[Title 16 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2009 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          16


          Part 1000 to End

                         Revised as of January 1, 2009


          Commercial Practices
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2009
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    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........................     823
      Alphabetical List of Agencies Appearing in the CFR......     843
      List of CFR Sections Affected...........................     853

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

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

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

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                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2009), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
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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.

OBSOLETE PROVISIONS

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

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
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if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

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separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
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This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    January 1, 2009.







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                               THIS TITLE

    Title 16--Commercial Practices is composed of two volumes. The first 
volume contains parts 0-999 and comprises chapter I--Federal Trade 
Commission. The second volume containing part 1000 to end comprises 
chapter II--Consumer Product Safety Commission. The contents of these 
volumes represent all current regulations codified under this title of 
the CFR as of January 1, 2009.

    For this volume, Jonn V. Lilyea was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.


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                     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.......           7
1009            General statements of policy or 
                    interpretation..........................          15
1010            [Reserved]

1011            Notice of agency activities.................          20
1012            Meetings policy--Meetings between agency 
                    personnel and outside parties...........          22
1013            Government in the Sunshine Act, rules for 
                    Commission meetings.....................          26
1014            Policies and procedures implementing the 
                    Privacy Act of 1974.....................          30
1015            Procedures for disclosure or production of 
                    information under the Freedom of 
                    Information Act.........................          35
1016            Policies and procedures for information 
                    disclosure and Commission employee 
                    testimony in private litigation.........          46
1017            [Reserved]

1018            Advisory committee management...............          47
1019            Export of noncomplying, misbranded, or 
                    banned products.........................          55
1020            Small business..............................          60
1021            Environmental review........................          61
1025            Rules of practice for adjudicative 
                    proceedings.............................          67
1027            Salary offset...............................         102
1028            Protection of human subjects................         106
1030            Employee standards of conduct...............         117
1031            Commission participation and Commission 
                    employee involvement in voluntary 
                    standards activities....................         118

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1033            Display of control numbers for collection of 
                    information requirements under the 
                    Paperwork Reduction Act.................         126
1034            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Consumer 
                    Product Safety Commission...............         127
1051            Procedure for petitioning for rulemaking....         132
1052            Procedural regulations for informal oral 
                    presentations in proceedings before the 
                    Consumer Product Safety Commission......         136
1061            Applications for exemption from preemption..         137
          SUBCHAPTER B--CONSUMER PRODUCT SAFETY ACT REGULATIONS
1101            Information disclosure under section 6(b) of 
                    the Consumer Product Safety Act.........         142
1105            Contributions to costs of participants in 
                    development of consumer product safety 
                    standards...............................         155
1110            Certificates of compliance..................         157
1115            Substantial product hazard reports..........         159
1116            Reports submitted pursuant to section 37 of 
                    the Consumer Product Safety Act.........         175
1117            Reporting of choking incidents involving 
                    marbles, small balls, latex balloons and 
                    other small parts.......................         183
1118            Investigations, inspections and inquiries 
                    under the Consumer Product Safety Act...         186
1145            Regulation of products subject to other acts 
                    under the Consumer Product Safety Act...         193
1201            Safety standard for architectural glazing 
                    materials...............................         195
1202            Safety standard for matchbooks..............         213
1203            Safety standard for bicycle helmets.........         217
1204            Safety standard for omnidirectional citizens 
                    band base station antennas..............         241
1205            Safety standard for walk-behind power lawn 
                    mowers..................................         255
1207            Safety standard for swimming pool slides....         269
1209            Interim safety standard for cellulose 
                    insulation..............................         284
1210            Safety standard for cigarette lighters......         311
1211            Safety standard for automatic residential 
                    garage door operators...................         324
1212            Safety standard for multi-purpose lighters..         345
1213            Safety standard for entrapment hazards in 
                    bunk beds...............................         360
1301            Ban of unstable refuse bins.................         370
1302            Ban of extremely flammable contact adhesives         374
1303            Ban of lead-containing paint and certain 
                    consumer products bearing lead-
                    containing paint........................         379

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1304            Ban of consumer patching compounds 
                    containing respirable free-form asbestos         384
1305            Ban of artificial emberizing materials (ash 
                    and embers) containing respirable free-
                    form asbestos...........................         387
1306            Ban of hazardous lawn darts.................         389
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..........................         391
1402            CB base station antennas, TV antennas, and 
                    supporting structures...................         392
1404            Cellulose insulation........................         396
1406            Coal and wood burning appliances--
                    notification of performance and 
                    technical data..........................         398
1407            Portable generators: requirements to provide 
                    performance and technical data by 
                    labeling................................         406
1420            Requirements for all terrain vehicles.......         409
       SUBCHAPTER C--FEDERAL HAZARDOUS SUBSTANCES ACT REGULATIONS
1500            Hazardous substances and articles; 
                    administration and enforcement 
                    regulations.............................         411
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..........         514
1502            Procedures for formal evidentiary public 
                    hearing.................................         517
1505            Requirements for electrically operated toys 
                    or other electrically operated articles 
                    intended for use by children............         533
1507            Fireworks devices...........................         548
1508            Requirements for full-size baby cribs.......         550
1509            Requirements for non-full-size baby cribs...         557
1510            Requirements for rattles....................         564
1511            Requirements for pacifiers..................         565
1512            Requirements for bicycles...................         569
1513            Requirements for bunk beds..................         590
             SUBCHAPTER D--FLAMMABLE FABRICS ACT REGULATIONS
1602            Statements of policy or interpretation......         601
1605            Investigations, inspections and inquiries 
                    pursuant to the Flammable Fabrics Act...         601
1608            General rules and regulations under the 
                    Flammable Fabrics Act...................         609

[[Page 6]]

1609            Text of the Flammable Fabrics Act of 1953, 
                    as amended in 1954, prior to 1967 
                    amendment and revision..................         612
1610            Standard for the flammability of clothing 
                    textiles................................         615
1611            Standard for the flammability of vinyl 
                    plastic film............................         645
1615            Standard for the flammability of children's 
                    sleepwear: Sizes 0 through 6X (FF 3-71).         655
1616            Standard for the flammability of children's 
                    sleepwear: Sizes 7 through 14 (FF 5-74).         686
1630            Standard for the surface flammability of 
                    carpets and rugs (FF 1-70)..............         720
1631            Standard for the surface flammability of 
                    small carpets and rugs (FF 2-70)........         729
1632            Standard for the flammability of mattresses 
                    and mattress pads (FF 4-72, amended)....         739
1633            Standard for the flammability (open flame) 
                    of mattress sets........................         758
    SUBCHAPTER E--POISON PREVENTION PACKAGING ACT OF 1970 REGULATIONS
1700            Poison prevention packaging.................         792
1701            Statements of policy and interpretation.....         808
1702            Petitions for exemptions from Poison 
                    Prevention Packaging Act requirements; 
                    petition procedures and requirements....         810
            SUBCHAPTER F--REFRIGERATOR SAFETY ACT REGULATIONS
1750            Standard for devices to permit the opening 
                    of household refrigerator doors from the 
                    inside..................................         816

[[Page 7]]



                          SUBCHAPTER A_GENERAL



PART 1000_COMMISSION ORGANIZATION AND FUNCTIONS--Table of Contents




Sec.
1000.1 The Commission.
1000.2 Laws administered.
1000.3 Hotline.
1000.4 Commission address.
1000.5 Petitions.
1000.6 Commission decisions and records.
1000.7 Advisory opinions and interpretations of regulations.
1000.8 Meetings and hearings; public notice.
1000.9 Quorum.
1000.10 The Chairman and Vice Chairman.
1000.11 Delegation of functions.
1000.12 Organizational structure.
1000.13 Directives System.
1000.14 Office of the General Counsel.
1000.15 Office of Congressional Relations.
1000.16 Office of the 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 8]]

    (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: info@cpsc.gov.



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 (cpsc-os@cpsc.gov) 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 (cpsc-os@cpsc.gov) 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 9]]

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 10]]

    (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 11]]



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 12]]

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 13]]



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 14]]

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 15]]

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 16]]

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 17]]

    (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 18]]

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 19]]

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 20]]

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 21]]

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 22]]

    (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 23]]

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 24]]

    (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 25]]



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 26]]

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 27]]

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 28]]

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 29]]

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 30]]

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 31]]

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 32]]

    (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 33]]



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 34]]

    (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 35]]

but would not be available for disclosure to a third party without the 
consent of the injured party or person treating him or her.
    (4) Since accident or investigation reports are compiled only for 
statistical purposes and are not used in whole or in part in making any 
determination about an individual, they are exempted from the 
requirement to correct or amend a record as provided by subsection 
(d)(2) of the Privacy Act (5 U.S.C. 552a (d)(2)). Exceptions from this 
paragraph, insofar as they relate to amendments or additions, may be 
allowed by the Executive Director.
    (b) Inspector General Investigative Files--CPSC-6. All portions of 
this system of records which fall within 5 U.S.C. 552a(k)(2) 
(investigatory materials compiled for law enforcement purposes) and 5 
U.S.C. 552a(k)(5) (investigatory materials solely compiled for 
suitability determinations) are exempt from 5 U.S.C. 552a(c)(3) 
(mandatory accounting of disclosures); 5 U.S.C. 552a(d) (access by 
individuals to records that pertain to them); 5 U.S.C. 552a(e)(1) 
(requirement to maintain only such information as is relevant and 
necessary to accomplish an authorized agency purpose); 5 U.S.C. 
552a(e)(4)(G) (mandatory procedures to notify individuals of the 
existence of records pertaining to them); 5 U.S.C. 552a(e)(4)(H) 
(mandatory procedures to notify individuals how they can obtain access 
to and contest records pertaining to them); 5 U.S.C. 552a(e)(4)(I) 
(mandatory disclosure of records source categories); and the 
Commission's regulations in 16 CFR part 1014 which implement these 
statutory provisions.
    (c) Enforcement and Litigation Files--CPSC-7. All portions of this 
system of records that fall within 5 U.S.C. 552a(k)(2) (investigatory 
materials compiled for law enforcement purposes) are exempt from 5 
U.S.C. 552a(c)(3) (mandatory accounting of disclosures); 5 U.S.C. 
552a(d) (access by individuals to records that pertain to them); 5 
U.S.C. 552a(e)(1) (requirement to maintain only such information as is 
relevant and necessary to accomplish an authorized agency purpose); 5 
U.S.C. 552a(e)(4)(G) (mandatory procedures to notify individuals of the 
existence of records pertaining to them); 5 U.S.C. 552a(e)(4)(H) 
(mandatory procedures to notify individuals how they can obtain access 
to and contest records pertaining to them); 5 U.S.C. 552a(e)(4)(I) 
(mandatory disclosure of records source categories); and the 
Commission's regulations in 16 CFR part 1014 that implement these 
statutory provisions.

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



PART 1015_PROCEDURES FOR DISCLOSURE OR PRODUCTION OF INFORMATION UNDER THE 

FREEDOM OF INFORMATION ACT--Table of Contents




        Subpart A_Production or Disclosure Under 5 U.S.C. 552(a)

Sec.
1015.1 Purpose and scope.
1015.2 Public reference facilities.
1015.3 Requests for records and copies.
1015.4 Responses to requests for records; responsibility.
1015.5 Time limitation on responses to requests for records and requests 
          for expedited processing.
1015.6 Responses: Form and content.
1015.7 Appeals from initial denials; reconsideration by the Secretary.
1015.8 Requests received during the course of administrative hearings. 
          [Reserved]
1015.9 Fees for production of records.
1015.10 Commission report of actions to Congress.
1015.11 Disclosure of trade secrets to consultants and contractors; 
          nondisclosure to advisory committees and other government 
          agencies.
1015.12 Disclosure to Congress.

   Subpart B_Exemptions From Production and Disclosure Under 5 U.S.C. 
                                 552(b)

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

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

1015.20 Public availability of accident or investigation reports.


[[Page 36]]


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

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



        Subpart A_Production or Disclosure Under 5 U.S.C. 552(a)



Sec. 1015.1  Purpose and scope.

    (a) The regulations of this subpart provide information concerning 
the procedures by which Consumer Product Safety Commission records may 
be made available for inspection and the procedures for obtaining copies 
of records from the Consumer Product Safety Commission. Official records 
of the Consumer Product Safety Commission consist of all documentary 
material maintained by the Commission in any format, including an 
electronic format. These records include those maintained in connection 
with the Commission's responsibilities and functions under the Consumer 
Product Safety Act, as well as those responsibilities and functions 
transferred to the Commission under the Federal Hazardous Substances 
Act, Poison Prevention Packaging Act of 1970, Refrigerator Safety Act, 
and Flammable Fabrics Act, and those maintained under any other 
authorized activity. Official records do not, however, include objects 
or articles such as tangible exhibits, samples, models, equipment, or 
other items of valuable property; books, magazines, or other reference 
material; or documents routinely distributed by the Commission in the 
normal course of business such as copies of Federal Register notices, 
pamphlets, and laws. Official records include only existing records. 
Official records of the Commission made available under the requirements 
of the Freedom of Information Act (5 U.S.C. 552) shall be furnished to 
the public as prescribed by this part 1015. A request by an individual 
for records about himself or herself that are contained in the 
Commission's system of records under the Privacy Act (5 U.S.C. 552a) 
will be processed under the Privacy Act. A request by a third party for 
records that are contained in the Commission's system of records under 
the Privacy Act will be processed administratively under these 
regulations with respect to the time limits and appeals rights 
(Sec. Sec. 1015.5 and 1015.7), but substantively under the applicable 
provisions of first the Freedom of Information Act and then the Privacy 
Act. Documents routinely distributed to the public in the normal course 
of business will continue to be furnished to the public by employees of 
the Commission informally and without compliance with the procedures 
prescribed herein.
    (b) The Commission's policy with respect to requests for records is 
that disclosure is the rule and withholding is the exception. All 
records not exempt from disclosure will be made available. Moreover, 
records which may be exempted from disclosure will be made available as 
a matter of discretion when disclosure is not prohibited by law or is 
not against the public interest. See, Sec. 1015.15(b). Section 6(a)(2) 
of the Consumer Product Safety Act, 15 U.S.C. 2055(a)(2), prohibits the 
disclosure of trade secrets or other matters referred to in 18 U.S.C. 
1905.
    (c) The Attorney General's Memorandum on the 1974 Amendments to the 
Freedom of Information Act published in February, 1975 is available from 
the Superintendent of Documents and may be consulted in considering 
questions arising under the Freedom of Information Act.

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



Sec. 1015.2  Public reference facilities.

    (a) The Consumer Product Safety Commission will maintain in a public 
reference room or area the materials relating to the Consumer Product 
Safety Commission that are required by 5 U.S.C. 552(a)(2) and 552(a)(5) 
to be made available for public inspection and copying. The principal 
location will be in the Office of the Secretary of the Commission. The 
address of this office is:
Office of the Secretary, Consumer Product Safety Commission, Room 502, 
4330 East West Highway, Bethesda, MD 20814.
    (b) This public reference facility will maintain and make available 
for public inspection and copying a current index of the materials 
available at that facility which are required to be indexed by 5 U.S.C. 
552(a)(2). For the purpose of

[[Page 37]]

providing the opportunity for greater public access to records of the 
Consumer Product Safety Commission, the Commission may establish 
additional public reference facilities. Each such additional reference 
facility will also maintain and make available for public inspection and 
copying a current index of the materials available at that facility 
which are required to be indexed by 5 U.S.C. 552(a)(2).
    (c) The Consumer Product Safety Commission will maintain an 
``electronic reading room'' on the World-Wide Web for those records that 
are required by 5 U.S.C. 552(a)(2) to be available by ``computer 
telecommunications.''

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



Sec. 1015.3  Requests for records and copies.

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

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



Sec. 1015.4  Responses to requests for records; responsibility.

    The ultimate responsibility for responding to requests for records 
is vested in the Secretary of the Consumer Product Safety Commission. 
The Secretary or delegate of the Secretary may respond directly or 
forward the request to any other office of the Commission for response. 
In any case where the Secretary or delegate of the

[[Page 38]]

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

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



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

for expedited processing.

    (a) The Secretary or delegate of the Secretary shall respond to all 
written requests for records within twenty (20) working days (excepting 
Saturdays, Sundays, and legal public holidays). The time limitations on 
responses to requests for records shall begin to run as of the time a 
request for records is received by the Office of the Secretary and a 
date stamp notation placed directly on the request.
    (b) The time for responding to requests for records may be extended 
by the Secretary at the initial stage or by the General Counsel of the 
Commission at the appellate stage up to an additional ten (10) working 
days under the following unusual circumstances:
    (1) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
Office of the Secretary.
    (2) The need to search for, collect and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request.
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another agency having a substantial interest in 
the determination of the request or among two or more components of the 
Commission having substantial subject matter interest therein.
    (c) Any extension of time must be accompanied by written notice to 
the person making the request setting forth the reason(s) for such 
extension and the time within which a response is expected to be made.
    (d) If the Secretary at the initial stage or the General Counsel at 
the appellate stage determines that an extension of time greater than 
ten (10) working days is necessary to respond to a request satisfying 
the ``unusual circumstances'' specified in paragraph (b) of this 
section, the Secretary or the General Counsel shall so notify the 
requester and give the requester the opportunity to:
    (1) Limit the scope of the request so that it may be processed 
within the time limit prescribed in paragraph (b); or
    (2) Arrange with the Secretary or the General Counsel an alternative 
time frame for processing the request or a modified request.
    (e) The Secretary or delegate of the Secretary may aggregate and 
process as a single request requests by the same requester, or a group 
of requesters acting in concert, if the Secretary or delegate reasonably 
believes that the requests actually constitute a single request which 
would otherwise satisfy the unusual circumstances specified in paragraph 
(b) of this section, and the requests involve clearly related matters.
    (f) The Secretary or delegate of the Secretary will provide 
expedited processing of requests in cases where the requester 
demonstrates a compelling need for such processing.
    (1) The term ``compelling need'' means:
    (i) That a failure to obtain requested records on an expedited basis 
could reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (ii) With respect to a request made by a person primarily engaged in 
disseminating information, that there is an urgency to inform the public 
concerning actual or alleged Federal Government activity.
    (2) Requesters for expedited processing must include in their 
requests a statement setting forth the basis for

[[Page 39]]

the claim that a ``compelling need'' exists for the requested 
information, certified by the requester to be true and correct to the 
best of his or her knowledge and belief.
    (3) The Secretary or delegate of the Secretary will determine 
whether to grant a request for expedited processing and will notify the 
requester of such determination within ten (10) days of receipt of the 
request.
    (4) Denials of requests for expedited processing may be appealed to 
the Office of the General Counsel as set forth in Sec. 1015.7 of this 
part. The General Counsel will expeditiously determine any such appeal.
    (5) The Secretary or delegate of the Secretary will process as soon 
as practicable the documents responsive to a request for which expedited 
processing is granted.
    (g) The Secretary may be unable to comply with the time limits set 
forth in this Sec. 1015.5 when disclosure of documents responsive to a 
request under this part is subject to the requirements of section 6(b) 
of the Consumer Product Safety Act, 15 U.S.C. 2055(b), and the 
regulations implementing that section, 16 CFR part 1101. The Secretary 
or delegate of the Secretary will notify requesters whose requests will 
be delayed for this reason.

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



Sec. 1015.6  Responses: Form and content.

    (a) When a requested record has been identified and is available for 
disclosure, the requester shall either be supplied with a copy or 
notified as to where and when the record will be made available for 
inspection. If a requester desires to inspect records at one of the 
regional offices of the Commission, the Secretary will ordinarily make 
the records available at the requested regional office. If the payment 
of fees is required the requester shall be advised by the Secretary in 
writing of any applicable fees under Sec. 1015.9 hereof.
    (b) A response denying a written request for a record shall be in 
writing signed by the Secretary or delegate of the Secretary and shall 
include:
    (1) The identity of each person responsible for the denial.
    (2) A reference to the specific exemption or exemptions under the 
Freedom of Information Act authorizing the withholding of the record 
with a brief explanation of how the exemption applies to the record 
withheld; and
    (3) An estimation of the volume of requested material withheld. When 
only a portion or portions of a document are withheld, the amount of 
information deleted shall be indicated on the released portion(s) of the 
record. When technically feasible, the indication of the amount of 
material withheld will appear at the place in the document where any 
deletion is made. Neither an estimation of the volume of requested 
material nor an indication of the amount of information deleted shall be 
included in a response if doing so would harm an interest protected by 
the exemption in 5 U.S.C. 552(b) pursuant to which the material is 
withheld.
    (4) A statement that the denial may be appealed to the Commissioners 
of the Consumer Product Safety Commission. Any such appeal must be made 
within 30 calendar days of receipt of the denial by the requester.
    (c) If no response is made within twenty (20) working days or any 
extension thereof, the requester can consider his or her administrative 
remedies exhausted and seek judicial relief in a United States District 
Court as specified in 5 U.S.C. 552(a)(4)(B). When it appears that no 
response can be made to the requester within the applicable time limit, 
the Secretary or delegate of the Secretary may ask the requester to 
forego judicial relief until a response can be made. The Secretary or 
delegate of the Secretary shall inform the requester of the reason for 
the delay, of the date on which a response may be expected and of his/
her right to seek judicial review as specified in 5 U.S.C. 552(a)(4)(B).

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



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

    (a) When the Secretary or delegate of the Secretary has denied a 
request for records in whole or in part, the requester may, within 30 
days of its receipt, appeal the denial to the General

[[Page 40]]

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

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

[50 FR 7753, Feb. 26, 1985]



Sec. 1015.8  Requests received during the course of administrative hearings. 

[Reserved]



Sec. 1015.9  Fees for production of records.

    (a) The Commission will provide, at no charge, certain routine 
information. For other Commission responses to information requests, the 
Secretary shall determine and levy fees for duplication, search, review, 
and other services, in accordance with this section.
    (b) Fees shall be paid by check or money order, payable to the 
Treasury of the United States and sent to the Commission.
    (c) The following definitions shall apply under this section:
    (1) Direct costs means those expenditures which an agency actually 
incurs in searching for and duplicating (and in the case of commercial 
requesters, reviewing) documents to respond to a FOIA request.
    (2) Search includes all time spent looking for material that is 
responsive to a request, including page-by-page or line-by-line 
identification of material within documents.
    (3) Duplication refers to the process of making a copy of a document 
necessary to respond to a FOIA request.
    (4) Review refers to the process of examining documents located in 
response to a commercial use request to determine whether any portion of 
any document located is permitted to be withheld.
    (5) Commercial use request refers to a request that seeks 
information for a use or purpose that furthers commercial, trade, or 
profit interests.

[[Page 41]]

    (6) Educational institution refers to an entity organized and 
operated exclusively for educational purposes, whose purpose is 
scholarly.
    (7) Non-commercial scientific institution refers to an entity 
organized and operated exclusively for the purpose of conducting 
scientific research, the results of which are not intended to promote 
any particular product or industry.
    (8) Representative of the news media refers to any person or 
organization which regularly publishes or disseminates news to the 
public, in print or electronically.
    (d) A commercial use request may incur charges for duplication, 
search, and review. The following requests may incur charges only for 
duplication: A request from an educational institution for records not 
sought for commercial use; a request from a non-commercial scientific 
institution for records not sought for commercial use; a request from a 
representative of the news media. Any other request may incur charges 
for duplication and search.
    (e) The following fee schedule will apply:
    (1) Copies of documents reproduced on a standard photocopying 
machine: $0.10 per page.
    (2) File searches conducted by clerical personnel: $3.00 for each 
one-quarter hour (a fraction thereof to be counted as one-quarter hour). 
Any special costs of sending records from field locations to 
headquarters for review will be included in search fees, billed at the 
clerical personnel rate.
    (3) File searches conducted by non-clerical or professional or 
managerial personnel: $4.90 for each one-quarter hour (a fraction 
thereof to be counted as one-quarter hour).
    (4) Review of records: $4.90 for each one-quarter hour (a fraction 
thereof to be counted as one-quarter hour).
    (5) Computerized records: $0.10 per page of computer printouts or, 
for central processing, $0.32 per second of central processing unit 
(CPU) time; for printer, $10.00 per 1,000 lines; and for computer 
magnetic tapes or discs, direct costs.
    (6) Postage: Direct-cost basis for mailing requested materials, if 
the requester wants special handling or if the volume or dimensions of 
the materials requires special handling.
    (7) Microfiche: $0.35 for each frame.
    (8) Other charges for materials requiring special reproducing or 
handling, such as photographs, slides, blueprints, video and audio tape 
recordings, or other unusual materials: direct-cost basis.
    (9) Any other service: An appropriate fee established by the 
Secretary, based on direct costs.
    (f) Fees shall be waived as follows:
    (1) No automatic fee waiver shall apply to commercial use requests.
    (2) The first $10.00 of duplication costs shall be waived for 
requests from educational institutions, non-commercial scientific 
institutions, and representatives of the news media.
    (3) For all other requests, the first $10.00 of duplication costs 
and the first $40 of search costs shall be waived.
    (4) The Secretary shall waive or reduce fees whenever disclosure of 
the requested information is in the public interest because it is likely 
to contribute significantly to public understanding of the operations or 
activities of the government and disclosure of the requested information 
is not primarily in the commercial interest of the requester.
    (5) In making a determination under paragraph (f)(4) of this 
section, the Secretary shall consider the following factors:
    (i) The subject of the request: Whether the subject of the requested 
records concerns the operations or activities of the government.
    (ii) The informative value of the information to be disclosed: 
Whether the disclosure is likely to contribute to an understanding of 
government operations or activities.
    (iii) The contribution to an understanding of the subject by the 
general public likely to result from disclosure: Whether disclosure of 
the requested information will contribute to public understanding.
    (iv) The significance of the contribution to public understanding: 
Whether the disclosure is likely to contribute significantly to public 
understanding of government operations or activities.

[[Page 42]]

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

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



Sec. 1015.10  Commission report of actions to Congress.

    On or before February 1 of each year, the Commission shall submit a 
report of its activities with regard to freedom of information requests 
during the preceding fiscal year to the Attorney General of the United 
States. This report shall include:
    (a) The number of determinations made by the Commission not to 
comply with requests for records made to the Commission under the 
provisions of this part and the reasons for each such determination.
    (b)(1) The number of appeals made by persons under such provisions, 
the result of such appeals, and the reason for the action upon each 
appeal that results in a denial of information; and
    (2) A complete list of all statutes that the Commission relies upon 
to withhold information under such provisions, a description of whether 
a court has upheld the decision of the Commission to withhold 
information under each such statute, and a concise description of the 
scope of any information withheld.
    (c) The number of requests for records pending before the Commission 
as of September 30 of the preceding year, and the median number of days 
that such requests had been pending before the Commission as of that 
date.
    (d) The number of requests for records received by the Commission 
and the number of requests which the Commission processed.
    (e) The median number of days taken by the Commission to process 
different types of requests.
    (f) The total amount of fees collected by the Commission for 
processing requests.
    (g) The number of full-time staff of the Commission devoted to 
processing requests for records under such provisions, and the total 
amount expended by the Commission for processing such requests.

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

[[Page 43]]



Sec. 1015.11  Disclosure of trade secrets to consultants and contractors; 

nondisclosure to advisory committees and other government agencies.

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



Sec. 1015.12  Disclosure to Congress.

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

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



   Subpart B_Exemptions From Production and Disclosure Under 5 U.S.C. 
                                 552(b)



Sec. 1015.15  Purpose and scope.

    (a) The regulations of this subpart provide information concerning 
the types of records which may be withheld from production and 
disclosure by the Consumer Product Safety Commission and the internal 
Commission procedure for withholding exempt records. These regulations 
also provide information on the method whereby persons submitting 
information to the Commission may request that the information be 
considered exempt from disclosure, and information concerning the 
Commission's treatment of documents submitted with a request that they 
be treated as exempt from disclosure.
    (b) No identifiable record requested in accordance with the 
procedures contained in this part shall be withheld from disclosure 
unless it falls within one of the classes of records exempt under 5 
U.S.C 552(b). The Commission will make available, to the extent 
permitted by law, records authorized to be withheld under 5 U.S.C. 
552(b) unless the Commission determines that disclosure is contrary to 
the public interest. In this regard the Commission will not ordinarily 
release documents that provide legal advice to the Commission concerning 
pending or prospective litigation where the release of such documents 
would significantly interfere with the Commission's regulatory or 
enforcement proceedings.
    (c) Draft documents that are agency records are subject to release 
upon request in accordance with this regulation. However, in order to 
avoid any misunderstanding of the preliminary nature of a draft 
document, each draft document released will be marked to indicate its 
tentative nature. Similarly, staff briefing packages, which have been 
completed but not yet transmitted to the Commission by the Office of the 
Secretary are subject to release upon request in accordance with this 
regulation. Each briefing package or portion thereof released will be 
marked to indicate that it has not been transmitted to or acted upon by 
the Commission. In addition, briefing packages, or portions thereof, 
which the Secretary upon the advice of the Office of the General Counsel 
has determined would be released upon request in accordance with this 
regulation, will be publicly available in the public reference facility 
established under Sec. 1015.2 promptly after the briefing package has 
been transmitted to the Commissioners by the Office of the Secretary. 
Such packages will be marked to indicate that they have not been acted 
upon by the Commission.
    (d) The exceptions contained in Sec. 1015.16 are as contained in 5 
U.S.C.

[[Page 44]]

552(b). These exemptions will be interpreted in accordance with the 
applicable law at the time a request for production or disclosure is 
considered.

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



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

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

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



Sec. 1015.17  Internal Commission procedure for withholding exempt records.

    Paragraphs (a) and (b) of this section describe the internal 
Commission procedure to be followed for requesting that a record exempt 
from disclosure under the inter- intra-agency memorandum exemption, 5 
U.S.C. 552(b)(5), or the investigatory file exemption, 5 U.S.C. 
552(b)(7), not be disclosed.
    (a) If a bureau or office director believes that it is against the 
public interest to disclose a Commission record prepared by his/her 
bureau or office, he/she may request in writing that the Secretary 
withhold the document. The request must specify why the release would be 
against the public interest.
    (1) If the Secretary agrees to withhold the document, the requester 
shall be notified in writing of the denial and of his/her right to 
appeal in accordance with Sec. 1015.6(b).
    (2) If the Secretary decides to release the document, the bureau or 
office director shall be notified and given two working days within 
which to appeal to

[[Page 45]]

the Commissioners. An appeal by a bureau or office director shall be in 
writing addressed to the Chairman. If an appeal is taken by a bureau or 
office director, the Secretary will not disclose the document. The 
Commissioner's action on appeal shall be in accordance with Sec. 
1015.7(d).
    (b) If a Commissioner believes that it is not in the public interest 
to disclose a Commission record prepared by himself/herself or by his/
her office personnel, the Commissioner shall so inform the Secretary and 
shall specify in writing why the release would be against the public 
interest. The Secretary shall notify the requester in writing of the 
denial in accordance with Sec. 1015.6(b). Any appeal by a requester 
shall be in accordance with Sec. 1015.7 except the provisions for 
reconsideration by the Secretary is not applicable. On appeal, the 
Commissioner who withheld the document shall not participate in the 
decision.

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



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

as exempt material.

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

[[Page 46]]

with a request for exemption from disclosure under 5 U.S.C. 552(b)(4) is 
entitled to be withheld until a request for production or disclosure is 
made for that information. The determination will be based on the most 
authoritative judicial interpretations available at the time a request 
for disclosure or production is considered. Any reasonably segregable 
portion of a record will be disclosed to any person requesting such 
record after deletion of any portions determined to be exempt under 5 
U.S.C. 552(b)(4). The requester will be given a brief description of any 
information found to be exempt.
    (b) If material received with a request for exemption from 
disclosure under 5 U.S.C. 552(b)(4) is found to be disclosable, in whole 
or in part, the person submitting the material will be notified in 
writing and given 10 calendar days from the receipt of the letter to 
seek judicial relief. In no event, however, will the material be 
returned to the person submitting it.



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



Sec. 1015.20  Public availability of accident or investigation reports.

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



PART 1016_POLICIES AND PROCEDURES FOR INFORMATION DISCLOSURE AND COMMISSION 

EMPLOYEE TESTIMONY IN PRIVATE LITIGATION--Table of Contents




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

    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.

[[Page 47]]



Sec. 1016.3  Disclosure and certification of information and records.

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



Sec. 1016.4  Testimony of Commission employees in private litigation.

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

                          PART 1017 [RESERVED]



PART 1018_ADVISORY COMMITTEE MANAGEMENT--Table of Contents




                      Subpart A_General Provisions

Sec.
1018.1 Purpose.
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.

[[Page 48]]

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

              Subpart E_Records, Annual Reports and Audits

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

                    Subpart F_Termination and Renewal

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

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

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



                      Subpart A_General Provisions



Sec. 1018.1  Purpose.

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



Sec. 1018.2  Definitions.

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

[[Page 49]]

    (e) Ensuring adequate opportunities for access by the public to 
advisory committee meetings and information.



Sec. 1018.4  Applicability.

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

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



Sec. 1018.5  Advisory Committee Management Officer.

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



             Subpart B_Establishment of Advisory Committees



Sec. 1018.11  Charters.

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

[[Page 50]]



Sec. 1018.14  Non-Commission established advisory committees.

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



Sec. 1018.15  Membership composition.

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

[46 FR 63248, Dec. 31, 1981]



Sec. 1018.16  Membership selection.

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



Sec. 1018.17  Appointments.

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

[[Page 51]]



               Subpart C_Operation of Advisory Committees



Sec. 1018.21  Calling of meetings.

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

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



Sec. 1018.22  Notice of meetings.

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



Sec. 1018.23  Designated Commission employee.

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



Sec. 1018.24  Agenda.

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

[[Page 52]]

    (5) A description of public participation, including a list of 
members of the public who presented oral or written statements and an 
estimate of the number of members of the public who attended the 
meeting.
    (b) The chairman of the advisory committee shall certify the 
accuracy of the minutes.
    (c) Whenever a non-Commission established committee convenes and, at 
the request of the Commission, a portion of the session is allocated to 
the rendering of advisory services to the Commission, the Advisory 
Committee Management Officer shall attend and prepare minutes for that 
portion of the meeting in accordance with this section.
    (d) In addition to the information required by subsection (a) of 
this section, the minutes of the Toxicological Advisory Board shall 
specify the reasons for all conclusions reached and, where conclusions 
are not unanimous, the Board is encouraged to submit minority or 
dissenting opinions.

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



Sec. 1018.26  Advisory functions.

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



Sec. 1018.27  Public participation.

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



Sec. 1018.28  Records and transcripts.

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



Sec. 1018.29  Appeals under the Freedom of Information Act.

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

[[Page 53]]

    (b) The Commission shall determine per diem and travel expenses for 
members, staffs, and consultants in accordance with section 7(d) of the 
Advisory Committee Act and section 11 of OMB Circular No. A-63.
    (c) Members of advisory committees, while engaged in the performance 
of their duties away from their homes or regular place of business, may 
be allowed travel expenses including per diem in lieu of expenses as 
authorized by 5 U.S.C. 5703.



Sec. 1018.33  Change of status.

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



Sec. 1018.34  Conflict of interest.

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

[[Page 54]]

the discussion. ``Special interest'' is not intended to include a 
member's general interest in presenting a position, views, or arguments 
in his or her representational capacity.
    (f) Where the chairperson of the committee determines that the 
disclosure referred to in paragraph (e) of this section reveals a 
conflict or apparent conflict of interest with respect to a member's 
involvement in the committee's consideration or discussion of a 
particular matter, the member will be asked to withdraw from the 
discussion of the matter.
    (g) The provisions of paragraphs (a) and (b) of this section do not 
apply to state and local government officers and employees.



Sec. 1018.35  Termination of membership.

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



              Subpart E_Records, Annual Reports and Audits



Sec. 1018.41  Agency records on advisory committees.

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



Sec. 1018.42  Annual report.

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



Sec. 1018.43  Comprehensive review.

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

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



                    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

[[Page 55]]

than 60 days nor less than 30 days before the committee expires of the 
following:
    (1) His or her determination that renewal is necessary and is in the 
public interest;
    (2) The reasons for his or her determination;
    (3) The Commission's plan to attain balanced membership of the 
committee, and;
    (4) An explanation of why the committee's functions cannot be 
performed by the Commission or by another existing advisory committee.
    (d) If the GSA Secretariat concurs, the Chairman shall certify in 
writing that the renewal of the advisory committee is in the public 
interest and shall publish notice of the renewal in the Federal Register 
and shall file a new charter.

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



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

Contents




 Subpart A_Procedures for Export of Noncomplying, Misbranded, or Banned 
                                Products

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

 Subpart B_Statement of Policy and Interpretation Concerning Export of 
              Noncomplying, Misbranded, or Banned Products

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

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

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



 Subpart A_Procedures for Export of Noncomplying, Misbranded, or Banned 
                                Products



Sec. 1019.1  Purpose, applicability, and exemptions.

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

[[Page 56]]

English need not notify the Commission prior to export if the product is 
labeled with the required information in the language of the country to 
which the product will be sent.
    (d) Exemption for samples. The exporter of an item that fails to 
comply with a standard or regulation, but which is intended for use only 
as a sample and not for resale, need not notify the Commission prior to 
export, if the item is conspicuously and labeled in English with the 
statement: ``Sample only. Not for resale.'' (The Commission encourages 
exporters to provide this label, in addition, in the language of the 
importing country, but does not require the foreign language labeling.) 
To qualify as a sample shipment under this exemption, the quantity of 
goods involved must be consistent with prevalent trade practices with 
respect to the specific product.
    (e) Exemption for items not in child-resistant packaging. The 
exporter of an item which is a ``misbranded hazardous substance'' within 
the meaning of section 2(p) of the Federal Hazardous Substances Act (15 
U.S.C. 1261(p)) only because it fails to comply with an applicable 
requirement for child-resistant packaging under the Poison Prevention 
Packaging Act of 1970 (15 U.S.C. 1471 et seq.) need not notify the 
Commission prior to export.



Sec. 1019.2  Definitions.

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



Sec. 1019.3  General requirements for notifying the Commission.

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



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

[[Page 57]]

this section. The required information is:
    (1) Name, address and telephone number of the exporter;
    (2) Name and address of each consignee;
    (3) Quantity and description of the goods to be exported to each 
consignee, including brand or trade names or model or other identifying 
numbers;
    (4) Identification of the standards, bans, regulations and statutory 
provisions applicable to the goods being exported, and an accurate 
description of the manner in which the goods fail to comply with 
applicable requirements; and
    (5) Anticipated date of shipment and port of destination.
    (e) Optional information. In addition to the information required by 
paragraph (d) of this section, the notification of intent to export may 
contain, at the exporter's option, the following information:
    (1) Copies of any correspondence from the government of the country 
of destination of the goods indicating whether the noncomplying goods 
may be imported into that country; and
    (2) Any other safety-related information that the exporter believes 
is relevant or useful to the Commission or to the government of the 
country of intended destination.
    (f) Signature. The notification of intent to export shall be signed 
by the owner of the exporting firm if the exporter is a sole-
proprietorship, by a partner if the exporter is a partnership, or by a 
corporate officer if the exporter is a corporation.



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

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

[[Page 58]]

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



Sec. 1019.7  Commission notification of foreign governments.

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



Sec. 1019.8  Confidentiality.

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



 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.)

[[Page 59]]

    (3) Products which could be regulated under one or more sections of 
the Federal Hazardous Substances Act but which are neither ``misbranded 
hazardous substances'' nor ``banned hazardous substances'' as those 
terms are used in the Act.
    (4) Products which are ``misbranded hazardous substances'' or 
``banned hazardous substances'' as those terms are used in the Federal 
Hazardous Substances Act but which have never been sold or offered for 
sale in domestic commerce. (See sections 5(b) and 14(d) of the Federal 
Hazardous Substances Act (15 U.S.C. 1264(b) and 1273(d) and subpart A of 
this part 1019 for requirements governing export of such products.)
    (5) Products for which the Commission has granted an exemption from 
an applicable standard, ban, or labeling requirement under the CPSA, 
FHSA, or FFA, in accordance with provisions of 16 CFR 1009.9. (These 
products remain subject to the notification requirements of subpart A of 
this part 1019.)
    (6) Products which fail to comply with an applicable standard of 
flammability issued under provisions of the Flammable Fabrics Act (15 
U.S.C. 1191 et seq.). The Commission's policy regarding export of such 
products is set forth in the Commission's Memorandum Decision and Order 
In the Matter of Imperial Carpet Mills, Inc., CPSC Docket No. 80-2, July 
7, 1983, and allows export without regard to whether the products have 
been distributed in domestic commerce. (See section 15 of the Flammable 
Fabrics Act, 15 U.S.C. 1202, and subpart A of this part 1019 for 
requirements governing export of such products.)



Sec. 1019.32  Statutory provisions.

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

[[Page 60]]

products have at any time been sold or offered for sale in domestic 
commerce.



PART 1020_SMALL BUSINESS--Table of Contents




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

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

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



Sec. 1020.1  Why is the Commission issuing this rule?

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



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

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



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

Ombudsman?

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

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with the requested assistance, or will direct the small business to the 
appropriate Commission staff for help.
    (c) Whenever the Commission issues a final regulatory flexibility 
analysis for a rule, under the Regulatory Flexibility Act (5 U.S.C. 
604), the Commission will publish a compliance guide for small 
businesses. The guide will explain in easy-to-understand language what 
action a small business must take to comply with the rule.
    (d) The Commission may take other appropriate actions to assist 
small businesses, but such actions will not treat any other Commission 
constituent unfairly.



Sec. 1020.5  What is the Small Business Enforcement Policy?

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



PART 1021_ENVIRONMENTAL REVIEW--Table of Contents




                            Subpart A_General

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

                          Subpart B_Procedures

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

[[Page 62]]

with the National Environmental Policy Act, as amended (NEPA) (15 U.S.C. 
4321-4347 as amended by Pub. L. 94-83, August 8, 1975).



Sec. 1021.2  Policy.

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



Sec. 1021.3  Definitions.

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



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

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

[[Page 63]]

soon as possible thereafter. In appropriate instances, the Federal 
Register preamble for a proposed rule may serve as the draft EIS. The 
draft EIS shall accompany the proposed action throughout the remainder 
of the Commission decision-making process.
    (e) Final EIS. The content of this document is described in Sec. 
1021.12. A final EIS responds to all substantive comments on the draft 
statement. It is before the Commission when it considers a final action.
    (f) Supplemental statements. When CPSC makes changes in the proposed 
action that are important to environmental issues or when there is 
significant new environmental information, the Executive Director 
instructs CPSC staff to prepare supplements to either the draft or final 
EIS (See Sec. 1502.9(c) of the NEPA regulations).
    (g) Record of decision. (Sections 1505.2 and 1506.1 of the NEPA 
regulations.) At the time of a decision on a proposed action which 
involves an EIS, CPSC prepares a written record of decision explaining 
the decision and why any alternatives discussed in the EIS were 
rejected. This written record is signed by the Secretary of the 
Commission for the Commission. No action going forward on the proposal 
may be taken until the record of decision is signed and filed in the 
Office of the Secretary of the Commission.



Sec. 1021.5  Categories of CPSC actions.

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

[[Page 64]]



                          Subpart B_Procedures



Sec. 1021.6  Responsible official.

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



Sec. 1021.7  Coordination of environmental review with CPSC procedures.

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

[[Page 65]]

simultaneously with publication by EPA of the notice of availability.
    (d) Whenever the Commission decides to solicit offers by an outside 
person or organization to develop a proposed consumer product safety 
standard in accordance with section 7 of the Consumer Product Safety Act 
(15 U.S.C. 2056) and the Executive Director has determined that 
environmental review is needed, the Executive Director shall recommend 
to the Commission whether the ``offeror'' should perform an 
environmental assessment during development of the proposed standard. In 
making this recommendation, the Executive Director shall take into 
account the resources of the ``offeror'', including the expertise and 
money available to it. If the Commission decides that the ``offeror'' 
should perform an assessment, the agreement between the Commission and 
the offeror shall so provide. CPSC, however, shall independently 
evaluate any assessment prepared and shall take responsibility for the 
scope and content of the assessment.
    (e) CPSC adjudications are primarily law enforcement proceedings and 
therefore are not agency actions within the meaning of NEPA. (See Sec. 
1508.18(8) of the NEPA regulations.) However, in CPSC formal rulemaking 
proceedings, all available environmental information, including any 
supplements to a draft or final EIS, shall be filed in the Office of the 
Secretary and shall be made part of the formal record of the proceeding.



Sec. 1021.8  Legislative proposals.

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



Sec. 1021.9  Public participation, notice, and comment.

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

[[Page 66]]

expertise with respect to the environmental effects involved, those who 
are known to have an interest in the action, and those who request an 
opportunity to comment. Also, copies shall be circulated for comment to 
Federal, State, and local agencies with jurisdiction by law and special 
expertise with respect to environmental effects involved. Part 1503 of 
the NEPA regulations shall be consulted for further details of this 
procedure.
    (iii) Draft EIS's shall be available to the public in the Office of 
the Secretary at Commission headquarters.
    (4) Upon completion of a final EIS, a notice of its availability in 
the Office of the Secretary, shall be published in the CPSC Public 
Calendar and if deemed appropriate, in the Federal Register. Copies of 
the final EIS shall be forwarded to EPA and one copy shall be sent to 
each entity or person who commented on the draft EIS.
    (5) A list of EIS's under preparation and of EIS's or findings of no 
significant impact and environmental assessments completed shall be 
available to the public in the Office of the Secretary, at Commission 
headquarters. The list shall be continuously updated.
    (6) In addition to publication in the CPSC Public Calendar and the 
Federal Register, notices called for by this section may also be 
publicized through press releases or local newspapers, whenever 
appropriate.



Sec. 1021.10  Emergencies.

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



Sec. 1021.11  Information regarding NEPA compliance.

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

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



          Subpart C_Contents of Environmental Review Documents



Sec. 1021.12  Environmental assessment.

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

[[Page 67]]

example, purely economic or health effects. For this reason, an EIS may 
include issues and facts that are thoroughly analyzed in other 
comprehensive CPSC documents such as hazard analyses, economic impact 
analyses, or analyses of impact on particular age groups among 
consumers. In such cases, the EIS shall not duplicate the other 
documents, but rather shall cite and summarize from them. A list of 
background documents and sources of data cited in the EIS shall appear 
at the end of every EIS.



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




     Subpart A_Scope of Rules, Nature of Adjudicative Proceedings, 
                               Definitions

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

       Subpart B_Pleadings, Form, Execution, Service of Documents

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

Subpart C_Prehearing Procedures, Motions, Interlocutory Appeals, Summary 
                         Judgments, Settlements

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

                 Subpart D_Discovery, Compulsory Process

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

                           Subpart E_Hearings

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

[[Page 68]]



     Subpart A_Scope of Rules, Nature of Adjudicative Proceedings, 
                               Definitions



Sec. 1025.1  Scope of rules.

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

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



Sec. 1025.2  Nature of adjudicative proceedings.

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

[[Page 69]]

Code, section 3105, but shall not include a Commissioner.
    (j) Respondent means any person against whom a complaint has been 
issued.
    (k) Secretary means the Secretary of the Consumer Product Safety 
Commission.
    (l) Staff means the staff of the Consumer Product Safety Commission.

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



       Subpart B_Pleadings, Form, Execution, Service of Documents



Sec. 1025.11  Commencement of proceedings.

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



Sec. 1025.12  Answer.

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

[[Page 70]]

statements made in it are true and that it is not filed for purposes of 
delay.
    (e) Form. (1) All documents shall be dated and shall contain the 
address and telephone number of the signer.
    (2) Documents shall be on paper approximately 8\1/2\ x 11 inches in 
size. Print shall not be less than standard elite or 12 point type. 
Pages shall be fastened in the upper left corner or along the left 
margin.
    (3) Documents that fail to comply with this section may be returned 
by the Secretary.



Sec. 1025.15  Time.

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



Sec. 1025.16  Service.

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

[[Page 71]]

by publication in the Federal Register and such other notice as may be 
directed by the Presiding Officer or the Commission, where a complaint 
has issued in a class action pursuant to Sec. 1025.18.
    (c) Service of other documents. Except as otherwise provided in 
paragraph (b) of this section, when service of a document starts the 
running of a prescribed period of time for the submission of a 
responsive document or the occurrence of an event, the document may be 
served as provided in paragraph (b) of this section or by ordinary 
first-class mail, properly addressed, postage prepaid.
    (d) Service on a representative. When a party has appeared by an 
attorney or other representative, service upon that attorney or other 
representative shall constitute service upon the party.
    (e) Certificate of service. The original of every document filed 
with the Commission and required to be served upon all parties to any 
proceedings, as well as participants if so directed by the Presiding 
Officer, shall be accompanied by a certificate of service signed by the 
party making service, stating that such service has been made upon each 
party and participant to the proceedings. Certificates of service may be 
in substantially the following form:
    I hereby certify that I have served the attached document upon all 
parties and participants of record in these proceedings by mailing, 
postage prepaid, (or by delivering in person) a copy to each on
________________________________________________________________________
________________________________________________________________________
(Signature)
For_____________________________________________________________________
    (f) Date of service. The date of service of a document shall be the 
date on which the document is deposited with the United States Postal 
Service, postage prepaid, or is delivered in person.



Sec. 1025.17  Intervention.

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

[[Page 72]]

Presiding Officer, and filing an appellate brief before the Commission 
if an appeal is taken by a party or review is ordered by the Commission 
in accordance with Sec. 1025.53 or Sec. 1025.54, as applicable, of 
these rules.
    (c) Response to petition to intervene. Any party may file a response 
to a petition for leave to intervene after the petition is filed with 
the Secretary, with particular reference to the factors set forth in 
paragraph (d) of this section.
    (d) Ruling by Presiding Officer on petition. In ruling on a petition 
for leave to intervene, the Presiding Officer shall consider, in 
addition to all other relevant matters, the following factors:
    (1) The nature of the petitioner's interest, under the applicable 
statute governing the proceedings, to be made a party to the 
proceedings;
    (2) The nature and extent of the petitioner's interest in protecting 
himself/herself/itself or the public against unreasonable risks of 
injury associated with consumer products;
    (3) The nature and extent of the petitioner's property, financial or 
other substantial interest in the proceedings;
    (4) Whether the petitioner would be aggrieved by any final order 
which may be entered in the proceedings;
    (5) The extent to which the peititioner's intervention may 
reasonably be expected to assist in developing a sound record;
    (6) The extent to which the petitioner's interest will be 
represented by existing parties;
    (7) The extent to which the petitioner's intervention may broaden 
the issues or delay the proceedings; and
    (8) The extent to which the petitioner's interest can be protected 
by other available means.

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

[[Page 73]]

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

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

[[Page 74]]


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



Sec. 1025.19  Joinder of proceedings.

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



Subpart C_Prehearing Procedures, Motions, Interlocutory Appeals, Summary 
                         Judgments, Settlements



Sec. 1025.21  Prehearing conferences.

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

[[Page 75]]

    (c) Additional conferences. Additional prehearing conferences may be 
convened at the discretion of the Presiding Officer, upon notice to the 
parties, any participants, and to the public.
    (d) Reporting. Prehearing conferences shall be stenographically 
reported as provided in Sec. 1025.47 of these rules and shall be open 
to the public, unless otherwise ordered by the Presiding Officer or the 
Commission.
    (e) Prehearing orders. The Presiding Officer shall issue a final 
prehearing order in each case after the conclusion of the final 
prehearing conference. The final prehearing order should contain, to the 
fullest extent possible at that time, all information which is necessary 
for controlling the course of the hearing. The Presiding Officer may 
require the parties to submit a jointly proposed final prehearing order, 
such as in the format set forth in appendix I.



Sec. 1025.22  Prehearing briefs.

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



Sec. 1025.23  Motions.

    (a) Presentation and disposition. During the time a matter in 
adjudication is before the Presiding Officer, all motions, whether oral 
or written, except those filed under Sec. 1025.42(e), shall be 
addressed to the Presiding Officer, who shall rule upon them promptly, 
after affording an opportunity for response.
    (b) Written motions. All written motions shall state with 
particularity the order, ruling, or action desired and the reasons why 
the action should be granted. Memoranda, affidavits, or other documents 
supporting a motion shall be served and filed with the motion. All 
motions shall contain a proposed order setting forth the relief sought. 
All written motions shall be filed with the Secretary and served upon 
all parties, and all motions addressed to the Commission shall be in 
writing.
    (c) Opposition to motions. Within ten (10) days after service of any 
written motion or petition or within such 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 76]]

    (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 77]]

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 78]]

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 79]]

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 80]]

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 81]]

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 82]]

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 83]]

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 84]]



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 delivery of 
the signed ``duplicate'' copy to the person named therein.
    (f) Return of service. A person serving a subpoena shall promptly 
execute a

[[Page 85]]

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 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.

[[Page 86]]

    (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 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

[[Page 87]]

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 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.

[[Page 88]]



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.



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

[[Page 89]]

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 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.

[[Page 90]]



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 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

[[Page 91]]

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 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

[[Page 92]]

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 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.

[[Page 93]]



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.
    (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

[[Page 94]]

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 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

[[Page 95]]

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.



     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.

[[Page 96]]



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 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

[[Page 97]]

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.
    (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

[[Page 98]]

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 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

[[Page 99]]

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.
    (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

[[Page 100]]

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 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,

[[Page 101]]

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 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.

[[Page 102]]

    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 
may be modified to reflect the intervention.



PART 1027_SALARY OFFSET--Table of Contents




Sec.
1027.1 Purpose and scope.

[[Page 103]]

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.
    Disposable pay means the amount that remains from an employee's 
Federal pay after required deductions for social security, Federal, 
State or local

[[Page 104]]

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
    (14) A statement that the proceedings regarding such debt are 
governed by

[[Page 105]]

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 debt claim from another agency, deductions will be scheduled 
to begin at the next established pay interval. The

[[Page 106]]

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--Table of Contents




Sec.
1028.101 To what does this policy apply?
1028.102 Definitions.
1028.103 Assuring compliance with this policy--research conducted or 
          supported by any Federal Department or Agency.
1028.104-1028.106 [Reserved]
1028.107 IRB membership.
1028.108 IRB functions and operations.
1028.109 IRB review of research.
1028.110 Expedited review procedures for certain kinds of research 
          involving no more than minimal risk, and for minor changes in 
          approved research.

[[Page 107]]

1028.111 Criteria for IRB approval of research.
1028.112 Review by institution.
1028.113 Suspension or termination of IRB approval of research.
1028.114 Cooperative research.
1028.115 IRB records.
1028.116 General requirements for informed consent.
1028.117 Documentation of informed consent.
1028.118 Applications and proposals lacking definite plans for 
          involvement of human subjects.
1028.119 Research undertaken without the intention of involving human 
          subjects.
1028.120 Evaluation and disposition of applications and proposals for 
          research to be conducted or supported by a Federal Department 
          or Agency.
1028.121 [Reserved]
1028.122 Use of Federal funds.
1028.123 Early termination of research support: Evaluation of 
          applications and proposals.
1028.124 Conditions.

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

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



Sec. 1028.101  To what does this policy apply?

    (a) Except as provided in paragraph (b) of this section, this policy 
applies to all research involving human subjects conducted, supported or 
otherwise subject to regulation by any federal department or agency 
which takes appropriate administrative action to make the policy 
applicable to such research. This includes research conducted by federal 
civilian employees or military personnel, except that each department or 
agency head may adopt such procedural modifications as may be 
appropriate from an administrative standpoint. It also includes research 
conducted, supported, or otherwise subject to regulation by the federal 
government outside the United States.
    (1) Research that is conducted or supported by a federal department 
or agency, whether or not it is regulated as defined in Sec. 
1028.102(e), must comply with all sections of this policy.
    (2) Research that is neither conducted nor supported by a federal 
department or agency but is subject to regulation as defined in Sec. 
1028.102(e) must be reviewed and approved, in compliance with Sec. Sec. 
1028.101, 1028.102, and 1028.107 through 1028.117 of this policy, by an 
institutional review board (IRB) that operates in accordance with the 
pertinent requirements of this policy.
    (b) Unless otherwise required by department or agency heads, 
research activities in which the only involvement of human subjects will 
be in one or more of the following categories are exempt from this 
policy:
    (1) Research conducted in established or commonly accepted 
educational settings, involving normal educational practices, such as 
(i) research on regular and special education instructional strategies, 
or (ii) research on the effectiveness of or the comparison among 
instructional techniques, curricula, or classroom management methods.
    (2) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures or observation of public behavior, unless:
    (i) Information obtained is recorded in such a manner that human 
subjects can be identified, directly or through identifiers linked to 
the subjects; and
    (ii) Any disclosure of the human subjects' responses outside the 
research could reasonably place the subjects at risk of criminal or 
civil liability or be damaging to the subjects' financial standing, 
employability, or reputation.
    (3) Research involving the use of educational tests (cognitive, 
diagnostic, aptitude, achievement), survey procedures, interview 
procedures, or observation of public behavior that is not exempt under 
paragraph (b)(2) of this section, if:
    (i) The human subjects are elected or appointed public officials or 
candidates for public office; or
    (ii) Federal statute(s) require(s) without exception that the 
confidentiality of the personally identifiable information will be 
maintained throughout the research and thereafter.
    (4) Research, involving the collection or study of existing data, 
documents, records, pathological specimens, or diagnostic specimens, if 
these sources are publicly available or if the information is recorded 
by the investigator in such a manner that subjects cannot be identified, 
directly or through identifiers linked to the subjects.

[[Page 108]]

    (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 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]

[[Page 109]]



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 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.

[[Page 110]]



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 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

[[Page 111]]

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, 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

[[Page 112]]

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 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,

[[Page 113]]

    (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 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

[[Page 114]]

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 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

[[Page 115]]

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;
    (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.

[[Page 116]]

    (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 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,

[[Page 117]]

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.



PART 1030_EMPLOYEE STANDARDS OF CONDUCT--Table of Contents




                            Subpart A_General

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

Subparts B-D [Reserved]

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

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

[[Page 118]]



                            Subpart A_General



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

financial disclosure regulations.

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

Subparts B-D [Reserved]



PART 1031_COMMISSION PARTICIPATION AND COMMISSION EMPLOYEE INVOLVEMENT IN 

VOLUNTARY STANDARDS ACTIVITIES--Table of Contents




                       Subpart A_General Policies

Sec.
1031.1 Purpose and scope.
1031.2 Background.
1031.3 Consumer Product Safety Act amendments.
1031.4 Effect of voluntary standards activities on Commission 
          activities.
1031.5 Criteria for Commission 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.

    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.

[[Page 119]]

    (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 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

[[Page 120]]

eliminate or adequately reduce the risk of injury associated with the 
product, contains requirements and test methods that have been evaluated 
and found acceptable by the Commission, and it is likely that there will 
be substantial and timely compliance with the voluntary standard. Under 
such circumstances, the Commission may agree to encourage industry 
compliance with the voluntary standard and subsequently evaluate the 
effectiveness of the standard in terms of accident and injury reduction 
for products produced in compliance with the standard.
    (3) In evaluating voluntary standards, the Commission will relate 
the requirements of the standard to the identified risks of injury and 
evaluate the requirements in terms of their effectiveness in eliminating 
or reducing the risks of injury. The evaluation of voluntary standards 
will be conducted by Commission staff members, including representatives 
of legal, economics, engineering, epidemiological, health sciences, 
human factors, other appropriate interests, and the Voluntary Standards 
Coordinator. The staff evaluation will be conducted in a manner similar 
to evaluations of standards being considered for promulgation as 
mandatory standards.
    (4) In the event that the Commission has evaluated an existing 
voluntary standard and found it to be adequate in all but a few areas, 
the Commission may defer the initiation of a mandatory rulemaking 
proceeding and request the voluntary standards organization to revise 
the standard to address the identified inadequacies expeditiously.
    (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

[[Page 121]]

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 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

[[Page 122]]

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.
    (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

[[Page 123]]

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.
    (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 and expending 
other resources in support of a voluntary standard development activity. 
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.



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

[[Page 124]]

standard for the Commission shall describe in any information, oral or 
written, presented to the Commission, the extent of their involvement in 
the development of the standard. Any evaluation or recommendation for 
Commission actions by such employee shall strive to be as objective as 
possible and be reviewed by higher-level Commission officials or 
employees prior to submission to the Commission.
    (c) Involvement of a Commission official or employee in a voluntary 
standards committee shall be predicated on an understanding by the 
voluntary standards group that such involvement by Commission officials 
and employees is on a non-voting basis.
    (d) In no case shall Commission employees or officials vote or 
otherwise formally indicate approval or disapproval of a voluntary 
standard during the course of a voluntary standard development process.
    (e) Commission employees and officials who are involved in the 
development of voluntary standards may not accept voluntary standards 
committee leadership positions, e.g., committee chairman or secretary. 
Subject to prior approval by the Executive Director, the Voluntary 
Standards Coordinator may accept leadership positions with the governing 
bodies of standards making entities.
    (f) Attendance of Commission personnel at voluntary standards 
meetings shall be noted in the public calendar and meeting summaries 
shall be submitted to the Office of the Secretary as required by the 
Commission's meetings policy, 16 CFR part 1012.



Sec. 1031.12  Membership criteria.

    (a) The Commissioners, their special assistants, and Commission 
officials and employees holding the positions listed below, may not 
become members 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 be advisory, non-voting members of voluntary standards 
development and advisory groups with the advance approval of the 
Executive Director. In particular, the Commission's Voluntary Standards 
Coordinator may accept such membership.
    (c) Commission employees or officials who have the approval of the 
Executive Director to accept membership in a voluntary standards 
organization or group pursuant to paragraph (b) of this section shall 
apprise the General Counsel and the Voluntary Standards Coordinator 
prior to their acceptance.
    (d) Commission officials or employees who desire to become a member 
of a voluntary standards body or group in their individual capacity must 
obtain prior approval of the Commission's Ethics Counselor for an 
outside activity pursuant to the Commission's Employee Standards of 
Conduct, 16 CFR part 1030.



Sec. 1031.13  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.

[[Page 125]]

    (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.



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.

[[Page 126]]



               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 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.

[[Page 127]]

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]



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

[[Page 128]]

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 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.

[[Page 129]]

    (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.



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.

[[Page 130]]

    (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.



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.

[[Page 131]]

    (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;
    (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

[[Page 132]]

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 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.

[[Page 133]]

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.
    (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

[[Page 134]]

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 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

[[Page 135]]

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 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.

[[Page 136]]



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.

    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

[[Page 137]]

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 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.

[[Page 138]]

    (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 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.

[[Page 139]]

    (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 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:

[[Page 140]]

    (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 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

[[Page 141]]

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.
    (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 142]]



          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 143]]

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 144]]

    (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 145]]



  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 146]]

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 147]]

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 working days after the date of 
the receipt of notification by the firm. The notice of intent to 
disclose will include an explanation of the reason for the Commission's 
decision, copies of any additional materials, such as explanatory 
statements and letters to Freedom of Information Act requesters, which 
were not previously sent to the firm.
    (b) Commission finding a lesser period is required. The Commission 
may determine that the public health and safety requires less than 5 
working days advance notice of its intent to disclose information 
claimed to be inaccurate. For example, the Commission may determine it 
is necessary to warn the public quickly because individuals may be in 
danger from a product hazard or a potential hazard, or to correct 
product safety information released by third persons, which 
mischaracterized statements made by the Commission about the product or 
which attributes to the Commission statements about the product which 
the Commission did not make.
    (c) Notice of findings. The Commission will inform a manufacturer or 
private labeler of a product which is the subject of a public health and 
safety finding that the public health and safety requires less than 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 148]]

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 149]]

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 150]]

    (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 151]]



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 152]]



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 153]]

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 154]]

    (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 155]]

    (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 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

[[Page 156]]

    (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 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.

[[Page 157]]



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:
    (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 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.

    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

[[Page 158]]

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.
    (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.)

[[Page 159]]

    (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 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.

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

[[Page 160]]

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 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.

[[Page 161]]

    (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 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.

[[Page 162]]

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 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

[[Page 163]]

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

[[Page 164]]

products has caused a serious injury or death and a reasonable person 
could conclude based on the lawsuit and other information obtained by 
the firm that the product creates an unreasonable risk of serious injury 
or death.
    (b) Unreasonable risk. The use of the term ``unreasonable risk'' 
suggests that the risk of injury presented by a product should be 
evaluated to determine if that risk is a reasonable one. In determining 
whether a product presents an unreasonable risk, the firm should examine 
the utility of the product, or the utility of the aspect of the product 
that causes the risk, the level of exposure of consumers to the risk, 
the nature and severity of the hazard presented, and the likelihood of 
resulting serious injury or death. In its analysis, the firm should also 
evaluate the state of the manufacturing or scientific art, the 
availability of alternative designs or products, and the feasibility of 
eliminating the risk. The Commission expects firms to report if a 
reasonable person could conclude given the information available that a 
product creates an unreasonable risk of serious injury or death. In its 
evaluation of whether a subject firm is required to file a report under 
the provisions of section 15 of the CPSA the Commission shall, as a 
practical matter, attach considerable significance if such firm obtains 
information which reasonably supports the conclusion that its product 
violates a standard or ban promulgated under the FHSA, FFA, PPPA or RSA 
and the violation could result in serious injury or death.
    (c) Serious injury or death. The term ``serious injury'' is not 
defined in the CPSA. The Commission believes that the term includes not 
only the concept of ``grievous bodily injury,'' defined at 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

[[Page 165]]

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 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

[[Page 166]]

Prevention Packaging Act, and Refrigerator Safety Act as well as 
products subject to regulation under the CPSA.
    (e) A distributor or retailer of a consumer product (who is neither 
a manufacturer nor an importer of that product) is subject to the 
reporting requirements of section 15(b) of the CPSA but may satisfy them 
by following the procedure detailed in Sec. 1115.13(b).
    (f) A manufacturer (including an importer), distributor, or retailer 
need not inform the Commission under section 15(b) of the CPSA if that 
person has actual knowledge that the Commission has been adequately 
informed of the defect or failure to comply. (See section 15(b) of the 
CPSA.)

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



Sec. 1115.11  Imputed knowledge.

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



Sec. 1115.12  Information which should be reported; evaluating substantial 

product hazard.

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

[[Page 167]]

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

[[Page 168]]

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 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

[[Page 169]]

may be made by any means, but if it is not in writing, it should be 
confirmed in writing within 48 hours of the initial report. (See Sec. 
1115.14 for time computations.) The initial report should contain, 
insofar as is reasonably available and/or applicable:
    (1) An identification and description of the product.
    (2) The name and address of the manufacturer (or importer) or, if 
the manufacturer or importer is not known, the names and addresses of 
all known distributors and retailers of the product.
    (3) The nature and extent of the possible defect, the failure to 
comply, or the risk.
    (4) The nature and extent of the injury or risk of injury associated 
with the product.
    (5) The name and address of the person informing the Commission.
    (6) To the extent such information is then reasonably available, the 
data specified in Sec. 1115.13(d).
    (d) Full report. Subject firms which file initial reports are 
required to file full reports in accordance with this paragraph. 
Retailers and distributors may satisfy their reporting obligations in 
accordance with Sec. 1115.13(b). At any time after an initial report, 
the staff may modify the requirements detailed in this section with 
respect to any subject firm. If the staff preliminarily determines that 
there is no substantial product hazard, it may inform the firm that its 
reporting obligation has been fulfilled. However, a subject firm would 
be required to report if it later became aware of new information 
indicating a reportable defect, noncompliance, or risk, whether the new 
information related to the same or another consumer product. Unless 
modified by staff action, the following information, to the extent that 
it is reasonably available and/or applicable, constitutes a ``full 
report,'' must be submitted to the staff, and must be supplemented or 
corrected as new or different information becomes known:
    (1) The name, address, and title of the person submitting the ``full 
report'' to the Commission.
    (2) The name and address of the manufacturer (or importer) of the 
product and the addresses of the manufacturing plants for that product.
    (3) An identification and description of the product(s). Give retail 
prices, model numbers, serial numbers, and date codes. Describe any 
identifying marks and their location on the product. Provide a picture 
or a sample of the product.
    (4) A description of the nature of the defect, failure to comply, or 
risk. If technical drawings, test results, schematics, diagrams, 
blueprints, or other graphic depictions are available, attach copies.
    (5) The nature of the injury or the possible injury associated with 
the product defect, failure to comply, or risk.
    (6) The manner in which and the date when the information about the 
defect, noncompliance, or risk (e.g., complaints, reported injuries, 
quality control testing) was obtained. If any complaints related to the 
safety of the product or any allegations or reports of injuries 
associated with the product have been received, copies of such 
complaints or reports (or a summary thereof) shall be attached. Give a 
chronological account of facts or events leading to the report under 
section 15(b) of the CPSA, beginning with receipt of the first 
information which ultimately led to the report. Also included may be an 
analysis of these facts or events.
    (7) The total number of products and units involved.
    (8) The dates when products and units were manufactured, imported, 
distributed, and sold at retail.
    (9) The number of products and units in each of the following: in 
the possession of the manufacturer or importer, in the possession of 
private labelers, in the possession of distributors, in the 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.

[[Page 170]]

    (11) Information that has been or will be given to purchasers, 
including consumers, about the defect, noncompliance, or risk with a 
description of how this information has been or will be communicated. 
This shall include copies or drafts of any letters, press releases, 
warning labels, or other written information that has been or will be 
given to purchasers, including consumers.
    (12) The details of and schedule for any contemplated refund, 
replacement, or repair actions, including plans for disposing of 
returned products (e.g., repair, destroy, return to foreign 
manufacturer).
    (13) A detailed explanation and description of the marketing and 
distribution of the product from the manufacturer (including importer) 
to the consumer (e.g., use of sales representatives, independent 
contractors, and/or jobbers; installation of the product, if any, and by 
whom).
    (14) Upon request, the names and addresses of all distributors, 
retailers, and purchasers, including consumers.
    (15) Such further information necessary or appropriate to the 
functions of the Commission as is requested by the staff.

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34229, Aug. 4, 1992]



Sec. 1115.14  Time computations.

    (a) General. Weekends and holidays are excluded from the computation 
of the time periods in this part.
    (b) Imputing knowledge. In evaluating whether or when a firm should 
have reported, the Commission shall impute to the subject firm knowledge 
of product safety related information received by an official or 
employee of a subject firm capable of appreciating the significance of 
the information. Under ordinary circumstances, 5 days should be the 
maximum reasonable time for information to reach the Chief Executive 
Officer or the official or employee responsible for complying with the 
reporting requirements of section 15(b) of the CPSA. The Commission will 
impute knowledge possessed by the Chief Executive Officer or by the 
official or employee responsible for complying with the reporting 
requirements of section 15(b) of the CPSA simultaneously to the subject 
firm.
    (c) Time when obligation to report arises. The obligation to report 
under section 15(b) of the CPSA may arise upon receipt by a subject firm 
of the first information regarding a noncompliance, or a potential 
hazard presented by a product defect, or an unreasonable risk. 
Information giving rise to a reporting obligation may include, but is 
not limited to, complaints, injury reports, quality control and 
engineering data. A subject firm should not await complete or accurate 
risk estimates before reporting under section 15(b) of CPSA. However, if 
information is not clearly reportable, a subject firm may spend a 
reasonable time for investigation and evaluation. (See Sec. 
1115.14(d).)
    (d) Time for investigation and evaluation. A subject firm may 
conduct a reasonably expeditious investigation in order to evaluate the 
reportability of a death or grievous bodily injury or other information. 
This investigation and evaluation should not exceed 10 days unless a 
firm can demonstrate that a longer period is reasonable. The Commission 
will deem that, at the end of 10 days, a subject firm has received and 
considered all information which would have been available to it had a 
reasonable, expeditious, and diligent investigation been undertaken.
    (e) Time to report. Immediately, that is, within 24 hours, after a 
subject firm has obtained information which reasonably supports the 
conclusion that its consumer product fails to comply with an applicable 
consumer product safety rule or voluntary consumer product safety 
standard, contains a defect which could create a substantial risk of 
injury to the public, or creates an unreasonable risk of serious injury 
or death, the firm should report. (See 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

[[Page 171]]

defect which could create a substantial product hazard, or creates an 
unreasonable risk of serious injury or death. Thus, a firm could report 
to the Commission before the conclusion of a reasonably expeditious 
investigation and evaluation if the reportable information becomes known 
during the course of the investigation. In lieu of the investigation, 
the firm may report the information immediately.

[43 FR 34998, Aug. 7, 1978, as amended at 57 FR 34230, Aug. 4, 1992]



Sec. 1115.15  Confidentiality and disclosure of data.

    (a) General. The Commission does not routinely make reports 
available to the public until the staff has made a preliminary hazard 
determination. Copies of reports will not be available to the public in 
the Commission's public reading room, and information contained in 
reports will not ordinarily be disclosed to the public in the absence of 
a formal request.
    (b) Freedom of Information Act. Any person who submits information 
to the Commission who believes that any portion of the information is 
entitled to exemption from public disclosure under the provisions of the 
Freedom of Information Act, as amended (15 U.S.C. 552(b)), of the CPSA, 
as amended, or of another Federal statute must accompany the submission 
with a written request that the information be considered exempt from 
disclosure or indicate that a written request will be submitted within 
10 working days of the submission. The request shall (1) identify the 
portions of the information for which exemption is claimed, which may 
include the identity of the reporting firm and the fact that it is 
making a report, and (2) state the facts and reasons which support the 
claimed exemption. After the staff has made its preliminary hazard 
determination, and regardless of whether or not the staff preliminarily 
determines that a product presents a substantial product hazard, the 
Commission will no longer honor requests for exempt status for the 
identity of the reporting firm, the identity of the consumer product, 
and the nature of the reported alleged defect or noncompliance. This 
information, together with the staff's preliminary hazard determination, 
will be made available to the public in the Commission's public reading 
room. Information for which exempt status is claimed (such as alleged 
trade secrets, confidential commercial or financial information, or 
information the disclosure of which would constitute an unwarranted 
invasion of personal privacy) shall not be released to the public except 
in accordance with the applicable statute or the Commission's Freedom of 
Information Act regulations (16 CFR part 1015).
    (c) Section 6(b) of the CPSA. The Commission believes that the first 
two sentences in section 6(b)(1) of the CPSA (15 U.S.C. 2055(b)(1)) 
apply to affirmative dissemination of information by the Commission 
(such as press releases or fact sheets distributed to the public) from 
which the public may ascertain readily the identity of the product's 
manufacturer and/or private labeler. Manufacturers and private labelers 
will ordinarily be given 30 days' notice before the Commission makes 
such affirmative disseminations. However, this 30-day notice will not 
apply if the Commission finds that a lesser notice period is required in 
the interest of public health and safety.



                Subpart B_Remedial Actions and Sanctions



Sec. 1115.20  Voluntary remedial actions.

    As appropriate, the Commission will attempt to protect the public 
from substantial product hazards by seeking one or more of the following 
voluntary remedies:
    (a) Corrective action plans. A corrective action plan is a document, 
signed by a subject firm, which sets forth the remedial action which the 
firm will voluntarily undertake to protect the 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

[[Page 172]]

type(s) of injury or potential injury presented.
    (ii) A detailed statement of the means to be employed to notify the 
public of the alleged product hazard (e.g., letter, press release, 
advertising), including an identification of the classes of persons who 
will receive such notice and a copy or copies of the notice or notices 
to be used.
    (iii) A specification of model number and/or other appropriate 
descriptions of the product.
    (iv) Any necessary instructions regarding use or handling of the 
product pending correction.
    (v) An explanation of the specific cause of the alleged substantial 
product hazard, if known.
    (vi) A statement of the corrective action which will be or has been 
taken to eliminate the alleged substantial product hazard. The firm 
should indicate whether it is repairing or replacing the product or 
refunding its purchase price. If products are to be returned to a 
subject firm, the corrective action plan should indicate their 
disposition (e.g., reworked, destroyed, returned to foreign 
manufacturer). Samples of replacement products and relevant drawings and 
test data for repairs or replacements should be available.
    (vii) A statement of the steps that will be, or have been, taken to 
reasonably prevent recurrence of the alleged substantial product hazard 
in the future.
    (viii) A statement of the action which will be undertaken to correct 
product units in the distribution chain, including a timetable and 
specific information about the number and location of such units.
    (ix) The signatures of representatives of the subject firm.
    (x) An acknowledgment by the subject firm that the Commission may 
monitor the corrective action and that the firm will furnish necessary 
information, including customer lists.
    (xi) An agreement that the Commission may publicize the terms of the 
plan to the extent necessary to inform the public of the nature and 
extent of the alleged substantial product hazard and of the actions 
being undertaken to correct the alleged hazard presented.
    (xii) Additional points of agreement, as appropriate.
    (xiii) If desired by the subject firm, the following statement or 
its equivalent: ``The submission of this corrective action plan does not 
constitute an admission by (the subject firm) that either reportable 
information or a substantial product hazard exists.''
    (xiv) An acknowledgment that the corrective action plan becomes 
effective only upon its final acceptance by the Commission.
    (2) In determining whether to recommend to the Commission acceptance 
of a corrective action plan, the staff shall consider favorably both the 
promptness of the subject firm's reporting and any remedial actions 
taken by the subject firm in the interest of public safety. The staff 
also shall consider, insofar as possible, prior involvement by the 
subject firm in corrective action plans and Commission orders if such 
involvement bears on the likelihood that the firm will comply fully with 
the terms of the corrective action plan.
    (3) Upon receipt of a corrective action plan and staff 
recommendation, the Commission may:
    (i) Approve the plan;
    (ii) Reject the plan and issue a complaint (in which case an 
administrative and/or judicial proceeding will be commenced); or
    (iii) Take any other action necessary to insure that the plan is 
adequate.
    (4) When time permits and where practicable in the interest of 
protecting the public, a summary of the plan shall be published in the 
Commission's Public Calendar. Those portions of the plan that are not 
restricted will be made available to the public in the Commission's 
public reading room as much in advance of the Commission 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

[[Page 173]]

practicable, be docketed for the following week's agenda. All comments 
must be in writing, and final written comments must be submitted at 
least forty-eight (48) hours before that session.
    (b) Consent order agreements under section 15 of CPSA. The consent 
order agreement (agreement) is a document executed by a subject firm 
(Consenting Party) and a Commission staff representative which 
incorporates both a proposed complaint setting forth the staff's charges 
and a proposed order by which such charges are resolved.
    (1) Consent order agreements shall include, as appropriate:
    (i) An admission of all jurisdictional facts by the Consenting 
Party.
    (ii) A waiver of any rights to an administrative or judicial hearing 
and of any other procedural steps, including any rights to seek judicial 
review or otherwise challenge or contest the validity of the 
Commission's Order.
    (iii) A statement that the agreement is in settlement of the staff's 
charges.
    (iv) A statement that the Commission's Order is issued under section 
15 of the CPSA (15 U.S.C. 2064) and that a violation is a prohibited act 
within the meaning of section 19(a)(5) of the CPSA (15 U.S.C. 
2068(a)(5)) and may subject a violator to civil and/or criminal 
penalties under sections 20 and 21 of the CPSA (15 U.S.C. 2069 and 
2070).
    (v) An acknowledgment that the Commission reserves its right to seek 
sanctions for any violations of the reporting obligations of section 
15(b) of CPSA (15 U.S.C. 2064(b)) and its right to take other 
appropriate legal action.
    (vi) An acknowledgment that the agreement becomes effective only 
upon its final acceptance by the Commission and its service upon the 
Consenting Party.
    (vii) An acknowledgment that the Commission may disclose terms of 
the consent order agreement to the public.
    (viii) A listing of the acts or practices from which the Consenting 
Party will refrain.
    (ix) A statement that the Consenting Party shall perform certain 
acts and practices pursuant to the agreement.
    (x) An acknowledgment that any interested person may bring an action 
pursuant to section 24 of the CPSA (15 U.S.C. 2073) in any U.S. district 
court for the district in which the Consenting Party is found or 
transacts business to enforce the order and to obtain appropriate 
injunctive relief.
    (xi) A description of the alleged substantial product hazard.
    (xii) If desired by the Consenting Party, the following statement or 
its equivalent: ``The signing of this consent order agreement does not 
constitute an admission by (the Consenting Party) that either reportable 
information or a substantial product hazard exists.''
    (xiii) The elements of a corrective action plan as set forth in 
Sec. 1115.20(a).
    (2) At any time in the course of an investigation, the staff may 
propose to a subject firm which is being investigated that some or all 
of the allegations be resolved by a consent order agreement. 
Additionally, such a proposal may be made to the staff by a subject 
firm.
    (3) Upon receiving an executed agreement, the Commission may:
    (i) Provisionally accept it;
    (ii) Reject it and issue a complaint (in which case an 
administrative and/or judicial proceeding will be commenced); or
    (iii) Take such other action as it may deem appropriate.
    (4) If the consent order agreement is provisionally accepted, the 
Commission shall place the agreement on the public record and shall 
announce provisional acceptance of the agreement in the Commission's 
public calendar and in the Federal Register. Any interested person may 
request the Commission not to accept the agreement by filing a written 
request in the Office of the Secretary. Such written request must be 
received in the Office of the Secretary no later than the close of 
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,

[[Page 174]]

unless the Commission determines otherwise. However, if the Commission 
does receive a request not to accept the consent order agreement, then 
it will consider such request and vote on the acceptability of such 
agreement or the desirability of further action. After the consent order 
agreement is finally accepted, the Commission may then issue its 
complaint and order in such form as the circumstances may require. The 
order is a final order in disposition of the proceeding and is effective 
immediately upon its service upon the Consenting Party pursuant to the 
Commission's Rules of Practice for Adjudicative Proceedings (16 CFR part 
1025). The Consenting Party shall thereafter be bound by and take 
immediate action in accordance with such final order.
    (6) If the Commission does not accept the consent order agreement on 
a final basis, it shall so notify the Consenting Party. Such 
notification constitutes withdrawal of the Commission's provisional 
acceptance unless the Commission orders otherwise. The Commission then 
may:
    (i) Issue a complaint, in which case an administrative and/or 
judicial proceeding will be commenced;
    (ii) Order further investigation; or
    (iii) Take such other action as it may deem appropriate.



Sec. 1115.21  Compulsory remedial actions.

    As appropriate, the Commission will attempt to protect the public 
from hazards presented by consumer products by seeking one or more of 
the following:
    (a) Adjudicated Commission Order. An adjudicated Commission Order 
under section 15 (c) or (d) of the CPSA may be issued after parties and 
interested persons have had an opportunity for a hearing in accordance 
with section 554 of title 5, United States Code, and with section 15(f) 
of the CPSA. This hearing is governed by the Commission's Rules of 
Practice for Adjudicative Proceedings (16 CFR part 1025).
    (b) Injunctive relief. The Commission may apply to a U.S. district 
court in accordance with the provisions of section 15(g) of the CPSA for 
a preliminary injunction to restrain the distribution in commerce of a 
product it has reason to believe presents a substantial product hazard. 
The Commission may seek enforcement of its orders issued under sections 
15 (c) and (d) of the CPSA in accordance with provisions of sections 22 
and 27(b)(7) of the CPSA (15 U.S.C. 2071 and 2076(b)(7)).
    (c) Judicial determination of imminent hazard. The Commission may 
file a complaint in a U.S. district court in accordance with the 
provisions of section 12 of the CPSA (15 U.S.C. 2061).
    (d) Orders of the Secretary of the Treasury. The Commission staff 
may inform the Secretary of the Treasury that a consumer product offered 
for importation into the customs territory of the United States fails to 
comply with an applicable consumer product safety rule and/or has a 
product defect which constitutes a substantial product hazard. The 
Commission may request the Secretary of the Treasury under section 17 of 
the CPSA (15 U.S.C. 2066) to refuse admission to any such consumer 
product.



Sec. 1115.22  Prohibited acts and sanctions.

    (a) Statements generally. Whoever knowingly and willfully falsifies, 
or conceals a material fact in a report under the CPSA and rules 
thereunder, is subject to criminal penalties under 18 U.S.C. 1001.
    (b) Timeliness and adequacy of reporting. A failure to inform the 
Commission immediately and adequately, as required by section 15(b) of 
the CPSA, is a prohibited act within section 19(a)(4) of the CPSA (15 
U.S.C. 2068(a)(4)).
    (c) Failure to make reports. The failure or refusal to make reports 
or provide information as required under the CPSA is a prohibited act 
within the meaning of section 19(a)(3) of the CPSA (15 U.S.C. 
2068(a)(3)).
    (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)).

[[Page 175]]

    (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).



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:
    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

[[Page 176]]

injury including coma and spinal cord injuries;
    (v) Paraplegia, quadriplegia, or permanent paralysis or paresis, to 
any degree;
    (vi) Blindness or permanent loss, to any degree, of vision, hearing, 
or sense of smell, touch, or taste;
    (vii) Any back or neck injury requiring surgery, or any injury 
requiring joint replacement or any form of prosthesis, or;
    (viii) Compound fracture of any long bone, or multiple fractures 
that result in permanent or significant temporary loss of the function 
of an important part of the body;
    (4) Injuries likely to require extended hospitalization, including 
any injury requiring 30 or more consecutive days of in-patient care in 
an acute care facility, or 60 or more consecutive days of in-patient 
care in a rehabilitation facility;
    (5) Severe burns, including any third degree burn over ten percent 
of the body or more, or any second degree burn over thirty percent of 
the body or more;
    (6) Severe electric shock, including ventricular fibrillation, 
neurological damage, or thermal damage to internal tissue caused by 
electric shock.
    (7) Other grievous injuries, including any allegation of 
traumatically induced disease.

Manufacturers may wish to consult with the Commission staff to determine 
whether injuries not included in the examples above are regarded as 
grievous bodily injury.
    (c) A particular model of a consumer product is one that is 
distinctive in functional design, construction, warnings or instructions 
related to safety, function, user population, or other characteristics 
which could affect the product's safety related performance. (15 U.S.C. 
2084(e)(2))
    (1) The functional design of a product refers to those design 
features that directly affect the ability of the product to perform its 
intended use or purpose.
    (2) The construction of a product refers to its finished assembly or 
fabrication, its materials, and its components.
    (3) Warnings or instructions related to safety include statements of 
the principal hazards associated with a product, and statements of 
precautionary or affirmative measures to take during the use, handling, 
or storage of a product, to the extent that a reasonable person would 
understand such statements to be related to the safety of the product. 
Warnings or instructions may be written or graphically depicted and may 
be attached to the product or appear on the product itself, in operating 
manuals, or in other literature that accompanies or describes the 
product.
    (4) The function of a product refers to its intended use or purpose.
    (5) User population refers to the group or class of people by whom a 
product is principally used. While the manufacturer's stated intent may 
be relevant to an inquiry concerning the nature of the user population, 
the method of distribution, the availability of the product to the 
public and to specific groups, and the identity of purchasers or users 
of the product should be considered.
    (6) Other characteristics which could affect a product's safety 
related performance include safety features incorporated into the 
product to protect against foreseeable risks that might arise during the 
use, handling, or storage of a product.
    (d) The term manufacturer means any person who manufactures or 
imports a consumer product. (15 U.S.C. 2052(a)(4)).

[57 FR 34239, Aug. 4, 1992, as amended at 58 FR 16121, Mar. 25, 1993]



Sec. 1116.3  Persons who must report under section 37.

    A manufacturer of a consumer product must report if:
    (a) A particular model of the product is the subject of at least 3 
civil actions filed in Federal or State Court;
    (b) Each suit alleges the involvement of that particular model in 
death or grievous bodily injury;
    (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

[[Page 177]]

settlement involving the manufacturer or in a court judgment in favor of 
the plaintiff.

For reporting purposes, a multiple plaintiff suit for death or grievous 
bodily injury is reportable if the suit involves three or more separate 
incidents of injury. The reporting obligation arises when at least three 
plaintiffs have settled their claims or when a combination of settled 
claims and adjudications favorable to plaintiffs reaches three. Multiple 
lawsuits arising from one incident involving the same product only count 
as one lawsuit for the purposes of section 37.



Sec. 1116.4  Where to report.

    Reports must be sent in writing to the Commission's Office of 
Compliance and Enforcement, Division of Corrective Actions, Washington, 
DC 20207, telephone (301) 504-0608).



Sec. 1116.5  When must a report be made.

    (a) A manufacturer must report to the Commission within 30 days 
after the final settlement or court judgment in the last of the three 
civil actions referenced in Sec. 1116.3.
    (b) If a manufacturer has filed a section 37 report within one of 
the 24-month periods defined in Sec. 1116.2(a), the manufacturer must 
also report the information required by section 37(c)(1) for any 
subsequent settlement or judgment in a civil action that alleges that 
the same particular model of the product was involved in death or 
grievous bodily injury and that takes place during the same 24-month 
period. Each such supplemental report must be filed within 30 days of 
the settlement or final judgment in the reportable civil action.



Sec. 1116.6  Contents of section 37 reports.

    (a) Required information. With respect to each of the civil actions 
that is the subject of a report under section 37, the report must 
contain the following information:
    (1) The name and address of the manufacturer of the product that was 
the subject of each civil action;
    (2) The model and model number or designation of the consumer 
product subject to each action;
    (3) A statement as to whether the civil action alleged death or 
grievous bodily injury, and, in the case of an allegation of grievous 
bodily injury, a statement of the category of such injury;
    (4) A statement as to whether the civil action resulted in a final 
settlement or a judgment in favor of the plaintiff; and
    (5) In the case of a judgment in favor of the plaintiff, the name of 
the civil action, the number assigned to the civil action, and the court 
in which the civil action was filed.
    (b) Optional information. A manufacturer furnishing a report may 
include:
    (1) A statement as to whether any judgment in favor of the plaintiff 
is under appeal or is expected to be appealed (section 15 U.S.C. 
2084(c)(2)(A));
    (2) Any other information that the manufacturer chooses to provide 
(15 U.S.C. 2084(c)(2)(B)), including the dates on which final orders 
were entered in the reported lawsuits, and, where appropriate, an 
explanation why the manufacturer has not previously filed a report under 
section 15(b) of the CPSA covering the same particular product model 
that is the subject of the section 37 report; and
    (3) A specific denial that the information it submits reasonably 
supports the conclusion that its consumer product caused a death or 
grievous bodily injury.
    (c) Statement of amount not required. A manufacturer submitting a 
section 37 report is not required by section 37 or any other provision 
of the Consumer Product Safety Act to provide a statement of any amount 
paid in final settlement of any civil action that is the subject of the 
report.
    (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

[[Page 178]]

of section 37 is to increase the reporting of information to the 
Commission that will assist it in carrying out its responsibilities.
    (b) Section 37(c)(1) requires a manufacturer or importer 
(hereinafter ``manufacturer'') to include in a section 37 report a 
statement as to whether a civil action that is the subject of the report 
alleged death or grievous bodily injury. Furthermore, under section 
37(c)(2), a manufacturer may specifically deny that the information it 
submits pursuant to section 37 reasonably supports the conclusion that 
its consumer product caused a death or grievous bodily injury, and may 
also include any additional information that it chooses to provide. In 
view of the foregoing, the reporting obligation is not limited to those 
cases in which a product has been adjudicated as the cause of death or 
grievous injury or to those settled or adjudicated cases in which the 
manufacturer has satisfied itself that the product was the cause of such 
trauma. Rather, when the specific injury alleged by the plaintiff meets 
the definition of ``grievous bodily injury'' contained in Sec. 
1116.2(b) of this part, the lawsuit falls within the scope of section 37 
after settlement or adjudication. The manufacturer's opinion as to the 
validity of the allegation is irrelevant for reporting purposes. The 
category of injury alleged may be clear from the face of an original or 
amended complaint in a case or may reasonably be determined during pre-
complaint investigation, post-complaint discovery, or informal 
settlement negotiation. Conclusory language in a complaint that the 
plaintiff suffered grievous bodily injury without further elaboration 
raises a presumption that the injury falls within one of the statutory 
categories, but is insufficient in itself to bring the suit within the 
ambit of the statute, unless the defendant manufacturer elects to settle 
such a matter without any investigation of the underlying facts. A case 
alleging the occurrence of grievous bodily injury in which a litigated 
verdict contains express findings that the injury suffered by the 
plaintiff did not meet the statutory criteria is also not reportable. 
Should a manufacturer believe that its product is wrongly implicated in 
an action, the statute expressly incorporates the mechanism for the 
manufacturer to communicate that belief to the Commission by denying in 
the report the involvement of the product or that the injury in fact 
suffered by the plaintiff was not grievous bodily injury, despite the 
plaintiff's allegations to the contrary. In addition, the statute 
imposes stringent confidentiality requirements on the disclosure by the 
Commission or the Department of Justice of information submitted 
pursuant to sections 37(c)(1) and 37(c)(2)(A). Moreover, it specifies 
that the reporting of a civil action shall not constitute an admission 
of liability under any statute or common law or under the relevant 
provisions of the Consumer Product Safety Act. In view of these 
safeguards, the reporting of lawsuits alleging the occurrence of death 
or grievous injury should have little adverse effect on manufacturers.
    (c) Section 37 applies to judgments and ``final settlements''. 
Accordingly, the date on which a civil action is filed or the date on 
which the product that is the subject of such an action was manufactured 
is irrelevant to the obligation to report. A settlement is final upon 
the entry by a court of an order disposing of a civil action with 
respect to the manufacturer of the product that is the subject of the 
action, even through the case may continue with respect to other 
defendants.
    (d) A judgment becomes reportable upon the entry of a final order by 
the trial court disposing of the matter in favor of the plaintiff and 
from which an appeal lies. Because section 37(c)(2) specifies that a 
reporting manufacturer 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

[[Page 179]]

exonerated during a suit, but liability is assessed against another 
defendant, the manufacturer need not report under section 37.
    (f)(1) Section 37 applies to civil actions that allege the 
involvement of a particular model of a consumer product in death or 
grievous bodily injury. Section 3(a) of the Consumer Product Safety Act 
(15 U.S.C. 2052(a)) defines a ``consumer product'' as any article, or 
component part thereof, produced or distributed for sale to a consumer 
for use in or around a permanent or temporary household or residence, a 
school, in recreation, or otherwise, or for the personal use, 
consumption, or enjoyment of a consumer in or around a permanent or 
temporary household or residence, a school, in recreation, or otherwise. 
The term ``consumer product'' does not include any article which is not 
customarily produced or distributed for sale to, or use or consumption 
by, or enjoyment of, a consumer.
    (2) Since section 37 focuses on consumer products, it is the 
responsibility of the manufacturer of a product implicated in a civil 
action to determine whether the production or distribution of the 
product satisfies the statutory criteria of section 3(a). If it does, 
the action falls within the ambit of section 37. True industrial 
products are beyond the scope of section 37. However, if a lawsuit is 
based on an allegation of injury involving a consumer product, that suit 
falls within the scope of section 37, even though the injury may have 
occurred during the use of the product in employment. By the same token, 
occupational injuries arising during the fabrication of a consumer 
product are not reportable if the entity involved in the injury is not a 
consumer product at the time the injury occurs. In determining whether a 
product meets the statutory definition, manufacturers may wish to 
consult the relevant case law and the advisory opinions issued by the 
Commission's Office of the General Counsel. The unique circumstances 
surrounding litigation involving asbestos-containing products warrant 
one exception to this analysis. The Commission, as a matter of agency 
discretion, will require manufacturers of such products to report under 
section 37 only those lawsuits that allege the occurrence of death or 
grievous bodily injury as the result of exposure to asbestos from a 
particular model of a consumer product purchased by a consumer for 
personal use. Such lawsuits would include not only injury to the 
purchaser, but also to other consumers including family, subsequent 
property owners, and visitors. The Commission may consider granting 
similar relief to manufacturers of other products that present a risk of 
chronic injury similar to that presented by asbestos. Any such request 
must contain documented evidence demonstrating that compliance with the 
reporting requirements will be unduly burdensome and will be unlikely to 
produce information that will assist the Commission in carrying out its 
obligations under the statutes it administers.
    (g) The definition of ``consumer product'' also encompasses a 
variety of products that are subject to regulation under the Federal 
Hazardous Substances Act (15 U.S.C. 1261 et seq.), the Poison Prevention 
Packaging Act (15 U.S.C. 1471 et seq.), the Flammable Fabrics Act (15 
U.S.C. 1191 et seq.), and the Refrigerator Safety Act (15 U.S.C. 1211 et 
seq.). Lawsuits involving such products are also subject to section 37, 
notwithstanding the fact that the products may be regulated or subject 
to regulation under one of the other statutes.
    (h) Relationship of Section 37 to Section 15 of the CPSA. (1) 
Section 37 plays a complementary role to the reporting requirements of 
section 15(b) of the CPSA (15 U.S.C. 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

[[Page 180]]

that reasonably supports the conclusion that a product creates an 
unreasonable risk of serious injury or death. Previously, the reporting 
obligation for unregulated products only arose when available 
information indicated that the product in question was defective and 
created a substantial product hazard because of the pattern of the 
defect, the severity of the risk of injury, the number of products 
distributed in commerce, etc. The effect of the 1990 amendment is 
discussed in detail in the Commission's interpretative rule relating to 
the reporting of substantial product hazards at 16 CFR part 1115.
    (2) The new substantive reporting requirements of section 15(b)(3) 
support the conclusion that Congress intended section 37 to capture 
product-related accident information that has not been reported under 
section 15(b). Between the time a firm learns of an incident or problem 
involving a product that raises safety-related concerns and the time 
that a lawsuit involving that product is resolved by settlement or 
adjudication, the firm generally has numerous opportunities to evaluate 
whether a section 15 report is appropriate. Such evaluation might be 
appropriate, for example, after an analysis of product returns, the 
receipt of an insurance investigator's report, a physical examination of 
the product, the interview or deposition of an injured party or an 
eyewitness to the event that gave rise to the lawsuit, or even 
preparation of the firm's responses to plaintiff's discovery requests. 
Even if a manufacturer does not believe that a report is required prior 
to the resolution of a single lawsuit, an obligation to investigate 
whether a report is appropriate may arise if, for example, a verdict in 
favor of the plaintiff raises the issue of whether the product in 
question creates an unreasonable risk of death or serious injury.
    (3) In contrast, the application of section 37 does not involve the 
discretionary judgment and subjective analyses of hazard and causation 
associated with section 15 reports. Once the statutory criteria of three 
settled or adjudicated civil actions alleging grievous injury or death 
in a two year period are met, the obligation to report under section 37 
is automatic. For this reason, the Commission regards section 37 as a 
``safety net'' to surface product hazards that remain unreported either 
intentionally or by inadvertence. The provisions in the law limiting 
such reports to cases in which three or more lawsuits alleging grievous 
injury or death are settled or adjudicated in favor of plaintiffs during 
a two year period provide assurance that the product involved presents a 
sufficiently grave risk of injury to warrant consideration by the 
Commission. Indeed, once the obligation to report under section 37 
arises, the obligation to file a section 15 report concurrently may 
exist if the information available to the manufacturer meets the 
criteria established in section 15(b) for reporting.
    (4) Section 37 contains no specific record keeping requirements. 
However, to track and catalog lawsuits to determine whether they are 
reportable, prudent manufacturers will develop and maintain information 
systems to index and retain lawsuit data. In the absence of a prior 
section 15 report, once such systems are in place, such manufacturers 
will be in a position to perform a two-fold analysis to determine 
whether the information contained in such systems is reportable under 
either section 15(b) or 37. A manufacturer might conclude, for example, 
that the differences between products that are the subject of different 
lawsuits make them different models or that the type of injury alleged 
in one or more of the suits is not grievous bodily injury. Based on this 
analysis, the manufacturer might also conclude that the suits are thus 
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

[[Page 181]]

similar products to be regarded as a ``particular model'' under section 
37 because it is ``distinctive.'' To determine whether a product is 
``distinctive'', the proper inquiry should be directed toward the degree 
to which a product differs from other comparable products in one or more 
of the characteristics enumerated in section 37(e)(2) and Sec. 
1116.2(c) of this part. A product is ``distinctive'' if, after an 
analysis of information relating to one or more of the statutory 
characteristics, a manufacturer, acting in accordance with the customs 
and practices of the trade of which it is a member, could reasonably 
conclude that the difference between that product and other items of the 
same product class manufactured or imported by the same manufacturer is 
substantial and material. Information relevant to the determination of 
whether a product is a ``particular model'' includes:
    (1) The description of the features and uses of the products in 
question in written material such as instruction manuals, description 
brochures, marketing or promotional programs, reports of certification 
of products, specification sheets, and product drawings.
    (2) The differences or similarities between products in their 
observable physical characteristics and in components or features that 
are not readily observable and that are incorporated in those products 
for safety-related purposes;
    (3) The customs and practices of the trade of which the manufacturer 
is a member in marketing, designating, or evaluating similar products.
    (4) Information on how consumers use the products and on consumer 
need or demand for different products, such as products of different 
size. In analyzing whether products are different models, differences in 
size or calibration afford the basis for distinguishing between products 
only if those differences make the products distinctive in functional 
design or function.
    (5) The history of the manufacturer's model identification and 
marketing of the products in question;
    (6) Whether variations between products relate solely to appearance, 
ornamentation, color, or other cosmetic features; such variations are 
not ordinarily sufficient to differentiate between models.
    (7) Whether component parts used in a product are interchangeable 
with or perform substantially the same function as comparable components 
in other units; if they are, the use of such components does not afford 
a basis for distinguishing between models.
    (8) Retail price. Substantial variations in price arising directly 
from the characteristics enumerated in section 37(e)(2) for evaluating 
product models may be evidence that products are different models 
because their differences are distinctive. Price variations imposed to 
accommodate different markets or vendors are not sufficient to draw such 
a distinction.
    (9) Manufacturer's designation, model number, or private label 
designation. These factors are not controlling in identifying 
``particular models''.
    (10) Expert evaluation of the characteristics of the products in 
question, and surveys of consumer users or a manufacturer's retail 
customers.
    (b) The definition of ``consumer product'' expressly applies to 
components of consumer products. Should a component manufacturer be 
joined in a civil action against a manufacturer of a consumer product, 
the section 37 reporting requirements may apply to that manufacturer 
after a combination of three judgments or settlements involving the same 
component model during a two year period, even though the manufacturer 
of the finished product is exempt 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

[[Page 182]]

in all of the suits, the requirement to report under section 37 would 
arise only if the same particular model was involved in at least three 
of the suits. However, the existence of such a pattern would strongly 
suggest that the obligation to file a report under section 15(b) (2) or 
(3) (15 U.S.C. 2064(b) (2) or (3)) exists because the information 
reasonably supports the conclusion that the product contains a defect 
that could present a substantial risk of injury to the public or creates 
an unreasonable risk of serious injury or death.
    (d) Section 37 does not require that the same category of injury be 
involved in multiple lawsuits for the reporting obligation to arise. As 
long as a particular model of a consumer product is the subject of at 
least three civil actions that are settled or adjudicated in favor of 
the plaintiff in one of the statutory two year periods, the manufacturer 
must report, even though the alleged category of injury and the alleged 
causal relationship of the product to the injury in each suit may 
differ.



Sec. 1116.9  Confidentiality of reports.

    (a) Pursuant to section 6(e) of the Consumer Product Safety Act (15 
U.S.C. 2055(e)) no member of the Commission, no officer or employee of 
the Commission, and no officer or employee of the Department of Justice 
may publicly disclose information furnished to the Commission under 
section 37(c)(1) and section 37(c)(2)(A) of the Act, except that:
    (1) An authenticated copy of a section 37 report furnished to the 
Commission by or on behalf of a manufacturer may, upon written request, 
be furnished to the manufacturer or its authorized agent after payment 
of the actual or estimated cost of searching the records and furnishing 
such copies; or
    (2) Any information furnished to the Commission under section 37 
shall, upon written request of the Chairman or Ranking Minority Member 
of the Committee on Commerce, Science, and Transportation of the Senate 
or the Committee on Energy and Commerce of the House of Representatives 
or any subcommittee of such committee, be provided to the Chairman or 
Ranking Minority Member for purposes that are related to the 
jurisdiction of such committee or subcommittee.
    (b) The prohibition contained in section 6(e) (15 U.S.C. 2055(e)) 
against the disclosure of information submitted pursuant to section 37 
only applies to the specific items of information that a manufacturer is 
required to submit under section 37(c)(1) and to statements under 
section 37(c)(2)(A) relating to the possibility or existence of an 
appeal of a reported judgment adverse to a manufacturer. Section 6(e)(1) 
does not, by its terms, apply to information that the manufacturer 
voluntarily chooses to submit pursuant to section 37(c)(2)(B). Thus, 
disclosure of such information is governed by the other provisions of 
section 6 of the CPSA (15 U.S.C. 2055) and by the interpretative rules 
issued by the Commission (16 CFR parts 1101 and 1015). For example, if a 
manufacturer includes information otherwise reportable under section 15 
as part of a section 37 report, the Commission will treat the 
information reported pursuant to section 15 as ``additional 
information'' submitted pursuant to section 37(c)(2)(B). Generally, any 
issue of the public disclosure of that information will be controlled by 
the relevant provisions of section 6(b), including section 6(b)(5) 
relating to the disclosure of substantial product hazard reports, and 
section 6(a) relating to the disclosure of confidential or trade secret 
information. However, to the extent the section 15 report reiterates or 
references information reported under 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

[[Page 183]]

of the information would be unfair in the circumstances. Among the 
factors the Commission will consider in evaluating the fairness of 
releasing the information are the nature of the information, the fact 
that it is an adjunct to a Congressional protected report, and whether 
the information in question supports the conclusion that a section 37 or 
15(b), CPSA, report should have been filed earlier.
    (c) Section 6(e) imposes no confidentiality requirements on 
information obtained by the Commission independently of a report 
pursuant to section 37. The provisions of section 6(b) govern the 
disclosure of such information.



Sec. 1116.10  Restrictions on use of reports.

    No member of the Commission, no officer or employee of the 
Commission, and no officer or employee of the Department of Justice may 
use information provided to the Commission under section 37 for any 
purpose other than to carry out the responsibilities of the Commission.



Sec. 1116.11  Reports of civil actions under section 37 not admissions.

    Pursuant to section 37(d), 15 U.S.C. 2084(d), the reporting of a 
civil action under section 37 shall not constitute an admission of--
    (a) An unreasonable risk of injury;
    (b) A defect in the consumer product which was the subject of the 
civil action;
    (c) A substantial product hazard;
    (d) An imminent hazard; or
    (e) Any other liability under any statute or any common law.



Sec. 1116.12  Commission response to section 37 reports.

    Upon receipt of a section 37 report, the Commission will evaluate 
the information contained in the report and any relevant information 
contained in its files or data bases to determine what, if any, follow-
up or remedial action by the Commission is appropriate. If the 
Commission requires additional information, it will notify the 
manufacturer in writing of the specific information to provide. In 
addition, the Commission will routinely review section 37 reports to 
determine whether the reporting manufacturers have fulfilled their 
obligations under both sections 37 and 15(b) in a timely manner. Such a 
review may also engender a request for additional information, including 
the dates on which final orders were entered in each of the lawsuits 
reported under section 37. The Commission will treat any subsequent 
submission of information by the manufacturer as a submission under 
section 37(c)(2)(B) subject to the restrictions on public disclosure 
contained in sections 6(a) and (b) of the Consumer Product Safety Act.



PART 1117_REPORTING OF CHOKING INCIDENTS INVOLVING MARBLES, SMALL BALLS, LATEX 

BALLOONS AND OTHER SMALL PARTS--Table of Contents




Sec.
1117.1 Purpose.
1117.2 Definitions.
1117.3 Reportable information.
1117.4 Time for filing a report.
1117.5 Information that must be reported and to whom.
1117.6 Relation to section 15(b) of the CPSA.
1117.7 Confidentiality of reports.
1117.8 Effect of reports on liability.
1117.9 Prohibited acts and sanctions.

    Authority: Section 102 of the Child Safety Protection Act (Pub. L. 
No. 103-267), section 16(b), 15 U.S.C. 2065(b) and 5 U.S.C. 553.

    Source: 60 FR 10493, Feb. 27, 1995, unless otherwise noted.



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

[[Page 184]]

balloon, or other small part contained in such toy or game and, as a 
result of that incident the child died, suffered serious injury, ceased 
breathing for any length of time, or was treated by a medical 
professional.



Sec. 1117.2  Definitions.

    (a) Small part means any part, component, or piece of a toy or game, 
which, when tested in accordance with the procedures in 16 CFR 1501.4(a) 
and 1501.4(b)(1), fits entirely within the cylinder shown in Figure 1 
appended to 16 CFR 1501.
    (b) Small ball means any ball that under the influence of its own 
weight, passes, in any orientation, entirely through a circular hole 
with a diameter of 1.75 inches (4.445 cm) in a rigid template .25 inches 
(6 mm.) thick. For purposes of this designation, the term ``ball'' 
includes any spherical, ovoid, or ellipsoidal object that is designed or 
intended to be thrown, hit, kicked, rolled, or bounced, and is either 
not permanently attached to another toy or article, or is attached to 
such a toy or article by means of a string, elastic cord, or similar 
tether. The term ball includes any multi-sided object formed by 
connecting planes into a generally spherical, ovoid, or ellipsoidal 
shape that is designated or intended to be used as a ball, and any 
novelty item of a generally spherical, ovoid, or ellipsoidal shape that 
is designated or intended to be used as a ball.
    (c) Choked means suffered an obstruction of the airways.
    (d) A latex balloon is a toy or decorative item consisting of a 
latex bag that is designed to be inflated by air or gas. The term does 
not include inflatable children's toys that are used in aquatic 
activities, such as rafts, water wings, life rings, etc.
    (e) A marble is a ball made of a hard material, such as glass, 
agate, marble or plastic, that is used in various children's games, 
generally as a playing piece or marker.
    (f) Serious injury includes not only the concept of ``grievous 
bodily injury'' defined in the Commission's rule for Substantial Hazard 
Reports at 16 CFR 1115.12(d), but also any other significant injury. 
Injuries necessitating hospitalization which require actual medical or 
surgical treatment and injuries necessitating absence from school or 
work of more than one day are examples of situations in which the 
Commission shall presume that such a serious injury has occurred.
    (g) Subject firm means any manufacturer, distributor, retailer or 
importer of marbles, small balls, latex balloons, or a toy or game that 
contains a marble, small ball, latex balloon, or other small part.
    (h) Toy or game includes any toy or game, including those exempt 
under 16 CFR 1501.3 from the small parts banning provisions of 16 CFR 
1500.18(a)(9).

[60 FR 10493, Feb. 27, 1995, as amended at 60 FR 41801, Aug. 14, 1995]



Sec. 1117.3  Reportable information.

    A subject firm shall report any information it obtains which 
reasonably supports the conclusion that a reportable incident occurred. 
Generally, firms should report any information provided to the company, 
orally or in writing, which states that a child choked on a marble, 
small ball, latex balloon, or on a marble, small ball, latex balloon or 
other small part contained in a toy or game and, as a result of that 
incident the child died, suffered serious injury, ceased breathing for 
any length of time, or was treated by a medical professional. Subject 
firms must not wait until they have investigated the incident or 
conclusively resolved whether the information is accurate or whether 
their product was involved in the incident. Firms shall not 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

[[Page 185]]

time, or was treated by a medical professional. Section 1117.5 of this 
part sets forth the information that must be reported.
    (b) The Commission will deem a subject firm to have obtained 
reportable information when the information has been received by an 
official or employee who may reasonably be expected to be capable of 
appreciating the significance of the information. Under ordinary 
circumstances, 5 days shall be the maximum reasonable time for 
information to reach such an employee, the Chief Executive Officer or 
the official or employee responsible for complying with the reporting 
requirements of section 102 of the Child Safety Protection Act.



Sec. 1117.5  Information that must be reported and to whom.

    (a) Reports shall be directed to the Division of Corrective Actions, 
Consumer Product Safety Commission, 4330 East West Highway, Bethesda, 
Maryland 20815 (Mailing Address: Washington, D.C. 20207) (Phone: 301-
504-0608, facsimile: 301-504-0359).
    (b) Subject firms must report as much of the following information 
as is known when the report is made:
    (1) The name, address, and title of the person submitting the report 
to the Commission,
    (2) The name and address of the subject firm,
    (3) The name and address of the child who choked and the person(s) 
who notified the subject firm of the choking incident,
    (4) Identification of the product involved including the date(s) of 
distribution, model or style number, a description of the product 
(including any labeling and warnings), a description of the marble, 
small ball, latex balloon or other small part involved, and pictures or 
sample if available,
    (5) A description of the choking incident and any injuries that 
resulted or medical treatment that was necessary,
    (6) Copies of any information obtained about the choking incident,
    (7) Any information about changes made to the product or its 
labeling or warnings with the intention of avoiding such choking 
incidents, including, but not limited to, the date(s) of the change and 
its implementation, and a description of the change. Copies of any 
engineering drawings or product and label samples that depict the 
change(s).
    (8) The details of any public notice or other corrective action 
planned by the firm,
    (9) Such other information as appropriate.
    (c) Retailers or distributors should supply as much of the 
information required in paragraph (b) of this section as is available to 
them but are not required to obtain information about product design 
changes or recall activities from the product manufacturer.
    (d) Within ten days of their initial report, subject firms must 
supplement their reports to supply any of the information required by 
paragraph (b) of this section that was not available at the time of the 
initial report.



Sec. 1117.6  Relation to section 15(b) of the CPSA.

    Section 15(b) of the CPSA requires subject firms to report when they 
obtain information which reasonably supports the conclusion that 
products they distributed in commerce fail to comply with an applicable 
consumer product safety rule or with a voluntary consumer product safety 
standard upon which the Commission has relied under section 9 of the 
CPSA, contain a defect which could create a substantial product hazard, 
or create an unreasonable risk of serious injury or death. The 
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.

[[Page 186]]



Sec. 1117.7  Confidentiality of reports.

    The confidentiality provisions of section 6 of the CPSA, 15 U.S.C. 
2055, apply to reports submitted under this part. The Commission shall 
afford information submitted under this part the protection afforded to 
information submitted under section 15(b), in accordance with section 
6(b)(5) of the CPSA and subpart G of part 1101 of title 16 of the CFR.



Sec. 1117.8  Effect of reports on liability.

    A report by a manufacturer, distributor, retailer, or importer under 
this part shall not be interpreted, for any purpose, as an admission of 
liability or of the truth of the information contained in the report.



Sec. 1117.9  Prohibited acts and sanctions.

    (a) Whoever knowingly and willfully falsifies or conceals a material 
fact in a report submitted under this part is subject to criminal 
penalties under 18 U.S.C. 1001.
    (b) A failure to report to the Commission in a timely fashion as 
required by this part is a prohibited act under section 19(a)(3) of the 
CPSA, 15 U.S.C. 2068(a)(3).
    (c) A subject firm that knowingly fails to report is subject to 
civil penalties under section 20 of the CPSA, 15 U.S.C. 2069. Knowing 
means the having of actual knowledge or the presumed having of knowledge 
deemed to be possessed by a reasonable person who acts in the 
circumstances, including knowledge obtainable upon the exercise of due 
care to ascertain the truth of representations. Section 20(d) of the 
CPSA, 15 U.S.C. 2069(d).
    (d) Any person who knowingly and willfully violates section 19 of 
this Act after having received notice of noncompliance from the 
Commission may be subject to criminal penalties under section 21 of the 
CPSA, 15 U.S.C. 2070.



PART 1118_INVESTIGATIONS, INSPECTIONS AND INQUIRIES UNDER THE CONSUMER PRODUCT 

SAFETY ACT--Table of Contents




   Subpart A_Procedures for Investigations, Inspections, and Inquiries

Sec.
1118.1 Definitions, initiation of investigations, inspections, and 
          inquiries and delegations.
1118.2 Conduct and scope of inspections.
1118.3 Compulsory processes and service.
1118.4 Subpoenas.
1118.5 Investigational hearings.
1118.6 Depositions.
1118.7 Rights of witnesses at investigational hearings and of deponents 
          at depositions.
1118.8 General or special orders seeking information.
1118.9 Motions to limit or quash subpoenas and general or special orders 
          and delegation to modify terms for compliance.
1118.10 Remedies for failure to permit authorized investigations.
1118.11 Nonexclusive delegation of power.

                   Subpart B_Consent Order Agreements

1118.20 Procedures for consent order agreements.

    Authority: Sec. 16, Pub. L. 92-573, 86 Stat. 1222 (15 U.S.C. 2065); 
sec. 19, Pub. L. 92-573, 86 Stat. 1224 (15 U.S.C. 2068); sec. 27, Pub. 
L. 92-573, 86 Stat. 1227 (15 U.S.C. 2076); as amended by Pub. L. 94-284, 
90 Stat. 509.

    Source: 44 FR 34929, June 18, 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

[[Page 187]]

for implementing, enforcing, or determining compliance with the Consumer 
Product Safety Act and the regulations, rules, and orders issued under 
the Act. The term investigation includes, but is not limited to, 
inspections (Sec. 1118.2), investigational hearings (Sec. 1118.5), and 
inquiries; employing subpoenas (Sec. 1118.4), depositions (Sec. 
1118.6), and general or special orders (Sec. 1118.9).
    (5) The definition of the terms set forth in section 3 of the 
Consumer Product Safety Act (15 U.S.C. 2052) shall apply to this part 
1118.
    (b) Initiation of Investigations and Inquiries. Investigations and 
inquiries will be initiated by the Commission in any manner authorized 
by law.
    (c) Initiation of Inspections. An inspection as described in Sec. 
1118.2 is initiated when the Commission or its delegate authorizes the 
issuance of a written notice of inspection, described in Sec. 
1118.2(c).
    (d) Delegations of Authority. The Commission hereby delegates to the 
Associate Executive Director for Compliance and Enforcement; the 
Solicitor, the Directors of the Divisions of Enforcement; the Solicitor, 
the Directors of the Divisions of Enforcement, Product Defect 
Correction, and Regulatory Management; and the directors of area 
offices, the power to initiate inspections in the same manner as the 
Commission.



Sec. 1118.2  Conduct and scope of inspections.

    (a) After an inspection is initiated as set forth in Sec. 1118.1, 
an officer or employee duly designated by the Commission shall issue the 
notice of inspection (hereinafter: notice). Upon presenting the notice, 
along with appropriate credentials, to the person or agent in charge of 
the firm to be inspected, the Commission officer or employee is 
authorized for the purposes set forth in Sec. 1118.1(a):
    (1) To enter, at reasonable times, any factory, warehouse, or 
establishment in which consumer products are manufactured or held, in 
connection with distribution in commerce, or any conveyance being used 
to transport consumer products in connection with distribution in 
commerce; and
    (2) To inspect, at reasonable times and in a reasonable manner, any 
conveyance or those areas of the factory, warehouse, or establishment 
where consumer products are manufactured, held, or transported and which 
may relate to the safety of those products; and
    (3) To have access to and to copy all relevant records, books, 
documents, papers, packaging or labeling which:
    (i) Are required by the Commission to be established, made or 
maintained, or
    (ii) Show or relate to the production, inventory, testing, 
distribution, sale, transportation, importation, or receipt of any 
consumer product, or that are otherwise relevant to determining whether 
any person or firm has acted or is acting in compliance with the Act and 
regulations, rules and orders promulgated under the Act, and
    (4) To obtain:
    (i) Information, both oral and written, concerning the production, 
inventory, testing, distribution, sale, transportation, importation, or 
receipt of any consumer product, and the organization, business, 
conduct, practices, and management of any person or firm being inspected 
and its relation to any other person or firm;
    (ii) Samples of items, materials, substances, products, containers, 
packages and packaging, and labels and labeling, or any component at 
manufacturer's, distributor's or retailer's cost unless voluntarily 
provided; and
    (iii) Information, both oral and written, concerning any matter 
referred to in the Act and these rules.
    (b) A separate notice shall be given for each inspection, but a 
notice is not required for each entry made during the course of the same 
inspection. Each inspection shall be commenced at and completed within a 
reasonable period of time.
    (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

[[Page 188]]

Commission officers or employees and the types of information and items 
they are authorized to obtain; a statement that the inspection will be 
conducted and the information will be provided with the cooperation of 
the person or firm being inspected; a statement which sets forth the 
purposes of the inspection and the nature of the information and items 
to be obtained and/or copied; and a statement that those from whom 
information is requested should state in writing whether any of the 
information submitted is believed to contain or relate to a trade secret 
or other matter which should be considered by the Commission to be 
confidential in accordance with section 6(a)(2) of the Act (15 U.S.C. 
2055(a)(2)) and whether any of the information is believed to be 
entitled to exemption from disclosure by the Commission under the 
provisions of the Freedom of Information Act (5 U.S.C. 552) and the 
Commission's regulations under that Act, 16 CFR part 1015 (42 FR 10496, 
February 22, 1977) or as amended. Any statement asserting this claim of 
confidentiality must be in writing, and any request for exemption of the 
information from disclosure must be made in accordance with the 
Commission's Freedom of Information Act regulations, 16 CFR part 1015 
(42 FR 10490, February 22, 1977) or as amended.
    (d) If upon being presented with a notice by an officer or employee 
duly designated by the Commission, the person or agent-in-charge of the 
firm being inspected refuses to allow entry or inspection, the 
Commission may then seek a search warrant or take other appropriate 
legal action. If the person refuses to provide information, to allow 
access to or the copying of records, or to supply samples as provided in 
these rules, the officer or employee of the Commission shall complete 
the investigation to the extent that voluntary cooperation is provided. 
The Commission may take such additional action, including but not 
limited to seeking an ex parte search warrant, employing the compulsory 
process provided for in these rules, and/or taking other suitable legal 
action. If the person or agent in charge refuses to accept the notice 
upon its presentation, the officer or employee may affix the notice to a 
public entrance way on the premises and this shall constitute 
presentation of the notice.



Sec. 1118.3  Compulsory processes and service.

    (a) In addition to or in lieu of authorizing the issuance of a 
notice, the Commission may elect either to seek an ex parte search 
warrant and/or use any other reasonable means authorized by law to 
initiate investigations, inspections, or inquires to obtain information 
for the purposes set forth in Sec. 1118.1(a), including but not limited 
to the following compulsory processes:
    (1) Subpoenas;
    (2) Investigational hearings;
    (3) Depositions; and
    (4) General or special orders.
    (b) Service in connection with any of the compulsory processes in 
Sec. 1118.3(a) shall be effected:
    (1) By personal service upon the person or agent in charge of the 
firm being investigated, inspected or inquired of; or
    (2) By certified mail or delivery to the last known residence or 
business address of anyone being investigated, inspected or inquired of; 
or
    (3) In the case of general or special orders where personal service, 
mailing or delivery has been unsuccessful, service may also be effected 
by publication in the Federal Register.
    (c) The date of service of any form of compulsory process shall be 
the date on which the document is received by mail, delivered in person 
or published in the Federal Register. In computing a period of time in 
which a party is required or permitted to act, the day from which the 
time begins to run shall not be included. The last day of the period 
shall be included, unless it is a Saturday, Sunday or legal holiday, in 
which event the period runs until the end of the next day that is 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)

[[Page 189]]

should state whether any of the information submitted is believed to 
contain or relate to a trade secret or other matter which should be 
considered by the Commission to be confidential in accordance with 
section 6(a)(2) of the Consumer Product Safety Act (15 U.S.C. 
2055(a)(2)) and whether any of the information is believed to be exempt 
from disclosure by the Commission under the provisions of the Freedom of 
Information Act (5 U.S.C. 552) and the Commission's regulations under 
that Act, 16 CFR part 1015 (42 FR 10490, February 22, 1977) or as 
amended. Any claim of confidentiality must be in writing, and any 
request for exemption from disclosure must be made in accordance with 
the Commission's Freedom of Information Act regulations, 16 CFR part 
1015 (42 FR 10490, February 22, 1977), or as amended.



Sec. 1118.4  Subpoenas.

    The Commission may issue to any person or firm a subpoena requiring 
the production of documentary evidence (subpoena duces tecum) and/or 
attendance and testimony of witnesses (subpoena ad testificandum) 
relating to any matter under investigation. Procedures regarding 
compliance with subpoenas and motions to limit or quash subpoenas are 
provided for in Sec. 1118.9.



Sec. 1118.5  Investigational hearings.

    (a) The Commission by subpoena may require any person or firm to 
provide information at an investigational hearing. These hearings shall 
be for the purpose of taking the testimony, under oath, of witnesses and 
receiving documents and other data relating to any subject under 
investigation. The hearings shall be presided over by the Commission, by 
one or more of the Commissioners, by an administrative law judge, or by 
a duly designated officer or employee, who shall be referred to as the 
presiding official. The hearings shall be stenographically reported, and 
the transcript shall be made a part of the record.
    (b) A Commissioner who participates in a hearing or other 
investigation, inspection, or inquiry shall not be disqualified solely 
by reason of that participation from subsequently participating in a 
Commission decision in the same matter.
    (c) Investigational hearings shall be closed to the public, unless 
otherwise ordered by the Commission.
    (d) The release of the record of the hearing shall be governed by 
the Freedom of Information Act (5 U.S.C. 552), the Commission's 
regulations under that Act, 16 CFR part 1015 (42 FR 10490, February 22, 
1977) or as amended and/or other applicable laws or regulations, except 
that a person required to give testimony or a deposition may, in 
accordance with Sec. 1118.7(d), obtain a copy of his or her testimony 
or deposition.



Sec. 1118.6  Depositions.

    (a) The Commission by subpoena may require testimony to be taken by 
deposition at any stage of any investigation. Depositions may be taken 
before any person who is designated by the Commission and has the power 
to administer oaths. The person before whom the deposition is taken 
shall put the deponent under oath. The testimony given shall be reduced 
to writing by the person taking the deposition or under that person's 
direction and shall then be submitted to the deponent for signature 
unless the deponent waives the right to sign the deposition. All 
depositions shall be closed to the public, unless otherwise ordered by 
the Commission. The release of the record of such depositions shall be 
governed by the Freedom of Information Act (5 U.S.C. 552), the 
Commission's regulations under that Act, 16 CFR part 1015 (42 FR 10490, 
February 22, 1977) or as amended and/or other applicable laws or 
regulations, except that the deponent may, in accordance with Sec. 
1118.7(d), obtain a copy of his or her deposition.
    (b) Any changes which the deponent desires to make shall be entered 
on the face of the deposition and shall state the reasons for such 
changes. The deposition shall then be signed by the deponent, unless the 
deponent waives the 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

[[Page 190]]

than ten days, the Commission shall notify the deponent of the reasons 
for such shorter time period.

If the deponent does not sign the deposition within the prescribed time 
period, the Commission designee shall sign it and state on the record 
the fact of the waiver of the right to sign or of the illness or absence 
of the deponent, or the deponent's inability or refusal to sign, 
together with the reason if any is given. The deposition may be used in 
any administrative proceeding, as provided by these rules, or any other 
proceeding, as allowed by applicable rules.



Sec. 1118.7  Rights of witnesses at investigational hearings and of deponents 

at depositions.

    (a) Any person, agent, or officer of a firm, who is required to 
produce documentary evidence or give testimony as a witness at an 
investigational hearing conducted under provisions of Sec. 1118.5 or as 
a deponent at a deposition taken under provisions of Sec. 1118.6 may be 
accompanied by an attorney, or an officer or partner of the firm, who 
may act as representative for the witness or the deponent. However, a 
person who is subpoenaed to produce documentary evidence or give 
testimony at an investigational hearing or deposition cannot act as 
attorney or representative for another witness or deponent at the same 
proceeding. The term attorney refers to members of the bar of a Federal 
court or the courts of any State or Territory of the United States, the 
Commonwealth of Puerto Rico, or the District of Columbia. The witness or 
deponent and his or her attorney or representative may act as follows 
during the course of an investigational hearing or deposition:
    (1) A witness or deponent may confer, in confidence, with his or her 
attorney or representative concerning any questions asked of the witness 
or deponent. If the witness, deponent, or his or her attorney or 
representative objects to a question or any other matter relevant to the 
investigational hearing or deposition, the objection and basis for it 
shall be stated on the record. In the case of an objection based upon 
self-incrimination, the privilege must be asserted by the witness or 
deponent. If a witness at an investigational hearing refuses to answer a 
question or provide other information, the presiding official shall have 
the authority to immediately order the witness to answer the question or 
provide the information requested, except in circumstances where, in the 
discretion of the presiding official an immediate ruling would be 
unwarranted and except where a refusal is based upon the privilege 
against self-incrimination. Otherwise all objections shall be ruled upon 
by presiding official at the time the objection is made.
    (2) Objections timely made under the provisions of Sec. 1118.7(a) 
shall be noted on the record, shall be treated as continuing, and shall 
be preserved throughout the proceeding without the necessity of 
repetition during similar lines of inquiry.
    (3) Except as provided by Sec. 1118.7(a), counsel for a witness or 
deponent may not interrupt the examination of the witness or the 
deponent by making objections or statements on the record.
    (4) Upon completion of the examination, any witness at an 
investigational hearing may clarify on the record any of his or her 
answers, or, if the witness is accompanied by an attorney or 
representative, the attorney or representative may examine the witness 
on the record as to answers previously given. In addition, the witness 
or his or her attorney or representative may make a brief statement at 
the conclusion of the hearing giving his, her or the firm's position 
with regard to matters under investigation. In order to prevent abuse of 
the investigational process, the presiding official shall have the 
authority to impose reasonable limitations on the period of time allowed 
for objections, clarification of answers, and statements of position.
    (5) Upon completion of all testimony, a deponent may clarify on the 
record any of his or her answers. The attorney or representative for a 
deponent may examine that deponent on the record to clarify answers 
previously given.
    (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.

[[Page 191]]

    (c) Any person, agent or officer who is compelled by subpoena to 
appear in person at an investigational hearing or at a deposition shall 
receive the same fees and mileage allowances as are paid witnesses in 
the courts of the United States.
    (d) Any person, agent, or officer who is required to appear at an 
investigational hearing or at a deposition shall be entitled to retain a 
copy of any document submitted by him or her and, upon payment of 
lawfully prescribed costs, in accordance with the Commission's 
regulations under the Freedom of Information Act, shall be entitled to 
procure a copy of his or her own testimony as recorded.
    (e) The presiding official shall take all necessary action to 
regulate the course of the hearing, to avoid delay and to assure that 
reasonable standards of orderly and ethical conduct are maintained. The 
presiding official, for reasons stated on the record, shall immediately 
report to the Commission any instance in which a witness or his or her 
attorney or representative has refused to comply with the presiding 
official's directions or to adhere to reasonable standards of orderly 
and ethical conduct in the course of the hearing. The Commission shall 
take whatever action is appropriate under the circumstances.



Sec. 1118.8  General or special orders seeking information.

    The Commission may require by the issuance of general or special 
orders any person or firm to submit in writing any reports and answers 
to questions as the Commission may prescribe. The reports or answers 
shall be made under oath, and shall be filed within the time prescribed 
by the Commission. Procedures regarding compliance with general or 
special orders and motions to limit or quash such orders are provided 
for in Sec. 1118.9.



Sec. 1118.9  Motions to limit or quash subpoenas and general or special orders 

and delegation to modify terms for compliance.

    (a) The Commission hereby delegates to the Associate Executive 
Director for Compliance and Enforcement; the Solicitor; the Directors of 
Divisions of Enforcement, Product Defect Correction, and Regulatory 
Management; and the General Counsel the authority:
    (1) To negotiate and approve the terms of satisfactory compliance 
with subpoenas and general or special orders;
    (2) To impose conditions upon compliance with such compulsory 
processes; and
    (3) To extend the time for compliance and the time for filing 
motions to limit or quash.
    (b) The person or firm served with a subpoena or general or special 
order may file a motion to limit or quash the subpoena or order. Any 
motion to limit or quash shall set forth the reasons why the subpoena or 
order should be limited or quashed and may be accompanied by memoranda, 
affidavits, or other documents submitted in support of the motion. The 
motion must be received in the Office of the Secretary of the Commission 
within 10 calendar days of receipt of the subpoena or order unless:
    (1) The subpoena or order provides for a different time; or
    (2) The Commission, for good cause shown, grants an extension of 
time to file a motion.
    (c) Upon receipt of a motion to limit or quash, the Office of the 
Secretary shall immediately notify and transmit a copy to the 
appropriate staff member. Unless a different period of time is specified 
in the subpoena or order, the staff shall file an answer with the Office 
of the Secretary within 10 calendar days after receipt of the motion. A 
copy of the answer shall be served upon the moving party or the counsel 
of the moving party. No reply to the answer will be permitted.
    (d) All motions to limit or quash shall be ruled upon by the 
Commision. The Office of the Secretary shall serve the decision on a 
motion to limit or quash upon the moving party or the counsel for the 
moving party and shall 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.

[[Page 192]]



Sec. 1118.10  Remedies for failure to permit authorized investigations.

    In the event a person or firm fails to comply with any investigative 
process authorized by these rules, the Commission may seek appropriate 
action within its authority under the Consumer Product Safety Act (15 
U.S.C. 2051, et seq.)



Sec. 1118.11  Nonexclusive delegation of power.

    No provision contained herein delegating any of the Commission's 
powers shall be construed as limiting the authority of the Commission to 
exercise the same powers.



                   Subpart B_Consent Order Agreements



Sec. 1118.20  Procedures for consent order agreements.

    (a) For the procedure to be followed regarding consent order 
agreements involving section 15 of the Act (15 U.S.C. 2064), refer to 
the Commission's regulations relating to substantial product hazards (16 
CFR part 1115). For all other consent order agreements under the 
Consumer Product Safety Act, the provisions set forth below are 
applicable.
    (b) The consent order agreement is a document executed by a person, 
or firm (consenting party) and a Commission staff representative which 
incorporates both a proposed complaint setting forth the staff's charges 
and a proposed order by which such charges are resolved. A consent order 
agreement shall contain the following provisions, as appropriate:
    (1) An admission of all jurisdictional facts by the consenting 
parties;
    (2) A waiver of any rights to an administrative or judicial hearing 
and of any other procedural steps including any rights to seek judicial 
review or otherwise challenge or contest the validity of the 
Commission's order;
    (3) A statement that the agreement is in settlement of the staff's 
charges and does not constitute an admission by the consenting party 
that the law has been violated;
    (4) A statement describing the alleged hazard, non-compliance or 
violation.
    (5) A statement that the Commission's order is issued under the 
provisions of the Act (15 U.S.C. 2051, et seq.); and that a violation of 
such order may subject the consenting party to appropriate legal action.
    (6) An acknowledgment that the consent order agreement only becomes 
effective upon its final acceptance by the Commission and its service 
upon the consenting party;
    (7) An acknowledgment that the Commission may disclose terms of the 
consent order agreement to the public;
    (8) A statement that the consenting party shall comply with the 
provisions of the agreement and order;
    (9) A statement that the requirements of the order are in addition 
to and not to the exclusion of other remedies under the Act.
    (c) At any time in the course of an investigation, the staff, with 
the approval of the Commission, may propose to the person or firm being 
investigated that any alleged violation be resolved by an agreement 
containing a consent order. Additionally, such a proposal may be made to 
the Commission staff by such person or firm.
    (d) Upon receiving an executed agreement, the Commission may:
    (1) Provisionally accept it;
    (2) Reject it and issue the complaint (in which case the matter will 
be scheduled for hearing in accordance with the Commission's Rules of 
Practice for Adjudicative Proceedings, 16 CFR part 1025, June 21, 1977 
or as amended) and/or
    (3) Take such other action as it may deem appropriate.
    (e) If the agreement is provisionally accepted, the Commission shall 
place the agreement on the public record and shall announce provisional 
acceptance of the agreement in the Federal Register. Any interested 
person may ask the Commission not to accept the agreement by filing a 
written request in the Office of the Secretary. Any request must be 
received in the Office of the Secretary no later than the close of 
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

[[Page 193]]

calendar day after the date of the announcement in the Federal Register. 
Notice of final acceptance will be given and the order issued within a 
reasonable time.
    (g) If the Commission receives one or more requests that it not 
finally accept an agreement, it shall, within a reasonable time, either 
finally accept or reject the agreement after considering the requests. 
The Commission shall promptly issue and serve an order indicating its 
decision.
    (1) If the agreement is accepted, the Commission shall issue the 
complaint and order. The order is a final order in disposition of the 
proceeding and is effective immediately upon its service on the 
consenting party under these rules. The consenting party shall 
thereafter be bound by and take immediate action in accordance with the 
final order.
    (2) If the agreement is rejected, the order so notifying the 
consenting party shall constitute withdrawal of the Commission's 
provisional acceptance. The Commission may then issue its complaint, may 
order further investigation, or may take any action it considers 
appropriate.
    (h) An agreement that has been finally accepted may be vacated or 
modified upon petition of any party or the Commission's own initiative. 
The petition shall state the proposed changes in the agreement and the 
reasons for granting the petition. The Commission may modify or vacate 
where (1) false statements were relied upon in accepting the agreement 
or (2) there are changed conditions of fact or law. In deciding whether 
to grant a petition, the Commission shall consider the public interest. 
A petitioner, or the Commission when acting on its own initiative, shall 
serve a copy of the petition or notice of reconsideration, respectively, 
on all parties. Parties affected by the petition or notice of 
reconsideration may file a response within 10 calendar days. No replies 
shall be accepted. The Commission shall decide the petition or notice of 
reconsideration within a reasonable time and, by order, shall indicate 
its decision and its reasons.



PART 1145_REGULATION OF PRODUCTS SUBJECT TO OTHER ACTS UNDER THE CONSUMER 

PRODUCT SAFETY ACT--Table of Contents




Sec.
1145.1 Scope.
1145.2 Paint (and other similar surface-coating materials) containing 
          lead; toys, children's articles, and articles of furniture 
          bearing such paint (or similar surface-coating materials); 
          risk of lead poisoning.
1145.3 Extremely flammable contact adhesives; risk of burns from 
          explosive vapor ignition and flashback fire.
1145.4 Consumer patching compounds containing respirable free-form 
          asbestos; risk of cancer associated with inhalation of 
          asbestos fibers.
1145.5 Emberizing materials (embers and ash) containing respirable free-
          form asbestos; risk of cancer associated with inhalation of 
          asbestos fibers.
1145.9-1145.15 [Reserved]
1145.16 Lighters that are intended for igniting smoking materials and 
          that can be operated by children; risks of death or injury.
1145.17 Multi-purpose lighters that can be operated by children; risks 
          of death or injury.

    Authority: 15 U.S.C. 2079(d).



Sec. 1145.1  Scope.

    In this part 1145, the Commission establishes rules which provide 
that risks of injury associated with consumer products that could be 
eliminated or reduced to a sufficient extent by action under the Federal 
Hazardous Substances Act (FHSA) (15 U.S.C. 1261-1274), the Poison 
Prevention Packaging Act of 1970 (PPPA) (15 U.S.C. 1471-1476), or the 
Flammable Fabrics Act (FFA) (15 U.S.C. 1191-1204) will be regulated 
under the Consumer Product Safety Act (CPSA) (15 U.S.C. 2051-2081). 
Section 30(d) of the CPSA, as amended, provides that a risk of injury 
which is associated with a consumer product and which could be 
eliminated or reduced to a sufficient extent by action under the FHSA, 
PPPA, or the FFA may be regulated under this act only if the Commission 
by rule finds it is in the public interest to regulate such risk of 
injury under this act.

[42 FR 44192, Sept. 1, 1977]

[[Page 194]]



Sec. 1145.2  Paint (and other similar surface-coating materials) containing 

lead; toys, children's articles, and articles of furniture bearing such paint 

(or similar surface-coating materials); risk of lead poisoning.

    (a) The Commission finds that it is in the public interest to reduce 
the risk of lead poisoning to young children from the ingestion of paint 
and other similar surface-coating materials by action under the Consumer 
Product Safety Act rather than under the Federal Hazardous Substances 
Act because of the desirability of consolidating the public procedures 
related to such regulation with the proceeding to determine a safe level 
of lead under the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 
4801-4846), as amended by the National Consumer Health Information and 
Health Promotion Act of 1976 (Pub. L. 94-317; 90 Stat. 705-706). 
Consolidation of these proceedings facilitates greater public 
participation and a more expeditious resolution of the issues.
    (b) Paint and other similar surface-coating materials containing 
lead and toys, children's articles, and articles of furniture bearing 
such paint or other similar surface-coating materials that present a 
risk of lead poisoning to young children by ingestion shall therefore be 
regulated under the Consumer Product Safety Act. Such regulation shall 
include all directly related pending and future rulemaking, as well as 
all directly related pending and future action on petitions.

[42 FR 44192, Sept. 1, 1977]



Sec. 1145.3  Extremely flammable contact adhesives; risk of burns from 

explosive vapor ignition and flashback fire.

    (a) The Commission finds that it is in the public interest to 
regulate the risk of burns from explosive vapor ignition and flashback 
fire associated with certain extremely flammable contact adhesives under 
the Consumer Product Safety Act rather than under the Federal Hazardous 
Substances Act because of the desirability of avoiding possibly lengthy, 
resource consuming, and inefficient rulemaking proceedings under the 
Federal Hazardous Substances Act and because of the availability of 
civil penalties under the CPSA. The Commission also believes that the 
complexity and formality of the rulemaking proceedings under the FHSA, 
in contrast to rulemaking proceedings under the CPSA may make it 
difficult for interested persons to participate.
    (b) Extremely flammable contact adhesives and other similar liquid 
or semi-liquid products in containers over one-half pint that present a 
risk of burns from explosive vapor ignition and flashback fire shall 
therefore be regulated under the Consumer Product Safety Act. Such 
regulation shall include all directly related pending and future 
rulemaking, as well as all directly related future action on petitions. 
However, such action shall not include labeling that may be required 
under the Federal Hazardous Substances Act to address flammability 
hazards associated with other adhesives not subject to the ban.

[42 FR 63731, Dec. 19, 1977]



Sec. 1145.4  Consumer patching compounds containing respirable free-form 

asbestos; risk of cancer associated with inhalation of asbestos fibers.

    (a) The Commission finds that it is in the public interest to 
regulate the risk of cancer associated with inhalation of asbestos 
fibers from consumer patching compounds containing respirable free-form 
asbestos under the Consumer Product Safety Act (CPSA) rather than under 
the Federal Hazardous Substances Act (FHSA) because of the desirability 
of avoiding possibly lengthy resource-consuming, inefficient rulemaking 
proceedings under the FHSA and because of the availability of civil 
penalties under the CPSA for knowing noncompliance.
    (b) Therefore, consumer patching compounds containing respirable 
free-form asbestos are regulated under CPSA.

[42 FR 63354, Dec. 15, 1977]



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

[[Page 195]]

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 that multi-purpose lighters can be operated by 
young children, rather than to regulate such risks under the Federal 
Hazardous Substances Act or the Poison Prevention Packaging Act of 1970.
    (b) Therefore, if the Commission finds regulation to be necessary, 
risks of death or injury that are associated with multi-purpose lighters 
because the lighters can be operated by young children shall be 
regulated under one or more provisions of the Consumer Product Safety 
Act. Other risks that are associated with such lighters, and that are 
based solely on the fact that the lighters contain a hazardous 
substance, shall continue to be regulated under the Federal Hazardous 
Substances Act.

[64 FR 71884, Dec. 22, 1999]



PART 1201_SAFETY STANDARD FOR ARCHITECTURAL GLAZING MATERIALS--Table of 

Contents




                         Subpart A_The Standard

Sec.
1201.1 Scope, application and findings.
1201.2 Definitions.
1201.3 General requirements.
1201.4 Test procedures.
1201.5 Certification and labeling requirements.
1201.6 Prohibited stockpiling.
1201.7 Effective date.

Figure 1 to Subpart A--Glass Impact Test Structure
Figure 2 to Subpart A--Test Frame
Figures 3 and 4 to Subpart A--Test Specimens
Figure 5 to Subpart A--Impactor

Subpart B [Reserved]

            Subpart C_Statements of Policy and Interpretation

1201.40 Interpretation concerning bathtub and shower doors and 
          enclosures.

    Authority: Secs. 2, 3, 7, 9, 14, 19, Pub. L. 92-573, 86 Stat. 1212-
17; (15 U.S.C. 2051, 2052, 2056, 2058, 2063, 2068).

    Source: 42 FR 1441, Jan. 6, 1977, unless otherwise noted.

[[Page 196]]



                         Subpart A_The Standard



Sec. 1201.1  Scope, application and findings.

    (a) Scope. This part 1201, a consumer product safety standard, 
prescribes the safety requirements for glazing materials used or 
intended for use in any of the following architectural products:
    (1) Storm doors or combination doors.
    (2) Doors.
    (3) Bathtub doors and enclosures.
    (4) Shower doors and enclosures.
    (5) [Reserved]
    (6) Sliding glass doors (patio-type).

It also requires that these architectural products which incorporate 
glazing materials be constructed with glazing materials that meet the 
requirements of this part. The safety requirements are designed to 
reduce or eliminate unreasonable risks of death or serious injury to 
consumers when glazing material is broken by human contact.
    (b) Application. This part 1201 shall apply to glazing materials, as 
that term is defined in Sec. 1201.2(a)(11), for use in the 
architectural products listed in paragraph (a) of this section; and to 
those architectural products listed in paragraph (a) of this section if 
they are made with, or incorporate glazing materials as that term is 
defined in Sec. 1201.2(a)(11). The standard applies to glazing 
materials and architectural products incorporating glazing materials 
that are produced or distributed for sale to or for the personal use, 
consumption or enjoyment of consumers in or around a permanent or 
temporary household or residence or in recreational, school, public, or 
other buildings or parts thereof. This part 1201 applies only to those 
glazing materials manufactured after the effective date of the standard; 
and to those architectural products identified in paragraph (a) of this 
section that are manufactured after the effective date of the standard. 
Thus, architectural products identified in paragraph (a) of this section 
manufactured after the effective date of the standard must incorporate 
glazing materials that comply with the standard. For purposes of this 
standard, fabricators are considered to be manufacturers of the 
architectural products listed in paragraph (a) of this section. 
Architectural glazing materials used in the products listed in paragraph 
(a) of this section and used in mobile homes are not subject to the 
provisions of this part 1201. While this part 1201 prescribes a test 
method to determine whether glazing materials subject to this part 1201 
standard meet the requirements of the standard, the standard itself does 
not require that a manufacturer test any glazing materials or products 
subject to the standard. All obligations of manufacturers to perform 
testing are imposed by section 14 of the Consumer Product Safety Act and 
certification regulations which will be established by a separate 
rulemaking proceeding. However, the Commission intends to use the test 
procedures set forth in this part 1201 to determine whether materials 
and products subject to the standard meet the requirements of the 
standard.
    (c) Exemptions. The following products, materials and uses are 
exempt from this part 1201:
    (1) Wired glass used in doors or other assemblies to retard the 
passage of fire, where such door or assembly is required by a federal, 
state, local, or municipal fire ordinance.
    (2) Louvers of jalousie doors;
    (3) Openings in doors through which a 3 inch diameter sphere is 
unable to pass;
    (4) Carved glass (as defined in Sec. 1201.2(a)(36)), dalle glass 
(as defined in Sec. 1201.2(a)(37)), or leaded glass (as defined in 
Sec. 1201.2(a)(14)), which is used in doors and glazed panels (as 
defined in Sec. Sec. 1201.2(a)(7) and (a)(10)) if the glazing material 
meets all of the following criteria:
    (i) The coloring, texturing, or other design qualities or components 
of the glazing material cannot be removed without destroying the 
material; and
    (ii) The primary purpose of such glazing is decorative or artistic; 
and
    (iii) The glazing material is conspicuously colored or textured so 
as to be plainly visible and plainly identifiable as aesthetic or 
decorative rather than functional (other than for the purpose of 
admitting or controlliing admission of light components or heat and 
cold); and

[[Page 197]]

    (iv) The glazing material, or assembly into which it is 
incorporated, is divided into segments by conspicuous and plainly 
visible lines.
    (5) Glazing materials used as curved glazed panels in revolving 
doors;
    (6) Commercial refrigerated cabinet glazed doors.
    (d) Findings \1\--(1) The degree and nature of the risk of injury 
the rule is designed to eliminate or reduce. The Commission finds that 
the nature of the risks of injury this standard is designed to eliminate 
or reduce are as follows:
---------------------------------------------------------------------------

    \1\ The Commission's findings apply to the architectural glazing 
standard as issued at 42 FR 1426, on January 6, 1977. Since that date, 
the Commission has revoked portions of the standard which prescribed 
requirements for ``glazed panels'' (45 FR 57383, August 28, 1980); an 
accelerated environmental durability test for plastic glazing materials 
intended for outdoor exposure (45 FR 66002, October 6, 1980); and a 
modulus of elasticity test, a hardness test, and an indoor aging test 
applicable to plastic glazing materials (47 FR 27856, June 28, 1982). 
However, the findings have not been revised and they are therefore, not 
fully applicable to the remaining requirements of the standard.
---------------------------------------------------------------------------

    (i) Lacerations, contusions, abrasions, and other injury or death 
resulting from walking or running into glazed doors or sliding glass 
doors believed to be open or glazed panels mistaken as a means of 
ingress or egress, or pushing against glazing material in doors or 
glazed panels in an attempt to open a door.
    (ii) Lacerations, contusions, abrasions, and other injury or death 
resulting from accidentally falling into or through glazed doors, 
sliding glass doors, glazed panels, bathtub doors and enclosures and 
shower doors and enclosures.
    (iii) Lacerations, contusions, abrasions, and other injury or death 
resulting from the act of installing, replacing, storing or otherwise 
manipulating glazing material in doors, sliding glass doors, glazed 
panels, bathtub doors and enclosures and shower doors and enclosures, or 
from broken glazing material in doors, sliding glass doors, glazed 
panels, bathtub doors and enclosures and shower doors and enclosures. 
The Commission estimates that 73,000 injuries associated with 
architectural glazing materials in the architectural products within the 
scope of this standard were treated in hospital emergency rooms during 
1975, and that about 2,400 of these injuries required the patients to be 
hospitalized. Extrapolating to total injuries in the United States the 
Commission further estimates that approximately 190,000 injuries were 
associated with architectural glazing products covered by this standard. 
Although injuries occur at any age, children aged 14 and under appear to 
be at particular risk of injury since as a group they represent 
approximately half the injuries while comprising less than 30 percent of 
the population. Lacerations are the most common injuries associated with 
architectural glazing materials and account for 72 percent to 93 percent 
of the injuries associated with the architectural products identified in 
paragraph (a) of this section. These lacerative injuries span a broad 
spectrum of severity and extent of body part affected. During 1975, an 
estimated 200 injuries were treated in emergency rooms for lacerations 
over 25 to 50 percent of the victims' bodies and over 7,000 persons were 
treated for lacerations to the head or face. On the basis of all injury 
information available to the Commission, it is apparent that the 
severity of the injuries associated with architectural glazing materials 
ranges from minor cuts to damage to tendons, nerves, muscles, and blood 
vessels resulting in extensive surgery. Peripheral nerve injuries result 
in varying degres of loss in sensation and motion which may never be 
restored completely. Tendon and muscle injuries may involve loss of 
movement. Some victims of architectural glazing material incidents are 
disfigured, and sustain emotional trauma as well. Severing of arteries 
and veins has led to death. One way of quantifying the extent of the 
public health problem relating to injuries associated with products is 
to estimate the total number of disability days resulting from the 
injuries. Using average days of restricted activity by age for specific 
injuries and body parts (Vital and Health Statistics, Series 10, Number 
57, National Center for Health Statistics, U.S. Department of Health, 
Education, and Welfare), it is estimated that about

[[Page 198]]

230,000 days of restricted activity resulted from injuries associated 
with architectural products which were treated in emergency rooms alone.
    (2) The approximate number of consumer products, or types or classes 
thereof, subject to the standard. The types of glazing materials 
affected by or subject to the standard are laminated glass, tempered 
glass, wired glass, organic-coated glass, annealed glass, and plastics. 
Architectural products that incorporate the aforementioned glazing 
materials that are also affected by or subject to the standard are: 
storm doors or combination doors, doors, bathtub doors, and enclosures, 
shower doors and enclosures, glazed panels and sliding glass doors 
(patio-type) (see paragraph (a) of this section). The Commission has 
estimated that 13 to 16 percent of the total market for glazing material 
incorporated in products within the scope of the standard will be 
affected by the standard. Most of the glazing subject to the standard is 
currently covered by state safety glazing legislation. To date, more 
than 30 states have enacted safety glazing legislation, but this 
legislation is neither consistent nor completely uniform among states. 
Annual markets for the architectural products which incorporate glazing 
material and that are within the scope of the standard have been 
estimated by the Commission in terms of square feet of glazed area and 
number of units. The market for glazing material incorporated in 
products within the scope of the standard was estimated to be 234.8 
million square feet in 1975. These figures are discussed in the Economic 
Impact Statement, pp. 3-7, and appendix A to the Economic Impact 
Statement, pp. 18-30, which are available for review in the Office of 
the Secretary of the Commission, Washington, D.C. 20207.
    (3) The need of the public for the architectural glazing material 
and products incorporating that glazing material subject to the 
standard, and the probable effect of the standard upon the utility, cost 
or availability of those products to meet the need of the public--(i) 
The need of the public for the architectural glazing materials and 
products incorporating that glazing material. The need of the public for 
architectural products within the scope of the standard incorporating 
glazing material is substantial since these products serve such 
functions as transmission of light, visual communication, protection 
from weather, ventilation, and indoor climate control, and since 
reasonable substitutes for these products do not exist as a group. Each 
of the types of glazing material subject to the standard has individual 
properties which meet public needs, although one type of glazing 
material is often an acceptable substitute for another.
    (ii) Probable effect of the standard upon the cost of architectural 
glazing materials and architectural products incorporating the glazing 
material to meet the need of the public for the products. The probable 
cost effects of the standard for architectural glazing materials are 
listed below.
    (A) The cost impact of the standard on consumers will be 
concentrated in those states with no present state safety glazing 
legislation. In those states, the average increase in cost per housing 
start resulting from the standard is estimated to range from $30 to $50, 
or approximately one-tenth of one percent of the price of a typical new 
house; and the cost for residential remodeling and replacement is 
expected to be in the range of $0.25 to $0.30 per household annually.
    (B) The increased cost of glazing material for nonresidential uses 
will be paid ultimately by consumers through higher prices of goods and 
services. Generally, the increased cost of glazing is not passed to 
consumers immediately, but is spread over the life of the nonresidential 
structure. Therefore, the increased cost to consumers for glazing 
material in nonresidential structures will probably rise slowly over 
time to an annual level of approximately $1.10 per household in states 
with no safety glazing legislation and $0.20 to $0.50 per household in 
the other states. In many of the states with state regulations, the 
impact of the standard on residential construction and new housing 
prices will be near zero, since most of the glazing is currently covered 
by the state glazing legislation.
    (C) The probable effect of the standard on the various glazing 
materials within the scope of the standard will

[[Page 199]]

differ. The retail price of laminated glass used in some Category II 
applications will probably increase by 10 to 15 percent per square foot. 
The incremental cost to consumers for ungraded laminated glass is 
estimated to be approximately $0.14 per household, annually. The cost to 
consumers for tempered glass, organic-coated glass, and plastics is not 
expected to increase because of the standard. Information available to 
the Commission indicates that the technology needed for producing wired 
glass which can comply with the standard is not readily available. See 
appendix A of the Economic Impact Statement, pp. 45-56, for the 
incremental cost calculation by product category and application.
    (iii) Probable effect of the standard upon the utility of 
architectural glazing materials and architectural products incorporating 
the glazing materials to meet the need of the public for the products. 
The probable effect of the standard in regard to the utility of 
architectural glazing materials and the architectural products 
incorporating glazing material should be to increase the utility of the 
products. The basic effect of the standard would be the substitution of 
certain safer glazing materials for annealed glass in certain 
architectural products. The Commission believes that such a substitution 
would increase utility for most consumers because of the usually 
increased durability of the glazing material that complies with the 
Commission's standard, and the knowledge that the product incorporating 
the glazing material is safer. There will be disutility for those 
consumers who prefer non-complying wired glass and organic-coated glass 
when these materials become unavailable for certain applications due to 
their likely inability to comply with the standard. However, the share 
of the glazing material market claimed by organic-coated and wired glass 
is small.
    (iv) Probable effect of the standard upon the availability of 
architectural glazing materials and architectural products incorporating 
the glazing materials to meet the need of the public for the products. 
The Commission finds that the proposed standard should not have impacts 
of significant magnitude on the availability of architectural products 
within the scope of the standard, since domestic production capacity 
appears to be sufficient to handle any increased demand for glazing 
material to be used in those products. In addition, an increased demand 
for raw materials necessary to manufacture glazing materials that comply 
with the standard will be small in comparison to the volume of raw 
materials currently used for glazing for the products that will be 
subject to the standard. Furthermore, no major change in demand for the 
architectural products subject to the standard incorporating glazing 
materials which would affect production is expected. The Commission 
finds that, in the absence of technological advances, certain glazing 
materials will no longer be available for particular applications. 
Unless technological advances are made, wired glass will be unavailable 
for use in the architectural products within the scope of the standard 
with the exception of fire door applications where special provisions of 
the standard apply. Similarly, organic-coated glass which has the film 
applied to annealed glass at the factory may no longer be available for 
Category II products due to an inability to pass those impact test 
provisions of the standard. The availability of glass replacement 
glazing in residential applications may be reduced, since plastic 
glazing often will be the only economical material available to 
consumers when immediate replacement is needed.
    (4) Any means of achieving the objectives of the standard while 
minimizing adverse effects on competition or disruption or dislocation 
of manufacturing and other commercial practices consistent with the 
public health and safety. The Commission has considered other means of 
achieving the objective of the standard, but has found none that it 
believes would have fewer adverse effects on competition or that would 
cause less disruption or dislocation of manufacturing and other 
commercial practices, consistent with the public health and safety. For 
the glazing industry in general, the disruptions and dislocations of 
existing manufacturing and commercial practices due to the standard are 
expected to be minor. However, it is possible that individual segments 
of

[[Page 200]]

the glazing materials industry are likely to be adversely affected by 
the standard. Specifically, there is likely to be disruption to the 
wired glass market, the organic-coated glass market and, to a lesser 
extent, to the laminated glass market. Manufacturers of wired glass will 
face a serious problem because technological improvements in the product 
will need to be made before wired glass can be used in Category I 
applications and because it probably will not be usable at all in 
Category II applications (see Sec. 1201.2(a) (3) and (4) of the 
standard), since there appears to be little prospect at this time of 
developing a wired glass product capable of withstanding the Category 
II, 400 foot pound impact test prescribed in Sec. 1201.4 of the 
standard. Laminated glass currently used for Category I applications can 
meet the 150 foot pound impact test requirements, but not all laminated 
glass currently used for Category II applications can meet the 400 foot 
pound impact test requirements. The price increase for technologically 
upgrading laminated glass will be borne by consumers. The Commission 
believes, however, that the competitive impact of the proposed changes 
would not severely weaken the position of laminated glass in the market 
place. The wired glass, organic-coated glass, and laminated glass 
markets affected by the standard are small in relation to the entire 
industry. The standard is not expected to have an appreciable impact on 
foreign or domestic competition. Increased competition is expected 
between primary glass temperers and regional temperers, with primary 
temperers taking an increased share of the original storm door, sliding 
door, bathtub enclosure and shower door markets. Sales of nonresidential 
glazing for major nonresidential buildings will remain with the primary 
glass companies. The regional temperers are expected to handle almost 
all the tempering of glazing for smaller nonresidential buildings. Thus, 
they will gain some of this market at the expense of local dealers and 
distributors. However, the distributors and dealers probably will 
operate as order takers for the smallest jobs. It is expected that 
glazing distributors and dealers will experience reduced market shares 
in both the residential and nonresidential new glazing markets. This 
will occur as a result of the transfer of business to the primary glass 
manufacturers and regional temperers, since tempered glass must be 
produced to size and it is not feasible to keep in inventory all sizes 
which might be needed.
    (5) Summary finding. The Commission finds that there are 
unreasonable risks of injury associated with architectural glazing 
materials used in the architectural products listed in paragraph (a) of 
this section. In assessing the question of whether unreasonable risks of 
injury or injury potential are associated with architectural glazing 
materials, the Commission has balanced the degree, nature and frequency 
of injury against the potential effect of the standard on the ability of 
architectural glazing materials to meet the need of the public and the 
effect of the standard on the cost, utility, and availability of 
architectural glazing materials to meet that need. The Commission finds 
that this standard, including its effective date, is reasonably 
necessary to eliminate or reduce the unreasonable risks of injury 
associated with architectural glazing materials and that promulgation of 
the standard is in the public interest.

(Sec. 9(e), Pub. L. 92-573, 86 Stat. 1215 (15 U.S.C. 2058(e)) (5 U.S.C. 
553)

[42 FR 1441, Jan. 6, 1977, as amended at 43 FR 57246 Dec. 7, 1978; 45 FR 
57389, Aug. 28, 1980; 47 FR 27856, June 28, 1982; 49 FR 7107, Feb. 27, 
1984]



Sec. 1201.2  Definitions.

    (a) As used in this part 1201:
    (1) Annealed glass means glass that has been subjected to a slow, 
controlled cooling process during manufacture to control residual 
stresses so that it can be cut or subjected to other fabrication. 
Regular polished plate, float, sheet, rolled, and some patterned surface 
glasses are examples of annealed glass.
    (2) Bathtub doors and enclosures means assemblies of panels and/or 
doors that are installed on the lip of or immediately surrounding a 
bathtub.
    (3) Category I products means any of the following architectural 
products:
    (i) Storm doors or combination doors that contain no single piece of 
glazing

[[Page 201]]

material greater than 9 square feet (0.83 square meters) in surface area 
of one side of the piece of glazing material.
    (ii) Doors that contain no single piece of glazing material greater 
than 9 square feet (0.83 square meters) in surface area of one side of 
the piece of glazing material.
    (4) Category II products means any of the following architectural 
products:
    (i) Shower doors and enclosures.
    (ii) Bathtub doors and enclosures.
    (iii) Sliding glass doors (patio type).
    (iv) Storm doors or combination doors that contain any piece of 
glazing material greater than 9 square feet (0.83 square meters) in 
surface area of one side of the piece of glazing material.
    (v) Doors that contain any piece of glazing material greater than 9 
square feet (0.83 square meters) in surface area of one side of the 
piece of glazing material.
    (5) Distributor means a person to whom a consumer product is 
delivered or sold for purposes of distribution in commerce, including 
persons cutting glazing material to size, except that such term does not 
include a manufacturer or retailer of such product.
    (6) Distribution in commerce means to sell in commerce, to introduce 
or deliver for introduction into commerce, or to hold for sale or 
distribution after introduction into commerce.
    (7) Door means an assembly that is installed in an interior or 
exterior wall; that is movable in a sliding, pivoting, hinged, or 
revolving manner of movement; and that is used by consumers to produce 
or close off an opening for use as a means of human passage.
    (8) Fabricator means any person who assembles or otherwise 
incorporates glazing materials into an architectural product listed in 
Sec. 1201.1(a). A fabricator is considered a manufacturer as defined in 
paragraph (a)(16) of this section.
    (9) Glass means a hard, brittle, amorphous substance produced by 
fusion, usually consisting of mutually dissolved silica and silicates 
that also contains sods and lime. It may be transparent, translucent, or 
opaque.
    (10) [Reserved]
    (11) Glazing material means glass, including annealed glass, organic 
coated glass, tempered glass, laminated glass, wired glass; or 
combinations thereof where these are used:
    (i) In openings through the architectural products listed in Sec. 
1201.1(a), or
    (ii) As the architectural products themselves, e.g. unframed doors.
    (12) Jalousie door means a door (as ``door'' is defined in paragraph 
(a)(7) of this section) having an opening glazed with operable, 
overlapping louvers. Each louver is one of a series of overlapping 
pieces of glazing material designed to admit ventilation and light but 
exclude rain and is typically operated by a crank and gear mechanism.
    (13) Laminated glass means glazing material composed of two or more 
pieces of glass, each piece being either tempered glass, heat 
strengthened glass, annealed glass or wired glass, bonded to an 
intervening layer or layers of resilient plastic material.
    (14) Leaded glass means a decorative composite glazing material made 
of individual pieces of glass whose perimeter is enclosed by lengths of 
durable metal such as lead or zinc and the pieces of glass are 
completely held together and supported by such metal. Such pieces of 
glass can be clear, colored, beveled, painted, or flashed and etched.
    (15) Manufacture means to manufacture, produce or assemble.
    (16) Manufacturer means any person who manufactures, fabricates or 
imports a glazing material or architectural product listed in Sec. 
1201.1(a) that incorporates glazing material.
    (17) Mirror means a treated, polished or smooth glazing material 
that forms images by the reflection of light.
    (18) Mobile home means a structure transportable in one or more 
sections, which is eight body feet (2.4 body meters) or more in width 
and is thirty-two body feet (9.7 body meters) or more in length, and 
which is built on a permanent chassis and designed to be used as a 
dwelling with or without a permanent foundation when connected to the 
required utilities.
    (19) Other buildings or parts thereof means buildings or parts 
thereof (other than residential, school, public, or recreational 
buildings) in which all or

[[Page 202]]

part of the building is open to the public with or without specific 
invitation. Included are buildings or parts thereof such as banks and 
recreational or retail facilities in a building and multiuse buildings 
that contain residential units.
    (20) Organic-coated glass means a glazing material consisting of a 
piece of glass, coated and bonded on one or both sides with an applied 
polymeric coating, sheeting, or film.
    (21) Patio door (See ``sliding glass doors (patio-type)'' in 
paragraph (a)(31) of this section).
    (22) Permanent label means a label that will remain permanently 
legible and visible after installation of the glazing material and that 
would be destroyed in attempts to remove it from the glazing material 
and includes (but is not limited to) sandblast, acid etch, hot-stamp, 
and destructible polyester labels.
    (23) [Reserved]
    (24) Private labeler means an owner of a brand or trademark on the 
label of a consumer product which bears a private label, and includes 
any fabricator, distributor, or installer who cuts certified and 
permanently labeled glazing materials into smaller pieces.
    (25) Public building means a building of public assembly or meeting 
including (but not limited to) a museum, place of worship, or 
restaurant.
    (26) Recreational building means a building used for recreational 
purposes including (but not limited to) a theater, stadium, gymnasium, 
amusement park building or library.
    (27) Residential building means a building, permanent or temporary, 
such as a single or multifamily residence, including (but not limited 
to) a house, apartment building, lodging home, dormitory, hotel, motel, 
hospital, sanitarium, and nursing home, used as a dwelling for one or 
more persons or families and any structure which is attached to, a part 
of, or appurtenant to such a building. Public areas of all residential 
buildings, such as lobbies and other common facilities, are included 
within the definition of ``other buildings or parts thereof'' in 
paragraph (a)(19) of this section. For purposes of this part 1201, a 
mobile home as defined in paragraph (a)(18) of this section is not 
considered to be a residential building.
    (28) Retailer means a person to whom a consumer product is delivered 
or sold for purposes of sale or distribution by such person to a 
consumer; the term retailer includes a person who cuts glazing material 
to size for consumers.
    (29) School building means a building designed primarily for the 
conduct of educational instruction and includes the classrooms, 
libraries, administrative offices, auditoriums, eating and sanitary 
facilities, stadiums, gymnasiums and all other structures associated 
with such buildings.
    (30) Shower door and enclosure means an assembly of one or more 
panels installed to form all or part of the wall and or door of a shower 
stall.
    (31) Sliding glass door (patio-type) means an assembly of one or 
more panels, at least one of which is suitably movable for use as a 
means of human ingress or egress. The term includes the nonmovable and 
movable panels of such assembly.
    (32) Storm door (or combination door) means a movable assembly, used 
in tandem with an exterior door to protect the exterior door against 
weather elements and/or to improve indoor climate control.
    (33) Tempered glass means a piece of specially heat treated or 
chemically treated glass that cannot be cut, drilled, ground, or 
polished after treatment without fracture. When fractured at any point, 
if highly tempered, the entire piece breaks into small particles.
    (34) Wired glass means a single piece of annealed glass that 
contains wire embedded in the body of the glass.
    (35) Commission means the Consumer Product Safety Commission.
    (36) Carved glass means a decoration glazing material in which a 
permanent visible design has been produced by polishing, grinding, or 
otherwise removing portions of the surface.
    (37) Dalle glass or dalle de verre (including faceted glass) means a 
decorative composite glazing material made of individual pieces of glass 
which are imbedded in a cast matrix of concrete or epoxy.
    (b) Definitions given in the Consumer Product Safety Act, and not 
repeated

[[Page 203]]

in this section, are applicable to this part.
    (c) Test methods and recommended practices published by the American 
Society for Testing and Materials (ASTM) \1\, and referred to in this 
part 1201, are hereby incorporated by reference into this part.
---------------------------------------------------------------------------

    \1\ ASTM test methods and recommended practices are approved by, 
published by, and available for purchase from the American Society for 
Testing and Materials, 1916 Race Street, Philadelphia, Pennsylvania 
19103.
---------------------------------------------------------------------------

    (d) Test methods and recommended practices published by the American 
National Standards Institute (ANSI) and referred to in this part 1201, 
are hereby incorporated by reference into this part.

(Sec. 9(e), Pub. L. 92-573, 86 Stat. 1215; (15 U.S.C. 2058(e); (5 U.S.C. 
553))

[42 FR 1441, Jan. 6, 1977, as amended at 42 FR 61860, Dec. 7, 1977; 43 
FR 50422, Oct. 30, 1978; 43 FR 57247, Dec. 7, 1978; 45 FR 57389, Aug. 
28, 1980; 47 FR 27856, June 28, 1982]



Sec. 1201.3  General requirements.

    (a) All glazing materials to which this standard applies, as 
described in Sec. 1201.1, shall meet the impact and environmental test 
requirements in Sec. 1201.4, and shall be labeled by manufacturers in 
accordance with Sec. 1201.5.
    (b) Glazing materials used in architectural products not listed in 
Sec. 1201.1(a) are not subject to this part. Any material not listed in 
the definition of ``glazing material'' in Sec. 1201.2(a)(11) is not 
subject to this part 1201.

[42 FR 1441, Jan. 6, 1977, as amended at 47 FR 27856, June 28, 1982]



Sec. 1201.4  Test procedures.

    (a) Types of tests--(1) Impact test. Specimens shall be struck as 
prescribed by paragraph (d)(1) of this section using equipment specified 
by paragraphs (b) (1) and (2) of this section. Results of the impact 
test are to be interpreted in accordance with paragraph (e)(1) of this 
section. The test specimens shall be selected in accordance with 
paragraphs (c) (1) and (2) of this section.
    (2) Accelerated environmental durability tests. Each specimen of 
glazing material subject to this part 1201 shall be tested in accordance 
with the accelerated tests referenced in table 1, ``Accelerated Tests'' 
of this section. However, tempered glass, wired glass, and annealed 
glass are not required to be subjected to the accelerated environmental 
durability tests.

                                Table 1--Accelerated Test (Applicable Paragraphs)
----------------------------------------------------------------------------------------------------------------
                                                                                                  Criteria for
     Glazing materials                Specimen             Test equipment        Exposure           passing
----------------------------------------------------------------------------------------------------------------
Laminated glass              Sec.  1201.4(c)(1) and     Sec.              Sec.              Sec.
                              (c)(3)(i)                   1201.4(b)(3)(i)    1201.4(d)(2)(i)    1201.4(e)(2)(i)
Organic coated glass         Sec.  1201.4(c)(1) and     Sec.              Sec.              Sec.
                              (c)(3)(ii)(B)               1201.4(b)(3)(ii)   1201.4(d)(2)(ii)   1201.4(e)(2)(ii)
                                                                             (B)                (B)
Tempered glass               Exempt                      .................  .................  .................
Wired glass                  Exempt                      .................  .................  .................
Annealed glass               Exempt                      .................  .................  .................
----------------------------------------------------------------------------------------------------------------

    (3) Separate testing is required for different glazing materials or 
for differences within a type of glazing material that could noticeably 
affect performance in the impact or environmental durability tests. Such 
differences could include (but are not limited to): Nominal thickness or 
thicknesses, method of manufacture (in appropriate cases), types and 
amounts of additives, and composition of base materials and adhesives.
    (b) Test equipment--(1) Impact test frame and subframe. (See figures 
1, 2, 3, and 4.) (i) The impact test frame shall be constructed to 
minimize movement and deflection of its members during testing. For this 
purpose, the structural framing and bracing members shall be steel 
angles 3 inches by 5 inches by \1/4\ inch (7.7 centimeters by 12.7 
centimeters by 0.7 centimeters) or other sections and materials of equal 
or greater rigidity.
    (ii) The structural framing shall be welded or securely bolted at 
the corners and braced by one of the alternate

[[Page 204]]

methods shown in figure 1 and shall be securely bolted to the floor.
    (iii) The inner subframe (see figures 2, 3, and 4) for securing the 
test specimen on all four edges shall be reinforced at each corner. The 
material is shown as wood in figure 3, but other materials may be used: 
Provided, The test specimen will contact only the neoprene strips, which 
shall have a shore A durometer hardness of 30 to 50.
    (iv) Any reasonable means may be used to secure the subframe to the 
test frame so long as the mounting is secure and the pressure on the 
glazing in the subframe is not significantly altered when the subframe 
is removed.
    (v) Pressures on the test specimen shall be controlled, and the 
compression of the neoprene strips shall be between 10 and 15 percent of 
the original thickness of the neoprene. Securing methods such as wing 
bolts and clamps shall be uniformly spaced no greater than 18 inches (45 
centimeters) apart with no fewer than two on any edge. To limit the 
compression of the neoprene and prevent distortion of the subframe, 
metal shims of an appropriate thickness shall be used as shown in 
figures 3 and 4.
    (2) Impactor. (i) The impactor shall be a leather punching bag as 
shown in figure 5 on this section. The bag shall be filled with No. 7\1/
2\ chilled lead shot to a total weight of completed assembly as shown in 
figure 5, of 100 pounds 4 ounces (45.360.11 kilograms). The rubber bladder shall be left in 
place and filled through a hole cut into the upper part. After filling 
the rubber bladder, the top should be either twisted around the threaded 
metal rod below the metal sleeve or pulled over the metal sleeve and 
tied with a cord or leather thong. Note that the hanging strap must be 
removed. The bag should be laced in the normal manner. The exterior of 
the bag shall be completely covered by \1/2\ inch (1.3 centimeters) wide 
glass filament reinforced pressure sensitive tape. (Figure 5.)
    (ii) Provisions shall be made for raising the impactor or to drop 
heights of up to 48 inches (1.22 meters). At its release it shall have 
been supported so that the rod going through its center was in line with 
the steel support cable in a manner designed to minimize wobble or 
oscillation after its release.
    (3) Environmental durability test equipment--(i) Boil test. Two 
containers of water shall be provided with means to maintain one at 
150[deg] 5 [deg]F (66[deg] 2 
[deg]C) and the second at a slow boil at atmospheric pressure. The 
containers shall be large enough to accept a rack holding three 
specimens, each 12 inches (30 centimeters) square, of the glazing 
material in a vertical position. The rack shall be positioned so that 
each specimen is surrounded by at least one inch (2.5 centimeters) of 
water.
    (ii) Simulated weathering test. The equipment shall be a xenon arc 
(water-cooled) Weather-Ometer employing a lamp rated at 6500 watts and 
automatic light monitoring and control systems. Borosilicate inner and 
outer filters shall be used. An appropriate water spray cycle shall be 
used. Operating procedures shall be in accordance with ASTM G 26-70, 
``Standard Recommended Practice for Operating Light--and Water-Exposure 
Apparatus (Xenon-Arc Type) for Exposure of Nonmetallic Materials,'' 
April 13, 1970, as augmented for plastics by ASTM D 2565-70, ``Standard 
Recommended Practice for Operating Xenon-Arc Type (Water-Cooled) Light- 
and Water-Exposure Apparatus for Exposure of Plastics,'' Procedure B, 
June 12, 1970, which are incorporated by reference. Copies of both 
documents are available from the American Society for Testing and 
Materials, 1916 Race Street, Philadelphia, Pennsylvania 19103. They are 
also available for inspection at the 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.
    (c) Test specimens--(1) Condition of specimens. All specimens shall 
be tested

[[Page 205]]

as supplied by the manufacturer, following removal of any temporary 
protective masking materials. No tests shall be commenced before the 
specimens have been stored in the laboratory for 4 hours. Specimens 
shall be arranged to permit free circulation of air to all surfaces 
during this period.
    (2) Impact specimens. Impact specimens shall be of the largest size 
manufactured up to a maximum width of 34 inches (86 centimeters) and a 
maximum height of 76 inches (1.9 meters). Specimens shall be tested for 
each nominal thickness offered by the manufacturer.
    (3) Environmental durability specimens--(i) Boil test. Three pieces 
12 inches by 12 inches (30 centimeters by 30 centimeters) with nominal 
thickness identical to those submitted for the impact test shall be 
used.
    (ii) Weathering tests--(A) [Reserved]
    (B) Organic-coated glass--(1) Orientation specified. Six organic-
coated glass specimens 2 inches by 6 inches (5 centimeters by 15 
centimeters) by nominal thickness identical to those submitted for the 
impact test shall be used.
    (2) Orientation unspecified. Nine organic-coated glass specimens, 2 
inches by 6 inches (5 centimeters by 15 centimeters) by nominal 
thickness identical to those submitted for the impact test shall be used 
except that when the glazing material is symmetric across its thickness, 
six specimens may be used.
    (iii) Indoor service. Four additional samples identical to those 
submitted for the impact test.
    (d) Test procedures--(1) Impact test procedure. Each specimen shall 
be struck within 2 inches (5 centimeters) of its geometric center with 
the impactor dropped from a single height, designated according to the 
product category. Specimens for Category I shall be impacted one time 
from a drop height of 18 to 18\1/2\ inches (458 to 470 millimeters). 
Specimens for Category II shall be impacted one time from drop height of 
48 to 48\1/2\ inches (1.22 to 1.23 meters). For all specimens that are 
not symmetric from surface to surface, an equal number of specimens 
shall be impacted on each side. For glazing materials which will be 
evaluated by paragraph (e)(1)(iii) of this section, this impact test 
procedure is not required.
    (2) Environmental durability test procedures--(i) Boil test. The 
specimens shall be immersed in the 150 F (66 [deg]C) water for 3 
minutes. They shall then be quickly removed and immersed in the boiling 
water and left there for 2 hours. The specimens shall then be removed, 
cooled, and dried for examination as specified in paragraph (e)(2)(i) of 
this section.
    (ii) Accelerated weathering test. The specimens shall be retained in 
the Weather-Ometer (paragraph (b)(3)(ii) of this section) for a period 
of 12001 hours, and exposed to a radiant flux of 
50 microwatts per square centimeter (12 calories per second per square 
centimeter) while monitoring at a wavelength of 340 nanometers.
    (A) [Reserved]
    (B) Organic-coated glass--(1) Orientation specified. Three specimens 
shall be mounted with the surface that is intended to be oriented 
indoors faced away from the radiation source; the other three specimens 
shall be kept in darkness at 73 [deg]F (23 [deg]C) for use as controls. 
Materials so tested shall be labeled according to Sec. 1201.5(c) of 
this part 1201.
    (2) Orientation unspecified. Three specimens shall be mounted with 
one of the surfaces toward the radiation; three specimens shall be 
mounted with the other surface toward the radiation, and three specimens 
shall be kept in darkness at 73 [deg]F (23 [deg]C) for use as controls. 
When the glazing material is symmetric across its thickness, three 
specimens shall be irradiated.
    (e) Interpretation of results--(1) Impact test. A glazing material 
may be qualified for use in both Category I and Category II products if 
it meets the impact requirements for Category II. A glazing material 
shall be judged to pass the impact test if the specimen tested meets any 
one of the criteria listed in paragraphs (e)(1) (i) through (v) of this 
section:
    (i) When breakage occurs (numerous cracks and fissures may occur) no 
opening shall develop in the test sample through which a 3 inch (76 
millimeter) diameter solid steel sphere, weighing 4 pounds 3 oz (1.810.08 kilograms), passes 
when placed (not dropped) in the opening and permitted to remain for a 
period of one second.

[[Page 206]]

For this criterion, the sample after being impacted shall be placed, 
while remaining in the subframe, in a horizontal, impact side up 
position with a minimum of one foot (31 centimeters) of free space 
immediately beneath the specimen.
    (ii) When breakage occurs, what appear to be the 10 largest 
particles shall be selected within 5 minutes subsequent to the test and 
shall weigh no more than the equivalent weight of 10 square inches (64 
square centimeters) of the original specimen. For the purposes of this 
section particle means a portion of a broken test specimen which is 
determined by identifying the smallest possible perimeter around all 
points in the portion of the broken test specimen, always passing along 
cracks or exposed surfaces.
    (iii) [Reserved]
    (iv) The specimen does not remain within the subframe and no 
breakage is caused by the impactor.
    (v) The specimen does not break.
    (2) Environmental durability tests-- (i) Boil test. The glass itself 
may crack in this test, but no bubbles or other defects shall develop 
more than \1/2\ inch (12 millimeters) from the outer edge of the 
specimen or from any crack that may develop. Any specimen in which the 
glass cracks to an extent that confuses the interpretation of the 
results shall be discarded, and another specimen shall be tested in its 
stead.
    (ii) Accelerated weathering test--(A) [Reserved]
    (B) Organic-coated glass. Specimens shall be judged satisfactory if 
they pass both the adhesion test and the tensile test described below in 
paragraph (e)(ii)(B) (1) and (2) of this section.
    (1) Adhesion test (organic-coated glass only)--(i) Specimens. The 
specimens for this test are the 2 inch by 6 inch (5 centimeters by 15 
centimeters) weathered specimens and the control specimens. The 
specimens shall be conditioned just prior to the performance of the 
adhesion test at 73[deg] 6 [deg]F (23[deg] 3 [deg]C) and 505 percent relative 
humidity for 24 hours.
    (ii) Apparatus. The test apparatus shall consist of a constant-rate-
of-extension-type (CRE) tensile tester with the moving crosshead set to 
move at 12 inches per minute (5 millimeters per second) and load range 
such that the average pull force will fall at 30 to 50 percent of full 
scale. A cutter shall be used containing new razor blades for cutting 1 
inch (25 millimeter) wide specimens of the organic coating on the glass. 
The razor blades shall be used one time only.
    (iii) Procedure. Using the razor cutter, cut a straight, 1 inch (25 
millimeter) wide strip of the organic coating in the lengthwise 
direction of the glass specimen along and within \1/4\ inch (6 
millimeters) of one edge. Peel back, cleanly and evenly, about 2 inches 
(50 millimeters) of one end of the 1 inch (25 millimeters) wide organic 
strip. Attach a strip of reinforced pressure sensitive tape to the side 
of the organic strip opposite the adhesive, to extend this free end to 
about 8 inches (200 millimeters) in length. Place the end of the glass 
panel from which the organic strip was removed in the lower clamp of the 
tensile tester and the free end of the tape in the upper clamp. Peel the 
remainder of the organic strip from the glass mechanically and obtain a 
record of the pull force value. Determine and record the average pull 
force value for each specimen from the chart. Weathered and control 
specimens are to be tested alternately.
    (iv) Interpretation of results. The organic-coated glass adhesion 
shall be judged satisfactory if the average pull force for the weathered 
specimens is no less than 90 percent of the average pull force for the 
control specimens.
    (2) Tensile strength test (organic-coated glass only). (i) The 
specimens for this test are the same 2 inch by 6 inch (5 centimeter by 
15 centimeter) specimens used in the adhesion test.
    (ii) Apparatus. The CRE tensile tester shall be used with the moving 
crosshead set to move at 2 inches per minute (0.8 millimeter per second) 
and the load range such that the specimens will break at 30 to 60% of 
full scale. A cutter shall be used containing new razor blades for 
cutting \1/2\ inch (12 millimeter) wide specimens of the organic coating 
on the glass. The razor blades shall be used one time only.
    (iii) Procedure. Using the \1/2\ inch (12 millimeter) razor cutter, 
cut a straight strip of the organic coating in the

[[Page 207]]

lengthwise direction of the glass specimen for the full 6 inch (15 
centimeter) length. Carefully peel this strip from the glass panel and 
test it for breaking strength in the tensile tester.
    (iv) Interpretation of results. The organic coating tensile strength 
shall be judged satisfactory if the average tensile value of the 
weathered specimens is no less than 75 percent of the average of the 
control specimens. Weathered and control specimens are to be tested 
alternately.

(Sec. 9(e) Pub. L. 92-573, 86 Stat. 1215; (15 U.S.C. 2058(e)); (5 U.S.C. 
553); sec. 9(h), Consumer Product Safety Act, as amended by the Consumer 
Product Safety Amendments of 1981 (Pub. L. 92-673, as amended by Pub. L. 
97-35, 15 U.S.C. 2057(h)) and 5 U.S.C. 553)

[42 FR 1441, Jan. 6, 1977, as amended at 43 FR 43708, Sept. 27, 1978; 43 
FR 57594, Dec. 8, 1978; 45 FR 66007, Oct. 6, 1980; 46 FR 63250, Dec. 31, 
1981; 47 FR 27857, June 28, 1982]



Sec. 1201.5  Certification and labeling requirements.

    (a) Manufacturers and private labelers of glazing materials covered 
by this part 1201 shall comply with the requirements of section 14 CPSA 
(15 U.S.C. 2063) and regulations issued under section 14.
    (b) [Reserved]
    (c) Organic-coated glass that has been tested for environmental 
exposure from one side only must bear a permanent label on the coating 
stating ``GLAZE THIS SIDE IN'' and shall bear in the central 50 percent 
of the surface area the following message in letters at least \1/4\ inch 
(7 millimeters) high: ``SEE PERMANENT LABEL FOR IMPORTANT MOUNTING 
INSTRUCTION.'' The latter message shall be attached to either side of 
the glazing by any means which shall ensure the message will remain in 
place until installation.

[42 FR 1441, Jan. 6, 1977, as amended at 45 FR 66007, Oct. 6, 1980]



Sec. 1201.6  Prohibited stockpiling.

    (a) Stockpiling. For the purposes of this section, the term 
stockpiling means manufacturing or importing the affected products 
between the date of issuance of this part in the Federal Register and 
the effective date set out below in Sec. 1201.7 at a rate significantly 
greater (prescribed in paragraph (b) of this section) than the rate at 
which the affected products were produced or imported during a base 
period (prescribed in paragraph (c)(2) of this section).
    (b) Prohibited acts. Manufacturers and importers of glazing 
materials, fabricators, and manufacturers or importers of architectural 
products specified in Sec. 1201.1(a) who incorporate glazing material 
shall not incorporate glazing materials which do not comply with the 
requirements of this part 1201 into such products between the date of 
issuance of this part in the Federal Register and the effective date set 
out in Sec. 1201.7 below at a rate greater than the rate of production 
or importation during the base period (defined in paragraph (c)(2) of 
this section) plus ten percent. For wired glass used in doors or other 
assemblies subject to this part 1201 and intended to retard the passage 
of fire, when such doors or other assemblies are required by a Federal, 
State, local or municipal fire ordinance, the rate of production during 
the base period may be increased annually by no more than 10 percent.
    (c) Definitions. As used in this section:
    (1) Rate of production (or importation) means the total number of 
affected architectural products incorporating glazing material not 
complying with this part manufactured or imported during a stated base 
period.
    (2) Base period means, at the option of the manufacturer or 
importer, any period of 180 consecutive days prior to January 6, 1977, 
said period to be selected within an interval which begins July 6, 1975.



Sec. 1201.7  Effective date.

    The effective date of this part 1201 shall be July 6, 1977 except:
    (a) For glazing materials used in doors or other assemblies subject 
to this part and intended to retard the passage of fire when such doors 
or other assemblies are required by a Federal, State, or local or 
municipal fire ordinance, the effective date shall be January 6, 1980.
    (b) Architectural glazing materials manufactured before July 6, 1977 
may be incorporated into architectural products listed in Sec. 
1201.1(a) through July 5, 1978 if:

[[Page 208]]

    (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 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]

[[Page 209]]



  Sec. Figure 1 to Subpart A of Part 1201--Glass Impact Test Structure

[GRAPHIC] [TIFF OMITTED] TC03OC91.004


[[Page 210]]





           Sec. Figure 2 to Subpart A of Part 1201--Test Frame

[GRAPHIC] [TIFF OMITTED] TC03OC91.005


[[Page 211]]





     Sec. Figures 3 and 4 to Subpart A of Part 1201--Test Specimens

[GRAPHIC] [TIFF OMITTED] TC03OC91.006


[[Page 212]]





            Sec. Figure 5 to Subpart A of Part 1201--Impactor

[GRAPHIC] [TIFF OMITTED] TC03OC91.007


[[Page 213]]



Subpart B [Reserved]



            Subpart C_Statements of Policy and Interpretation



Sec. 1201.40  Interpretation concerning bathtub and shower doors and 

enclosures.

    (a) Purpose and background. The purpose of this section is to 
clarify the scope of the terms ``bathtub doors and enclosures'' and 
``shower door and enclosure'' as they are used in the Standard in 
subpart A. The Standard lists the products that are subject to it (Sec. 
1201.1(a)). This list includes bathtub doors and enclosures, a term 
defined in the Standard to mean ``assemblies of panels and/or doors that 
are installed on the lip of or immediately surrounding a bathtub'' 
(Sec. 1201.2(a)(2)). The list also includes shower doors and 
enclosures, a term defined to mean ``(assemblies) of one or more panels 
installed to form all or part of the wall and/or door of a shower 
stall'' (Sec. 1201.2(a)(30)). Since the Standard became effective on 
July 6, 1977, the question has arisen whether the definitions of these 
products include glazing materials in a window that is located over a 
bathtub or within a shower stall and in the exterior wall of a building. 
The definitions of the terms ``bathtub doors and enclosures'' and 
``shower door and enclosure'' contain no specific exemption for glazing 
materials in such windows. If read literally, the Standard could include 
glazing materials in an exterior wall window located above a bathtub 
because that window could be interpreted as being ``immediately 
surrounding'' the bathtub. Similarly, the Standard, if read literally, 
could include glazing materials in an exterior wall window because that 
window could be interpreted as forming ``all or part of the wall * * * 
of a shower stall.''
    (b) Interpretation. When the Consumer Product Safety Commission 
issued the Standard, it did not intend the standard to apply to any item 
of glazing material in a window that is located over a bathtub or within 
a shower stall and in the exterior wall of a building. The Commission 
clarifies that the Standard does not apply to such items of glazing 
material or such windows. This interpretation applies only to the term 
``bathtub doors and enclosures'' and ``shower door and enclosure'' and 
does not affect the applicability of the Standard to any other product.

[46 FR 45751, Sept. 15, 1981]



PART 1202_SAFETY STANDARD FOR MATCHBOOKS--Table of Contents




Sec.
1202.1 Scope and effective date.
1202.2 Findings.
1202.3 Definitions.
1202.4 Matchbook general requirements.
1202.5 Certification.
1202.6 Marking.
1202.7 Prohibited stockpiling.

    Authority: Secs. 2, 3, 7, 9, 14, 16, and 19. Pub. L. 92-573, 86 
Stat. 1212-17 (15 U.S.C. 2051, 2052, 2056, 2058, 2063, 2065, and 2068).

    Source: 43 FR 53709, Nov. 17, 1978, unless otherwise noted.



Sec. 1202.1  Scope and effective date.

    (a) Scope. This part 1202, a consumer product safety standard, 
prescribes the safety requirements, including labeling requirements, for 
the matchbook. This part 1202 applies to all matchbooks manufactured in 
or imported into the United States after its effective date.
    (b) Effective date. The effective date shall be May 4, 1978.



Sec. 1202.2  Findings. \1\
---------------------------------------------------------------------------

    \1\ The Commission's findings apply to the matchbook standard that 
it published on May 4, 1977 (42 FR 22656-70). On Mar. 31, 1978, the U.S. 
Court of Appeals for the First Circuit set aside portions of that 
standard (D. D. Bean & Sons, Co. v. CPSC, 574 F. 2d 643). On Nov. 17, 
1978, the Commission published a revised version of the standard which 
reflects the court's decision. However, the findings have not been 
revised and they are therefore not fully applicable to the revised 
matchbook requirements. For example, the revised standard does not 
address the unreasonable risk of injury of ``[b]urn injuries that have 
been sustained by persons from fires that have been set by the afterglow 
of extinguished bookmatches'' (Sec. 1202.2(a)(6)) because the court set 
aside the afterglow performance requirement.
---------------------------------------------------------------------------

    (a) Risk of injury. The Commission finds that unreasonable risks of 
injury from accidents are associated with matchbooks. These unreasonable 
risks,

[[Page 214]]

which this part 1202 is intended to reduce or eliminate, are:
    (1) Burn injuries, sustained by children and others, including 
mentally or physically impaired persons, who play with or otherwise 
improperly use bookmatches.
    (2) Burn injuries sustained by persons who use bookmatches that 
fragment or have delayed ignition.
    (3) Eye injuries sustained by persons who use bookmatches that 
fragment and cause particles from such matches to lodge in a person's 
eye.
    (4) Burn injuries sustained by persons who use bookmatches that, 
when struck, ignite the remaining matches in the matchbook.
    (5) Burn injuries sustained by persons from fires that have resulted 
from unexpected ignition of bookmatches with no deliberate action by the 
user.
    (6) Burn injuries that have been sustained by persons from fires 
that have been set by the afterglow of extinguished bookmatches.
    (b) Products subject to this standard. (1) The products subject to 
this standard are those kinds of manufactured ignition devices known as 
matchbooks. The matchbook consists of a group of bookmatches joined 
together and fastened within a cover. Although matchbooks are commonly 
referred to as paper matches or paper-stem matches to distinguish them 
from individual stick matches such as wooden stem matches packaged in 
boxes, all matchbooks, regardless of the materials of manufacture of the 
covers or of the bookmatches fastened within, are subject to this 
standard.
    (2) Matchbooks subject to this standard can be divided into two 
basic categories: Resale matchbooks and special reproduction matchbooks. 
Resale matchbooks can be subdivided into advertising and nonadvertising 
matchbooks. Nonadvertising matchbooks are generally sold by large chain 
stores, and constitute a small portion of the total resale matchbook 
volume. Resale matchbooks with advertising are generally given away by 
tobacco shops, drug stores, vending firms, and other mass distribution 
outlets. Special reproduction matchbooks, characterized by their 
distinctive and unique cover designs, are purchased and distributed for 
promotional purposes by hotels, restaurants, financial institutions, and 
other business enterprises, and are given free to users.
    (3) The Commission estimates that resale matchbooks accounted for 
almost 75 percent of the volume of matchbooks in 1975, or about 15 
billion matchbooks, while special reproduction matchbooks accounted for 
just over 25 percent, or about 5.5 billion matchbooks.
    (c) Effects on utility, cost, and availability. (1) The Commission 
finds that the public need for ignition devices which are small, 
portable, and can be used to provide a source of fire, is substantial 
since such products meet basic requirements for a source of fire to 
ignite tobacco products, fires, candles, or other products, and are also 
used for miscellaneous other purposes such as providing short term 
illumination. Three types of products: Matchbooks, individual stick 
matches, and lighters, predominantly supply the source of fire to meet 
these requirements.
    (i) The Commission estimates that in 1976 U.S. consumers required 
approximately 645 billion such fire sources or ``lights,'' as they are 
known, with almost 98 percent of this total required for tobacco 
products. In the aggregate, the requirements by U.S. consumers for a 
source of fire has been growing at an annual rate of approximately 3 
percent. Matchbooks, the products regulated in this standard, are 
estimated to have supplied about 65 percent of the source of lights, 
lighters accounted for about 25 percent, and individual stick matches 
(primarily wooden-stem type) accounted for the remainder.
    (ii) The Commission also finds that matchbooks fulfill a need by 
institutions and business enterprises for a particular form of specialty 
advertising that is both relatively inexpensive and effective in 
reaching a specified audience or population segment with the 
advertiser's message. Various studies of matchbooks as a form of 
advertising have found that readership can average 3 to 15 times higher 
than average readership, listenership, and viewership figures from 
competing media such as magazines, newspapers,

[[Page 215]]

radio, and television, and that readership retention of the matchbook 
advertising message was extremely high, about 45 percent. In addition, 
matchbooks tend to be considerably less expensive than other forms of 
specialty advertising, including those competing advertising items such 
as address books, key cases, litterbags, and the like, which are 
themselves relatively inexpensive.
    (2) The Commission finds that the standard will have no adverse 
effects on the utility that consumers derive from matchbooks. To the 
extent that injuries and property damage associated with the use of 
matchbooks is reduced or eliminated as a result of this standard, the 
utility of matchbooks as a source of fire will be increased.
    (3) The Commission estimates that manufacturing cost increases as a 
direct or indirect effect of this standard will be modest for the 
industry as a whole. Such increases will tend to be concentrated in one-
time costs to complete changeover to reverse friction, and in costs to 
establish and implement testing programs and certification procedures.
    (i) Because some 80-90 percent of the matchbooks produced annually 
are given free to consumers, there is not likely to be any direct cost 
impact on the consumer as a result of the standard. Some proportion of 
increased manufacturing costs will be passed on to the institutions and 
business enterprises that purchase matchbooks for promotional purposes. 
To the extent that increases in advertising and promotional costs may be 
reflected in higher prices for goods and services sold by these 
businesses, there may be indirect cost effects on consumers. If so, such 
impacts would likely be small, if not imperceptible.
    (ii) For the 12-20 percent of matchbooks that are purchases at 
retail by consumers, some proportion of any manufacturing cost increases 
may be passed on to the consumer. A resulting increase in retail prices 
for such matchbooks will be small, no more than a few cents per box of 
50 matchbooks.
    (4) The Commission finds that the standard will not have impacts of 
significant magnitude on the availability of matchbooks. Although some 
institutions and business enterprises may reduce their matchbook 
purchases or eliminate them in response to any increased price of 
matchbooks, the large number of such purchasers, and the large volume 
purchased annually, are such that curtailment of purchases by some 
businesses is likely to have very small effects on the total number of 
matchbooks available to U.S. consumers.
    (d) Alternatives. (1) The Commission has considered other means of 
achieving the objective of the standard throughout the course of its 
development. Certain other more elaborate test requirements were 
considered and were shown to have the potential for severe adverse 
effects on competition and estimated to result in disruptions and 
dislocations of manufacturing and commercial practices. Therefore, 
having considered and rejected such other means of achieving the 
objective of the standard, the Commission has found none that would 
cause less disruption or dislocation of manufacturing and other 
commercial practices, consistent with the public health and safety than 
this standard.
    (2) Because of competition from substitute products such as 
inexpensive disposable butane lighters and because of other prevailing 
business and economic conditions, the industry manufacturing matchbooks 
has been in a state of contraction in recent years. This contraction, 
marked by the exit of some firms and by plant closings or 
consolidations, is likely to continue in the future; but this will 
neither be the result of, nor significantly accelerated by, effects of 
the standard. Currently, aggressive price and service competition 
prevails among firms vying for customer accounts. It is anticipated that 
this competition for sales may increase as an indirect effect of the 
standard. To the extent that this occurs, there may be some disruption 
or dislocation of manufacturing, sales, or distribution practices in 
certain matchbook product categories and market segments. Marginal firms 
and firms producing limited product categories or for limited market 
segments may be affected to a greater degree

[[Page 216]]

than multiproduct category or multimarket firms.
    (e) Conclusion. The Commission finds that this standard, including 
its effective date, is reasonably necessary to eliminate or reduce the 
unreasonable risks of injury associated with matchbooks and that the 
issuance of the standard is in the public interest.



Sec. 1202.3  Definitions.

    In addition to the definitions given in section 3 of the Consumer 
Product Safety Act (15 U.S.C. 2052), the following definitions apply for 
the purpose of this standard:
    (a) Bookmatch means a single splint, with a matchhead attached, that 
comes from a matchbook.
    (b) Bridge means the matchhead material held in common by two or 
more splints.
    (c) Broken bridge means a bridge that has become separated.
    (d) Caddy means a package of two or more matchbooks wrapped or boxed 
together at a production plant.
    (e) Comb means a piece of wood, paper, or other suitable material 
that has been formed into splints, that remain joined at their base, and 
that are designed to have matchheads attached to their tips.
    (f) Cover means the paperboard or other suitable material that is 
wrapped around and fastened to the comb(s).
    (g) Friction means the dried chemical mixture on the matchbook cover 
used to ignite the bookmatch.
    (h) Match means a single splint with matchhead attached.
    (i) Matchbook means one or more combs with matchheads attached and a 
cover that is wrapped around and fastened to those combs.
    (j) Matchhead means the dried chemical mixture on the end of a 
splint.
    (k) Splint means the support for the matchhead or that portion 
normally held when using the bookmatch.



Sec. 1202.4  Matchbook general requirements.

    A matchbook shall meet the following general requirements:
    (a) The friction shall be located on the outside back cover near the 
bottom of the matchbook.
    (b) The cover shall remain closed without external force.
    (c) No friction material shall be located on the inside of the cover 
where possible contact with the matchheads may occur during ordinary 
use.
    (d) There shall be no bridge(s) or broken bridge(s).
    (e) No matchhead in the matchbook shall be split, chipped, cracked, 
or crumbled.
    (f) No portion of any matchhead shall be outside the matchbook cover 
when the cover is closed.
    (g) No part of a staple or other assembly device for securing the 
cover and combs shall be within or touching the friction area.
    (h) A staple used as an assembly device for securing the cover and 
combs shall be fully clinched so that the ends are flattened or turned 
into the cover.



Sec. 1202.5  Certification.

    Certification shall be in accordance with section 14(a) of the 
Consumer Product Safety Act (15 U.S.C. 2063(a)). Under this provision, 
manufacturers and private labelers of products subject to safety 
standards must certify that their products conform to the standard, 
based on either a test of each product or on a reasonable testing 
program.



Sec. 1202.6  Marking.

    (a) The manufacturer's or private labeler's name and city or a 
symbol which will identify the name and city shall appear on the 
matchbook. In addition, every private labeler must label the matchbook 
with a code which enables it to identify, if requested, the manufacturer 
of the product.
    (b) Boxes or cartons in which two or more caddies are shipped shall 
be marked ``For safety, store in a cool, dry place.''



Sec. 1202.7  Prohibited stockpiling.

    Section 9(d)(2) of the Consumer Product Safety Act (15 U.S.C. 
2058(d)(2)) authorizes the Commission to prohibit manufacturers and 
importers from stockpiling a product subject to a consumer product 
safety standard between its date of issuance and its effective date. A 
manufacturer or importer is in violation of Section 9(d)(2) and of this

[[Page 217]]

section if it fails to comply with the following:
    (a) Definitions. (1) Base period means, at the option of the 
manufacturer or importer concerned, any period of 365 consecutive days 
beginning on or after January 1, 1973, and ending on or before December 
31, 1975.
    (2) Rate of production (or importation) means the total number of 
matchbooks manufactured (or imported) during a stated time period. In 
determining whether a matchbook was manufactured during a stated time 
period, the date on which the cover and combs were assembled to form a 
matchbook shall be used. In the event that a manufacturer currently 
operates a matchbook manufacturing plant that it did not operate during 
the base period, or that it did not operate for an entire base period, 
that manufacturer shall use, as the rate of production during the base 
period for that plant, either (i) the average daily rate of production 
(including nonproduction days such as Sundays, holidays, and vacations) 
for the part of the base period he did operate that plant, multiplied by 
365 or (ii) the rate of production during the base period of his most 
nearly similar matchbook manufacturing plant.
    (b) Prohibited act. Manufacturers and importers of matchbooks, as 
these products are defined in Sec. 1202.3(i), shall not manufacture or 
import matchbooks that do not comply with the requirements of this part 
between the date that this part is issued and the date that it becomes 
effective at a rate that is greater than the rate of production or 
importation during the base period plus 15 percent of that rate.
    (c) Documentation. Manufacturers and importers shall maintain, for a 
period of six (6) months after the effective date specified in Sec. 
1202.1(b), appropriate documentation to be able to substantiate to the 
Commission that they are in compliance with the provisions of this 
section.



PART 1203_SAFETY STANDARD FOR BICYCLE HELMETS--Table of Contents




                         Subpart A_The Standard

Sec.
1203.1 Scope, general requirements, and effective date.
1203.2 Purpose and basis.
1203.3 Referenced documents.
1203.4 Definitions.
1203.5 Construction requirements--projections.
1203.6 Labeling and instructions.
1203.7 Samples for testing.
1203.8 Conditioning environments.
1203.9 Test headforms.
1203.10 Selecting the test headform.
1203.11 Marking the impact test line.
1203.12 Test requirements.
1203.13 Test schedule.
1203.14 Peripheral vision test.
1203.15 Positional stability test (roll-off resistance).
1203.16 Dynamic strength of retention system test.
1203.17 Impact attenuation test.

                         Subpart B_Certification

1203.30 Purpose, basis, and scope.
1203.31 Applicability date.
1203.32 Definitions.
1203.33 Certification testing.
1203.34 Product certification and labeling by manufacturers (including 
          importers).

                         Subpart C_Recordkeeping

1203.40 Effective date.
1203.41 Recordkeeping requirements.

 Subpart D_Requirements for Bicycle Helmets Manufactured From March 17, 
                      1995, Through March 10, 1999

1203.51 Purpose and basis.
1203.52 Scope and effective date.
1203.53 Interim safety standards.

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.

[[Page 218]]


    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 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.

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

[[Page 219]]

    (c) Comfort or fit padding means resilient lining material used to 
configure the helmet for a range of different head sizes.
    (d) Coronal plane is an anatomical plane perpendicular to both the 
basic and midsagittal planes and containing the midpoint of a line 
connecting the right and left auditory meatuses. The ISO headforms are 
marked with a transverse plane corresponding to this coronal plane (see 
Figures 1 and 2 of this part).
    (e) Field of vision is the angle of peripheral vision allowed by the 
helmet when positioned on the reference headform.
    (f) Helmet positioning index (``HPI'') is the vertical distance from 
the brow of the helmet to the reference plane, when placed on a 
reference headform. This vertical distance shall be specified by the 
manufacturer for each size of each model of the manufacturer's helmets, 
for the appropriate size of headform for each helmet, as described in 
Sec. 1203.10.
    (g) Midsagittal plane is an anatomical plane perpendicular to the 
basic plane and containing the midpoint of the line connecting the 
notches of the right and left inferior orbital ridges and the midpoint 
of the line connecting the superior rims of the right and left auditory 
meatuses. The ISO headforms are marked with a longitudinal plane 
corresponding to the midsagittal plane (see Figures 1 and 2 of this 
part).
    (h) Modular elastomer programmer (``MEP'') is a cylindrical pad, 
typically consisting of a polyurethane rubber, used as a consistent 
impact medium for the systems check procedure. The MEP shall be 152 mm 
(6 in) in diameter, and 25 mm (1 in) thick and shall have a durometer of 
602 Shore A. The MEP shall be affixed to the top 
surface of a flat 6.35 mm (\1/4\ in) thick aluminum plate. See Sec. 
1203.17(b)(1).
    (i) Preload ballast is a ``bean bag'' filled with lead shot that is 
placed on the helmet to secure its position on the headform. The mass of 
the preload ballast is 5 kg (11 lb).
    (j) Projection is any part of the helmet, internal or external, that 
extends beyond the faired surface.
    (k) Reference headform is a headform used as a measuring device and 
contoured in the same configuration as one of the test headforms A, E, 
J, M, and O defined in draft ISO DIS 6220-1983. The reference headform 
shall include surface markings corresponding to the basic, coronal, 
midsagittal, and reference planes (see Figures 1 and 2 of this part).
    (l) Reference plane is a plane marked on the ISO headforms at a 
specified distance above and parallel to the basic plane (see Figure 3 
of this part).
    (m) Retention system is the complete assembly that secures the 
helmet in a stable position on the wearer's head.
    (n) Shield means optional equipment for helmets that is used in 
place of goggles to protect the eyes.
    (o) Spherical impactor is an impact fixture used in the instrument 
system check of Sec. 1203.17(b)(1) to test the impact-attenuation test 
equipment for precision and accuracy. The spherical impactor shall be a 
146 mm (5.75 in) diameter aluminum sphere mounted on the ball-arm 
connector of the drop assembly. The total mass of the spherical-impactor 
drop assembly shall be 5.00.1 kg (11.00.22 lb).
    (p) Test headform is a solid model in the shape of a human head of 
sizes A, E, J, M, and O as defined in draft ISO/DIS 6220-1983. Headforms 
used for the impact-attenuation test shall be constructed of low-
resonance K-1A magnesium alloy. The test headforms shall

[[Page 220]]

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.
    (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

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-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.
    (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

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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 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

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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.



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

[[Page 224]]

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 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

[[Page 225]]

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:
    (a) Foreign manufacturer means an entity that manufactured a bicycle 
helmet outside the United States, as defined in 15 2052(a)(10) and (14).
    (b) Manufacturer means the entity that either manufactured a helmet 
in the United States or imported a helmet manufactured outside the 
United States.
    (c) Private labeler means an owner of a brand or trademark that is 
used on a bicycle helmet subject to the standard and that is not the 
brand or trademark of the manufacturer of the bicycle helmet, provided 
the owner of the brand or trademark caused, authorized, or approved its 
use.
    (d) Production lot means a quantity of bicycle helmets from which 
certain bicycle helmets are selected for testing prior to certifying the 
lot. All bicycle helmets in a lot must be essentially identical in those 
design, construction, and material features that relate to the ability 
of a bicycle helmet to comply with the standard.
    (e) Reasonable testing program means any tests which are identical 
or equivalent to, or more stringent than, the tests defined in the 
standard and which are performed on one or more bicycle helmets selected 
from the production lot to determine whether there is reasonable 
assurance that all of the bicycle helmets in that lot comply with the 
requirements of the standard.



Sec. 1203.33  Certification testing.

    (a) General. Manufacturers, as defined in Sec. 1203.32(b) to 
include importers, shall conduct a reasonable testing program to 
demonstrate that their bicycle helmets comply with the requirements of 
the standard.

[[Page 226]]

    (b) Reasonable testing program. This paragraph provides guidance for 
establishing a reasonable testing program.
    (1) Within the requirements set forth in this paragraph (b), 
manufacturers and importers may define their own reasonable testing 
programs. Reasonable testing programs may, at the option of 
manufacturers and importers, be conducted by an independent third party 
qualified to perform such testing programs. However, manufacturers and 
importers are responsible for ensuring compliance with all requirements 
of the standard in subpart A of this part.
    (2) As part of the reasonable testing program, the bicycle helmets 
shall be divided into production lots, and sample bicycle helmets from 
each production lot shall be tested. Whenever there is a change in 
parts, suppliers of parts, or production methods, and the change could 
affect the ability of the bicycle helmet to comply with the requirements 
of the standard, the manufacturer shall establish a new production lot 
for testing.
    (3) The Commission will test for compliance with the standard by 
using the standard's test procedures. However, a reasonable testing 
program need not be identical to the tests prescribed in the standard.
    (4) If the reasonable testing program shows that a bicycle helmet 
may not comply with one or more requirements of the standard, no bicycle 
helmet in the production lot can be certified as complying until 
sufficient actions are taken that it is reasonably likely that no 
noncomplying bicycle helmets remain in the production lot. All 
identified noncomplying helmets in the lot must be destroyed or altered 
by repair, redesign, or use of a different material or component, to the 
extent necessary to make them conform to the standard.
    (5) The sale or offering for sale of a bicycle helmet that does not 
comply with the standard is a prohibited act and a violation of section 
19(a) of the CPSA (15 U.S.C. 2068(a)), regardless of whether the bicycle 
helmet has been validly certified.



Sec. 1203.34  Product certification and labeling by manufacturers (including 

importers).

    (a) Form of permanent label of certification. Manufacturers, as 
defined in Sec. 1203.32(a), shall issue certificates of compliance for 
bicycle helmets manufactured after March 11, 1999, in the form of a 
durable, legible, and readily visible label meeting the requirements of 
this section. This label is the helmet's certificate of compliance, as 
that term is used in section 14 of the CPSA, 15 U.S.C. 2063.
    (b) Contents of certification label. The certification labels 
required by this section shall contain the following:
    (1) The statement ``Complies with U.S. CPSC Safety Standard for 
Bicycle Helmets for Persons Age 5 and Older'' or ``Complies with U.S. 
CPSC Safety Standard for Bicycle Helmets for Persons Age 1 and Older 
(Extended Head Coverage)'', as appropriate; this label may spell out 
``U.S. Consumer Product Safety Commission'' instead of ``U.S. CPSC'';
    (2) The name of the U.S. manufacturer or importer responsible for 
issuing the certificate or the name of a private labeler;
    (3) The address of the U.S. manufacturer or importer responsible for 
issuing the certificate or, if the name of a private labeler is on the 
label, the address of the private labeler;
    (4) The name and address of the foreign manufacturer, if the helmet 
was manufactured outside the United States;
    (5) The telephone number of the U.S. manufacturer or importer 
responsible for issuing the certificate or, if the name of a private 
labeler is on the label, the telephone number of the private labeler;
    (6) An identification of the production lot; and
    (7) The uncoded month and year the product was manufactured.
    (c) Coding. (1) The information required by paragraphs (b)(4) and 
(b)(6) of this section, and the information referred to in paragraph 
(c)(2) of this section, may be in code, provided:
    (i) The person or firm issuing the certificate maintains a written 
record of the meaning of each symbol used in the code, and

[[Page 227]]

    (ii) The record shall be made available to the distributor, 
retailer, consumer, and Commission upon request.
    (2) A serial number may be used in place of a production lot 
identification on the helmet if it can serve as a code to identify the 
production lot. If a bicycle helmet is manufactured for sale by a 
private labeler, and if the name of the private labeler is on the 
certification label, the name of the manufacturer or importer issuing 
the certificate, and the name and address of any foreign manufacturer, 
may also be in code.
    (d) Placement of the label(s). The information required by 
paragraphs (b)(2), (b)(3), and (b)(5) of this section must be on one 
label. The other required information may be on separate labels. The 
label(s) required by this section must be affixed to the bicycle helmet. 
If the label(s) are not immediately visible to the ultimate purchaser of 
the bicycle helmet prior to purchase because of packaging or other 
marketing practices, a second label is required. That label shall state, 
as appropriate, ``Complies with U.S. CPSC Safety Standard for Bicycle 
Helmets for Persons Age 5 and Older'', or ``Complies with U.S. CPSC 
Safety Standard for Bicycle Helmets for Persons Age 1 and Older 
(Extended Head Coverage)''. The label shall be legible, readily visible, 
and placed on the main display panel of the packaging or, if the 
packaging is not visible before purchase (e.g., catalog sales), on the 
promotional material used with the sale of the bicycle helmet. This 
label may spell out ``U.S. Consumer Product Safety Commission'' instead 
of ``U.S. CPSC.''
    (e) Additional provisions for importers--(1) General. The importer 
of any bicycle helmet subject to the standard in subpart A of this part 
1203 must issue the certificate of compliance required by section 14(a) 
of the CPSA and this section. If a reasonable testing program meeting 
the requirements of this subpart has been performed by or for the 
foreign manufacturer of the product, the importer may rely in good faith 
on such tests to support the certificate of compliance, provided:
    (i) The importer is a resident of the United States or has a 
resident agent in the United States,
    (ii) There are records of such tests required by Sec. 1203.41 of 
subpart C of this part, and
    (iii) Such records are available to the Commission within 48 hours 
of a request to the importer.
    (2) Responsibility of importers. Importers that rely on tests by the 
foreign manufacturer to support the certificate of compliance shall--in 
addition to complying with paragraph (e)(1) of this section--examine the 
records supplied by the manufacturer to determine that they comply with 
Sec. 1203.41 of subpart C of this part.



                         Subpart C_Recordkeeping



Sec. 1203.40  Effective date.

    This subpart is effective March 10, 1999, and applies to bicycle 
helmets manufactured after that date.



Sec. 1203.41  Recordkeeping requirements.

    (a) General. Every person issuing certificates of compliance for 
bicycle helmets subject to the standard in subpart A of this part shall 
maintain records which show that the certificates are based on a 
reasonable testing program. The records shall be maintained for a period 
of at least 3 years from the date of certification of the last bicycle 
helmet in each production lot. These records shall be available, upon 
request, to any designated officer or employee of the Commission, in 
accordance with section 16(b) of the CPSA, 15 U.S.C. 2065(b). If the 
records are not physically available during the inspection because they 
are maintained at another location, the firm must provide them to the 
staff within 48 hours.
    (b) Records of helmet tests. Complete test records shall be 
maintained. These records shall contain the following information.
    (1) An identification of the bicycle helmets tested;
    (2) An identification of the production lot;
    (3) The results of the tests, including the precise nature of any 
failures;
    (4) A description of the specific actions taken to address any 
failures;
    (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;

[[Page 228]]

    (6) The manufacturer's name and address;
    (7) The model and size of each helmet tested;
    (8) Identifying information for each helmet tested, including the 
production lot for each helmet;
    (9) The environmental condition under which each helmet was tested, 
the duration of the helmet's conditioning, the temperatures in each 
conditioning environment, and the relative humidity and temperature of 
the laboratory;
    (10) The peripheral vision clearance;
    (11) A description of any failures to conform to any of the labeling 
and instruction requirements;
    (12) Performance impact results, stating the precise location of 
impact, type of anvil used, velocity prior to impact, and maximum 
acceleration measured in g's;
    (13) The results of the positional stability test;
    (14) The results of the dynamic strength of retention system test;
    (15) The name and location of the test laboratory;
    (16) The name of the person(s) who performed the test;
    (17) The date of the test; and
    (18) The system check results.
    (c) Format for records. The records required to be maintained by 
this section may be in any appropriate form or format that clearly 
provides the required information. Certification test results may be 
kept on paper, microfiche, computer disk, or other retrievable media. 
Where records are kept on computer disk or other retrievable media, the 
records shall be made available to the Commission on paper copies, or 
via electronic mail in the same format as paper copies, upon request.



 Subpart D_Requirements For Bicycle Helmets Manufactured From March 17, 
                      1995, Through March 10, 1999



Sec. 1203.51  Purpose and basis.

    The purpose and basis of this subpart is to protect bicyclists from 
head injuries by ensuring that bicycle helmets comply with the 
requirements of appropriate existing voluntary standards, as provided in 
15 U.S.C. 6004(a).



Sec. 1203.52  Scope and effective date.

    (a) This subpart D is effective March 17, 1995, except for Sec. 
1203.53(a)(8), which is effective March 10, 1998. This subpart D shall 
apply to bicycle helmets manufactured from March 17, 1995, through March 
10, 1999, inclusive. Such bicycle helmets shall comply with the 
requirements of one of the standards specified in Sec. 1203.53. This 
subpart shall be considered a consumer product safety standard issued 
under the Consumer Product Safety Act.
    (b) The term ``bicycle helmet'' is defined at Sec. 1203.4(b).
    (c) These interim mandatory safety standards will not apply to 
bicycle helmets manufactured after March 10, 1999. Those helmets are 
subject to the requirements of Subparts A through C of this part 1203.



Sec. 1203.53  Interim safety standards.

    (a) Bicycle helmets must comply with one or more of the following 
standards. The standards in paragraphs (a)(1) through (a)(7) of this 
section are incorporated herein by reference:
    (1) American National Standards Institute (ANSI) standard Z90.4-
1984, Protective Headgear for Bicyclists,
    (2) ASTM standards F 1447-93 or F 1447-94, Standard Specification 
for Protective Headgear Used in Bicycling, incorporating the relevant 
provisions of ASTM F 1446-93 or ASTM F 1446-94, Standard Test Methods 
for Equipment and Procedures Used in Evaluating the Performance 
Characteristics of Protective Headgear, respectively,
    (3) Canadian Standards Association standard, Cycling Helmets--CAN/
CSA-D113.2-M89,
    (4) Snell Memorial Foundation (Snell) 1990 Standard for Protective 
Headgear for Use in Bicycling (designation B-90),
    ( 5) Snell 1990 Standard for Protective Headgear for Use in 
Bicycling, including March 9, 1994 Supplement (designation B-90S),
    (6) Snell 1994 Standard for Protective Headgear for Use in Non-
Motorized Sports (designation N-94), or
    (7) Snell 1995 standard for Protective Headgear for Use with 
Bicycles B-95.
    (8) Subparts A through C of this part 1203.

[[Page 229]]

    (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 230]]



              Sec. Figure 1 to Part 1203--Anatomical Planes

[GRAPHIC] [TIFF OMITTED] TR10MR98.001


[[Page 231]]





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


[[Page 232]]





         Sec. Figure 3 to Part 1203--Location of Reference Plane

[GRAPHIC] [TIFF OMITTED] TR10MR98.003


[[Page 233]]





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 234]]





Sec. Figure 5 to Part 1203--Location of Tesr Lines for Helmets Intended 

                      for Persons Ages 1 and Older

[GRAPHIC] [TIFF OMITTED] TR10MR98.005


[[Page 235]]





               Sec. Figure 6 to Part 1203--Field of Vision

[GRAPHIC] [TIFF OMITTED] TR10MR98.006


[[Page 236]]





   Sec. Figure 7 to Part 1203--Typical Test Apparatus for Positional 
                             Stability Test

[GRAPHIC] [TIFF OMITTED] TR10MR98.007


[[Page 237]]





   Sec. Figure 8 to Part 1203--Apparatus for Test of Retention System 
                                Strength

[GRAPHIC] [TIFF OMITTED] TR10MR98.008


[[Page 238]]





            Sec. Figure 9 to Part 1203--Impact Test Apparatus

[GRAPHIC] [TIFF OMITTED] TR10MR98.009


[[Page 239]]





    Sec. Figure 10 to Part 1203--Center of Gravity for Drop Assembly

[GRAPHIC] [TIFF OMITTED] TR10MR98.010


[[Page 240]]





    Sec. Figures 11, 12 and 13 to Part 1203--Hemispherical Anvil and 
                             Curbstone Anvil

[GRAPHIC] [TIFF OMITTED] TR10MR98.011


[[Page 241]]





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 242]]

    (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 243]]

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 244]]



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 245]]

    (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 246]]

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 247]]

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 248]]

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 249]]

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 250]]

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 251]]

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 252]]



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 253]]



Sec. Figures 1 and 2 to Part 1204--Suggested Instrumentation for Current 

               Monitoring Device and High Voltage Facility

[GRAPHIC] [TIFF OMITTED] TC03OC91.008


[[Page 254]]





   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 255]]



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 256]]

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 257]]

[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 258]]

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 259]]

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 260]]

[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 261]]


    (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 262]]

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 263]]

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 264]]

    (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 265]]

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 266]]

Also, shields complying with the movable shield requirement are featured 
in some currently produced mowers.
    (3) The foot probe and related requirements should result in a cost 
increase of about $22,000,000 and undiscounted injury savings of about 
$46,000,000, exclusive of any allowance for pain and suffering.
    (4) The starting location control requirement would apply only to 
mowers with a power restart capability using engine kill to stop the 
blade. The cost for relocating the power restart switch, if necessary, 
should be very minor, and more than offset by the elimination of a 
clutch, as discussed below.
    (5) The requirement that the blade stop within 3 seconds of the 
release of the blade control is supported by (i) the requirement that 
those mowers that stop the blade by stopping the engine must have a 
power restart (to remove the motivation to disable the blade control 
because of the inconven- ience of manually starting the mower each time 
the control is released) and by (ii) the requirement for an additional 
control that must be actuated before the blade can resume operation (to 
prevent accidental starting of the blade). Together, these requirements 
are expected to reduce the number of blade contact injuries by 46,500 
per year for an undiscounted savings in injury costs of about 
$165,000,000 per year, exclusive of pain and suffering.
    (6) Virtually all mowers will be subjected to a cost increase of 
about $3 for the blade control actuating means and $1 for the second 
control required to restart the blade. (The $1 cost could be eliminated 
for power restart-engine kill mowers that do not start when the blade 
control is actuated.)
    (7) Also, most mowers would require a brake for the blade in order 
to achieve a 3 second stop time. This would add another $6.50-$8.50, 
depending on the type of mower. Mowers with power restart capability 
could stop the blade by killing the engine and thus would not need to 
provide a clutch to disconnect the engine from the blade. Mowers using 
manual restart would have to provide a clutch or other blade 
disengagement devices, which would probably be combined with the brake 
in a unitary brake-clutch mechanism.
    (8) The following are the Commission's estimates of the probable 
retail price increases associated with certain types of currently 
produced mowers that will be caused by the blade control requirements.

------------------------------------------------------------------------
                                                           Blade control
                      Type of mower                        retail price
                                                             increases
------------------------------------------------------------------------
Electric mowers (house current or battery powered)......          $15.00
Present Electric start gasoline mowers..................     13.00-19.50
Present Manual start gasoline mowers brake clutch                  32.50
 approach...............................................
Power restart approach..................................     29.00-39.50
------------------------------------------------------------------------

    (9) The weighted average retail price increase of the blade stop 
requirements is expected to be about $31 per mower for a total retail 
cost increase of $167,000,000.
    (10) The foot probe and blade stop requirements of the standard will 
obviously not completely protect the users of mowers under all 
circumstances. It is still essential for consumers to be aware of the 
hazard of blade contact and take the proper precautions to protect 
themselves. It is especially important that users not become complacent 
with the knowledge that the mower incorporates blade contact safety 
requirements. Accordingly, the Commission has determined that it is 
desirable that mowers complying with the standard bear a label warning 
of the danger of blade contact. Such a requirement would result in 
practically no effect on on the retail price of mowers since labels are 
very inexpensive and practically all currently produced mowers bear some 
type of warning label. In view of the hazard that will be associated 
with power mowers even after the effective date of the standard, and the 
low cost of the label, the Commission concludes there is an unreasonable 
risk of injury that can be addressed by the label requirements in this 
part 1205.
    (j) Conclusion. Therefore, after considering the anticipated costs 
and benefits of part 1205 and the other factors discussed above, and 
having taken into account the special needs of elderly and handicapped 
persons to determine the extent to which such persons may be adversely 
affected by the rule, the Commission finds that part 1205 (including the 
effective dates) is reasonably necessary to eliminate or reduce

[[Page 267]]

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 268]]

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 269]]

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 270]]

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 271]]

    (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 272]]

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,