page 673]]

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 assembled 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 or 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 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 accessible 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.

[43 FR 60034, Dec. 22, 1978, as amended at 76 FR 27888, May 13, 2011]



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

[[Page 674]]

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 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

[[Page 675]]

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.''



Sec. 1512.6  Requirements for steering system.

    (a) Handlebar stem insertion mark. Quill-type handlebar stems 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. This requirement 
does not apply to recumbent bicycles.
    (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.

[43 FR 60034, Dec. 22, 1978, as amended at 76 FR 27888, May 13, 2011]



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

[[Page 676]]

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.



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, except 
on fiber reinforced plastics.
    (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

[[Page 677]]

the wheel will not separate from the fork.

[43 FR 60034, Dec. 22, 1978, as amended at 76 FR 27888, May 13, 2011]



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 limitations. 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. This requirement does not apply to 
recumbent bicycles.
    (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. This requirement does not apply to bicycles with integrated 
seat masts, however, a permanent mark or other means to clearly indicate 
that the seat or seat posts is safely installed shall be provided.
    (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).

[43 FR 60034, Dec. 22, 1978, as amended at 76 FR 27888, May 13, 2011]



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

[[Page 678]]

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 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

[[Page 679]]

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).) 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

[[Page 680]]

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 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.


[[Page 681]]


    (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 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

[[Page 682]]

and deflection readings shall be recorded and plotted at the point of 
loading.
    (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.
    (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/m\2\ (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

[[Page 683]]

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 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 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 y = 
0.980-x and y = 0.335; a reflector will be considered to be amber if its 
color falls within the region bounded by the yellow spectrum locus and 
the lines y = 0.382, y = 0.790-0.667x, and y = x-0.120.
    (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

[[Page 684]]

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 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. 1512.18(o)(2)(iii) 
shall not be less than:

A = 4Cos\2\[thetas]/[1 + ([Phi]/0.225)\3/2\]


where A is ratio in meters, [thetas] is the entrance angle in degrees, 
and [Phi] is the

[[Page 685]]

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 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.

[[Page 686]]

    (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 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; 68 FR 52691, Sept. 5, 2003; 76 FR 27888, May 
13, 2011]



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

[[Page 687]]

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]



 Sec. Figure 1 to Part 1512--Bicycle Front Fork Cantilever Bending 
                                   Test 
                                   Rig
[GRAPHIC] [TIFF OMITTED] TC03OC91.070


[[Page 688]]





Sec. Figures 2 and 3 to Part 1512--Handlebar Stem Loading 
                         and Entrance 8 
                           Observation Angles
[GRAPHIC] [TIFF OMITTED] TC03OC91.071


[[Page 689]]





  Sec. Figure 5 to Part 1512--Typical Handbrake Actuator Showing 
                              Grip 
                                Dimension
[GRAPHIC] [TIFF OMITTED] TC03OC91.072


[[Page 690]]





    Sec. Figures 6 and 7 to Part 1512--Toe Clearance and Chain Guard 
                              Requirements
[GRAPHIC] [TIFF OMITTED] TC03OC91.073


[[Page 691]]





  Sec. Figure 8 to Part 1512--Reflectorized Bicycle Wheel Rim Abrasion 
                               Test Device
[GRAPHIC] [TIFF OMITTED] TC03OC91.074


[[Page 692]]





Sec. Table 1 to Part 1512--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.



Sec. Table 2 to Part 1512--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.



Sec. Table 3 to Part 1512--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]



   Sec. Table 4 to Part 1512--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.

Figure 1 to Part 1513--Wedge Block for Tests in Sec. 1513.4 (a), (b), 
          and (c)
Figure 2 to Part 1513--Test Probe for Neck Entrapment
Figure 3 to Part 1513--Motion of Test Probe Arrested by Simultaneous 
          Contact With Both Sides of ``A'' Section of Probe and 
          Boundaries of Opening
Figure 4 to Part 1513--Neck Portion of ``B'' Section of Probe Enters 
          Completely Into Opening
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

[[Page 693]]

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 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

[[Page 694]]

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 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 695]]

[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 696]]



 Sec. Figure 1 to Part 1513--Wedge Block for Tests in Sec. 1513.4 (a), 
                              (b), and (c)
[GRAPHIC] [TIFF OMITTED] TR22DE99.002


[[Page 697]]





       Sec. Figure 2 to Part 1513--Test Probe for Neck Entrapment
[GRAPHIC] [TIFF OMITTED] TR22DE99.008


[[Page 698]]





      Sec. Figure 3 to Part 1513--Motion of Test Probe Arrested by 
   Simultaneous Contact With Both Sides of ``A'' Section of Probe and 
                          Boundaries of Opening
[GRAPHIC] [TIFF OMITTED] TR22DE99.009


[[Page 699]]





   Sec. Figure 4 to Part 1513--Neck Portion of ``B'' Section of Probe 
                     Enters Completely Into Opening
[GRAPHIC] [TIFF OMITTED] TR22DE99.010



    Sec. 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

[[Page 700]]

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. 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

[[Page 701]]

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 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

[[Page 702]]

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 
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 703]]



             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 704]]



   Subpart A_Procedures for Investigations, 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 705]]

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 706]]

    (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 707]]

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 708]]

    (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 709]]

    (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 710]]



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 711]]

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.


[[Page 712]]


    Based upon a guaranty received, the undersigned hereby guarantees 
that reasonable 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 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.


[[Page 713]]



(Impression of notary seal required       Notary Public in and for
 here.)                                    County of ______ State of
                                           _______. My commission
                                           expires ______________
 

    (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


[[Page 714]]

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 ______
 


(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

[[Page 715]]

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 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

[[Page 716]]

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.

                 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.

[[Page 717]]

    (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 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, scope and applicability.
1610.2 Definitions.
1610.3 Summary of test method.
1610.4 Requirements for classifying textiles.
1610.5 Test apparatus and materials.
1610.6 Test procedure.
1610.7 Test sequence and classification criteria.
1610.8 Reporting results.

                     Subpart B_Rules and Regulations

1610.31 Definitions.
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 Application 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 section 11(c) of the Act.
1610.40 Use of alternative apparatus, procedures, or criteria for tests 
          for guaranty purposes.

                 Subpart C_Interpretations and Policies

1610.61 Reasonable and representative testing to assure compliance with 
          the standard for the clothing textiles.

Figure 1 to Part 1610--Sketch of Flammability Apparatus
Figure 2 to Part 1610--Flammability Apparatus Views
Figure 3 to Part 1610--Specimen Holder Supported in Specimen Rack

[[Page 718]]

Figure 4 to Part 1610--An Example of a Typical Indicator Finger
Figure 5 to Part 1610--An Example of a Typical Gas Shield
Figure 6 to Part 1610--Igniter
Figure 7 to Part 1610--Brushing Device
Figure 8 to Part 1610--Brush
Figure 9 to Part 1610--Brushing Device Template

    Source: 73 FR 15640, Mar. 25, 2008, unless otherwise noted.

    Authority: 15 U.S.C. 1191-1204.



                         Subpart A_The Standard



Sec. 1610.1  Purpose, scope and applicability.

    (a) 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 prohibiting the use of any 
dangerously flammable clothing textiles.
    (b) Scope. The Standard provides methods of testing the flammability 
of clothing and textiles intended to be used for clothing, establishes 
three classes of flammability, sets forth the requirements which 
textiles shall meet to be classified, and warns against the use of those 
textiles which have burning characteristics unsuitable for clothing. 
Hereafter, ``clothing and textiles intended to be used for clothing'' 
shall be referred to as ``textiles.''
    (c) Specific exceptions. This standard shall not apply to: (1) Hats, 
provided they do not constitute or form part of a covering for the neck, 
face, or shoulders when worn by individuals;
    (2) Gloves, provided they are not more than 14 inches in length and 
are not affixed to or do not form an integral part of another garment;
    (3) Footwear, provided it does not consist of hosiery in whole or 
part and is not affixed to or does not form an integral part of another 
garment;
    (4) Interlining fabrics, when intended or sold for use as a layer 
between an outer shell and an inner lining in wearing apparel.
    (d) Specific 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 
textiles, 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.
    (e) Applicability. The requirements of this part 1610 shall apply to 
textile fabric or related material in a form or state ready for use in 
an article of wearing apparel, including garments and costumes finished 
for consumer use.



Sec. 1610.2  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 this part 1610.
    (a) Base burn (also known as base fabric ignition or fusing) means 
the point at which the flame burns the ground (base) fabric of a raised 
surface textile fabric and provides a self-sustaining flame. Base burns, 
used to establish a Class 3 fabric, are those burns resulting from 
surface flash that occur on specimens in places other than the point of 
impingement when the warp and fill yarns of a raised surface textile 
fabric undergo combustion. Base burns can be identified by an opacity 
change, scorching on the reverse side of the fabric, or when a physical 
hole is evident.
    (b) Burn time means the time elapsed from ignition until the stop 
thread is severed as measured by the timing mechanism of the test 
apparatus.
    (c) Dry cleaning means the cleaning of samples in a commercial dry 
cleaning machine under the conditions described in Sec. 1610.6.

[[Page 719]]

    (d) Film means any non-rigid, 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 state ready for use in wearing apparel, and shall 
include film or sheeting of any thickness.
    (e) Flammability means those characteristics of a material that 
pertain to its relative ease of ignition and relative ability to sustain 
combustion.
    (f) Flame application time means the 1 second during which the 
ignition flame is applied to the test specimen.
    (g) Ignition means that there is a self-sustaining flame on the 
specimen after the test flame is removed.
    (h) Interlining means any textile which is intended for 
incorporation into an article of wearing apparel as a layer between an 
outer shell and an inner lining.
    (i) Laundering means washing with an aqueous detergent solution and 
includes rinsing, extraction and tumble drying as described in Sec. 
1610.6.
    (j) Long dimension means the 150 mm (6 in) length of test specimen.
    (k) 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 that have fancy woven, 
knitted or flock-printed surfaces.
    (l) Raised surface textile fabric means any textile fabric with an 
intentionally raised fiber or yarn surface, such as a pile, including 
flocked pile, nap, or tufting.
    (m) Refurbishing means dry cleaning and laundering in accordance 
with Sec. 1610.6.
    (n) Sample means a portion of a lot of material which is taken for 
testing or for record keeping purposes.
    (o) Specimen means a 50 mm by 150 mm (2 in by 6 in) section of 
sample.
    (p) Stop thread supply means No. 50, white, mercerized, 100% cotton 
sewing thread.
    (q) Surface flash means a rapid burning of the pile fibers and yarns 
on a raised fiber surface textile that may or may not result in base 
burning.
    (r) 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 therefore, or combination 
thereof, of 50 mm (2 in) or more in width, and which is in a form or 
state ready for use in wearing apparel, including fabrics which have 
undergone further processing, such as dyeing and finishing, in garment 
form, for consumer use.



Sec. 1610.3  Summary of test method.

    The Standard provides methods of testing the flammability of 
textiles from or intended to be used for apparel; establishes three 
classes of flammability; sets forth the requirements for classifying 
textiles; and prohibits the use of single or multi-layer textile fabrics 
that have burning characteristics that make them unsuitable for apparel. 
All textiles shall be tested before and after refurbishing according to 
Sec. 1610.6. Each specimen cut from the textile shall be inserted in a 
frame, brushed if it has a raised-fiber surface, and held in a special 
apparatus at an angle of 45[deg]. A standardized flame shall be applied 
to the surface near the lower end of the specimen for 1 second, and the 
time required for the flame to proceed up the fabric a distance of 127 
mm (5 in) shall be recorded. A notation shall be made as to whether the 
base of a raised-surface textile fabric ignites or fuses.



Sec. 1610.4  Requirements for classifying textiles.

    (a) Class 1, Normal Flammability. Class 1 textiles exhibit normal 
flammability and are acceptable for use in clothing. This class shall 
include textiles which meet the minimum requirements set forth in 
paragraph (a)(1) or paragraph (a)(2) of this section.
    (1) Plain surface textile fabric. Such textiles in their original 
state and/or after being refurbished as described in Sec. 1610.6(a) and 
Sec. 1610.6(b), when tested as described in Sec. 1610.6 shall be 
classified as Class 1, Normal flammability, when the burn time is 3.5 
seconds or more.
    (2) Raised surface textile fabric. Such textiles in their original 
state and/or after being refurbished as described in

[[Page 720]]

Sec. 1610.6(a) and Sec. 1610.6(b), when tested as described in Sec. 
1610.6, shall be classified as Class 1, Normal flammability, when the 
burn time is more than 7 seconds, or when they burn with a rapid surface 
flash (0 to 7 seconds), provided the intensity of the flame is so low as 
not to ignite or fuse the base fabric.
    (b) Class 2, Intermediate flammability. Class 2 fabrics, applicable 
only to raised-fiber surface textiles, are considered to be of 
intermediate flammability, but may be used for clothing. This class 
shall include textiles which meet the minimum requirements set forth in 
paragraph (b)(2) of this section.
    (1) Plain surface textile fabric. Class 2 is not applicable to plain 
surface textile fabrics.
    (2) Raised surface textile fabric. Such textiles in their original 
state and/or after being refurbished as described in Sec. 1610.6(a) and 
Sec. 1610.6(b), when tested as described in Sec. 1610.6, shall be 
classified as Class 2, Intermediate flammability, when the burn time is 
from 4 through 7 seconds, both inclusive, and the base fabric ignites or 
fuses.
    (c) Class 3, Rapid and intense burning. Class 3 textiles exhibit 
rapid and intense burning, are dangerously flammable and shall not be 
used for clothing. This class shall include textiles which have burning 
characteristics as described in paragraphs (c)(1) and (c)(2) of this 
section. Such textiles are considered dangerously flammable because of 
their rapid and intense burning.
    (1) Plain surface textile fabric. Such textiles in their original 
state and/or after refurbishing as described in Sec. 1610.6(a) and 
Sec. 1610.6(b), when tested as described in Sec. 1610.6, shall be 
classified as Class 3 Rapid and Intense Burning when the time of flame 
spread is less than 3.5 seconds.
    (2) Raised surface textile fabric. Such textiles in their original 
state and/or after refurbishing as described in Sec. 1610.6(a) and 
Sec. 1610.6(b), when tested as described in Sec. 1610.6, shall be 
classified as Class 3 Rapid and Intense Burning when the time of flame 
spread is less than 4 seconds, and the base fabric starts burning at 
places other than the point of impingement as a result of the surface 
flash (test result code SFBB).

                 Table 1 to Sec. 1610.4--Summary of Test Criteria for Specimen Classification
                                               [See Sec. 1610.7]
----------------------------------------------------------------------------------------------------------------
                  Class                    Plain surface textile fabric       Raised surface textile fabric
----------------------------------------------------------------------------------------------------------------
1........................................  Burn time is 3.5 seconds or   (1) Burn time is greater than 7.0
                                            more ACCEPTABLE (3.5 sec is   seconds; or
                                            a pass).                     (2) Burn time is 0-7 seconds with no
                                                                          base burns (SFBB). Exhibits rapid
                                                                          surface flash only.
                                                                         ACCEPTABLE.
2........................................  Class 2 is not applicable to  Burn time is 4-7 seconds (inclusive)
                                            plain surface textile         with base burn (SFBB).
                                            fabrics.                     ACCEPTABLE.
3........................................  Burn time is less than 3.5    Burn time is less than 4.0 seconds with
                                            seconds. NOT ACCEPTABLE.      base burn (SFBB).
                                                                         NOT ACCEPTABLE.
----------------------------------------------------------------------------------------------------------------



Sec. 1610.5  Test apparatus and materials.

    (a) Flammability apparatus. The flammability test apparatus consists 
of a draft-proof ventilated chamber enclosing a standardized ignition 
mechanism, sample rack, and automatic timing mechanism. The flammability 
apparatus shall meet the minimum requirements for testing as follows.
    (1) Test chamber--(i) Test chamber structure. The test chamber shall 
be a metal, draft-proof ventilated chamber. The test chamber shall have 
inside dimensions of 35.3 cm high by 36.8 cm wide by 21.6 cm deep (14 in 
by 14.5 in by 8.5 in). There shall be eleven or twelve 12.7 mm diameter 
(0.5 in) holes equidistant along the rear of the top closure. The front 
of the chamber shall be a close fitting door with an insert made of 
clear material (i.e., glass, plexiglass) to permit observation of the 
entire test. A ventilating strip is provided at the base of the door in 
the front of the apparatus. The test chamber to be used in this test 
method is illustrated in Figures 1 and 2 of this part.
    (ii) Specimen rack. The specimen rack provides support for the 
specimen holder (described in paragraph (a)(1)(iii) of this section) in 
which the specimen is

[[Page 721]]

mounted for testing. The angle of inclination shall be 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 test 
flame. A stop shall be provided in the base of the chamber to assist in 
adjusting the position of the rack. The specimen rack shall be 
constructed so that: It supports the specimen holder in a way that does 
not obstruct air flow around the bottom edge of the fabric specimen; and 
the fabric specimen is properly aligned with the igniter tip during 
flame impingement. The specimen rack to be used in this test method is 
illustrated in Figures 1 through 3 of this part. Movable rack: Refer to 
the manufacturers' instruction in relation to the adjustment procedure 
to move the rack into the appropriate position for the indicator finger 
alignment.
    (iii) Specimen holder. The specimen holder supports and holds the 
fabric specimen. The specimen holder shall consist of two 2 mm (0.06 in) 
thick U-shaped matched metal plates. The plates are slotted and loosely 
pinned for alignment. The specimen shall be firmly sandwiched in between 
the metal plates with clamps mounted along the sides. The two plates of 
the holder shall cover all but 3.8 cm (1.5 in) of the width of the 
specimen for its full length. See Figures 1 and 3 of this part. The 
specimen holder shall be supported in the draft-proof chamber on the 
rack at an angle of 45[deg].
    (iv) Indicator finger. The position of the specimen rack (described 
in paragraph (a)(1)(ii) of this section) shall be adjusted, so the tip 
of the indicator finger just touches the surface of the specimen. An 
indicator finger is necessary to ensure that the tip of the test flame 
will impinge on the specimen during testing. The indicator finger to be 
used in this test method is illustrated in Figures 1, 2 and 4 of this 
part.
    (v) Ignition mechanism. The ignition mechanism shall consist of a 
motor driven butane gas jet formed around a 26-gauge hypodermic needle 
and creates the test flame. The test flame shall be protected by a 
shield. See Figure 5. The test flame is adjusted to 16 mm (0.625 in) and 
applied to the specimen for 1 second. A trigger device is located in the 
front of the apparatus, the pulling or pushing of which activates the 
test flame impingement and timing device. Electro-mechanical devices 
(i.e., servo-motors, solenoids, micro-switches, and electronic circuits, 
in addition to miscellaneous custom made cams and rods, shock absorbing 
linkages, and various other mechanical components) can be used to 
control and apply the flame impingement. See Figure 6 of this part.
    (vi) Draft ventilator strip. A draft ventilator strip shall be 
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. (See Figure 1 of this part.)
    (vii) Stop weight. The weight, attached by means of a clip to the 
stop thread, in dropping actuates the stop motion for the timing 
mechanism. The weight shall be 30g 5g (1.16 oz. 
0.18 oz).
    (viii) Door. The door shall be a clear (i.e. glass or plexiglass) 
door, close fitting and allows for viewing of the entire test.
    (ix) Hood. The hood or other suitable enclosure shall provide a 
draft-proof environment surrounding the test chamber. The hood or other 
suitable enclosure shall have a fan or other means for exhausting smoke 
and/or fumes produced by testing.
    (2) Stop thread and thread guides--(i) Stop thread. The stop thread 
shall be stretched from the spool through suitable thread guides 
provided on the specimen holder and chamber walls.
    (ii) Stop thread supply. This supply, consisting of a spool of No. 
50, white, mercerized, 100% cotton sewing thread, shall be fastened to 
the side of the chamber and can be withdrawn by releasing the thumbscrew 
holding it in position.
    (iii) Thread Guides. The thread guides permit the lacing of the stop 
thread in the proper position exactly 127 mm (5 in) from the point where 
the center of the ignition flame impinges on the test specimen. The stop 
thread shall be 9.5 mm (0.37 in) above and parallel to the lower surface 
of the top plate of the specimen holder. This condition can be

[[Page 722]]

achieved easily and reproducibly with the use of a thread guide 
popularly referred to as a ``sky hook'' suspended down from the top 
panel along with two L-shaped thread guides attached to the upper end of 
the top plate of the specimen holder. Two other thread guides can be 
installed on the rear panel to draw the thread away from directly over 
the test flame. The essential condition, however, is the uniform height 
of 9.5 mm (0.37 in) for the stop thread and not the number, placement or 
design of the thread guides.
    (iv) Stop weight thread guide. This thread guide shall be used to 
guide the stop thread when attaching the stop weight.
    (3) Supply for test flame. (i) The fuel supply shall be a cylinder 
of chemically pure (c. p.) butane.
    (ii) The fuel-tank control valve shall consist of a sensitive 
control device for regulating the fuel supply at the tank.
    (iii) The flow control device, such as a manometer or flow meter, 
shall be sufficient to maintain a consistent flame length of 16 mm (\5/
8\ in).
    (4) Timing Device. The timing device consists of a timer, driving 
mechanism and weight. The timer, by means of special attachments, is 
actuated to start by connection with the gas jet. A trigger device 
(described in paragraph (a)(1)(v) of this section) activates the flame 
impingement, causing the driving mechanism to move the gas jet to its 
most forward position and automatically starts the timer at the moment 
of flame impact with the specimen. The falling weight, when caused to 
move by severance of the stop thread, stops the timer. Time shall be 
read directly and recorded as a burn time. Read burn time to 0.1 second. 
An electronic or mechanical timer can be used to record the burn time, 
and electro-mechanical devices (i.e., servo-motors, solenoids, micro-
switches, and electronic circuits, in addition to miscellaneous custom 
made cams and rods, shock absorbing linkages, and various other 
mechanical components) can be used to control and apply the flame 
impingement.
    (b) Specimen preparation equipment and materials--(1) Laboratory 
drying oven. This shall be a forced circulation drying oven capable of 
maintaining 105[deg] 3 [deg]C (221[deg] 5 [deg]F) for 30 2 minutes to dry 
the specimens while mounted in the specimen holders.
    (2) Desiccator. This shall be an airtight and moisture tight chamber 
capable of holding the specimens horizontally without contacting each 
other during the cooling period following drying, and shall contain 
silica gel desiccant.
    (3) Desiccant. Anhydrous silica gel shall be used as the desiccant.
    (4) Automatic washing machine. The automatic washing machine shall 
be as described in Sec. 1610.6(b)(1)(ii).
    (5) Automatic tumble dryer. The automatic tumble dryer shall be as 
described in Sec. 1610.6(b)(1)(ii).
    (6) Commercial dry cleaning machine. The commercial dry cleaning 
machine shall be capable of providing a complete automatic dry-to-dry 
cycle using perchloroethylene solvent and a cationic drycleaning 
detergent as specified in Sec. 1610.6(b)(1)(i).
    (7) Dry cleaning solvent. The solvent shall be perchloroethylene, 
commercial grade.
    (8) Dry cleaning detergent. The dry cleaning detergent shall be 
cationic class.
    (9) Laundering detergent. The laundering detergent shall be as 
specified in Sec. 1610.6(b)(1)(ii).
    (10) Brushing device. The brushing device shall consist of a base 
board over which a small carriage is drawn. See Figure 7 of this part. 
This carriage runs on parallel tracks attached to the edges of the upper 
surface of the base board. The brush is hinged with pin hinges at the 
rear edge of the base board and rests on the carriage vertically with a 
pressure of 150 gf (0.33 lbf). The brush shall consist of two rows of 
stiff nylon bristles mounted with the tufts in a staggered position. The 
bristles are 0.41 mm (0.016 in) in diameter and 19 mm (0.75 in) in 
length. There are 20 bristles per tuft and 4 tufts per inch. See Figure 
8 of this part. A clamp is attached to the forward edge of the movable 
carriage to permit holding the specimen on the carriage during the 
brushing operation. The purpose of the metal plate or ``template'' on 
the carriage of the brushing device is to support the specimen during 
the brushing operation.

[[Page 723]]

The template shall be 3.2 mm (0.13 in) thick. See Figure 9 of this part.

[73 FR 15640, Mar. 25, 2008, as amended at 73 FR 62187, Oct. 20, 2008]



Sec. 1610.6  Test procedure.

    The test procedure is divided into two steps. Step 1 is testing in 
the original state; Step 2 is testing after the fabric has been 
refurbished according to paragraph (b)(1) of this section.
    (a) Step 1--Testing in the original state. (1) Tests shall be 
conducted on the fabric in a form or state ready for use in wearing 
apparel. Determine whether the fabric to be tested is a plain surface 
textile fabric or a raised surface textile fabric as defined in Sec. 
1610.2 (k) and (l). There are some fabrics that require extra attention 
when preparing test specimens because of their particular construction 
characteristics. Examples of these fabrics are provided in paragraphs 
(a)(1)(i) through (vi) of this section along with guidelines for 
preparing specimens from these fabrics. This information is not intended 
to be all-inclusive.
    (i) Flocked fabrics. Fabrics that are flocked overall are treated as 
raised surface textile fabrics as defined in Sec. 1610.2(l). Flock 
printed fabrics (usually in a pattern and not covering the entire 
surface) shall be treated as plain surface textile fabrics as defined in 
Sec. 1610.2(k).
    (ii) Cut velvet fabrics. Cut velvet fabrics with a patterned 
construction shall be considered a raised surface textile fabric as 
defined in Sec. 1610.2(l).
    (iii) Metallic thread fabrics. Metallic thread fabrics shall be 
considered plain surface textile fabrics provided the base fabric is 
smooth. The specimens shall be cut so that the metallic thread is 
parallel to the long dimension of the specimen and arranged so the test 
flame impinges on a metallic thread.
    (iv) Embroidery. Embroidery on netting material shall be tested with 
two sets of preliminary specimens to determine the most flammable area 
(which offers the greatest amount of netting or embroidery in the 150 mm 
(6 in.) direction). One set of netting only shall be tested and the 
other set shall consist mainly of embroidery with the specimens cut so 
that the test flame impinges on the embroidered area. Test the most 
flammable area according to the plain surface textile fabric 
requirements. The full test shall be completed on a sample cut from the 
area that has the fastest burn rate.
    (v) Burn-out patterns. Flat woven constructions with burn-out 
patterns shall be considered plain surface textile fabrics as defined in 
Sec. 1610.2(k).
    (vi) Narrow fabrics and loose fibrous materials. Narrow fabrics and 
loose fibrous materials manufactured less than 50 mm (2 in) in width in 
either direction shall not be tested. If a 50 mm by 150 mm (2 in by 6 
in) specimen cannot be cut due to the nature of the item, i.e. hula 
skirts, leis, fringe, loose feathers, wigs, hairpieces, etc., do not 
conduct a test.
    (2) Plain surface textile fabrics:
    (i) Preliminary trials. Conduct preliminary trials to determine the 
quickest burning direction. The specimen size shall be 50 mm by 150 mm 
(2 in by 6 in). Cut one specimen from each direction of the fabric. 
Identify the fabric direction being careful not to make any identifying 
marks in the exposed area to be tested. Preliminary specimens shall be 
mounted and conditioned as described in paragraphs (a)(2)(ii) through 
(iv) of this section and then tested following the procedure in 
paragraph (c) of this section to determine if there is a difference in 
the burning characteristics with respect to the direction of the fabric.
    (ii) Identify and cut test specimens. Cut the required number of 
test specimens to be tested (refer to Sec. 1610.7(b)(1)). Each specimen 
shall be 50 mm by 150 mm (2 in by 6 in), with the long dimension in the 
direction in which burning is most rapid as established in the 
preliminary trials. Be careful not to make any identifying marks in the 
exposed area to be tested.
    (iii) Mount specimens. Specimens shall be placed in the holders, 
with the side to be burned face up. Even though plain surface textile 
fabrics are not brushed, all specimens shall be mounted in a specimen 
holder placed on the carriage that rides on the brushing device to 
ensure proper position in the

[[Page 724]]

holder. A specimen shall be placed between the two metal plates of a 
specimen holder and clamped. Each specimen shall be mounted and clamped 
prior to conditioning and testing.
    (iv) Condition specimens. All specimens mounted in the holders shall 
then be placed in a horizontal position on an open metal shelf in the 
oven to permit free circulation of air around them. The specimens shall 
be dried in the oven for 30 2 minutes at 105[deg] 
3 [deg]C (221[deg] 5 
[deg]F), removed from the oven and placed over a bed of anhydrous silica 
gel desiccant in a desiccator until cool, but not less than 15 minutes.
    (v) Flammability test. Follow the test procedure in paragraph (c) of 
this section and also follow the test sequence in Sec. 1610.7(b)(1).
    (3) Raised surface textile fabrics--(i) Preliminary trials. The most 
flammable surface of the fabric shall be tested. Conduct preliminary 
trials and/or visual examination to determine the quickest burning area. 
The specimen size shall be 50 mm by 150 mm (2 in by 6 in). For raised 
surface textile fabrics, the direction of the lay of the surface fibers 
shall be parallel with the long dimension of the specimen. Specimens 
shall be taken from that part of the raised-fiber surface that appears 
to have the fastest burn time. For those fabrics where it may be 
difficult to visually determine the correct direction of the lay of the 
raised surface fibers, preliminary tests can be done to determine the 
direction of the fastest burn time. For textiles with varying depths of 
pile, tufting, etc., the preliminary test specimens are taken from each 
depth of pile area to determine which exhibits the quickest rate of 
burning. A sufficient number of preliminary specimens shall be tested to 
provide adequate assurance that the raised surface textile fabric will 
be tested in the quickest burning area. Preliminary specimens shall be 
mounted and conditioned as described below and tested following the 
procedure in paragraph (c) of this section.
    (ii) Identify and cut test specimens. Cut the required number of 
specimens (refer to Sec. 1610.7(b)(3)) to be tested. Each specimen 
shall be 50 mm by 150 mm (2 in by 6 in), with the specimen taken from 
the direction in which burning is most rapid as established in the 
preliminary trials and/or visual examination. Be careful not to make any 
identifying marks in the exposed area to be tested.
    (iii) Mount specimens. Prior to mounting the specimen, run a 
fingernail along the 150 mm (6 in) edge of the fabric not more than 6.4 
mm (0.25 in) in from the side to determine the lay of the surface 
fibers. All specimens shall be mounted in a specimen holder placed on 
the carriage that rides on the brushing device. The specimens shall be 
mounted with the side to be burned face up and positioned so the lay of 
the surface fibers is going away from the closed end of the specimen 
holder. The specimen must be positioned in this manner so that the 
brushing procedure described in paragraph (a)(3)(iv) of this section 
will raise the surface fibers, i.e., the specimen is brushed against the 
direction of the lay of the surface fibers. The specimen shall be placed 
between the two metal plates of the specimen holder and clamped.
    (iv) Brush specimens. After mounting in the specimen holder (and 
with the holder still on the carriage that rides on the brushing device) 
each specimen shall be brushed one time. The carriage is pushed to the 
rear of the brushing device, see Figure 7, and the brush, see Figure 8, 
lowered to the face of the specimen. The carriage shall be drawn forward 
by hand once against the lay of the surface fibers at a uniform rate. 
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. See Figure 9.
    (v) Condition specimens. All specimens (mounted and brushed) in the 
holders shall be then placed in a horizontal position on an open metal 
shelf in the oven to permit free circulation of air around them. The 
specimens shall be dried in the oven for 30 2 
minutes at 105[deg] 3 [deg]C (221[deg] 5 [deg]F) removed from the oven and placed over a bed of 
anhydrous silica gel desiccant in a desiccator until cool, but not less 
than 15 minutes.
    (vi) Conduct flammability test. Follow the procedure in paragraph 
(c) of this

[[Page 725]]

section and follow the test sequence in Sec. 1610.7(b)(3).
    (b) Step 2--Refurbishing and testing after refurbishing. (1) The 
refurbishing procedures are the same for both plain surface textile 
fabrics and raised fiber surface textile fabrics. Those samples that 
result in a Class 3, Rapid and Intense Burning after Step 1 testing in 
the original state shall not be refurbished and shall not undergo Step 
2.
    (i) Dry cleaning procedure. (A) All samples shall be dry cleaned 
before they undergo the laundering procedure. Samples shall be dry 
cleaned in a commercial dry cleaning machine, using the following 
prescribed conditions:

Solvent: Perchloroethylene, commercial grade
Detergent class: Cationic.
Cleaning time: 10-15 minutes.
Extraction time: 3 minutes.
Drying Temperature: 60-66 [deg]C (140-150 [deg]F).
Drying Time: 18-20 minutes.
Cool Down/Deodorization time: 5 minutes.

Samples shall be dry cleaned in a load that is 80% of the machine's 
capacity.

    (B) If necessary, ballast consisting of clean textile pieces or 
garments, white or light in color and consisting of approximately 80% 
wool fabric pieces and 20% cotton fabric pieces, shall be used.
    (ii) Laundering procedure. The sample, after being subjected to the 
dry cleaning procedure, shall be washed and dried one time in accordance 
with sections 8.2.2, 8.2.3 and 8.3.1(A) of AATCC Test Method 124-2006 
``Appearance of Fabrics after Repeated Home Laundering'' (incorporated 
by reference at Sec. 1610.6(b)(1)(B)(iii)). Washing shall be performed 
in accordance with sections 8.2.2 and 8.2.3 of AATCC Test Method 124-
2006 using AATCC 1993 Standard Reference Detergent, powder and wash 
water temperature (IV) (120[deg] 5 [deg]F; 49[deg] 
3 [deg]C) 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 of that 
method. A maximum wash load shall be 8 pounds (3.63 kg) 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 (150[deg] 10 [deg]F; 66[deg] 5 [deg]C) and 
cool down time of 10 minutes specified in the ``Durable Press'' 
conditions of Table IV.
    (iii) AATCC Test Method 124-2006 ``Appearance of Fabrics after 
Repeated Home Laundering,'' is incorporated by reference. The Director 
of the Federal Register approves this incorporation by reference in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy 
from the American Association of Textile Chemists and Colorists, P.O. 
Box 12215, Research Triangle Park, North Carolina 27709. You may inspect 
a copy at the Office of the Secretary, Consumer Product Safety 
Commission, Room 502, 4330 East West Highway, Bethesda, Maryland 20814 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
    (2) Testing plain surface textile fabrics after refurbishing. The 
test procedure is the same as for Step 1--Testing in the original state 
described in paragraph (a)(1) of this section; also follow the test 
sequence Sec. 1610.7(b)(2).
    (3) Testing raised fiber surface textile fabrics after refurbishing. 
The test procedure is the same as for Step 1--Testing in the original 
state as described in paragraph (a)(3) of this section; also follow the 
test sequence in Sec. 1610.7(b)(4).
    (c) Procedure for testing flammability. (1) The test chamber shall 
be located under the hood (or other suitable enclosure) with the fan 
turned off. 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 test flame to a length of 16 mm (\5/8\ 
in), measured from its tip to the opening in the gas nozzle.
    (2) Remove one mounted specimen from the desiccator at a time and 
place it in position on the specimen rack in the chamber of the 
apparatus. Thick fabrics may require adjustment of the specimen rack so 
that the tip of the indicator finger just touches the surface of the 
specimen.

[[Page 726]]

    (3) Adjust the position of the specimen rack of the flammability 
test chamber so that the tip of the indicator finger just touches the 
face of the mounted specimen.
    (4) String the stop thread through the guides in the upper plate of 
the specimen holder across the top of the specimen, and through any 
other thread guide(s) of the chamber. Hook the stop weight in place 
close to and just below the stop weight thread guide. Set the timing 
mechanism to zero. Close the door of the flammability test chamber.
    (5) Begin the test within 45 seconds of the time the specimen was 
removed from the desiccator. Activate the trigger device to impinge the 
test flame. The trigger device controls the impingement of the test 
flame onto the specimen and starts the timing device. The timing is 
automatic and stops when the weight is released by the severing of the 
stop thread.
    (6) At the end of each test, turn on the hood fan to exhaust any 
fumes or smoke produced during the test.
    (7) Record the burn time (reading of the timer) for each specimen, 
along with visual observation using the test result codes given in Sec. 
1610.8. If there is no burn time, record the visual observation using 
the test result codes. Please note for raised-fiber surface textile 
fabrics, specimens should be allowed to continue burning, even though a 
burn rate is measured, to determine if the base fabric will fuse.
    (8) After exhausting all fumes and smoke produced during the test, 
turn off the fan before testing the next specimen.

[73 FR 15640, Mar. 25, 2008, as amended at 73 FR 62187, Oct. 20, 2008]



Sec. 1610.7  Test sequence and classification criteria.

    (a) Preliminary and final classifications. Preliminary 
classifications are assigned based on the test results both before and 
after refurbishing. The final classification shall be the preliminary 
classification before or after refurbishing, whichever is the more 
severe flammability classification.
    (b) Test sequence and classification criteria. (1) Step 1, Plain 
Surface Textile Fabrics in the original state.
    (i) Conduct preliminary tests in accordance with Sec. 
1610.6(a)(2)(i) to determine the fastest burning direction of the 
fabric.
    (ii) Prepare and test five specimens from the fastest burning 
direction. The burn times determine whether to assign the preliminary 
classification and proceed to Sec. 1610.6(b) or to test five additional 
specimens.
    (iii) Assign the preliminary classification of Class 1, Normal 
Flammability and proceed to Sec. 1610.6(b) when:
    (A) There are no burn times; or
    (B) There is only one burn time and it is equal to or greater than 
3.5 seconds; or
    (C) The average burn time of two or more specimens is equal to or 
greater than 3.5 seconds.
    (iv) Test five additional specimens when there is either only one 
burn time, and it is less than 3.5 seconds; or there is an average burn 
time of less than 3.5 seconds. Test these five additional specimens from 
the fastest burning direction as previously determined by the 
preliminary specimens. The burn times for the 10 specimens determine 
whether to:
    (A) Stop testing and assign the final classification as Class 3, 
Rapid and Intense Burning only when there are two or more burn times 
with an average burn time of less than 3.5 seconds; or
    (B) Assign the preliminary classification of Class 1, Normal 
Flammability and proceed to Sec. 1610.6(b) when there are two or more 
burn times with an average burn time of 3.5 seconds or greater.
    (v) If there is only one burn time out of the 10 test specimens, the 
test is inconclusive. The fabric cannot be classified.
    (2) Step 2, Plain Surface Textile Fabrics after refurbishing in 
accordance with Sec. 1610.6(b)(1).
    (i) Conduct preliminary tests in accordance with Sec. 
1610.6(a)(2)(i) to determine the fastest burning direction of the 
fabric.
    (ii) Prepare and test five specimens from the fastest burning 
direction. The burn times determine whether to stop testing and assign 
the preliminary classification or to test five additional specimens.

[[Page 727]]

    (iii) Stop testing and assign the preliminary classification of 
Class 1, Normal Flammability, when:
    (A) There are no burn times; or
    (B) There is only one burn time, and it is equal to or greater than 
3.5 seconds; or
    (C) The average burn time of two or more specimens is equal to or 
greater than 3.5 seconds.
    (iv) Test five additional specimens when there is only one burn 
time, and it is less than 3.5 seconds; or there is an average burn time 
less than 3.5 seconds. Test five additional specimens from the fastest 
burning direction as previously determined by the preliminary specimens. 
The burn times for the 10 specimens determine the preliminary 
classification when:
    (A) There are two or more burn times with an average burn time of 
3.5 seconds or greater. The preliminary classification is Class 1, 
Normal Flammability; or
    (B) There are two or more burn times with an average burn time of 
less than 3.5 seconds. The preliminary and final classification is Class 
3, Rapid and Intense Burning; or
    (v) If there is only one burn time out of the 10 specimens, the test 
results are inconclusive. The fabric cannot be classified.
    (3) Step 1, Raised Surface Textile Fabric in the original state.
    (i) Determine the area to be most flammable per Sec. 
1610.6(a)(3)(i).
    (ii) Prepare and test five specimens from the most flammable area. 
The burn times and visual observations determine whether to assign a 
preliminary classification and proceed to Sec. 1610.6(b) or to test 
five additional specimens.
    (iii) Assign the preliminary classification and proceed to Sec. 
1610.6(b) when:
    (A) There are no burn times. The preliminary classification is Class 
1, Normal Flammability; or
    (B) There is only one burn time and it is less than 4 seconds 
without a base burn, or it is 4 seconds or greater with or without a 
base burn. The preliminary classification is Class 1, Normal 
Flammability; or
    (C) There are no base burns regardless of the burn time(s). The 
preliminary classification is Class 1, Normal Flammability; or
    (D) There are two or more burn times with an average burn time of 0-
7 seconds with a surface flash only. The preliminary classification is 
Class 1, Normal Flammability; or
    (E) There are two or more burn times with an average burn time 
greater than 7 seconds with any number of base burns. The preliminary 
classification is Class 1, Normal Flammability; or
    (F) There are two or more burn times with an average burn time of 4 
through 7 seconds (both inclusive) with no more than one base burn. The 
preliminary classification is Class 1, Normal Flammability; or
    (G) There are two or more burn times with an average burn time less 
than 4 seconds with no more than one base burn. The preliminary 
classification is Class 1, Normal Flammability; or
    (H) There are two or more burn times with an average burn time of 4 
through 7 seconds (both inclusive) with two or more base burns. The 
preliminary classification is Class 2, Intermediate Flammability.
    (iv) Test five additional specimens when the tests of the initial 
five specimens result in either of the following: There is only one burn 
time and it is less than 4 seconds with a base burn; or the average of 
two or more burn times is less than 4 seconds with two or more base 
burns. Test these five additional specimens from the most flammable 
area. The burn times and visual observations for the 10 specimens will 
determine whether to:
    (A) Stop testing and assign the final classification only if the 
average burn time for the 10 specimens is less than 4 seconds with three 
or more base burns. The final classification is Class 3, Rapid and 
Intense Burning; or
    (B) Assign the preliminary classification and continue on to Sec. 
1610.6(b) when:
    (1) The average burn time is less than 4 seconds with no more than 
two base burns. The preliminary classification is Class 1, Normal 
Flammability; or
    (2) The average burn time is 4-7 seconds (both inclusive) with no 
more than 2 base burns. The preliminary classification is Class 1, 
Normal Flammability, or

[[Page 728]]

    (3) The average burn time is greater than 7 seconds. The preliminary 
classification is Class 1, Normal Flammability; or
    (4) The average burn time is 4 through 7 seconds (both inclusive) 
with three or more base burns. The preliminary classification is Class 
2, Intermediate Flammability, or
    (v) If there is only one burn time out of the 10 specimens, the test 
is inconclusive. The fabric cannot be classified.
    (4) Step 2, Raised Surface Textile Fabric After Refurbishing in 
accordance with Sec. 1610.6(b).
    (i) Determine the area to be most flammable in accordance with Sec. 
1610.6(a)(3)(i).
    (ii) Prepare and test five specimens from the most flammable area. 
Burn times and visual observations determine whether to stop testing and 
determine the preliminary classification or to test five additional 
specimens.
    (iii) Stop testing and assign the preliminary classification when:
    (A) There are no burn times. The preliminary classification is Class 
1, Normal Flammability; or
    (B) There is only one burn time, and it is less than 4 seconds 
without a base burn; or it is 4 seconds or greater with or without a 
base burn. The preliminary classification is Class 1, Normal 
Flammability; or
    (C) There are no base burns regardless of the burn time(s). The 
preliminary classification is Class 1, Normal Flammability; or
    (D) There are two or more burn times with an average burn time of 0 
to 7 seconds with a surface flash only. The preliminary classification 
is Class 1, Normal Flammability; or
    (E) There are two or more burn times with an average burn time 
greater than 7 seconds with any number of base burns. The preliminary 
classification is Class 1, Normal Flammability; or
    (F) There are two or more burn times with an average burn time of 4 
through 7 seconds (both inclusive) with no more than one base burn. The 
preliminary classification is Class 1, Normal Flammability; or
    (G) There are two or more burn times with an average burn time less 
than 4 seconds with no more than one base burn. The preliminary 
classification is Class 1, Normal Flammability; or
    (H) There are two or more burn times with an average burn time of 4 
through 7 seconds (both inclusive) with two or more base burns. The 
preliminary classification is Class 2, Intermediate Flammability.
    (iv) Test five additional specimens when the tests of the initial 
five specimens result in either of the following: There is only one burn 
time, and it is less than 4 seconds with a base burn; or the average of 
two or more burn times is less than 4 seconds with two or more base 
burns.
    (v) If required, test five additional specimens from the most 
flammable area. The burn times and visual observations for the 10 
specimens determine the preliminary classification when:
    (A) The average burn time is less than 4 seconds with no more than 
two base burns. The preliminary classification is Class 1, Normal 
Flammability; or
    (B) The average burn time is less than 4 seconds with three or more 
base burns. The preliminary and final classification is Class 3, Rapid 
and Intense Burning; or
    (C) The average burn time is greater than 7 seconds. The preliminary 
classification is Class 1, Normal Flammability; or
    (D) The average burn time is 4-7 seconds (both inclusive), with no 
more than two base burns. The preliminary classification is Class 1, 
Normal Flammability; or
    (E) The average burn time is 4-7 seconds (both inclusive), with 
three or more base burns. The preliminary classification is Class 2, 
Intermediate Flammability; or
    (vi) If there is only one burn time out of the 10 specimens, the 
test is inconclusive. The fabric cannot be classified.



Sec. 1610.8  Reporting results.

    (a) The reported result shall be the classification before or after 
refurbishing, whichever is the more severe; and based on this result, 
the textile shall be placed in the proper final classification as 
described in Sec. 1610.4.
    (b) Test result codes. The following are the definitions for the 
test result codes, which shall be used for recording

[[Page 729]]

flammability results for each specimen that is burned.
    (1) For Plain Surface Textile Fabrics:

DNI Did not ignite.
IBE Ignited, but extinguished.
_._ sec. Actual burn time measured and recorded by the timing device.

    (2) For Raised Surface Textile Fabrics:

SF uc Surface flash, under the stop thread, but does not break the stop 
    thread.
SF pw Surface flash, part way. No time shown because the surface flash 
    did not reach the stop thread.
SF poi Surface flash, at the point of impingement only (equivalent to 
    ``did not ignite'' for plain surfaces).
_._ sec. Actual burn time measured by the timing device in 0.0 seconds.
_._ SF only Time in seconds, surface flash only. No damage to the base 
    fabric.
_._ SFBB Time in seconds, surface flash base burn starting at places 
    other than the point of impingement as a result of surface flash.
_._ SFBB poi Time in seconds, surface flash base burn starting at the 
    point of impingement.
_._ SFBB poi* Time in seconds, surface flash base burn possibly starting 
    at the point of impingement. The asterisk is accompanied by the 
    following statement: ``Unable to make absolute determination as to 
    source of base burns.'' This statement is added to the result of any 
    specimen if there is a question as to origin of the base burn.



                     Subpart B_Rules and Regulations



Sec. 1610.31  Definitions.

    In addition to the definitions provided in section 2 of the 
Flammable Fabrics Act as amended (15 U.S.C. 1191), and in Sec. 1610.2 
of the Standard, the following definitions apply for this subpart.
    (a) 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) 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) 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) Marketing or handling means the transactions referred to in 
section 3 of the Flammable Fabrics Act, as amended in 1967.
    (e) Test means the application of the relevant test method 
prescribed in the procedures provided under section 4(a) of the Act (16 
CFR part 1609).
    (f) 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.
    (g) Uncovered or exposed part means that part of an article of 
wearing apparel that might during normal wear be open to flame or other 
means of ignition. 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. Other examples of exposed parts of an article 
of wearing apparel subject to the Act include, but are not limited to:
    (1) Linings, with exposed areas, such as full front zippered 
jackets;
    (2) Sweatshirts with exposed raised fiber surface inside and capable 
of being worn napped side out;
    (3) Unlined hoods;
    (4) Rolled cuffs.
    (h) Coated fabrics means a flexible material composed of a fabric 
and any adherent polymeric material applied to one or both surfaces.



Sec. 1610.32  General requirements.

    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 
(16 CFR 1609), is so highly flammable as to be dangerous when worn by 
individuals.

[[Page 730]]



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 1610.
    (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, Standard for 
the Flammability of Vinyl Plastic Film, 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, Standard for the Flammability of Vinyl Plastic Film.



Sec. 1610.34  Only uncovered or exposed parts of wearing apparel
to be tested.

    (a) 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 Sec. 1610.6.
    (b) 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. 1610.6(a)(2)(iv) and Sec. 1610.6(a)(3)(v) 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.
    (c) 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).



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. 1610.6(b) when tested 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 1610.3, which requires that all textiles shall be 
refurbished 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.

[[Page 731]]

    (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. 
1610.6(b)(1)(i).
    (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 Sec. 1610.6, 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.



Sec. 1610.36  Application of Act to particular types of products.

    (a) Interlinings. 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) Hats, gloves, and footwear. 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) Veils and hats. (1) 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 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.
    (2) Where hats are composed entirely of ornamental millinery veils 
or veilings such hats will not be considered as subject to the 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.
    (d) Handkerchiefs. (1) Except as provided in paragraph (d)(2) 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

[[Page 732]]

area are not deemed ``articles of wearing apparel'' as that term is used 
in the Act.
    (2) 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, such handkerchiefs or other 
articles constitute textile fabrics as the term ``textile fabric'' is 
defined in Sec. 1610.2(r).
    (3) 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, such 
product is not a handkerchief and constitutes an article of wearing 
apparel as defined in and subject to the provisions of the Act, 
irrespective of its size, or its description or designation as a 
handkerchief or any other term.
    (e) Raised-fiber surface wearing apparel. 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.



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 Act (15 U.S.C. 
1197(a)) provides that no person shall be subject to criminal 
prosecution under section 7 of the Act (15 U.S.C. 1196) for a violation 
of section 3 of the Act (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 Act, 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 Act (15 U.S.C. 1195).
    (2) Section 8 of the Act 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 
Act; 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 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

[[Page 733]]

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 firms outside of the territories of the 
United States or 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.



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 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 from the date 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. 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

[[Page 734]]

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 
directly to the 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 that the textile fabric or 
article of wearing apparel has been shipped for appropriate flammability 
treatment, and 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 that: (i) The 
imported textile fabrics or articles of wearing apparel have been 
shipped for appropriate flammability treatment, and
    (ii) 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 U.S. Customs and Border Protection an affidavit stating: These 
fabrics (or articles of wearing apparel) are dangerously flammable under 
the provisions of section 4 of the 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 U.S. Customs and 
Border Protection, furnishes an adequate specific-performance bond 
conditioned upon the complete discharge of the obligations assumed in 
paragraphs (c)(1) and (2) of this section.
    (d) The purpose of section 11(c) of the Act 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)of the Act 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) of the Act 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 Act provides that no person shall be subject 
to criminal prosecution under section 7 of the Act (15 U.S.C. 1196) for 
a violation of section 3 of the Act (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 Act. One of those requirements 
is that the guaranty must be based upon ``reasonable and representative 
tests'' in accordance with the applicable standard.
    (b) Subpart A of this part 1610 prescribes apparatus and procedures 
for testing fabrics and garments subject to

[[Page 735]]

its provisions. See Sec. Sec. 1610.5 & 1610.6. Subpart A 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 Sec. 1610.4. Sections 3 and 4 of the Act prohibit 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 subpart A of this part, or alternate tests which utilize 
apparatus or procedures other than those in subpart A of this part. 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 subpart A of this part 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 subpart A of this part, if such alternate test is as stringent as, or 
more stringent than, the test in subpart A of this part. The Commission 
considers an alternate test to be ``as stringent as, or more stringent 
than'' the test in subpart A of this part if, when testing identical 
specimens, the alternate test yields failing results as often as, or 
more often than, the test in subpart A of this part. 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 subpart A of this part.
    (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 subpart A of this 
part 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 subpart A of this 
part 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 
Subpart A is not required. The Commission will not approve or disapprove 
any specific alternate test utilizing apparatus or procedures other than 
those in subpart A of this part.
    (f) Use of any alternate test to support guaranties of items subject 
to the Standard without the information required by this section may 
result in violation of section 8(b), of the Act (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 subpart A of this part. 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 Act; 
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 Act.

(Reporting requirements contained in paragraph (d) were approved by 
Office of Management and Budget under control number 3041-0024.)

[[Page 736]]



                 Subpart C_Interpretations and Policies



Sec. 1610.61  Reasonable and representative testing to assure 
compliance with the standard for the clothing textiles.

    (a) Background. (1) The CPSC administers the Flammable Fabrics Act 
(``the Act''), 15 U.S.C. 1191-1204. Under the Act, among other things, 
the Commission enforces the Standard for the Flammability of Clothing 
Textiles (``the 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 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). Sec. 
1610.4. Class 1 textiles, those that exhibit normal flammability, are 
acceptable for use in clothing. Sec. 1610.4(a)(1) & (2). Class 2 
textiles, applicable only to raised-fiber surfaces, are considered to be 
of intermediate flammability, but may be used in clothing. Sec. 
1610.4(b)(1) & (2). Finally, Class 3 textiles, those that exhibit rapid 
and intense burning, are dangerously flammable and may not be used in 
clothing. Sec. 1610.4(c)(1) & (2). 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 Act, 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 and Border Protection 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 Act. Of particular relevance 
to the latter two remedies is 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 Act, 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. (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.) Under Sec. 1610.37, a person, to issue a guaranty, should 
first evaluate the type of fabric to determine if it meets testing 
exemptions in accordance with Sec. 1610.1(d). (Some textiles never 
exhibit unusual burning characteristics and need not be tested.)
    Sec. 1610.1(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.) If no exemptions apply, 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.

[[Page 737]]

    (5) In determining whether a firm has committed a ``knowing'' 
violation of a flammability standard that warrants imposition of a civil 
penalty, the CPSC 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 between 1994 and 1998 
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. Between August 1994 and August 1998, 
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 Standard:
    (1) Purchase fabrics or garments that meet testing exemptions listed 
in Sec. 1610.1(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.

[[Page 738]]



      Sec. Figure 1 to Part 1610--Sketch of Flammability Apparatus
[GRAPHIC] [TIFF OMITTED] TR25MR08.000


[[Page 739]]





        Sec. Figure 2 to Part 1610--Flammability Apparatus Views
[GRAPHIC] [TIFF OMITTED] TR25MR08.001


[[Page 740]]





 Sec. Figure 3 to Part 1610--Specimen Holder Supported in Specimen Rack
[GRAPHIC] [TIFF OMITTED] TR25MR08.002


[[Page 741]]





  Sec. Figure 4 to Part 1610--An Example of a Typical Indicator Finger
[GRAPHIC] [TIFF OMITTED] TR25MR08.003


[[Page 742]]





     Sec. Figure 5 to Part 1610--An Example of a Typical Gas Shield
[GRAPHIC] [TIFF OMITTED] TR25MR08.004


[[Page 743]]





                   Sec. Figure 6 to Part 1610--Igniter
[GRAPHIC] [TIFF OMITTED] TR20OC08.001


[73 FR 62187, Oct. 20, 2008]

[[Page 744]]



               Sec. Figure 7 to Part 1610--Brushing Device
[GRAPHIC] [TIFF OMITTED] TR25MR08.006


[[Page 745]]





                    Sec. Figure 8 to Part 1610--Brush
[GRAPHIC] [TIFF OMITTED] TR25MR08.007


[[Page 746]]





          Sec. Figure 9 to Part 1610--Brushing Device Template
[GRAPHIC] [TIFF OMITTED] TR20OC08.002


[73 FR 62187, Oct. 20, 2008]

[[Page 747]]



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.

                     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

[[Page 748]]

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 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 749]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.079

[GRAPHIC] [TIFF OMITTED] TC03OC91.080


[[Page 750]]





                     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 751]]

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 752]]

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 753]]

    (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 754]]

    (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 755]]

    (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 756]]

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 757]]

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]

[[Page 758]]

1615.62 Policy and interpretation relative to items in inventory or as 
          to recordkeeping requirements.
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 of Clothing Textiles (16 CFR part 1610) and the 
Standard for the Flammability of 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

[[Page 759]]

specific identity that remains unchanged throughout the Unit except 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\)
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------

    (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

[[Page 760]]

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


            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/  6.6 cm 2\5/  7.4 cm 2\7/  7.4 cm 2\7/  8.1 cm 3\1/  8.8 cm 3\1/  9.5 cm 3\3/    10.3cm   11 cm 4\3/
 8\8\ 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 National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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.
[GRAPHIC] [TIFF OMITTED] TR08SE99.001


[[Page 763]]


    (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; 
72 FR 13689, Mar. 23, 2007]



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 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

[[Page 764]]

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.
[GRAPHIC] [TIFF OMITTED] TC03OC91.081


[[Page 765]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.082


[[Page 766]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.083


[[Page 767]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.084


[[Page 768]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.085


[[Page 769]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.086


[[Page 770]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.087


[[Page 771]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.088


[[Page 772]]



                   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 211.1 [deg]C (702 [deg]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 h 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 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 plan, 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

[[Page 773]]

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:
    (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.

[[Page 774]]

    (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. 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.

[[Page 775]]

    (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 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

[[Page 776]]

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 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 or 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

[[Page 777]]

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 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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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

[[Page 778]]

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 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; 72 FR 
13689, Mar. 23, 2007]



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:

[[Page 779]]

    (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 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

[[Page 780]]

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 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]

[[Page 781]]

    (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 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.

[[Page 782]]

    (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 (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

[[Page 783]]

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]



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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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.

[[Page 784]]

    (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 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

[[Page 785]]

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 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

[[Page 786]]

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 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

[[Page 787]]

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 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

[[Page 788]]

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. 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.

[[Page 789]]



                         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 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

[[Page 790]]

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 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)
 

[[Page 791]]

 
          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\)
 
           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.

[[Page 792]]

[GRAPHIC] [TIFF OMITTED] TR19JA99.017


               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\    5\1/8\           eq>       thn-eq>       thn-eq>                     thn-eq>       thn-eq>       thn-eq>
----------------------------------------------------------------------------------------------------------------

    (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.

[[Page 793]]

[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;
    (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

[[Page 794]]

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 National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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

    (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


[[Page 795]]


    (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 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

[[Page 796]]

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.)
    (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

[[Page 797]]

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 
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,

[[Page 798]]

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 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

[[Page 799]]

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.
    (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.

[[Page 800]]

    (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.
    (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.

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    (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 809]]

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 [deg]C (702 [deg]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 810]]

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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or

[[Page 811]]

go to: http://www.archives.gov/
federal_register/
code_of_federal_regulations/
ibr_locations.html. 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 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.''

[[Page 812]]

    (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 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

[[Page 813]]

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) 
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

[[Page 814]]

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 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

[[Page 815]]

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 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

[[Page 816]]

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.
    (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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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

[[Page 817]]

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 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

[[Page 818]]

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 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 819]]

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 820]]



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 821]]

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 822]]

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 a methenamine tablet, flat, 
with a nominal heat of combustion value of 7180 calories/gram, a mass of 
150 mg 5mg and a nominal diameter of 6mm.
    (g) Fire-Retardant Treatment means any process to which a carpet or 
rug has been exposed which significantly

[[Page 823]]

decreases the flammability of that carpet or rug and enables it to meet 
the acceptance criterion of this Standard.

[40 FR 59931, Dec. 30, 1975, as amended at 72 FR 60767, Oct. 26, 2007]



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. A methenamine tablet, flat, with a 
nominal heat of combustion value of 7180 calories/gram, a mass of 150 mg 
5 mg and a nominal diameter of 6mm. 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

[[Page 824]]

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 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 National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. 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

[[Page 825]]

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 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; 
72 FR 60767, Oct. 26, 2007]



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.

[[Page 826]]

    (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 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.

[[Page 827]]

    (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 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.

[[Page 828]]



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 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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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.

[[Page 829]]

    (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 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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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]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.

[[Page 830]]

    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 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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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.

[[Page 831]]

    (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]



                 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.

[[Page 832]]

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 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 a methenamine tablet, flat, 
with a nominal heat of combustion value of 7180 calories/gram, a mass of 
150 mg 5mg and a nominal diameter of 6mm.
    (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.

[40 FR 59935, Dec. 30, 1975, as amended at 72 FR 60767, Oct. 26, 2007]



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

[[Page 833]]

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 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. A methenamine tablet, flat, with a 
nominal heat of combustion value of 7180 calories/gram, a mass of 150 mg 
5 mg and a nominal diameter of 6mm. 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.

[[Page 834]]

    (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 National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. 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

[[Page 835]]

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 small 
carpet or rug meets the acceptance criterion.

[40 FR 59935, Dec. 30, 1975, as amended at 65 FR 12934, Mar. 10, 2000; 
72 FR 60767, Oct. 26, 2007]



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

[[Page 836]]

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 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

[[Page 837]]

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 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

[[Page 838]]

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 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,

[[Page 839]]

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 National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. 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 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.

[[Page 840]]

    (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 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 National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. 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:

[[Page 841]]

    (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]



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.

[[Page 842]]

    (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 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

[[Page 843]]

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 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

[[Page 844]]

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 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 a Standard 
Reference Material cigarette (SRM 1196), available for purchase from the 
National Institute of Standards and Technology, 100 Bureau Drive, 
Gaithersburg, MD 20899.
    (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

[[Page 845]]

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).
    (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

[[Page 846]]

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.
    (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


[[Page 847]]


[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)).
    (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.

[[Page 848]]

    (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 depression. 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)).
    (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).

[49 FR 39796, Oct. 10, 1984, as amended at 76 FR 59023, Sept. 23, 2011]



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.

[[Page 849]]

    (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 National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. 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.
    (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

[[Page 850]]

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 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.

[[Page 851]]

    (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.
    (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

[[Page 852]]

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 853]]

[GRAPHIC] [TIFF OMITTED] TC03OC91.099


[[Page 854]]


[GRAPHIC] [TIFF OMITTED] TC03OC91.100


[[Page 855]]





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 856]]

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 857]]

[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 858]]

    (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 859]]

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 860]]



                 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.



PART 1633_STANDARD FOR THE FLAMMABILITY (OPEN FLAME) OF MATTRESS
SETS--Table of Contents



                         Subpart A_The Standard

Sec.
1633.1 Purpose, scope and applicability.
1633.2 Definitions.
1633.3 General requirements.
1633.4 Prototype testing requirements.
1633.5 Prototype pooling and confirmation testing requirements.
1633.6 Quality assurance requirements.
1633.7 Mattress test procedure.
1633.8 Findings.
1633.9 Glossary of terms.

                     Subpart B_Rules and Regulations

1633.10 Definitions.
1633.11 Records.
1633.12 Labeling.
1633.13 Tests for guaranty purposes, compliance with this section, and 
          ``one of a kind'' exemption.

Figure 1 to Part 1633--Test Assembly, Shown in Furniture Calorimeter 
          (Configuration A)
Figure 2 to Part 1633--Test Arrangement in 3.05m x 3.66m (10 ft x 12 ft) 
          Room (Configuration B)
Figure 3 to Part 1633--Details of Horizontal Burner Head
Figure 4 to Part 1633--Details of Vertical Burner Head
Figure 5 to Part 1633--Details of Burner Stand-off
Figure 6 to Part 1633--Burner Assembly Showing Arms and Pivots (Shoulder

[[Page 861]]

          Screws), in Relation to, Portable Frame Allowing Burner Height 
          Adjustment
Figure 7 to Part 1633--Elements of Propane Flow Control for Each Burner
Figure 8 to Part 1633--Jig for Setting Mattresses and Foundation Sides 
          in Same Plane
Figure 9 to Part 1633--Burner Placements on Mattress/Foundation
Figure 10 to Part 1633--Jig for Setting Burners at Proper Distances From 
          Mattress/Foundation
Figure 11 to Part 1633--Diagrams for Glossary of Terms
Figure 12 to Part 1633--Labels for Domestic Mattress with Foundation
Figure 13 to Part 1633--Labels for Imported Mattress with Foundation
Figures 14 and 15 to Part 1633--Label for Domestic Mattress Alone and 
          with Foundation and Label for Imported Mattress Alone and With 
          Foundation
Figures 16 and 17 to Part 1633--Label for Domestic Mattress Only and 
          Label for Imported Mattress Only

    Authority: 15 U.S.C. 1193, 1194

    Source: 71 FR 13498, Mar. 15, 2006, unless otherwise noted.



                         Subpart A_The Standard



Sec. 1633.1  Purpose, scope and applicability.

    (a) Purpose. This part 1633 establishes flammability requirements 
that all mattress sets must meet before sale or introduction into 
commerce. The purpose of the standard is to reduce deaths and injuries 
associated with mattress fires by limiting the size of the fire 
generated by a mattress set during a thirty minute test.
    (b) Scope. (1) All mattress sets, as defined in Sec. 1633.2(c), 
manufactured, imported, or renovated on or after the effective date of 
this standard are subject to the requirements of the standard.
    (2) One-of-a-kind mattress sets may be exempted from testing under 
this standard in accordance with Sec. 1633.13(c).
    (c) Applicability. The requirements of this part 1633 shall apply to 
each ``manufacturer'' (as that term is defined in Sec. 1633.2(k)) of 
mattress sets which are manufactured for sale in commerce.



Sec. 1633.2  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 part 1633.
    (a) Mattress means a resilient material or combination of materials 
enclosed by a ticking (used alone or in combination with other products) 
intended or promoted for sleeping upon. This includes mattresses that 
have undergone renovation as defined in paragraph (d) of this section.
    (1) This term includes, but is not limited to, adult mattresses, 
youth mattresses, crib mattresses (including portable crib mattresses), 
bunk bed mattresses, futons, flip chairs without a permanent back or 
arms, sleeper chairs, and water beds or air mattresses if they contain 
upholstery material between the ticking and the mattress core. 
Mattresses used in or as part of upholstered furniture are also 
included; examples are convertible sofa bed mattresses, corner group 
mattresses, day bed mattresses, roll-away bed mattresses, high risers, 
and trundle bed mattresses. See Sec. 1633.9 Glossary of terms, for 
definitions of these items.
    (2) This term excludes mattress pads, mattress toppers (items with 
resilient filling, with or without ticking, intended to be used with or 
on top of a mattress), sleeping bags, pillows, liquid and gaseous filled 
tickings, such as water beds and air mattresses that contain no 
upholstery material between the ticking and the mattress core, 
upholstered furniture which does not contain a mattress, 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. 1633.9 Glossary of terms, for 
definitions of these items.
    (b) Foundation means a ticking covered structure used to support a 
mattress or sleep surface. The structure may include constructed frames, 
foam, box springs, or other materials, used alone or in combination.
    (c) Mattress set means either a mattress and foundation labeled by 
the manufacturer for sale as a set, or a mattress labeled by the 
manufacturer for sale without any foundation.


[[Page 862]]

    (d) Renovation means altering an existing mattress set for the 
purpose of resale.
    (1) This term includes any one, or any combination of the following: 
replacing the ticking or batting, stripping a mattress to its springs, 
rebuilding a mattress, or replacing components with new or recycled 
materials.
    (2) This term excludes alterations 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.
    (e) Ticking means the outermost layer of fabric or related material 
of a mattress or foundation. It does not include any other layers of 
fabric or related materials quilted together with, or otherwise attached 
to, the outermost layer of fabric or related material.
    (f) Upholstery material means all material, either loose or 
attached, between the mattress ticking and the core of a mattress.
    (g) Edge means the seamed, un-seamed or taped border edge of a 
mattress or foundation that joins the top and/or bottom with the side 
panels.
    (h) Tape edge means an edge made by using binding tape to encase and 
finish raw edges.
    (i) Binding tape means a fabric strip used in the construction of 
some edges.
    (j) Seam thread means the thread used to form stitches in 
construction features, seams, and tape edges.
    (k) Manufacturer means an individual plant or factory at which 
mattress sets are manufactured or assembled. For purposes of this part 
1633, importers and renovators are considered manufacturers.
    (l) Prototype means a specific design of mattress set that serves as 
a model for production units intended to be introduced into commerce and 
is the same as the production units with respect to materials, 
components, design and methods of assembly. A mattress intended for sale 
with a foundation(s) shall be considered a separate and distinct 
prototype from a mattress intended for sale without a foundation.
    (m) Prototype developer means a third party that develops a 
prototype for use by a manufacturer. Such prototypes may be qualified by 
either the prototype developer or by the manufacturer.
    (n) Qualified prototype means a prototype that has been tested in 
accordance with Sec. 1633.4(a) and meets the criteria stated in Sec. 
1633.3(b).
    (o) Confirmed prototype means a prototype that is part of a pooling 
arrangement and is the same as a qualified prototype with respect to 
materials, components, design and methods of assembly and has been 
tested in accordance with Sec. 1633.5(a)(3) and meets the criteria 
stated in Sec. 1633.3(b).
    (p) Subordinate prototype means a mattress set that is based on a 
qualified or confirmed prototype and is the same as the qualified or 
confirmed prototype, except as permitted by Sec. 1633.4(b). A 
subordinate prototype is considered to be represented by a qualified or 
confirmed prototype and need not be tested in accordance with Sec. 
1633.4(a) or Sec. 1633.5(a)(3).
    (q) Prototype pooling means a cooperative arrangement--whereby one 
or more manufacturers build mattress sets based on a qualified prototype 
produced by another manufacturer or prototype developer. A manufacturer 
who relies on another manufacturer's or prototype developer's qualified 
prototype must perform a confirmation test on the mattress set it 
manufactures.
    (r) Confirmation test means a pre-market test conducted by a 
manufacturer who is relying on a qualified prototype produced by another 
manufacturer or prototype developer. A confirmation test must be 
conducted in accordance with the procedures set forth in Sec. 1633.7 
and meet the criteria in Sec. 1633.3(b).
    (s) Production lot means any quantity of finished mattress sets that 
are produced in production intervals defined by the manufacturer, and 
are intended to replicate a specific qualified, confirmed or subordinate 
prototype that complies with this part 1633.
    (t) Specimen means a mattress set tested under this regulation.
    (u) Twin size means any mattress with the dimensions 38 inches (in) 
(965 millimeters) x 74.5 in. (1892 mm); all dimensions may vary by 
\1/2\ in. (13 mm).

[[Page 863]]

    (v) Core means the main support system that may be present in a 
mattress, such as springs, foam, water bladder, air bladder, or 
resilient filling.



Sec. 1633.3  General requirements.

    (a) Summary of test method. The test method set forth in Sec. 
1633.7 measures the flammability (fire test response characteristics) of 
a mattress specimen by exposing the specimen to a specified flaming 
ignition source and allowing it to burn freely under well-ventilated, 
controlled environmental conditions. The flaming ignition source shall 
be a pair of propane burners. These burners impose differing fluxes for 
differing times on the top and sides of the specimen. During and after 
this exposure, measurements shall be made of the time-dependent heat 
release rate from the specimen, quantifying the energy generated by the 
fire. The rate of heat release must be measured by means of oxygen 
consumption calorimetry.
    (b) Test criteria. (1) When testing the mattress set in accordance 
with the test procedure set forth in Sec. 1633.7, the specimen shall 
comply with both of the following criteria:
    (i) The peak rate of heat release shall not exceed 200 kilowatts 
(``kW'') at any time within the 30 minute test; and
    (ii) The total heat release shall not exceed 15 megajoules (``MJ'') 
for the first 10 minutes of the test.
    (2) In the interest of safety, the test operator should discontinue 
the test and record a failure if a fire develops to such a size as to 
require suppression for the safety of the facility.
    (c) Testing of mattress sets. Mattresses labeled for sale with a 
foundation shall be tested with such foundation. Mattresses labeled for 
sale without a foundation shall be tested alone.
    (d) Compliance with this standard. Each mattress set manufactured, 
imported, or renovated on or after the effective date of the standard 
shall meet the test criteria specified in paragraph (b) of this section 
and otherwise comply with all applicable requirements of this part 1633.



Sec. 1633.4  Prototype testing requirements.

    (a) Except as otherwise provided in paragraph (b) of this section, 
each manufacturer shall cause three specimens of each prototype to be 
tested according to Sec. 1633.7 and obtain passing test results 
according to Sec. 1633.3(b) before selling or introducing into commerce 
any mattress set based on that prototype, unless the manufacturer 
complies with the prototype pooling and confirmation testing 
requirements in Sec. 1633.5.
    (b) Notwithstanding the requirements of paragraph (a) of this 
section, a manufacturer may sell or introduce into commerce a mattress 
set that has not been tested according to Sec. 1633.7 if that mattress 
set differs from a qualified or confirmed prototype only with respect 
to:
    (1) Mattress/foundation length and width, not depth (e.g., twin, 
queen, king);
    (2) Ticking, unless the ticking of the qualified prototype has 
characteristics (such as chemical treatment or special fiber 
composition) designed to improve performance on the test prescribed in 
this part; and/or
    (3) Any component, material, design or method of assembly, so long 
as the manufacturer can demonstrate on an objectively reasonable basis 
that such differences will not cause the mattress set to exceed the test 
criteria specified in Sec. 1633.3(b).
    (c) All tests must be conducted on specimens that are no smaller 
than a twin size, unless the largest size mattress set produced is 
smaller than a twin size, in which case the largest size must be tested.
    (d)(1) If each of the three specimens meets both the criteria 
specified in Sec. 1633.3(b), the prototype shall be qualified. If any 
one (1) specimen fails to meet the test criteria of Sec. 1633.3(b), the 
prototype is not qualified.
    (2) Any manufacturer may produce a mattress set for sale in reliance 
on prototype tests performed before the effective date of this Standard, 
provided:
    (i) The manufacturer has documentation showing that such tests were 
conducted in accordance with all requirements of this section and Sec. 
1633.7 and yielded passing results according to the test criteria of 
Sec. 1633.3(b);
    (ii) Any tests conducted more than 30 days after publication of this 
standard in the Federal Register must comply

[[Page 864]]

with the recordkeeping requirements in Sec. 1633.11;
    (iii) Such mattress sets may be used for prototype pooling only if 
the manufacturer complies with applicable recordkeeping requirements in 
Sec. 1633.11; and
    (iv) Such mattress sets may serve as the basis for a subordinate 
prototype only if the manufacturer has all records required by Sec. 
1633.11.



Sec. 1633.5  Prototype pooling and confirmation testing requirements.

    (a) Prototype pooling. One or more manufacturers may rely on a 
qualified prototype produced by another manufacturer or prototype 
developer provided that:
    (1) The prototype meets the requirements of Sec. 1633.4;
    (2) The mattress sets being produced are the same as the qualified 
prototype with respect to materials, components, design and methods of 
assembly; and
    (3) The manufacturer producing mattress sets in reliance on a 
qualified prototype has performed a confirmation test on at least one 
(1) Specimen of the mattress set it produces in accordance with Sec. 
1633.7. The tested specimen must meet the criteria under Sec. 1633.3(b) 
before any mattress sets based on the qualified prototype may be sold or 
introduced into commerce.
    (b) Confirmation test failure. (1) If the confirmation test specimen 
fails to meet the criteria of Sec. 1633.3(b), the manufacturer thereof 
shall not sell any mattress set based on the same qualified prototype 
until that manufacturer takes corrective measures, tests a new specimen, 
and the new specimen meets the criteria of Sec. 1633.3(b).
    (2) If a confirmation test specimen fails to meet the criteria of 
Sec. 1633.3(b), the manufacturer thereof must notify the manufacturer 
of the prototype of the test failure.



Sec. 1633.6  Quality assurance requirements.

    (a) Quality assurance. Each manufacturer shall implement a quality 
assurance program to ensure that mattress sets manufactured for sale are 
the same as the qualified and/or confirmed prototype on which they are 
based with respect to materials, components, design and methods of 
assembly, except as permitted by Sec. 1633.4(b). At a minimum these 
procedures shall include:
    (1) Controls, including incoming inspection procedures, of all 
mattress set materials, components and methods of assembly to ensure 
that they are the same as those used in the prototype on which they are 
based;
    (2) Designation of a production lot that is represented by the 
prototype; and
    (3) Inspection of mattress sets produced for sale sufficient to 
demonstrate that they are the same as the prototype on which they are 
based with respect to materials, components, design and methods of 
assembly.
    (b) Production testing. Manufacturers are encouraged to conduct, as 
part of the quality assurance program, random testing of mattress sets 
being produced for sale according to the requirements of Sec. Sec. 
1633.3 and 1633.7.
    (c) Failure of mattress sets produced for sale to meet flammability 
standard--(1) Sale of mattress sets. If any test performed for quality 
assurance yields results which indicate that any mattress set of a 
production lot does not meet the criteria of Sec. 1633.3(b), or if a 
manufacturer obtains test results or other evidence that a component or 
material or construction/assembly process used could negatively affect 
the test performance of the mattress set as set forth in Sec. 
1633.3(b), the manufacturer shall cease production and distribution in 
commerce of such mattress sets until corrective action is taken.
    (2) Corrective action. A manufacturer must take corrective action 
when any mattress set manufactured or imported for sale fails to meet 
the flammability test criteria set forth in Sec. 1633.3(b).



Sec. 1633.7  Mattress test procedure.

    (a) Apparatus and test materials--(1) Calorimetry. The rate of heat 
release must be measured by means of oxygen consumption calorimetry. The 
calibration should follow generally accepted practices for calibration. 
The calorimetry system shall be calibrated at a minimum of two (2) 
calibration points--at 75 kW and 200 kW.
    (2) Test area. The test area must have either Test Configuration A 
or B. The

[[Page 865]]

test area conditions shall be maintained at a temperature greater than 
15 [deg]C (59 [deg]F) and less than 27 [deg]C (80.6 [deg]F) and a 
relative humidity less than 75 percent.
    (i) Test configuration A. (an open calorimeter (or furniture 
calorimeter)). In this configuration, the specimen to be tested is 
placed under the center of an open furniture calorimeter. Figure 1 of 
this part shows the test assembly atop a bed frame and catch surface. 
The specimen shall be placed under an open hood which captures the 
entire smoke plume and is instrumented for heat release rate 
measurements. The area surrounding the test specimen in an open 
calorimeter layout shall be sufficiently large that there are no heat 
re-radiation effects from any nearby materials or objects. The air flow 
to the test specimen should be symmetrical from all sides. The air flow 
to the calorimeter hood shall be sufficient to ensure that the entire 
fire plume is captured, even at peak burning. Skirts may be placed on 
the hood periphery to help assure this plume capture, if necessary, 
though they must not be of such an excessive length as to cause the 
incoming flow to disturb the burning process. Skirts must also not heat 
up to the point that they contribute significant re-radiation to the 
test specimen. The air supply to the hood shall be sufficient that the 
fire is not in any way limited or affected by the available air supply. 
The fire plume should not enter the hood exhaust duct. Brief (seconds) 
flickers of flame that occupy only a minor fraction of the hood exhaust 
duct inlet cross-section are acceptable since they do not signify 
appreciable suppression of flames.
    (ii) Test configuration B. The test room shall have dimensions 10 
ft. by 12 ft. by 8 ft. (3048 mm x 3658 mm x 2438 mm) high. The specimen 
is placed within the burn room. All smoke exiting from the room is 
caught by a hood system instrumented for heat release rate measurements. 
The room shall have no openings permitting air infiltration other than a 
doorway opening 38 in 0.25 in by 80 in 0.25 in (965 mm 6.4 mm x 2032 mm 
6.4 mm) located as indicated in Figure 2 of this 
part and other small openings as necessary to make measurements. The 
test room shall be constructed of wood or metal studs and shall be lined 
with fire-rated wallboard or calcium silicate board. An exhaust hood 
shall be positioned outside of the doorway so as to collect all of the 
combustion gases. There shall be no obstructions in the air supply to 
the set-up.
    (3) Location of test specimen. The location of the test specimen is 
shown in Figure 2 of this part. The angled placement is intended to 
minimize the interaction of flames on the side surfaces of the test 
specimen with the room walls. One corner of the test specimen shall be 
13 centimeters (cm) to 17 cm from the wall and the other corner shall be 
25 cm to 30 cm from the wall. The test room shall contain no other 
furnishings or combustible materials except for the test specimen.
    (4) Bed frame. (i) Frame dimensions. The specimen shall be supported 
around its perimeter by the bed frame with a flat surface and no edges 
extending up from the surface (i.e., the angle is configured down). For 
twin size mattresses, the specimen shall be placed on top of a welded 
bed frame 1.90 m by 0.99 m (75 in by 39 in) made from 40 mm (1.50 in) 
steel angle. If testing a size other than twin, the test frame shall 
similarly match the dimensions of the specimen.
    (ii) Frame height. The frame shall be 115 mm (4.5 in) high, except 
if adjustments are necessary to accommodate the required burner position 
in paragraph (h)(2)(ii) of this section. The height of the test frame 
shall also be adjusted, as necessary, so that the burner is no less than 
25mm (1 in) above the supporting surface.
    (iii) Frame crosspieces. The frame shall be completely open under 
the foundation except for two crosspieces, 25 mm wide (1 in) at the \1/
3\ length points, except when sagging of the specimen between the 
crosspieces exceeds 19 mm (\3/4\ in) below the test frame. Minimal 
additional crosspieces shall then be added to prevent sagging of the 
specimen.
    (5) Catch pan. The bed frame feet shall rest on a surface of either 
calcium silicate board or fiber cement board, 13 mm (0.5 in) thick, 2.11 
m by 1.19 m (83 in by 47 in). The board serves

[[Page 866]]

as a catch surface for any flaming melt/drip material falling from the 
bed assembly and may be the location of a pool fire that consumes such 
materials. This surface must be cleaned between tests to avoid build-up 
of combustible residues. Lining this surface with aluminum foil to 
facilitate cleaning is not recommended since this might increase fire 
intensity via reflected radiation.
    (6) Ignition source--(i) General. The ignition source shall consist 
of two T-shaped burners as shown in Figures 3 and 4 of this part. One 
burner impinges flames on the top surface of the mattress. The second 
burner impinges flames on the side of the mattress and on the side of 
the foundation. Each of the burners shall be constructed from stainless 
steel tubing (12.7 mm diameter with 0.89 0.5 mm 
wall thickness; 0.50 in diameter with 0.035 0.002 
in wall). Each burner shall incorporate a stand-off foot to set its 
distance from the test specimen surface (Figure 5 of this part). Both 
burners shall be mounted with a mechanical pivot point but the side 
burner is locked in place to prevent movement about this pivot in normal 
usage. The top burner, however, is free to rotate about its pivot during 
a burner exposure and is lightly weighted so as to exert a downward 
force on the mattress top through its stand-off foot so that the burner 
follows a receding top surface on the test specimen (Figure 6 of this 
part). The combination of burner stand-off distance and propane gas flow 
rate to the burners determines the heat flux they impose on the surface 
of the test specimen so that both of these parameters are tightly 
controlled.
    (ii) Top surface burner. The T head of the top surface burner 
(horizontal burner, Figure 3 of this part) shall be 305 2 mm (12 0.08 in) long with gas 
tight plugs in each end. Each side of the T shall contain 17 holes 
equally spaced over a 135 mm length (8.5 mm 0.1 mm 
apart; 0.333 0.005 in). The holes on each side 
shall begin 8.5 mm (0.33 in) from the centerline of the burner head. The 
holes shall be 1.45 mm to 1.53 mm (0.058 in to 0.061 in) in diameter 
(which corresponds to Grade 10 machining practice with a well formed 53 
drill bit). The holes shall point 5[deg] out of the plane of the diagram 
in Figure 3. This broadens the width of the heat flux profile imposed on 
the surface of the test specimen.
    (iii) Side surface burner. The T head of the side surface burner 
(vertical burner) shall be constructed similarly to the top surface 
burner, as shown in Figure 4 of this part, except that its overall 
length shall be 254 2 mm (10 0.08 in). Each side of the burner head shall contain 14 
holes spaced evenly over a 110 mm length (8.5 mm 0.1 mm apart; 0.333 0.005 in). The 
holes shall be 1.45 mm to 1.53 mm (0.058 in to 0.061 in) in diameter 
(which corresponds to Grade 10 machining practice with a well formed 53 
drill bit). The holes shall point 5[deg] out of the plane of the diagram 
in Figure 4.
    (iv) Burner stand-off. The burner stand-off on each burner shall 
consist of a collar fixed by a set screw onto the inlet tube of the 
burner head (Figure 5 of this part). The collar shall hold a 3 mm 
diameter stainless steel rod having a 12.7 mm by 51 mm by (2-2.5 mm) 
thick (0.5 in by 2 in by (0.08-0.10 in) thick) stainless steel pad 
welded on its end with its face (and long axis) parallel to the T head 
of the burner. The foot pad shall be displaced about 10 mm to 12 mm from 
the longitudinal centerline of the burner head so that it does not rest 
on the test specimen in an area of peak heat flux.
    (v) Burner inlet lines. A short section (9.5 mm outer diameter 
(``OD''), about 80 mm long; \3/8\ in OD, about 3.2 in long) of copper 
tubing shall be placed in the inlet gas line just before the burner to 
facilitate making the burner nominally parallel to the test specimen 
surface (by a procedure described below). The copper tube on the top 
surface burner should be protected from excessive heat and surface 
oxidation by wrapping it with a suitable layer of high temperature 
insulation to protect the equipment. Both copper tubes are to be bent by 
hand in the burner alignment process. They must be replaced if they 
become work-hardened or crimped in any way. The gas inlet lines (12.7 mm 
OD stainless steel tubing; 0.50 in) serve as arms leading back to the 
pivot points and beyond, as shown in Figure 6 of this part. The length 
to the pivot for the top burner shall be approximately 1000 mm (40 in).

[[Page 867]]

    (vi) Burner frame. Figure 6 of this part shows the frame that holds 
the burners and their pivots, which are adjustable vertically in height. 
All adjustments (burner height, burner arm length from the pivot point, 
counterweight positions along the burner arm) are facilitated by the use 
of knobs or thumbscrews as the set screws. The three point footprint of 
the burner frame, with the two forward points on wheels, facilitates 
burner movement and burner stability when stationary.
    (vii) Arms. The metal arms attached to the burners shall be attached 
to a separate gas control console by flexible, reinforced plastic 
tubing. \1\ The gas control console is mounted separately so as to 
facilitate its safe placement outside of the test room throughout the 
test procedure. The propane gas lines running between the console and 
the burner assembly must be anchored on the assembly before running to 
the burner inlet arms. A 1.5 m 25 mm (58 in 1 in) length of flexible, reinforced tubing between the 
anchor point and the end of each burner inlet allows free movement of 
the top burner about its pivot point. The top burner arm shall have a 
pair of moveable cylindrical counterweights that are used, as described 
below, to adjust the downward force on the stand-off foot.
---------------------------------------------------------------------------

    \1\ Fiber-reinforced plastic tubing (6 mm ID by 9.5 mm OD; 0.25 inch 
ID by 0.4 inch OD) made of PVC should be used.
---------------------------------------------------------------------------

    (viii) Burner head. Each burner head shall have a separate pilot 
light consisting of a 3 mm OD (\1/8\ in OD) copper tube with an 
independently-controlled supply of propane gas. The tube terminates 
within 10 mm of the center of the burner head. Care must be taken to set 
the pilot flame size small enough so as not to heat the test specimen 
before the timed burner exposure is begun.
    (ix) Flow control system. Each burner shall have a flow control 
system of the type shown in Figure 7 of this part. Propane gas from a 
source such as a bottle is reduced in pressure to approximately 140 
5 kilopascals (``kPa'') (20 1 pounds per square inch gage (``psig'')) and fed to the 
system shown in Figure 7 of this part. The gas flow to the burner is 
delivered in a square-wave manner (constant flow with rapid onset and 
termination) by means of the solenoid valve upstream of the flowmeter. 
An interval timer (accurate to 0.2 s) determines 
the burner flame duration. The pilot light assures that the burner will 
ignite when the solenoid valve opens. \2\ The gas flow shall be set 
using a rotameter type of flowmeter, with a 150 mm scale, calibrated for 
propane. When calibrating the flowmeter, take into account that the flow 
resistance of the burner holes causes a finite pressure increase in the 
flowmeter above ambient. (If a calibration at one atmosphere is provided 
by the manufacturer, the flowmeter reading, at the internal pressure 
existing in the meter, required to get the flow rates listed below must 
be corrected, typically by the square root of the absolute pressure 
ratio. This calls for measuring the actual pressure in the flow meters 
when set near the correct flow values. A value roughly in the range of 1 
kPa to 3 kPa--5 in to 15 in of water--can be expected.) See information 
on calibration in paragraph (b) of this section.
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    \2\ If the side burner, or more commonly one half of the side 
burner, fails to ignite quickly, adjust the position of the igniter, 
bearing in mind that propane is heavier than air. The best burner 
behavior test assessment is done against an inert surface (to spread the 
gas as it would during an actual test).
---------------------------------------------------------------------------

    (x) Gas flow rate. Use propane gas: The propane shall be minimum 99% 
pure (often described by suppliers as CP or ``chemically pure'' grade, 
but this designation should not be relied on since the actual purity may 
vary by supplier). Each burner has a specific propane gas flow rate set 
with its respective, calibrated flowmeter. The gas flow rate to the top 
burner is 12.9 liters per minute (``L/min'') 0.1 
L/min at a pressure of 101 5 kPa (standard 
atmospheric pressure) and a temperature of 22 3 
[deg]C. The gas flow rate to the side burner is 6.6 0.05 L/min at a pressure of 101 5 
kPa (standard atmospheric pressure) and a temperature of 22 3 [deg]C. The total heat release rate of the burners is 
27 kW.
    (b) Calibration of Propane Flowmeters--(1) Preparation. Once the 
assembly of the burner is completed and all the connecting points are 
checked for gas leakage, the most critical task is ensuring the exact 
flow rates of propane

[[Page 868]]

into the top and side burners, as described in the test protocol. The 
gas flow rates are specified at 12.9 Liters per minute (LPM) 0.1 LPM and 6.6 LPM 0.05 LPM for 
the top and side burners (Burners 1 and 2), respectively, at a pressure 
of 101 5 kiloPascal (kPa) (standard atmospheric 
pressure) and a temperature of 22 3 [deg]C. The 
rotameters that are installed in the control box of the burner assembly 
need to be calibrated for accurate measurement of these flow rates.
    (i) The most practical and accurate method of measuring and 
calibrating the flow rate of gases (including propane) is use of a 
diaphragm test meter (also called a dry test meter). A diaphragm test 
meter functions based on positive displacement of a fixed volume of gas 
per rotation and its reading is therefore independent of the type of the 
gas being used. The gas pressure and temperature, however, can have 
significant impact on the measurement of flow rate.
    (ii) The gas pressure downstream of the rotameters that are 
installed in the control box of the burner assembly should be maintained 
near atmospheric pressure (only a few millimeters of water above 
atmosphere). Therefore, the best location to place the diaphragm test 
meter for gas flow calibration is right downstream of the control box. 
The pressure at the propane tank must be set at 20 1 pounds per square inch gage (psig).
    (2) Calibration Procedure. Install the diaphragm test meter (DTM) 
downstream of the control box in the line for the top burner. Check all 
connecting points for gas leakage. Open the main valve on the propane 
tank and set a pressure of 20 0.5 psig. Set the 
timers in the control box for 999 seconds (or the maximum range 
possible). Record the barometric pressure. Turn the ``Burner 1'' switch 
to ON and ignite the top burner. Allow the gas to flow for 2-3 minutes 
until the DTM is stabilized. Record the pressure and temperature in the 
DTM. Use a stopwatch to record at least one minute worth of complete 
rotations while counting the number of rotations. \3\ Calculate the 
propane gas flow rate using the recorded time and number of rotations 
(total flow in that time). Use the pressure and temperature readings to 
convert to standard conditions. Repeat this measurement for two 
additional meter setting to allow for calibrating the flowmeter 
throughout the range of interest. Plot the flow versus meter reading, 
fit a best line (possibly quadratic) through these points to find the 
meter setting for a flow of 12.9 LPM at the above ``standard 
conditions.'' Repeat this procedure for ``Burner 2'' using three meter 
readings to find the setting that gives a flow rate of 6.6 LPM at the 
standard conditions. After completion of the calibration, re-set the 
timers to 70 and 50 seconds.
---------------------------------------------------------------------------

    \3\ With a diaphragm test meter well-sized to this application, this 
should be more than five rotations. A one liter per rotation meter will 
require 10 to 15 rotations for the flow measurements and greater than 
the minimum of one minute recording time specified here.
---------------------------------------------------------------------------

    (c) Conditioning. Remove the specimens from any packaging prior to 
conditioning. Specimens shall be conditioned in air at a temperature 
greater than 18 [deg]C (65 [deg]F) and less than 25 [deg]C (77 [deg]F) 
and a relative humidity less than 55 percent for at least 48 continuous 
hours prior to test. Specimens shall be supported in a manner to permit 
free movement of air around them during conditioning.
    (d) Test preparation--(1) General. Horizontal air flow at a distance 
of 0.5 m (20 in) on all sides of the test specimen at the mattress top 
height shall be no more than 0.5 m/s. If there is any visual evidence 
that the burner flames are disturbed by drafts during their exposure 
durations, the burner regions must be enclosed on two or more sides by 
at least a triple layer of screen wire. The screens shall be at least 25 
cm tall. The screen(s) for the top burner shall sit on the mattress top 
and shall be wide enough to extend beyond the area of the burner 
impingement. All screens shall be far enough away (typically 30 cm or 
more) from the burner tubes so as not to interfere or interact with 
flame spread during the burner exposure. The screen for the side burner 
will require a separate support from below. All screens shall be removed 
at

[[Page 869]]

the end of the 70 second exposure interval.
    (2) Specimen. Remove the test specimen from the conditioning room 
immediately before it is to be tested. Testing shall begin within 20 
minutes after removal from the conditioning area. Be sure the test frame 
is approximately centered on the catch surface. Carefully center the 
foundation on top of the test frame to eliminate any gaps between the 
bottom periphery of the foundation and the inside edges of the test 
frame. If the mattress is to be tested alone, place it similarly. A 
mattress tested with its foundation should be centered longitudinally 
and laterally on the foundation. Carefully center them on the bed frame 
and on each other. The mattress shall be centered on top of the 
foundation (see Figure 1 of this part). However, in order to keep the 
heat flux exposure the same for the sides of the two components, if the 
mattress is 1 cm to 2 cm narrower than the foundation, the mattress 
shall be shifted so that the side to be exposed is in the same plane as 
the foundation. Refer to Figure 8 of this part. A product having an 
intended sleep surface on only one side shall be tested with the 
sleeping side up so that the sleeping surface is exposed to the propane 
burner.
    (e) Burner flow rate/flow timer confirmation. Just prior to moving 
the burner adjacent to the test specimen, briefly ignite each burner at 
the same time, and check that the propane flow to that burner is set at 
the appropriate level on its flowmeter to provide the flows listed in 
Sec. 1633.7(a)(6)(x). Check that the timers for the burner exposures 
are set to 70 seconds for the top burner and 50 seconds for the side 
burner. For a new burner assembly, check the accuracy of the gas flow 
timers against a stop watch at these standard time settings. Set pilot 
flows to a level that will not cause them to impinge on sample surfaces.
    (f) Location of the gas burners. The general layout for the room 
configuration is shown in Figure 2 of this part. Place the burner heads 
so that they are within 300 mm (1 ft) of the mid-length of the mattress. 
If there are unique construction features (e.g., handles, zippers) 
within the burner placement zone, the burner shall impinge on this 
feature. For a quilted mattress top the stand-off foot pad must alight 
on a high, flat area between dimples or quilting thread runs. The same 
is to be true for the side burner if that surface is quilted. If a 
specimen design presents a conflict in placement such that both burners 
cannot be placed between local depressions in the surface, the top 
burner shall be placed at the highest flat surface.
    (g) Burner set-up. The burners shall be placed in relation to the 
mattress and foundation surfaces in the manner shown in Figure 9 of this 
part, i.e., at the nominal spacings shown there and with the burner 
tubes nominally parallel \4\ to the mattress surfaces on which they 
impinge. Since the heat flux levels seen by the test specimen surfaces 
depend on burner spacing, as well as gas flow rate, care must be taken 
with the set-up process.
---------------------------------------------------------------------------

    \4\ The top burner will tend to be tangential to the mattress 
surface at the burner mid-length; this orientation will not necessarily 
be parallel to the overall average mattress surface orientation nor will 
it necessarily be horizontal. This is a result of the shape of the 
mattress top surface.
---------------------------------------------------------------------------

    (h) Burner alignment procedure--(1) Preparation. Complete the 
following before starting the alignment procedure:
    (i) Check that the pivot point for the mattress top burner feed tube 
and the two metal plates around it are clean and well-lubricated so as 
to allow smooth, free movement.
    (ii) Set the two burners such that the 5[deg] out-of-plane angling 
of the flame jets makes the jets on the two burners point slightly 
toward each other.
    (iii) Check the burner stand-off feet for straightness and 
perpendicularity between foot pad and support rod and to see that they 
are clean of residue from a previous test.
    (iv) Have at hand the following items to assist in burner set-up: 
The jig, shown in Figure 10 of this part, for setting the stand-off feet 
at their proper distances from the front of the burner tube; a 3 mm 
thick piece of flat stock (any material) to assist in checking the 
parallelness of the burners to the mattress surfaces; and a 24 gage 
stainless steel sheet metal platen that is 30 mm (12 in) wide, 610 mm 
(24 in) long and has

[[Page 870]]

a sharp, precise 90[deg] bend 355 mm (14 in) from one 30 mm wide end or 
another dimension that meets the requirements for a specific sample.
    (2) Alignment. (i) Place the burner assembly adjacent to the test 
specimen. Place the sheet metal platen on the mattress with the shorter 
side on top. The location shall be within 30 cm (1 ft) of the 
longitudinal center of the mattress. The intended location of the stand-
off foot of the top burner shall not be in a dimple or crease caused by 
the quilting of the mattress top. Press the platen laterally inward from 
the edge of the mattress so that its side makes contact with either the 
top and bottom edge or the vertical side of the mattress. \5\ Use a 
sufficient length of duct tape (platen to mattress top) to assure that 
the platen stays firmly against the surfaces of the mattress.
---------------------------------------------------------------------------

    \5\ Mattresses having a convex side are treated separately since the 
platen cannot be placed in the above manner. Use the platen only to set 
the top burner parallelness. Set the in/out distance of the top burner 
to the specification in paragraph (h)(1)(iii). Set the side burner so 
that it is approximately (visually) parallel to the flat side surface of 
the foundation below the mattress/foundation crevice once its foot is in 
contact with the materials in the crevice area. The burner will not be 
vertical in this case. If the foundation side is also non-flat, set the 
side burner vertical (3 mm, as above) using a 
bubble level as a reference. The side surface convexities will then 
bring the bowed out sections of the specimen closer to the burner tube 
than the stand-off foot.
---------------------------------------------------------------------------

    (ii) With both burner arms horizontal (pinned in this position), 
fully retract the stand-off feet of both burners and, if necessary, the 
pilot tubes as well. \6\ (Neither is to protrude past the front face of 
the burner tubes at this point.) Move the burner assembly forward 
(perpendicular to the mattress) until the vertical burner lightly 
contacts the sheet metal platen. Adjust the height of the vertical 
burner on its vertical support column so as to center the tube on the 
crevice between the mattress and the foundation. (This holds also for 
pillow top mattress tops, i.e., ignore the crevice between the pillow 
top and the main body of the mattress.) \7\ Adjust the height of the 
horizontal burner until it sits lightly on top of the sheet metal 
platen. Its burner arm should then be horizontal.
---------------------------------------------------------------------------

    \6\ The pilot tubes can normally be left with their ends just behind 
the plane of the front of the burner tube. This way they will not 
interfere with positioning of the tube but their flame will readily 
ignite the burner tubes.
    \7\ For tests of the mattress alone, set the center of the side 
burner at the lower edge of the mattress OR the top (upper tip) of the 
side burner 25 mm (1 in) below the top edge of the mattress, whichever 
is lower. This prevents inappropriate (excessive) exposure of the top 
surface of the mattress to the side burner.
---------------------------------------------------------------------------

    (iii) Move the horizontal burner in/out (loosen the thumb screw near 
the pivot point) until the outer end of the burner tube is 13 mm to 19 
mm (\1/2\ in to \3/4\ in) from the corner bend in the platen (this is 
facilitated by putting a pair of lines on the top of the platen 13 mm 
and 19 mm from the bend and parallel to it). Tighten the thumb screw.
    (iv) Make the horizontal burner parallel to the top of the platen 
(within 3 mm (\1/8\ inch) over the burner tube length); when properly 
parallel, it should not be possible to insert the 3 mm flat stock under 
either burner end by bending the copper tube section appropriately. 
Note: After the platen is removed (in paragraph (h)(2)(vii) of this 
section), the burner tube may not be horizontal; this is normal. For 
mattress/foundation combinations having nominally flat, vertical sides, 
the similar adjustment for the vertical burner is intended to make that 
burner parallel to the sides and vertical. Variations in the shape of 
mattresses and foundations can cause the platen section on the side to 
be non-flat and/or non-vertical. If the platen is flat and vertical, 
make the vertical burner parallel to the side of the platen (3 mm) by bending its copper tube section as needed. If 
not, make the side burner parallel to the mattress/foundation sides by 
the best visual estimate after the platen has been removed.
    (v) Move the burner assembly perpendicularly back away from the 
mattress about 30 cm (1 ft). Set the two stand-off feet to their 
respective distances using the jig designed for this purpose. Install 
the jig fully onto the burner tube (on the same side of the tube as the 
stand-off foot), with its side edges parallel to the burner feed arm,

[[Page 871]]

at about the position where one end of the foot will be. Loosen the set 
screw and slide the foot out to the point where it is flush with the 
bottom end of the jig. Tighten the set screw. Make sure the long axis of 
the foot is parallel to the burner tube. It is essential to use the 
correct side of the spacer jig with each burner. Double check this. The 
jig must be clearly marked.
    (vi) Set the downward force of the horizontal burner. Remove the 
retainer pin near the pivot. While holding the burner feed arm 
horizontal using a spring scale \8\ hooked onto the thumbscrew holding 
the stand-off foot, move the small and/or large weights on the feed tube 
appropriately so that the spring scale reads 170 g to 225 g (6 oz to 8 
oz).
---------------------------------------------------------------------------

    \8\ An acceptable spring scale has a calibrated spring mounted 
within a holder and hooks on each end.
---------------------------------------------------------------------------

    (vii) Remove the sheet metal platen (and tape holding it).
    (viii) Hold the horizontal burner up while sliding the burner 
assembly forward until the vertical burner stand-off foot just touches 
the mattress and/or the foundation, then release the horizontal burner. 
The outer end of the burner tube should extend at least 6 mm to 12 mm 
(\1/4\ in to \1/2\ in) out beyond the uppermost corner/edge of the 
mattress so that the burner flames will hit the edge. (For a pillow top 
mattress, this means the outer edge of the pillow top portion and the 
distance may then be greater than 6 mm to 12 mm.) If this is not the 
case, move the burner assembly (perpendicular to the mattress side)--not 
the horizontal burner alone--until it is. \9\ Finally, move the vertical 
burner tube until its stand-off foot just touches the side of the 
mattress and/or the foundation. (Use the set screw near the vertical 
burner pivot.)
---------------------------------------------------------------------------

    \9\ The foot should depress the surface it first contacts by no more 
than 1 mm to 2 mm. This is best seen up close, not from the rear of the 
burner assembly. However, if a protruding edge is the first item 
contacted, compress it until the foot is in the plane of the mattress/
foundation vertical sides. The intent here is that the burner be spaced 
a fixed distance from the vertical mattress/foundation sides, not from 
an incidental protrusion. Similarly, if there is a wide crevice in this 
area which would allow the foot to move inward and thereby place the 
burners too close to the vertical mattress/foundation sides, it will be 
necessary to use the spacer jig (rather than the stand-off foot) above 
or below this crevice to set the proper burner spacing. Compress the 
mattress/foundation surface 1 mm to 2 mm when using the jig for this 
purpose.
---------------------------------------------------------------------------

    (ix) Make sure all thumbscrews are adequately tightened. Care must 
be taken, once this set-up is achieved, to avoid bumping the burner 
assembly or disturbing the flexible lines that bring propane to it.
    (x) If there is any indication of flow disturbances in the test 
facility which cause the burner flames or pilot flames to move around, 
place screens around the burners so as to minimize these disturbances. 
\10\ These screens (and any holders) must be far enough away from the 
burners (about 30 cm or more for the top, less for the side) so that 
they do not interact with the flames growing on the specimen surfaces. 
For the top surface burner, at least a triple layer of window screen 
approximately 30 cm high sitting vertically on the mattress top (Figure 
9 of this part) has proved satisfactory. For the side burner at least a 
triple layer of screen approximately 15 cm wide, formed into a square-
bottom U-shape and held from below the burner has proved satisfactory. 
Individual laboratories will have to experiment with the best 
arrangement for suppressing flow disturbances in their facility.
---------------------------------------------------------------------------

    \10\ The goal here is to keep the burner flames impinging on a fixed 
area of the specimen surface rather than wandering back and forth over a 
larger area.
---------------------------------------------------------------------------

    (i) Running the test. (1) Charge the hose line to be used for fire 
suppression with water.
    (2) Burner Preparation. (i) Turn AC power on; set propane pressure 
to 20 psig at bottle; set timers to 70 s (top burner) and 50 s (side 
burner); with burner assembly well-removed from test specimen, ignite 
burners and check that, WHEN BOTH ARE ON AT THE SAME TIME, the 
flowmeters are set to the values that give the requisite propane gas 
flow rates to each burner. Turn off burners. Set pilot tubes just behind 
front surface of burners; set pilot flow valves for approximately 2 cm 
flames. Turn off pilots.

[[Page 872]]

    (ii) Position burner on test specimen and remove sheet metal platen.
    (iii) Place screens around both burners.
    (3) Start pilots. Open pilot ball valves one at a time and ignite 
pilots with hand-held flame; adjust flame size if necessary being very 
careful to avoid a jet flame that could prematurely ignite the test 
specimen (Note that after a long interval between tests the low pilot 
flow rate will require a long time to displace air in the line and 
achieve the steady-state flame size.)
    (4) Start recording systems. With the calorimetry system fully 
operational, after instrument zeroes and spans, start the video lights 
and video camera and data logging systems two minutes before burner 
ignition (or, if not using video, take a picture of the setup).
    (5) Initiate test. Start test exposure by simultaneously turning on 
power to both timers (timers will turn off burners at appropriate 
times). Also start a 30 minute timer of the test duration. Check/adjust 
propane flow rates (DO THIS ESSENTIAL TASK IMMEDIATELY. Experience shows 
the flow will not remain the same from test-to-test in spite of fixed 
valve positions so adjustment is essential.) If not using video, one 
photo must be taken within the first 45 seconds of starting the burners.
    (6) End of burner exposure. When the burners go out (after 70 
seconds for the longer exposure), carefully lift the top burner tube 
away from the specimen surface, producing as little disturbance as 
possible to the specimen. Turn off power to both timers. Remove all 
screens. Turn off pilots at their ball valves. Remove the burner 
assembly from the specimen area to facilitate the video camera view of 
the full side of the specimen. In the case of the room-based 
configurations, remove the burner assembly from the room to protect it.
    (j) Video Recording/Photographs. Place a video or still frame camera 
so as to have (when the lens is zoomed out) just slightly more than a 
full-length view of the side of the test specimen being ignited, 
including a view of the flame impingement area while the burner assembly 
is present. The view must also include the catch pan so that it is clear 
whether any melt pool fire in this pan participates significantly in the 
growth of fire on the test specimen. The camera shall include a measure 
of elapsed time to the nearest 1 second for video and 1 minute for still 
frame within its recorded field of view (preferably built into the 
camera). For the room-based configuration, the required full-length view 
of the sample may require an appropriately placed window, sealed with 
heat resistant glass, in one of the room walls. Place the camera at a 
height just sufficient to give a view of the top of the specimen while 
remaining under any smoke layer that may develop in the room. The 
specimen shall be brightly lit so that the image does not lose detail to 
over-exposed flames. This will require a pair or more of 1 kW photo 
flood lights illuminating the viewed side of the specimen. The lights 
may need to shine into the room from the outside via sealed windows.
    (k) Cessation of Test. (1) The heat release rate shall be recorded 
and video/photographs taken until either 30 minutes has elapsed since 
the start of the burner exposure or a fire develops of such size as to 
require suppression for the safety of the facility.
    (2) Note the time and nature of any unusual behavior that is not 
fully within the view of the video camera. This is most easily done by 
narration to a camcorder.
    (3) Run the heat release rate system and datalogger until the fire 
has been fully out for several minutes to allow the system zero to be 
recorded.
    (l) Use of alternate apparatus. Mattress sets may be tested using 
test apparatus that differs from that described in this section if the 
manufacturer obtains and provides to the Commission data demonstrating 
that tests using the alternate apparatus during the procedures specified 
in this section yield failing results as often as, or more often than, 
tests using the apparatus specified in the standard. The manufacturer 
shall provide the supporting data to the Office of Compliance, Recalls & 
Compliance Division,

[[Page 873]]

U.S. Consumer Product Safety Commission, 4330 East West Highway, 
Bethesda, Maryland 20814. Staff will review the data and determine 
whether the alternate apparatus may be used.

[71 FR 13498, Mar. 15, 2006, as amended at 73 FR 6842, Feb. 6, 2008]



Sec. 1633.8  Findings.

    (a) General. In order to issue a flammability standard under the 
FFA, the FFA requires the Commission to make certain findings and to 
include these in the regulation, 15 U.S.C. 1193(j)(2). These findings 
are discussed in this section.
    (b) Voluntary standards. No findings concerning compliance with and 
adequacy of a voluntary standard are necessary because no relevant 
voluntary standard addressing the risk of injury that is addressed by 
this regulation has been adopted and implemented.
    (c) Relationship of benefits to costs. The Commission estimates the 
potential total lifetime benefits of a mattress that complies with this 
standard to range from $45 to $57 per mattress set (based on a 10 year 
mattress life and a 3% discount rate). The Commission estimates total 
resource costs of the standard to range from $8 to $22 per mattress. 
This yields net benefits of $23 to $50 per mattress set. The Commission 
estimates that aggregate lifetime benefits associated with all 
mattresses produced the first year the standard becomes effective range 
from $1,024 to $1,307 million, and that aggregate resource costs 
associated with these mattresses range from $175 to $511 million, 
yielding net benefits of about $514 to $1,132 million. Accordingly, 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: alternative maximum peak heat release rate and 
test duration, alternative total heat released in the first 10 minutes 
of the test, mandatory production testing, a longer effective date, 
taking no action, relying on a voluntary standard, and requiring 
labeling alone (without any performance requirements). The alternatives 
of taking no action, relying on a voluntary standard (if one existed), 
and requiring labeling alone are unlikely to adequately reduce the risk. 
Requiring a criterion of 25 MJ total heat release during the first 10 
minutes of the test instead of 15 MJ would likely reduce the estimated 
benefits (deaths and injuries reduced) without having much effect on 
costs. Both options of increasing the duration of the test from 30 
minutes to 60 minutes and decreasing the peak rate of heat release from 
200 kW to 150 kW would likely increase costs significantly without 
substantial increase in benefits. Requiring production testing would 
also likely increase costs. Therefore, the Commission finds that an open 
flame standard for mattresses with the testing requirements and criteria 
that are specified in the Commission rule is the least burdensome 
requirement that would prevent or adequately reduce the risk of injury 
for which the regulation is being promulgated.



Sec. 1633.9  Glossary of terms.

    (a) Absorbent pad. Pad used on top of mattress. Designed to absorb 
moisture/body fluids 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 Figure 11 of this part).
    (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 
Figure 11).
    (g) Convertible sofa. An upholstered sofa that converts into an 
adult sized bed. Mattress unfolds out and up from under the seat 
cushioning (see Figure 11).
    (h) 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 Figure 11).
    (i) 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.

[[Page 874]]

    (j) 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 Figure 11).
    (k) Dressing table pad. Pad to cushion a baby on top of a dressing 
table.
    (l) 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 Figure 11).
    (m) 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.
    (n) 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 mattress and rises to form a double or two single beds (see Figure 
11).
    (o) Infant carrier and lounge pad. Pad to cushion a baby in an 
infant carrier.
    (p) Mattress foundation. This is a ticking covered structure used to 
support a mattress or sleep surface. The structure may include 
constructed frames, foam, box springs or other materials used alone or 
in combination.
    (q) Murphy bed. A style of sleep system where the mattress and 
foundation are fastened to the wall and provide a means to retract or 
rotate the bed assembly into the wall to release more floor area for 
other uses.
    (r) 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.
    (s) Playpen pad. Cushion used on the bottom of a playpen.
    (t) Portable crib. Smaller size than a conventional crib. Can 
usually be converted into a playpen.
    (u) Quilted means stitched with thread or by fusion through the 
ticking and one or more layers of material.
    (v) Roll-away-bed. Portable bed which has frame that folds with the 
mattress for compact storage.
    (w) Sleep lounge. Upholstered seating section which is mounted on a 
frame. May have bolster pillows along the wall as backrests or may have 
attached headrests (see Figure 11).
    (x) Stroller pad. Cushion used in a baby stroller.
    (y) Sofa bed. These are pieces in which the back of the sofa swings 
down flat with the seat to form the sleeping surface. 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 Figure 11 of this part).
    (z) Sofa lounge--(includes glideouts). Upholstered seating section 
is mounted on springs and in a 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 
Figure 11).
    (aa) Studio couch. Consists of upholstered seating section on 
upholstered foundation. Many types convert to twin beds (see Figure 11).
    (bb) Studio divan. Twin size upholstered seating section with 
foundation is mounted on metal bed frame. Has no arms or backrest, and 
sleeps one (see Figure 11 of this part).
    (cc) 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 Figure 11).
    (dd) Tufted means buttoned or laced through the ticking and 
upholstery material and/or core, or having the ticking and loft material 
and/or core drawn together at intervals by any other method which 
produces a series of depressions on the surface.
    (ee) 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 Figure 11).
    (ff) Flip or sleeper chair. Chair that unfolds to be used for 
sleeping, typically has several connecting fabric covered, solid foam 
core segments.

[[Page 875]]



                     Subpart B_Rules and Regulations



Sec. 1633.10  Definitions.

    (a) Standard means the Standard for the Flammability (Open-Flame) of 
Mattress Sets (16 CFR part 1633, subpart A).
    (b) The definition of terms set forth in the Sec. 1633.2 of the 
Standard shall also apply to this section.



Sec. 1633.11  Records.

    (a) Test and manufacturing records C general. Every manufacturer and 
any other person initially introducing into commerce mattress sets 
subject to the standard, irrespective of whether guarantees are issued 
relative thereto, shall maintain the following records in English at a 
location in the United States:
    (1) Test results and details of each test performed by or for that 
manufacturer (including failures), whether for qualification, 
confirmation, or production, in accordance with Sec. 1633.7. Details 
shall include: name and complete physical address of test facility, type 
of test room, test room conditions, time that sample spent out of 
conditioning area before starting test, prototype or production 
identification number, and test data including the peak rate of heat 
release, total heat release in first 10 minutes, a graphic depiction of 
the peak rate of heat release and total heat release over time. These 
records shall include the name and signature of person conducting the 
test, the date of the test, and 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. For confirmation tests, the identification 
number must be that of the prototype tested.
    (2) Video and/or a minimum of eight photographs of the testing of 
each mattress set, in accordance with Sec. 1633.7 (one taken before the 
test starts, one taken within 45 seconds of the start of the test, and 
the remaining six taken at five minute intervals, starting at 5 minutes 
and ending at 30 minutes), with the prototype identification number or 
production lot identification number of the mattress set, date and time 
of test, and name and location of testing facility clearly displayed.
    (b) Prototype records. In addition to the records specified in 
paragraph (a) of this section, the following records shall be maintained 
for each qualified, confirmed and subordinate prototype:
    (1) Unique identification number for the qualified or confirmed 
prototype and a list of the unique identification numbers of each 
subordinate prototype based on the qualified or confirmed prototype. 
Subordinate prototypes that differ from each other only be length or 
width may share the same identification number.
    (2) A detailed description of all materials, components, and methods 
of assembly for each qualified, confirmed and subordinate prototype. 
Such description shall include the specifications of all materials and 
components, and the name and complete physical address of each material 
and component supplier.
    (3) A list of which models and production lots of mattress sets are 
represented by each qualified, confirmed and/or subordinate prototype 
identification number.
    (4) For subordinate prototypes, the prototype identification number 
of the qualified or confirmed prototype on which the mattress set is 
based, and, at a minimum, the manufacturing specifications and a 
description of the materials substituted, photographs or physical 
specimens of the substituted materials, and documentation based on 
objectively reasonable criteria that the change in any component, 
material, or method of assembly will not cause the subordinate prototype 
to exceed the test criteria specified in Sec. 1633.3(b).
    (5) Identification, composition, and details of the application of 
any flame retardant treatments and/or inherently flame resistant fibers 
or other materials employed in mattress components.
    (c) Pooling confirmation test records. In addition to the test and 
prototype records specified in paragraphs (a) and (b) of this section, 
the following records shall be maintained:
    (1) The prototype identification number assigned by the qualified 
prototype manufacturer;
    (2) Name and complete physical address of the qualified prototype 
manufacturer;

[[Page 876]]

    (3) Copy of qualified prototype test records, and records required 
by paragraph (b)(2) of this section; and
    (4) In the case of imported mattress sets, the importer shall be 
responsible for maintaining the records specified in paragraph (b) of 
this section for confirmation testing that has been performed with 
respect to mattress sets produced by each foreign manufacturing facility 
whose mattress sets that importer is importing.
    (d) Quality assurance records. In addition to the records required 
by paragraph (a) of this section, the following quality assurance 
records shall be maintained:
    (1) A written copy of the manufacturer's quality assurance 
procedures;
    (2) Records of any production tests performed. Production test 
records must be maintained and shall include, in addition to the 
requirements of paragraph (a) of this section, an assigned production 
lot identification number and the identification number of the 
qualified, confirmed or subordinate prototype associated with the 
specimen tested;
    (3) For each qualified, confirmed and subordinate prototype, the 
number of mattress sets in each production lot based on that prototype;
    (4) The start and end dates of production of that lot; and
    (5) Component, material and assembly records. Every manufacturer 
conducting tests and/or technical evaluations of components and 
materials and/or methods of assembly must maintain detailed records of 
such tests and evaluations.
    (e) Record retention requirements. The records required under this 
Section shall be maintained by the manufacturer (including importers) 
for as long as mattress sets based on the prototype in question are in 
production and shall be retained for 3 years thereafter. Records shall 
be available upon the request of Commission staff.
    (f) Record location requirements. (1) For mattress sets produced in 
the United States, all records required by this section must be 
maintained at the plant or factory at which the mattress sets are 
manufactured or assembled.
    (2) For mattress sets produced outside of the United States, a copy 
of all records required by this section must be maintained at a U.S. 
location, which must be identified on the mattress set label as 
specified in Sec. 1633.12(a).



Sec. 1633.12  Labeling.

    (a) Each mattress set subject to the Standard shall bear a 
permanent, conspicuous, and legible label(s) containing the following 
information (and no other information) in English:
    (1) Name of the manufacturer, or for imported mattress sets, the 
name of the foreign manufacturer and importer;
    (2)(i) For mattress sets produced in the United States, the complete 
physical address of the manufacturer.
    (ii) For imported mattress sets, the complete address of the foreign 
manufacturer, including country, and the complete physical address of 
the importer or the United States location where the required records 
are maintained if different from the importer;
    (3) Month and year of manufacture;
    (4) Model identification;
    (5) Prototype identification number for the mattress set;
    (6) A certification that the mattress complies with this standard.
    (i) For mattresses intended to be sold without a foundation, a 
certification stating ``This mattress meets the requirements of 16 CFR 
part 1633 (federal flammability (open flame) standard for mattresses) 
when used without a foundation''; or
    (ii) For mattresses intended to be sold with a foundation, a 
certification stating ``This mattress meets the requirements of 16 CFR 
part 1633 (federal flammability (open flame) standard for mattresses) 
when used with foundation .'' Such foundation(s) shall be 
clearly identified by a simple and distinct name and/or number on the 
mattress label; or
    (iii) For mattresses intended to be sold both alone and with a 
foundation, a certification stating ``This mattress meets the 
requirements of 16 CFR part 1633 (federal flammability (open flame) 
standard for mattresses) when used without a foundation or with 
foundation(s) .''.Such foundation(s) shall be clearly 
identified by a simple and distinct name and/or number on the mattress 
label; and

[[Page 877]]

    (7) A statement identifying whether the manufacturer intends the 
mattress to be sold alone or with a foundation.
    (i) For mattresses intended to be sold without a foundation, the 
label shall state ``THIS MATTRESS IS INTENDED TO BE USED WITHOUT A 
FOUNDATION.'' See Figures 16 and 17 of this part; or
    (ii) For mattresses intended to be sold with a foundation, the label 
shall state ``THIS MATTRESS IS INTENDED TO BE USED WITH FOUNDATION(S): 
.'' See Figures 12 and 13 of this part; or
    (iii) For mattresses intended to be sold both alone and with a 
foundation, the label shall state ``THIS MATTRESS IS INTENDED TO BE USED 
WITHOUT A FOUNDATION OR WITH FOUNDATION(S): .'' 
See Figures 14 and 15 of this part.
    (b) The mattress label required in paragraph (a) of this section 
must measure 2\3/4\ in width and the length can increase as 
needed for varying information. The label must be white with black text. 
The label text shall comply with the following format requirements:
    (1) All information specified in paragraphs (a)(1) through (6) of 
this section must be in 6-point font or larger with mixed uppercase and 
lowercase letters. The text must be left justified and begin \1/
4\ from left edge of label. See Figure 12-17 of this part.
    (2) The statement specified in paragraph (a)(7)(i) of this section 
must be in 10-point Arial/Helvetica font or larger, uppercase letters 
with the words ``WITHOUT A FOUNDATION'' bolded and the word ``WITHOUT'' 
in italics. The text shall be centered in a text box with the width 
measuring 2\1/2\ and the length increasing as needed. See 
Figures 16 and 17 of this part.
    (3) The statement specified in paragraph (a)(7)(ii) of this section 
must be in 10-point Arial/Helvetica font or larger in uppercase letters. 
The foundation identifier should be in 12-point font or larger, bolded, 
and underlined. The text shall be centered in a text box with the width 
measuring 2\1/2\ and the length increasing as needed. See 
Figures 12 and 13 of this part.
    (4) The statement specified in paragraph (a)(7)(iii) of this section 
must be in 10-point or larger Arial/Helvetica font, uppercase letters 
with the words ``WITHOUT A FOUNDATION OR'' bolded and the word 
``WITHOUT'' in italics. The foundation identifier should be in 12-point 
font or larger, bolded, and underlined. The text shall be centered in a 
text box with the width measuring 2\1/2\ and the length 
increasing as needed. See Figures 14 and 15 of this part.
    (c) The foundation label required in paragraph (a) of this section 
must measure 2\3/4\ in width and the length can increase as 
needed for varying information. The label must be white with black text. 
The label shall contain the following:
    (1) The information specified in paragraphs (a)(1) through (5) of 
this section; and
    (2) The words ``Foundation ID:'' followed by a distinct name and/or 
number that corresponds to the name and/or number used on the mattress. 
This text must be in 10-point or larger bold Arial/Helvetica font, and 
the foundation identifier must be underlined. See Figures 12 through 15 
of this part.
    (d) The statements specified in paragraphs (a)(6)(i) through (iii) 
and (a)(7)(i) through (iii) of this section may be translated into any 
other language and printed on the reverse (blank) side of the label.
    (e) 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.

[71 FR 13498, Mar. 15, 2006, as amended at 73 FR 6843, Feb. 6, 2008]



Sec. 1633.13  Tests for guaranty purposes, compliance with this 
section, and ``one of a kind'' exemption.

    (a) 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 mattress sets subject to the Standard 
shall be the tests performed to show compliance with the Standard.
    (b) Compliance with this section. No person subject to the Flammable 
Fabrics Act shall manufacture for sale, import, distribute, or otherwise 
market

[[Page 878]]

or handle any mattress set which is not in compliance with the 
provisions under Subpart B.
    (c) ``One of a kind'' exemption for physician prescribed mattresses. 
(1)(i) A mattress set 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 illness or 
injury, shall be considered a ``one of a kind mattress'' and shall be 
exempt from testing under the Standard pursuant to Sec. 1633.7 thereof: 
Provided, that the mattress set bears a permanent, conspicuous and 
legible label which states:

    WARNING: This mattress set may be subject to a large fire if exposed 
to an open flame. It was manufactured in accordance with a physician's 
prescription and has not been tested under the Federal Standard for the 
Flammability (Open-Flame) of Mattress Sets (16 CFR part 1633).

    (ii) Such labeling must be attached to the mattress set so as to 
remain on or affixed thereto for the useful life of the mattress set. 
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 set in commerce from the manufacturer 
to the final point of sale to a consumer.
    (2) The manufacturer of a mattress set exempted from testing under 
this paragraph (c) shall, in lieu of the records required to be kept by 
Sec. 1633.10, retain a copy of the written prescription or other 
comparable written medical therapeutic specification for such mattress 
set 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 879]]



     Sec. Figure 1 to Part 1633--Test Assembly, Shown in Furniture 
                      Calorimeter (Configuration A)
[GRAPHIC] [TIFF OMITTED] TR15MR06.000


[[Page 880]]





 Sec. Figure 2 to Part 1633--Test Arrangement in 3.05m x 3.66m (10 ft x 
                      12 ft) Room (Configuration B)
[GRAPHIC] [TIFF OMITTED] TR15MR06.001


[[Page 881]]





      Sec. Figure 3 to Part 1633--Details of Horizontal Burner Head
[GRAPHIC] [TIFF OMITTED] TR15MR06.002


[[Page 882]]





       Sec. Figure 4 to Part 1633--Details of Vertical Burner Head
[GRAPHIC] [TIFF OMITTED] TR15MR06.003


[[Page 883]]





         Sec. Figure 5 to Part 1633--Details of Burner Stand-off


    [GRAPHIC] [TIFF OMITTED] TR15MR06.004
    

[[Page 884]]





  Sec. Figure 6 to Part 1633--Burner Assembly Showing Arms and Pivots 
(Shoulder Screws), in Relation to, Portable Frame Allowing Burner Height 
                               Adjustment


    [GRAPHIC] [TIFF OMITTED] TR15MR06.005
    

[[Page 885]]





 Sec. Figure 7 to Part 1633--Elements of Propane Flow Control for Each 
                                 Burner


    [GRAPHIC] [TIFF OMITTED] TR15MR06.006
    

[[Page 886]]





 Sec. Figure 8 to Part 1633--Jig for Setting Mattresses and Foundation 
                           Sides in Same Plane


    [GRAPHIC] [TIFF OMITTED] TR15MR06.007
    

[[Page 887]]





  Sec. Figure 9 to Part 1633--Burner Placements on Mattress/Foundation


    [GRAPHIC] [TIFF OMITTED] TR15MR06.008
    

[[Page 888]]





Sec. Figure 10 to Part 1633--Jig for Setting Burners at Proper Distances 
                        From Mattress/Foundation


    [GRAPHIC] [TIFF OMITTED] TR15MR06.009
    

[[Page 889]]





       Sec. Figure 11 to Part 1633--Diagrams for Glossary of Terms
[GRAPHIC] [TIFF OMITTED] TR15MR06.010


[[Page 890]]





     Sec. Figure 12 to Part 1633--Labels for Domestic Mattress With 
                               Foundation
[GRAPHIC] [TIFF OMITTED] TR15MR06.011


[[Page 891]]





     Sec. Figure 13 to Part 1633--Labels for Imported Mattress With 
                               Foundation
[GRAPHIC] [TIFF OMITTED] TR15MR06.012


[[Page 892]]





 Sec. Figures 14 and 15 to Part 1633--Label for Domestic Mattress Alone 
   and with Foundation and Label for Imported Mattress Alone and With 
                               Foundation
[GRAPHIC] [TIFF OMITTED] TR15MR06.013


[[Page 893]]





 Sec. Figures 16 and 17 to Part 1633--Label for Domestic Mattress Only 
                  and Label for Imported Mattress Only
[GRAPHIC] [TIFF OMITTED] TR15MR06.014


[[Page 894]]



    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 895]]

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 896]]

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 897]]



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 898]]

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.
    (xxi) Hormone Replacement Therapy Products that rely solely upon the 
activity of one or more progestogen or estrogen substances.
    (xxii) Colesevelam hydrochloride in powder form in packages 
containing not more than 3.75 grams of the drug.
    (xxiii) Sevelamer carbonate in powder form in packages containing 
not more than 2.4 grams of the drug.
    (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

[[Page 899]]

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 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

[[Page 900]]

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 
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.
    (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.
    (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

[[Page 901]]

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.)
    (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.
    (33) Imidazolines. Any over-the-counter or prescription product 
containing the equivalent of 0.08 milligrams or more of an imidazoline 
(tetrahydrozoline, naphazoline, oxymetazoline, or xylometazoline) in a 
single package, must be packaged in accordance with the provisions of 
Sec. 1700.15(a), (b), and (c).
    (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.

[[Page 902]]

    (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 at www.fdsys.gov.



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.
    (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,

[[Page 903]]

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:
    (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).

[[Page 904]]

    (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.

 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 +

[[Page 905]]

 
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 
gets frustrated or bored and stops trying to

[[Page 906]]

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 adults who both opened the package in

[[Page 907]]

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 or cannot open the package and does not

[[Page 908]]

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 909]]

                               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 910]]

    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 911]]



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 912]]

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 913]]

    (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 914]]

    (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 915]]

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 916]]

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 917]]

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 incompatibility 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) [Reserved]

[45 FR 13064, Feb. 28, 1980, as amended at 66 FR 40115, Aug. 2, 2001]



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 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

[[Page 918]]

    (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 919]]



            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 920]]

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 921]]

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 922]]

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]

                       PARTS 1751	1799 [RESERVED]

[[Page 923]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 925]]



                    Table of CFR Titles and Chapters




                     (Revised as of January 1, 2018)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 926]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)

[[Page 927]]

    XXVIII  Department of Justice (Parts 3800--3899)
      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 (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 928]]

     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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)

[[Page 929]]

         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)
       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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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 Policy and New Uses, Department of 
                Agriculture (Parts 2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      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  National Institute of Food and 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)

[[Page 930]]

                    Title 8--Aliens and Nationality

         I  Department of Homeland Security (Immigration and 
                Naturalization) (Parts 1--499)
         V  Executive Office for Immigration Review, Department of 
                Justice (Parts 1000--1399)

                 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)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      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)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)

[[Page 931]]

      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (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)
        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 Industry and Security, 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)

[[Page 932]]

        XI  National Technical Information Service, 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) [Reserved]

                    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  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)

[[Page 933]]

       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  Office of Workers' Compensation Programs, 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 Service, 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 (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)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       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)
        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)

[[Page 934]]

        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--1699)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)

[[Page 935]]

      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       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--899)
         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 (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Alcohol and Tobacco Tax and Trade Bureau, Department 
                of the Treasury (Parts 1--399)
        II  Bureau of Alcohol, Tobacco, Firearms, and Explosives, 
                Department of Justice (Parts 400--699)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--299)
       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 936]]

                            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  Employee Benefits Security 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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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 937]]

        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 Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     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 Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army, Department 
                of Defense (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)

[[Page 938]]

        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)
        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             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)
        VI  [Reserved]
       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 (Parts 1500--
                1599)
       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  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

[[Page 939]]

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        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)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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)
   62--100  [Reserved]
            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)
  103--104  [Reserved]
       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)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]

[[Page 940]]

            Subtitle E--Federal Information Resources Management 
                Regulations System [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 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   ii--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency, Department of 
                Homeland Security (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)

[[Page 941]]

       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)
        IX  Denali Commission (Parts 900--999)
         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  Administration for Children and Families, 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 of 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 Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (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)

[[Page 942]]

        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  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  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         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)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        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) 
                [Reserved]

[[Page 943]]

        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        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  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        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 Homeland Security (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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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)

[[Page 944]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 945]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of January 1, 2018)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  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
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 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
  National Institute of Food and Agriculture      7, XXXIV
  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
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 946]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
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
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
Career, Technical and Adult Education, Office of  34, IV
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I

[[Page 947]]

  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 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
Denali Commission                                 45, IX
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical and Adult Education, Office   34, IV
       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
  Career, Technical, and Adult Education, Office  34, IV
       of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
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                             2, IX; 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                   2, XV; 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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, 2

[[Page 948]]

  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
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                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
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 Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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 Services Administration                   5, LVII; 41, 105

[[Page 949]]

  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  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 Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
   Secretary
[[Page 950]]

Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
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, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  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
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 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
Investment Security, Office of                    31, VIII
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                                2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  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 Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  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
[[Page 951]]

  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
  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, VII
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 Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
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
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 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   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    5, C; 34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
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                       2, XXV; 5, XLIII; 45, VI

[[Page 952]]

  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, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
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
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
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
Safety and Environmental Enforcement, Bureau of   30, II
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

[[Page 953]]

Securities and Exchange Commission                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 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                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
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                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  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; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               2, X;5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, 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
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 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
Wage and Hour Division                            29, V
Water Resources Council                           18, VI

[[Page 954]]

Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 955]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2013 are enumerated in the following list. Entries indicate the 
nature of the changes effected. Page numbers refer to Federal Register 
pages. The user should consult the entries for chapters, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2013

16 CFR
                                                                   78 FR
                                                                    Page
Chapter II
1112.1 Added.......................................................15858
1112.3 Amended.....................................................15858
1112.11--112.29 (Subpart B) added..................................15859
1112.15 (b)(33) added; eff. 4-23-14................................63034
    (b)(34) added; eff. 6-6-14.....................................73424
1112.35 (b) added..................................................15865
1112.41--1112.55 (Subpart D) added.................................15865
1118 Authority citation revised....................................15868
1118.2 (a) revised.................................................15868
1199 Added.........................................................10506
1210.2 (b)(2)(ii) revised..........................................53679
1215 Authority citation revised; eff. 3-24-14......................73696
1215.2 Revised; eff. 3-24-14.......................................73696
1216 Authority citation revised....................................37709
1216.2 Revised.....................................................37709
1217 Authority citation revised; eff. 3-24-14......................73696
1217.2 Revised; eff. 3-24-14.......................................73696
1218 Added; eff. 4-23-14...........................................63034
1218.2 (b)(3)(i) through (iv), (b)(5) and (7) added; eff. 4-23-15 
                                                                   63034
    (b)(1)(i) and (b)(5)(vi) correctly amended; eff. 4-23-14.......77574
1219 Authority citation revised; eff. 3-24-14......................73696
1219.2 Revised; eff. 3-24-14.......................................73696
1221.1 Revised; eff. 2-19-14.......................................50335
1221.2 Revised; eff. 2-19-14.......................................50335
1223 Authority citation revised....................................37709
1223.2 Revised.....................................................37709
1225 Added; eff. 6-6-14............................................73424
1500.18 (a)(5) removed.............................................66841
1500.47 Removed....................................................66841
1500.86 (a)(6) removed.............................................66841
1500.90 (b) revised; (c) through (h) removed.......................41298

                                  2014

16 CFR
                                                                   79 FR
                                                                    Page
Chapter II
1112.15 (b)(35) added...............................................2589
    (b)(36) added; eff. 9-10-15....................................13216
    (b)(37) added..................................................17433
1222 Added..........................................................2589
1226 Added.........................................................17433
1227 Added; eff. 9-10-15...........................................13216
1240 Added; eff. 4-1-15............................................59986
1500.3 (c)(5) revised...............................................8831
1700 Policy statement..............................................69044

                                  2015

16 CFR
                                                                   80 FR
                                                                    Page
Chapter II
Chapter II Policy statement.........................................3466
1109.1 (c) revised.................................................61732

[[Page 956]]

    Regulation at 80 FR 61732 eff. date delayed to 1-13-16.........72342
1109.5 (a) amended.................................................61732
    Regulation at 80 FR 61732 eff. date delayed to 1-13-16.........72342
1109.11 (a) revised................................................61732
    Regulation at 80 FR 61732 eff. date delayed to 1-13-16.........72342
1109.13 Revised....................................................61732
    Regulation at 80 FR 61732 eff. date delayed to 1-13-16.........72342
1112.15 (b)(38) added; eff. 9-2-16.................................11121
1120.2 (d) added...................................................25226
    (e) added......................................................44269
1120.3 (a) and (b)(1) revised; (c) added...........................25226
    (d) added......................................................44269
1120.4 Added.......................................................25226
    (c)(4) added...................................................44269
1230 Added; eff. 9-2-16............................................11121
1251 Added.........................................................42381
    Regulation at 80 FR 42381 withdrawn............................54417
    Added; eff. 1-19-16............................................78656
1460 Added.........................................................16963
1500 Heading revised...............................................61732
    Regulation at 80 FR 61732 eff. date delayed to 1-13-16.........72342
1500.91 (d)(7) introductory text revised...........................61732
    Regulation at 80 FR 61732 eff. date delayed to 1-13-16.........72342

                                  2016

16 CFR
                                                                   81 FR
                                                                    Page
Chapter II
1031 Authority citation revised.....................................5377
1031.10 (b) amended.................................................5377
1031.11 (c), (d) and (e) revised; (f) removed.......................5377
1031.12 (b) revised; (c) amended....................................5377
1109.1 Regulation at 80 FR 61732 eff. date further delayed to 2-
        12-16..........................................................2
1109.5 Regulation at 80 FR 61732 eff. date further delayed to 2-
        12-16..........................................................2
1109.11 Regulation at 80 FR 61732 eff. date further delayed to 2-
        12-16..........................................................2
1109.13 Regulation at 80 FR 61732 eff. date further delayed to 2-
        12-16..........................................................2
1112.15 (b)(40) added..............................................17065
1201.2 (a)(3) introductory text and (4) introductory text revised 
                                                                   15431
1201.4 Revised.....................................................15431
1201.1--1201.7 (Subpart A) Figures 1 through 5 removed.............15431
1211.2 (c) revised.................................................20228
1211.4 (c) revised.................................................20228
1211.5 (a)(1), (6), (b) introductory text and (3) revised..........20228
1211.6 Revised.....................................................20228
1211.7 Revised.....................................................20228
1211.8 Revised.....................................................20230
1211.9 (a), (b)(2) and (c) revised.................................20231
1211.10 Revised....................................................20231
1211.11 Revised....................................................20232
1211.12 (a)(1), (c)(1), (2) and (d) revised........................20233
1211.13 Revised....................................................20233
1211.14 Redesignated as 1211.16; added.............................20234
1211.15 Redesignated as 1211.17....................................20234
    Added..........................................................20235
1211.16 Redesignated as 1211.18; redesignated from 1211.14.........20234
    Revised........................................................20235
1211.17 Redesignated as 1211.19; redesignated from 1211.15.........20234
    (h) and (i) redesignated as (i) and (j); (g)(2)(v), new (h), 
(k), (l) and (m) added.............................................20237
1211.18 Redesignated from 1211.16..................................20234
    (f) through (k) redesignated as (g) through (l); (b)(3), (c), 
new (i),new (j) and new (k) revised; new (f), (m) and (n) added....20237
1211.19 Redesignated from 1211.17..................................20234
    (b) revised....................................................20238
1211.1--1211.17 (Subpart A) Figures 1 through 10 and table added 
                                                                   20238
1211.40 (Subpart D) Added..........................................20245
1227.2 Revised.....................................................37132
1233 Added.........................................................17065
1500 Regulation at 80 FR 61732 eff. date further delayed to 2-12-
        16.............................................................2
1500.91 Regulation at 80 FR 61732 eff. date further delayed to 2-
        12-16..........................................................2
1610 Policy statement..............................................12587

[[Page 957]]

                                  2017

16 CFR
                                                                   82 FR
                                                                    Page
Chapter II
1015 Authority citation revised....................................37007
1015.1 Revised.....................................................37007
1015.2 Revised.....................................................37008
1015.3 Heading revised; (a), (b), (d) and (e) amended..............37008
1015.4 Amended.....................................................37008
1015.5 (a) revised; (e), (f) and (g) redesignated as (f), (g) and 
        (h); new (e) added; (b) introductory text, (1), (d), (2), 
        new (f), (g) introductory text, (5) and (h) amended; new 
        (g)(2) and (3) revised.....................................37008
1015.6 (a), (b) introductory text and (4) revised; (b)(5) added; 
        (c) amended................................................37008
1015.7 Heading, (a), (b), (e), authority citation following (g) 
        revised; (c) and (g) amended...............................37009
1015.9 (f)(6) redesignated as (f)(7); new (f)(6) added; (a), 
        (e)(9), (f)(4), (5), (e)(1) and new (f)(7) amended; (b), 
        (c)(2), (3) and (8) revised................................37009
1015.10 Removed....................................................37010
1015.11 Revised....................................................37010
1015.15 Revised....................................................37010
1015.16 Removed....................................................37010
1015.17 Removed....................................................37010
1015.20 (a) amended................................................37010
1028 Revised; eff. 1-19-18.........................................43460
1112 Authority citation revised.....................................8993
1112.15 (b)(39) added; eff. 1-30-18.................................8687
    (b)(32) introductory text, (ii) introductory text and 
(c)(1)(ii) revised (b)(32)(i) and (c)(1)(iii) removed; 
(b)(32)(ii)(JJ) and (KK) added......................................8993
    (b)(41) added..................................................15627
    (b)(42) added; eff. 3-19-18....................................43480
    (b)(32) introductory text, (ii) and (c)(1)(ii) revised; eff. 
2-28-18............................................................57123
    (b)(43) added; eff. 6-15-18....................................59510
1130.2 (a)(13) revised; eff. 6-15-18...............................59511
1217.2 Revised.....................................................11320
1228 Added; eff. 1-30-18............................................8687
1229 Added; eff. 3-19-18...........................................43480
1232 Added; eff. 6-15-18...........................................59511
1234 Added.........................................................15627
1240 Removed.......................................................12717
1250 Added..........................................................8993
1250.2 (a) revised; (c) added; eff. 2-28-18........................57123
1307 Added; eff. 4-25-18...........................................49982
1308 Added.........................................................41171
1460.3 Revised; eff. 1-12-18.......................................58730
1500.42 (a)(1) amended; CFR correction..............................2193


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