[Federal Register Volume 78, Number 225 (Thursday, November 21, 2013)]
[Proposed Rules]
[Pages 69793-69802]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-27656]


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CONSUMER PRODUCT SAFETY COMMISSION

16 CFR Part 1115

[CPSC Docket No. CPSC-2013-0040]


Voluntary Remedial Actions and Guidelines for Voluntary Recall 
Notices

AGENCY: Consumer Product Safety Commission.

ACTION: Notice of proposed rulemaking.

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SUMMARY: In this document, the Consumer Product Safety Commission 
(Commission, CPSC, or we) proposes an interpretive rule to set forth 
principles and guidelines for the content and form of voluntary recall 
notices that firms provide as part of corrective action

[[Page 69794]]

plans under Section 15 of the Consumer Product Safety Act (CPSA). The 
Commission has issued regulations interpreting the requirements of 
section 15 of the CPSA. The existing regulations provide for notice to 
the public of the corrective action that a firm agrees to undertake. 
The regulations, however, do not provide any guidance regarding the 
information that should be included in a recall notice issued as part 
of a corrective action plan agreement. The proposed rule would set 
forth the Commission's expectations for voluntary remedial actions and 
recall notices, bearing in mind that certain elements of product 
recalls vary and each notice should be tailored appropriately. The 
proposed rule also would provide that, when appropriate, a corrective 
action plan negotiated under our regulations may include compliance 
program-related requirements.

DATES: Submit comments by February 4, 2014.

ADDRESSES: Comments, identified by Docket No. CPSC-2013-0040, may be 
submitted electronically or in writing:
    Electronic Submissions: Submit electronic comments to the Federal 
eRulemaking Portal at: http://www.regulations.gov. Follow the 
instructions for submitting comments. The Commission is no longer 
directly accepting comments submitted by electronic mail (email), 
except through www.regulations.gov. The Commission encourages you to 
submit electronic comments by using the Federal eRulemaking Portal, as 
described above.
    Written Submissions: Submit written submissions in the following 
way: Mail/Hand delivery/Courier (for paper, disk, or CD-ROM 
submissions), preferably in five copies, to: Office of the Secretary, 
Consumer Product Safety Commission, Room 820, 4330 East-West Highway, 
Bethesda, MD 20814; telephone (301) 504-7923.
    Instructions: All submissions received must include the agency name 
and docket number for this rulemaking. All comments received may be 
posted without change, including any personal identifiers, contact 
information, or other personal information provided, to http://www.regulations.gov. Do not submit confidential business information, 
trade secret information, or other sensitive or protected information 
that you do not want to be available to the public. If furnished at 
all, such information should be submitted in writing.
    Docket: For access to the docket to read background documents or 
comments received, go to: http://www.regulations.gov, and insert the 
docket number, CPSC 2013-0040, into the ``Search'' box, and follow the 
prompts.

FOR FURTHER INFORMATION CONTACT: Howard Tarnoff, Project Manager, 
Office of Compliance and Field Operations, U.S. Consumer Product Safety 
Commission, 4330 East-West Highway, Bethesda, MD 20814; email: 
htarnoff@cpsc.gov.

SUPPLEMENTARY INFORMATION: 

I. Background

    The Consumer Product Safety Improvement Act of 2008, Public Law 
110-314, 122 Stat. 3016 (2008) (CPSIA), amended the CPSA to strengthen 
the CPSC's authority to recall products and to notify the public 
effectively about the scope of a recall and available remedies.
    Section 214 of the CPSIA required the Commission to establish 
guidelines and requirements for mandatory recall notices ordered by the 
Commission or by a United States District Court under the CPSA. Section 
214 also required that a recall notice include certain specific 
information, unless the Commission determines otherwise. 15 U.S.C. 
2064(i). This information includes, but is not limited to, descriptions 
of the product, hazard, injuries, deaths, actions being taken, and 
remedy; identification of the manufacturer and retailers; 
identification of relevant dates; and any other information the 
Commission deems appropriate.
    Although Section 214 applies only to mandatory recalls, the House 
Committee considering the legislation explicitly expressed an 
expectation that similar information would be provided, as applicable 
and to the greatest extent possible, in the notices issued in voluntary 
recalls. H.R. Rep. No. 110-501 at 40 (2008) (House Report). The 
Commission agrees with this statement, and believes that whether a 
product hazard is addressed in the context of a mandatory recall or a 
voluntary recall, the need to inform and encourage affected consumers 
to act is similar.
    As required by Section 214(c) of the CPSIA, the Commission 
promulgated a final rule setting forth requirements and guidelines for 
mandatory recall notices. 75 Fed. Reg. 3355 (Jan. 21, 2010). That rule 
does not address voluntary recall notices related to corrective action 
agreements with the Commission.
    Although no mandatory recall notices have been announced since 
issuance of the mandatory recall notice rule in January 2010, the CPSC 
has worked cooperatively with regulated companies on more than 1,000 
voluntary corrective action programs and the associated recall notices.
    Commission regulations provide that ``the Commission will attempt 
to protect the public from substantial product hazards by seeking . . . 
voluntary remedies,'' including ``corrective action plans.'' 16 CFR 
1115.20. The regulation states: ``[c]orrective actions shall include, 
as appropriate: . . . (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.'' The corrective action plan regulations do not 
address the form or content of the notice issued by the Commission as a 
component of a corrective action plan.

II. Basis for Proposed Rule

    The portion of the proposed rule regarding recall notices is based 
upon a recommendation from a House Report that voluntary recall notices 
should contain information similar to that required for mandatory 
recall notices (see H.R. Rep. No. 110-501 at 40 (2008)) and upon many 
years of Commission experience with recalls and recall effectiveness. 
The proposal also is based on related agency expertise and on the 
information contained in agency recall guidance materials, including 
the Recall Handbook (http://www.cpsc.gov/PageFiles/106141/8002.pdf) and 
the requirements and guidelines for mandatory recall notices (16 CFR 
part 1115, subpart C).
    The Commission believes that an interpretive rule setting forth the 
Commission's principles and guidelines regarding the content of 
voluntary recall notices will result in: (1) Greater efficiencies 
during recall negotiations, (2) greater predictability for the 
regulated community in working with the agency to develop voluntary 
recall notice content, and (3) timelier issuance of recall 
announcements to the public.
    In addition, the proposed rule reflects technological advances. The 
tools available to improve recall effectiveness through broader 
dissemination of important recall information have expanded 
significantly in recent years. The Commission believes that specific 
reference to these tools should be included in a voluntary recall 
notice rule. For example, firms and the Commission now have access to 
various social media resources, such as a blog, Twitter, YouTube, a 
widget, mobile phone application, and Flickr, which can be used to 
increase the number of consumers who respond to safety information.

[[Page 69795]]

    Negotiated corrective actions give the Commission the opportunity 
to tailor remedies to a particular situation and the associated health 
and safety risks presented. The proposed rule would include language 
that would permit, in appropriate situations and at the Commission's 
discretion, the Commission to pursue compliance program requirements in 
the course of negotiating corrective action plans. The proposed rule 
contemplates that if appropriate, a corresponding reference to 
compliance program requirements may be included in the related 
voluntary recall notice. Inclusion of compliance program requirements 
as an element of voluntary corrective action plans would echo 
compliance program requirements incorporated as part of recent civil 
penalty settlement agreements.

III. Description of the Proposed Rule

    In general, the proposed rule would establish a new subpart D, 
titled, ``Principles and Guidelines for Voluntary Recall Notices,'' in 
part 1115 of title 16 of the Code of Federal Regulations and would add 
a new paragraph to 16 CFR 1115.20.

1. Proposed Sec.  1115.20(a)--Legally Binding

    The Commission proposes to revise Sec.  1115.20(a) to state that, 
once a firm voluntarily agrees to undertake a corrective action plan, 
the firm is legally bound to fulfill the terms of the agreement. The 
Commission has the authority to order mandatory recalls of products, 
and, as noted earlier, the CPSIA increased the Commission's ability to 
undertake mandatory recalls of defective or violative products. 
However, in the interests of the public and most importers, 
manufacturers, wholesalers, and retailers, almost all recalls overseen 
by the Commission are jointly conducted by firms and the Commission on 
a voluntary basis. Part of the process of a voluntary recall includes 
the Commission and the firm agreeing to a corrective action plan that 
details the steps the firm will take including, but not limited to, the 
type of remedy it will offer to the public. Currently, Sec.  1115.20(a) 
defines a corrective action plan as ``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 result is that the Commission is prohibited from 
enforcing the terms of a corrective action plan if a recalcitrant firm 
violates the terms of its corrective action plan. In addition, the 
Commission has encountered firms that have deliberately and 
unnecessarily delayed the timely implementation of the provisions of 
their correction action plans. Accordingly, proposed Sec.  1115.20(a) 
would provide the Commission with the necessary tools to compel a 
noncompliant or dilatory firm to carry out the terms of its voluntarily 
agreed upon corrective action plan.
    In addition, amended Sec.  1115.20(a) would make clear to firms 
wishing to conduct a voluntary recall that the Commission's preferred 
remedies are refunds, repairs and replacements, and that firms wishing 
to use other remedies shall have the burden of demonstrating that those 
alternatives will be as effective as the preferred remedies.

2. Proposed Sec.  1115.20(a)(1)(xiii)--Admissions

    Amended Sec.  1115.20(a)(1)(xiii) would provide the Commission with 
additional flexibility concerning admissions in corrective action 
plans. Eliminating the phrase, ``If desired by the subject firm,'' and 
revising the sentence to include the following language later in the 
sentence ``if agreed to by all parties'' facilitates an opportunity for 
the Commission to negotiate and agree to appropriate admissions in each 
particular corrective active plan.

3. Proposed Sec.  1115.20(a)(5)--Compliant Remedies

    Proposed Sec.  1115.20(a)(5) would describe the Commission's intent 
that any remedial actions set forth in a corrective action plan be 
compliant with all applicable CPSC rules, regulations, standards, or 
bans. This revision is intended to make that expectation specific.

4. Proposed Sec.  1115.20(a)(1)(xv) and Sec.  1115.20(b)--Compliance 
Programs

    Proposed Sec.  1115.20(a)(1)(xv) would add compliance program-
related requirements as possible components of a corrective action 
plan. Proposed Sec.  1115.20(b) would provide examples of the types of 
circumstances that such compliance program-related requirements, in the 
Commission's discretion, may be proposed as appropriate elements of a 
voluntary corrective action plan. Such circumstances might include, but 
are not limited to: Multiple previous recalls and/or violations of CPSC 
requirements over a relatively short period of time; failure to timely 
report substantial product hazards on previous occasions; or evidence 
of insufficient or ineffectual procedures and controls for preventing 
the manufacturing, importation, and/or distribution of dangerously 
defective or violative products.
    The proposed rule sets forth the types of enforcement actions in 
which the Commission may address violations of a voluntary compliance 
program agreement including, but not limited to: Seeking an injunction 
or specific performance as well as pursuing all applicable sanctions 
under the CPSA.
    In addition, proposed Sec.  1115.20(b) would provide examples of 
the types of provisions that may be included in a voluntary compliance 
program agreement including, but not limited to: Maintaining and 
enforcing a system of internal controls and procedures to ensure that a 
firm promptly, completely, and accurately reports required information 
about its products to the Commission; ensuring that information 
required to be disclosed by the firm to the Commission is recorded, 
processed, and reported, in accordance with applicable law; 
establishing an effective program to ensure the firm remains in 
compliance with safety statutes and regulations enforced by the 
Commission; providing firm employees with written standards and 
policies, compliance training, and the means to report compliance-
related concerns confidentially; ensuring that prompt disclosure is 
made to the firm's management of any significant deficiencies or 
material weaknesses in the design or operation of such internal 
controls that are reasonably likely to affect adversely, in any 
material respect, the firm's ability to report to the Commission; 
providing the Commission with written documentation, upon request, of 
the firm's improvements, processes, and controls related to the firm's 
reporting procedures; or making available all information, materials, 
and personnel deemed necessary to the Commission to evaluate the firm's 
compliance with the terms of the agreement.
    Current Sec.  1115.20(b) regarding consent order agreements would 
be re-designated to Sec.  1115.20(c).

5. Proposed Sec.  1115.20(c)(1)(xii)--Admissions

    Proposed Sec.  1115.20(c)(1)(xii) would amend 16 CFR 
1115.20(b)(1)(xii) to provide the Commission with additional 
flexibility concerning admissions in consent order agreements. 
Eliminating the phrase, ``If desired by the subject firm,'' and 
revising the sentence to include the following language later in the 
sentence ``if agreed to by all parties'' facilitates an opportunity for 
the Commission to negotiate and agree to appropriate admissions in each 
particular consent order agreement.''

[[Page 69796]]

6. Proposed Sec.  1115.30--Purpose

    Proposed Sec.  1115.30 would describe the purpose for a new subpart 
D, ``Principles and Guidelines for Voluntary Recall Notices,'' which is 
to see that every voluntary recall notice helps consumers and other 
affected persons identify the product to which a recall notice 
pertains, understand the actual or potential hazards presented by the 
product, understand the remedies available to consumers concerning the 
product, and take appropriate action in response to the notice. The 
proposed rule would provide principles concerning the content and form 
of voluntary recall notices and guidelines concerning the expected 
content of all such recall notices, drafted by Commission staff and the 
recalling firm.

7. Proposed Sec.  1115.31--Applicability

    Proposed Sec.  1115.31 would explain that the principles and 
guidelines in subpart D apply to manufacturers (including importers), 
retailers, and distributors of consumer products.

8. Proposed Sec.  1115.32--Definitions

    Proposed Sec.  1115.32 would define certain terms used in subpart 
D. The proposed definitions in this section are based on the 
Commission's experience with recalls under section 15. This section 
would define ``electronic medium'' to encompass the various methods of 
communicating recall information electronically and would define 
``voluntary recall notice'' as the means of notifying consumers and 
others of the voluntary remedial actions applicable to a consumer 
product. Additionally, proposed Sec.  1115.32 would state that the 
definitions in section 3 of the CPSA (15 U.S.C. 2052) apply.

9. Proposed Sec.  1115.33--Voluntary Recall Notice Principles

    Proposed Sec.  1115.33 would provide general principles and 
describe the Commission's policies pertaining to recall notices. The 
proposed principles are similar to the guidelines for mandatory recall 
notices codified at 16 CFR 1115.26, with certain exceptions. In 
general, proposed Sec.  1115.33(a) would state principles that are 
important for recall notices to be effective. For example, proposed 
Sec.  1115.33(a)(1) would state that a recall notice should provide 
information that enables consumers and other affected persons to 
identify the recalled product and take appropriate action.
    Proposed Sec.  1115.33(a)(2) through (a)(5) would state the purpose 
of a voluntary recall notice, provide guidance on the form of the 
voluntary recall notice, and set forth the principal forms of notice. 
Proposed Sec.  1115.33(a)(2) is similar to 16 CFR 1115.26(a)(2), but 
would reference the Associated Press (AP) Stylebook as the guide for 
the language and format of voluntary recall notices. CPSC staff has 
used the AP Stylebook for decades to develop the template used for the 
drafting of recall press releases. Staff's experience is that most 
media outlets are familiar with or use the rules set forth in the AP 
Stylebook within their own media organization. Thus, media 
organizations are more likely to disseminate information contained in a 
press release that comports with the AP Stylebook.
    Proposed Sec.  1115.33(a)(5) is similar to 16 CFR 1115.26(a)(5) but 
specifically identifies the methods to be used to publicize a voluntary 
recall notice. These methods are clearly listed as a press release or 
recall alert, a prominently displayed in-store poster, and a Web site 
posting, as well as two additional forms of publication from the 
subsequent list of voluntary recall notice forms delineated in Sec.  
1115.33 (b)(1)(i)-(vi). In an effort to provide clarity regarding the 
types of methods a firm should use, this proposed change describes the 
five preferred categories of methods for disseminating the voluntary 
recall information to broad audiences.
    Proposed Sec.  1115.33(b)(1) is similar to 16 CFR 1115.26(b)(1) but 
would include ``electronic'' and ``electronic medium'' as general forms 
for a voluntary recall notice and would identify additional specific 
forms of, and means for, communicating a voluntary recall notice as 
acceptable, such as radio news release; video news release; b-roll 
package; YouTube; Instagram, or Vine video; and social media sites, 
such as Facebook, Google+, Twitter, Pinterest, Tumblr, Flickr, and 
blogs, as examples. Guidance from the Office of Management and Budget 
calls for agencies to format public communications for mobile 
platforms, such as smartphones, tablets, and similar devices. The 
reference to ``electronic'' and ``electronic medium'' forms of the 
press release is intended to promote the use of communications using 
digital and mobile platforms. In addition, this section seeks to 
reflect the common practice in recent years for CPSC staff to request 
that recalling firms use their own social media platforms to 
communicate directly with customers about voluntary recalls. This low-
cost mechanism of informing customers is designed to enhance the 
likelihood that customers will learn about the recall and pursue the 
remedy offered and that these firms use video and other electronic 
media for this purpose.
    Proposed Sec.  1115.33(b)(2) is similar to 16 CFR 1115.26(b)(2) and 
would recognize that a direct recall notice is the most effective form 
of a recall notice. The proposed rule would state that when firms have 
contact information for consumers, or when contact information is 
reasonably obtainable, firms shall issue direct recall notices. 
Proposed Sec.  1115.33(b)(2) includes ``electronic medium'' and ``hard 
copy'' as possible forms of direct voluntary recall notice.
    Because firms often lack specific contact information, most recall 
notices are disseminated to broad audiences. In contrast, a direct 
recall notice is sent directly to specific, identifiable consumers of 
the recalled product. In most instances, these consumers are the 
purchasers of the recalled product. In other instances, the purchasers 
may have given the product to other consumers, as a gift, for example. 
In the latter case, if the purchaser received the recall notice, the 
purchaser will generally know to whom the purchaser gave the product 
and could contact the recipient about the recall notice. In either 
case, the persons exposed to the product and its hazard will be more 
likely to receive and respond to a direct recall notice than a broadly 
disseminated recall notice. The proposed rule reflects the Commission's 
expectation that firms will take reasonable steps to obtain direct 
customer contact information from third parties for purposes of issuing 
direct voluntary recall notices, rather than rely solely on information 
contained in the firm's own records.
    Proposed Sec.  1115.33(b)(3) is similar to 16 CFR 1115.26(b)(3) and 
would discuss Web site recall notices, stating that recall notices 
should be posted on the Web site's first entry point. The recall 
notices should be clear, prominent, and interactive, allowing consumers 
and others to obtain recall information and request a remedy.
    Proposed Sec.  1115.33(c) is similar to 16 CFR 1115.26(c) and would 
provide that the recall notice (including the press release, call 
center scripts, in-store posters and social media communications) 
should be in languages in addition to English, whenever appropriate, to 
adequately inform the public of a product recall. The proposed rule 
recognizes that a language in addition to English may be necessary to 
communicate information regarding defective or violative products when 
factors such as product labeling and marketing location indicate that a 
significant number of individuals who could potentially be affected by 
the recall do not speak or read English. The

[[Page 69797]]

proposed rule provides that the Commission's Spanish translation of a 
press release should be used on a recalling firm's Web site and other 
agreed-upon locations.

10. Proposed Sec.  1115.34--Voluntary Recall Notice Content Guidelines

    Proposed Sec.  1115.34 is similar to 16 CFR 1115.27 and would set 
forth guidelines for the content of voluntary recall notices. The 
objectives of a recall include locating the recalled products, removing 
the recalled products from the distribution chain and from consumers, 
and communicating information to the public about the recalled product 
and the remedy offered to consumers. A voluntary recall notice should 
motivate firms and media to publicize the recall information widely, 
and the notice should motivate consumers to act on the recall for the 
sake of safety.
    Proposed Sec.  1115.34(a) would provide that a voluntary recall 
notice should include the word ``recall'' in the heading and text. For 
many years, the Commission staff's Recall Handbook has directed firms 
to use the term ``recall'' in the heading and text. The word ``recall'' 
draws media and consumer attention to the notice and to the information 
contained in the notice. In addition, use of the term ``recall'' draws 
attention to the notice more effectively than omitting the term or 
using an alternative term. A recall notice must be read to be 
effective. Drawing attention to the notice through the use of the word 
``recall'' increases the likelihood that the notice will be read and 
will help effectuate the purposes of the CPSA and Consumer Product 
Safety Improvement Act.
    Proposed Sec.  1115.34(b) is similar to 16 CFR 1115.27(b) and would 
provide that the voluntary recall notice contain the date of the 
notice's release, issuance, posting, or publication.
    Proposed Sec.  1115.34(c) sets forth the content for voluntary 
recall notice headlines and does not correspond to any provision in 16 
CFR 1115.27. A protocol for drafting voluntary recall notice headlines 
will support the Commission's efforts to achieve fairness, accuracy, 
and newsworthiness of recall press releases.
    Overseas firms will sometimes engage an entity with U.S.-based 
operations to manage the logistics of a recall; that entity should be 
identified in the Remedy section of the voluntary recall notice as the 
entity to be contacted by the consumer to obtain the remedy. The 
headline should include the name of the U.S.-based entity responsible 
for effectuating the recall remedy for consumers, reflecting staff's 
goal of issuing a voluntary recall notice that will provide consumers 
with clear and consistent information regarding the manner in which to 
pursue the recall remedy.
    In unique cases, it may be appropriate for the headline to identify 
the U.S.-based entity that is managing the logistics of the recall, as 
well as specify the name of the overseas manufacturer. In other unique 
cases, such as when the overseas manufacturer is directly handling all 
elements of the corrective action plan, it may be appropriate for the 
headline to identify only the overseas manufacturer of the recalled 
product. These cases are the exception and not the rule.
    Proposed Sec.  1115.34(d) is similar to 16 CFR 1115.27(c) and would 
provide that the voluntary recall notice should include a description 
of the product, including model name and number, SKU number, and the 
names of the product and other information needed to describe the 
product, such as the product's color, identifying tags, or labels. 
Proposed Sec.  1115.34(d) also contains a paragraph describing the type 
and quality of photographs that should be provided by the recalling 
firm, if requested by the Commission, for the product photographs to 
comport with the established standards for the size of photographs on 
the CPSC's Web site.
    Proposed Sec.  1115.34(e) is similar to 16 CFR 1115.27(d) and would 
provide that the voluntary recall notice should contain a clear and 
concise statement of the actions that a firm is taking concerning the 
product so that consumers and others are aware of, and understand, the 
firm's actions and the options that will be available to the consumer 
to address the defective or violative product.
    Proposed Sec.  1115.34(f) is similar to 16 CFR 1115.27(e) and would 
provide that the voluntary recall notice should state the approximate 
number of units covered by the recall, including all product units 
manufactured, imported, and/or distributed in commerce. This 
information communicates to the consumer whether the product was widely 
produced and distributed or sold only in limited numbers.
    Proposed Sec.  1115.34(g) is similar to 16 CFR 1115.27(f) and would 
provide that the description of the alleged substantial product hazard 
should allow consumers to recognize the risks of potential injury or 
death associated with the product, the problem giving rise to the 
recall, and the type of hazard or risk at issue (e.g., burn, 
laceration). Proposed Sec.  1115.34(g)(1) and (g)(2) are similar to 16 
CFR 1115.27(g)(1) and (g)(2) and would specify what the description 
should include. For example, the description should include the product 
defect, fault, failure, flaw, and/or problem giving rise to the recall. 
Proposed Sec.  1115.34(g)(3) does not have a corresponding provision in 
16 CFR 1115.27. This proposed section provides that the description of 
the alleged substantial product hazard should state that the hazard 
``can'' occur in instances where there have been injuries and incidents 
associated with the product. Consistent with the AP Stylebook, the 
proposed rule states that the words ``could,'' ``may,'' or 
``potential'' should not be used in the Hazard section of the release 
when there are documented incidents or injuries.
    Proposed Sec.  1115.34(h) is similar to 16 CFR 1115.27(g) and would 
state that the voluntary recall notice should identify the firm 
conducting the recall and also underscore the CPSA definition of the 
term ``manufacturer'' to include an importer.
    Proposed Sec.  1115.34(i) is similar to 16 CFR 1115.27(h) and 
addresses how the manufacturer should be identified (e.g., legal name, 
location of headquarters, Web domain, or other reasonably accessible 
electronic medium).
    Identifying ``significant retailers'' will help consumers determine 
whether the consumer might have the product. In the absence of a 
statutory definition, and based on experience with recalls, the 
Commission believes that a significant retailer can be determined on 
the basis of several factors, and proposed Sec.  1115.34(j), which is 
similar to 16 CFR 1115.27(i), would describe those factors.
    First, under proposed Sec.  1115.34(j), a product's retailer is 
significant if the retailer was the exclusive retailer of the product. 
Identifying an exclusive retailer can help consumers determine whether 
they have the product, based on whether they have shopped at that 
retailer.
    Second, a product's retailer is significant if the retailer was an 
importer of the product. As an importer, a retailer will typically have 
more information and greater access to information about a product than 
a retailer that was not an importer.
    Third, a product's retailer is significant if the retailer is a 
nationwide or regionally located retailer with multiple locations. 
Retailers with multiple locations nationwide or regionally are likely 
to have sold more units of the product or may have sold the product to 
more consumers than retailers without such multiple physical locations. 
Therefore, nationwide and regional retailers are likely to be more

[[Page 69798]]

familiar to consumers than retailers that have only a limited physical 
presence.
    Fourth, a retailer with a significant market presence, as measured 
by units sold or held for purposes of sale or distribution in commerce, 
also is a significant retailer. This category would include, for 
example, retailers who have a significant sales volume through Internet 
sales rather than sales at physical locations. A retailer that has 
sold, or held for purposes of sale or distribution, a significant 
number of the total manufactured, imported, or distributed units of the 
product, will have sold the product to, and affected, more consumers 
than a retailer who sold fewer units of the product.
    Fifth, a product's retailer is significant, if identification of 
the retailer is in the public interest. Recalls and products vary from 
one to the next, and identifying certain retailers who do not otherwise 
satisfy the categories described above still may have public and 
consumer benefits. Deeming a retailer to be significant in the public 
interest reflects the flexibility needed to seek the best possible 
recall effectiveness under specific circumstances.
    Proposed Sec.  1115.34(k) is similar to 16 CFR 1115.27(j) and would 
provide that the voluntary recall notice should include a description 
of the region where the product was sold or held for purposes of sale 
or distribution in commerce to assist consumers in determining whether 
they have the product at issue.
    Proposed Sec.  1115.34(l) is similar to 16 CFR 1115.27(k) and would 
provide that the voluntary recall notice should state the month and 
year in which the manufacture of the product began and ended and the 
month and year in which the retail sales began and ended for each make 
and model of the product covered by the recall notice to assist 
consumers in determining whether they have the product at issue.
    Proposed Sec.  1115.34(m), which is similar to 16 CFR 1115.27(l), 
would provide that the voluntary recall notice should state the 
approximate price of the product or a price range. Price information 
will help consumers identify the product and inform them about refund 
remedies, as applicable.
    Proposed Sec.  1115.34(n), which is similar to 16 CFR 1115.27(m), 
addresses the description in the voluntary recall notice of all 
incidents, injuries, and deaths associated with the product conditions 
or circumstances giving rise to the recall. The notice should provide 
the ages and states of residence of persons killed. This section also 
provides for prompt conveyance to the Commission of information 
relating to any product-related fatality or a significant number of 
additional product-related incidents that a firm receives after the 
initial recall notice. In addition, this section provides that the 
information should be reflected promptly in an update to the notice on 
the firm's Web site and the Commission's Web site.
    Proposed Sec.  1115.34(o), which is similar to 16 CFR 1115.27(n), 
would provide that the voluntary recall notice should provide a 
description of each remedy available to the consumer, the actions 
required of the consumer to obtain each remedy, and any information 
needed by the consumer to obtain each remedy. As reflected in this 
section, potential remedies include, but are not limited to: forwarding 
the product to the manufacturer, returning the product to the retailer, 
or scheduling an in-home repair. Proposed Sec.  1115.34(o) also 
provides that where the listing of model names and model and/or serial 
numbers of a recalled product is extensive, complicated, or not 
conducive to inclusion in the voluntary recall notice, the notice 
should refer customers to the recalling firm's Web site or call center.
    This proposed section would also provide that any changes to the 
process or nature of the remedy contemplated by the firm after the 
issuance of the voluntary recall notice should be communicated 
immediately to the Commission and reflected in an agreed-upon update to 
the notice on the firm's Web site and the CPSC's Web site. Updated 
remedy information also should be transmitted to consumers in a manner 
consistent with the communication of the initial voluntary recall 
notice.
    Proposed Sec.  1115.34(p) reflects inclusion in a voluntary recall 
notice of information regarding compliance program-related actions 
agreed to by the recalling firm as a component of its corrective action 
plan. This section does not correspond to any provision in 16 CFR 
1115.27.
    Proposed Sec.  1115.34(q) is similar to 16 CFR 1115.27(o) and 
provides that the voluntary recall notice should contain any other 
information that the Commission and the recalling firm deem 
appropriate.

11. Proposed Sec.  1115.35--Multiple Products or Models

    Proposed Sec.  1115.35 is similar to 16 CFR 1115.28 and provides 
that the voluntary recall notice for each product or model covered by 
the recall notice comports with the guidelines set forth in this 
subpart.

IV. Administrative Procedure Act

    The Administrative Procedure Act (APA) requires publication of a 
general notice of proposed rulemaking for most rules. 5 U.S.C. 553(b). 
However, this requirement does not apply to interpretive rules and 
general statements of policy. Id. 553(b)(A). This proposed rule would 
provide guidance about the content of voluntary recall notices, and 
amend 16 CFR 1115.20 of the Commission's existing interpretive rule 
regarding corrective action plans to provide that, where appropriate, a 
corrective action plan may include compliance program-related 
requirements. The proposed rule would not establish any mandatory 
requirements.
    Because both corrective action plans and related voluntary recall 
notices require agency and firm consensus, notice and comment could 
provide valuable feedback to improve the efficacy and usefulness of the 
guidance to be contained in the rule. As proposed, the rule reflects 
agency experience and practice; and is intended to help address product 
hazards and promote the timely, accurate, and complete disclosure of 
information necessary to protect public health and safety. Additional 
information regarding stakeholder experience in framing and 
communicating corrective action plans and related voluntary recall 
notices could assist CPSC in refining related interpretive rule 
guidance, with a goal of protecting public health and safety.
    Thus, although the APA does not require the Commission to begin 
this rulemaking with a notice of proposed rulemaking, the Commission is 
providing an opportunity for public comment.

V. Effective Date

    The APA generally requires that the effective date of a rule be at 
least 30 days after publication of the final rule. Id. 553(d). However, 
an earlier effective date is permitted for interpretive rules and 
statements of policy. Id. Thus, this proposed rule is excepted from the 
APA effective date requirement. Id. 553(d)(2).
    Because CPSC is giving notice and soliciting comment (even though 
notice and comment procedures are not required), the public and 
potentially affected firms will have significant advance notice of the 
agency's proposed guidance. Moreover, implementation of the rule will 
not result in the imposition of new, mandatory requirements. 
Stakeholders necessarily are involved in the negotiations that precede 
corrective action plans and associated recall notices, and they would 
benefit from the

[[Page 69799]]

additional information about agency policy and staff expectations to be 
contained in the rule when finalized. Therefore, the Commission 
proposes that the effective date be the date of publication of a final 
rule in the Federal Register.

VI. Regulatory Flexibility Act

    Under section 603 of the Regulatory Flexibility Act (RFA), when the 
APA requires an agency to publish a general notice of proposed 
rulemaking, the agency must prepare an initial regulatory flexibility 
analysis assessing the economic impact of the proposed rule on small 
entities. 5 U.S.C. 603(a). As noted, the Commission is proposing an 
interpretive rule that would provide guidance concerning the content of 
voluntary recall notices and further would provide that, when 
appropriate, corrective action plans may include compliance program-
related requirements. Although the Commission is choosing to issue the 
rule through notice and comment procedures, the APA does not require a 
proposed rule. Therefore, no initial regulatory flexibility analysis is 
required under the RFA. Moreover, the proposed rule would not establish 
any mandatory requirements and would not impose any obligations on 
small entities (or any other entity or party).

VII. Paperwork Reduction Act

    The proposed rule would not impose any information collection 
requirements. It sets out proposed guidelines for the content of recall 
notices that are issued as part of corrective action agreements 
negotiated between Commission staff and firms. Accordingly, the 
rulemaking is not subject to the Paperwork Reduction Act, 44 U.S.C. 
sections 3501 through 3520.

VIII. Environmental Considerations

    The Commission's regulations address whether we are required to 
prepare an environmental assessment or an environmental impact 
statement. These regulations provide a categorical exclusion for 
certain CPSC actions that normally have ``little or no potential for 
affecting the human environment.'' 16 CFR 1021.5(c)(1). This proposed 
rule falls within the categorical exclusion.

List of Subjects in 16 CFR Part 1115

    Administrative practice and procedure, Business and industry, 
Consumer protection, Reporting and recordkeeping requirements.

    Therefore, the Commission proposes to amend Title 16 of the Code of 
Federal Regulations as follows:

PART 1115--SUBSTANTIAL PRODUCT HAZARD REPORTS

0
1. The authority for part 1115 continues to read as follows:

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

0
2. In Sec.  1115.20 revise paragraphs (a) and (a)(1)(xiii); add 
paragraphs (a)(1)(xv) and (a)(5); redesignate paragraph (b) as 
paragraph (c) and add new paragraph (b); and revise newly redesignated 
paragraph (c)(1)(xii) to read as follows:


Sec.  1115.20  Voluntary remedial actions.

* * * * *
    (a) Corrective action plans. A corrective action plan is a 
document, signed by a subject firm, which is legally binding and sets 
forth the remedial action which the firm will voluntarily undertake to 
protect the public. Refunds, repairs and replacements are preferred 
remedies. Firms that wish to use other remedies shall have the burden 
of demonstrating that those alternatives will be as effective as the 
preferred remedies. 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) * * *
    (xiii) The following statement or its equivalent, if agreed to by 
all parties: ``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.''
* * * * *
    (xv) Compliance program-related requirements.
* * * * *
    (5) All remedial actions undertaken pursuant to a corrective action 
plan shall be compliant with all applicable CPSC rules, regulations, 
standards, or bans.
    (b) Voluntary compliance program agreements under section 15 of 
CPSA. A voluntary compliance program agreement is a provision in a 
voluntary corrective action plan (or a separate agreement, as 
appropriate) executed by a subject firm and the Commission that 
incorporates a specific written plan for future steps to be taken by 
the firm to assure that it meets the requirements of the agency's laws 
and regulations. Violation of a voluntary compliance program agreement 
may result in a formal Commission enforcement action, including all 
applicable sanctions set forth in the Consumer Product Safety Act. A 
violation may also result in legal action by the Commission to enforce 
the terms of a compliance agreement such as seeking an injunction or 
specific performance, as appropriate.
    (1) The Commission always retains broad discretion to seek a 
voluntary compliance program agreement. Under certain circumstances, it 
may be appropriate for the Commission to seek agreements with firms to 
implement a compliance program, including but not limited to, the 
following:
    (i) Multiple previous recalls and/or violations of Commission 
requirements over a relatively short period of time;
    (ii) Failure to timely report substantial product hazards on 
previous occasions; or
    (iii) Evidence of insufficient or ineffectual procedures and 
controls for preventing the manufacturing, importation, and/or 
distribution of dangerously defective or violative products.
    (2) The provisions in a voluntary compliance program agreement may 
vary depending on the nature and circumstances of a firm's behavior 
that led the Commission to determine that such an agreement is in the 
public interest. The following provisions, among others as appropriate, 
may be included in a written voluntary compliance program agreement:
    (i) Maintain and enforce a system of internal controls and 
procedures to ensure that the firm promptly, completely, and accurately 
reports required information about its products to the Commission;
    (ii) Ensure that information required to be disclosed by the firm 
to the Commission is recorded, processed, and reported, in accordance 
with applicable law;
    (iii) Establish an effective program to ensure the firm remains in 
compliance with safety statutes and regulations enforced by the 
Commission;
    (iv) Provide firm employees with written standards and policies, 
compliance training, and the means to report compliance-related 
concerns confidentially;
    (v) Ensure that prompt disclosure is made to the firm's management 
of any significant deficiencies or material weaknesses in the design or 
operation of such internal controls that are reasonably likely to 
affect adversely, in any material respect, the firm's ability to report 
to the Commission;
    (vi) Provide the Commission with written documentation, upon 
request, of the firm's improvements, processes, and controls related to 
the firm's reporting procedures; or
    (vii) Make available all information, materials, and personnel 
deemed

[[Page 69800]]

necessary to the Commission to evaluate the firm's compliance with the 
terms of the agreement.
    (c) Consent order agreements under section 15 of CPSA.
* * * * *
    (1) * * *
    (xii) The following statement or its equivalent, if agreed to by 
all parties: ``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.''
0
3. Add a new Subpart D to read as follows:
Subpart D--Voluntary Recall Notices
Secs.
1115.30 Purpose.
1115.31 Applicability.
1115.32 Definitions.
1115.33 Voluntary recall notice principles.
1115.34 Voluntary recall notice content guidelines.
1115.35 Multiple products or mode.

Subpart D--Voluntary Recall Notices


Sec.  1115.30  Purpose.

    (a) This section sets forth the information that should be included 
in a voluntary recall notice and the manner in which the notice should 
be distributed.
    (b) The Commission establishes these guidelines to help ensure that 
every voluntary recall notice effectively helps consumers and other 
persons to:
    (1) Identify the specific product to which the voluntary recall 
notice pertains;
    (2) Understand the product's actual or potential hazards to which 
the voluntary recall notice pertains and information relating to such 
hazards;
    (3) Understand all remedies available to consumers concerning the 
product to which the voluntary recall notice pertains; and
    (4) Take appropriate actions in response to the notice.


Sec.  1115.31  Applicability.

    This subpart applies to manufacturers (including importers), 
retailers, and distributors of consumer products (as those terms are 
defined herein and in the Consumer Product Safety Act (CPSA)), and 
other products or substances that are regulated under the CPSA, or any 
other Act enforced by the Commission.


Sec.  1115.32  Definitions.

    In addition to the definitions given in Section 3 of the CPSA (15 
U.S.C. 2052), the following definitions apply:
    (a) Direct voluntary recall notice means a voluntary recall notice 
that is communicated, sent, or transmitted directly to specifically 
identified consumers.
    (b) Electronic means technology having electrical, digital, 
magnetic, wireless, optical, electromagnetic, voice-recording systems, 
or similar capabilities.
    (c) Electronic medium means an electronic method of communication 
(including, but not limited to, Web site, electronic mail, telephonic 
system, text messaging, tweeting, magnetic disk, CD-ROM), pursuant to 
which the intended recipient can effectively access the information 
provided and as to which the firm can provide, upon request, evidence 
of delivery.
    (d) Firm means a manufacturer (including importer), retailer, or 
distributor, as those terms are defined in the CPSA.
    (e) Voluntary recall notice means a notification to consumers and 
others of the voluntary remedial action applicable to a consumer 
product or other products or substances that are regulated under the 
CPSA, or any other Act enforced by the Commission.


Sec.  1115.33  Voluntary recall notice principles.

    (a) General. (1) A voluntary recall notice should provide 
sufficient information and motivation for consumers and other persons 
to identify the product and its actual or potential hazards, and to 
respond and take the stated action. A voluntary recall notice should 
clearly and concisely state the potential for injury or death.
    (2) A voluntary recall notice should be written in language 
designed for, and readily understood by, the targeted consumers or 
other persons. The language should be simple and should avoid or 
minimize the use of highly technical or legal terminology. The language 
and formatting of a voluntary recall notice in the form of a press 
release should comport with the most current edition of the Associated 
Press Stylebook.
    (3) A voluntary recall notice should be targeted and tailored to 
the specific product and circumstances. In determining the form and 
content of a voluntary recall notice, the manner in which the product 
was advertised and marketed should be considered.
    (4) A direct voluntary recall notice is the most effective form of 
voluntary recall notice.
    (5) Voluntary recall notices should be made using:
    (i) A press release or Recall Alert;
    (ii) A prominently displayed in-store poster;
    (iii) A Web site posting; and
    (iv) At least two additional methods of publication not included in 
(i) through (iii) above from the voluntary recall notice forms provided 
in Subsection (b) of this section.
    (b) Form of voluntary recall notice. (1) Possible forms. A 
voluntary recall notice may be written, electronic, or in any other 
form agreed upon by the Commission and the firm. Voluntary recall 
notices may be transmitted using an electronic medium and in hard copy 
form. Acceptable forms of, and means for, communicating voluntary 
recall notices include, but are not limited to:
    (i) Letter, Web site posting, electronic mail, RSS feed, or text 
message;
    (ii) Press release or recall alert;
    (iii) Video news release, radio news release, b-roll package, 
YouTube, Instagram, or Vine video;
    (iv) Newspaper, magazine, catalog, or other publication;
    (v) Advertisement, newsletter, and service bulletin; and
    (vi) Social media, including, but not limited to, Facebook, 
Google+, Twitter, Pinterest, Tumblr, Flickr, and blogs.
    (2) Direct voluntary recall notice. A direct voluntary recall 
notice shall be used for each consumer for whom a firm has direct 
contact information, or when such information is reasonably obtainable 
from third parties, such as retailers, or from the firm's internal 
records, regardless of whether the information was collected for 
product registration, sales records, catalog orders, billing records, 
marketing purposes, warranty information, loyal purchaser clubs, or 
other such purposes. Direct contact information includes, but is not 
limited to: Name and address, telephone number, and electronic mail 
address. Direct voluntary recall notices may be transmitted using an 
electronic medium and in hard copy form. Direct voluntary recall 
notices should include in a readily-apparent location, a prominent and 
conspicuous statement (e.g., by using large, bold, red typeface), which 
includes the term ``Safety Recall,'' and which otherwise highlights the 
importance of the communication.
    (3) Web site recall notice. A Web site recall notice should be 
visible on a Web site's first entry point, such as a home page, should 
be clear and prominent, and should be interactive, by permitting 
consumers and other persons to obtain recall information and request a 
remedy directly on the Web site.
    (4) Social media notice. A social media notice should be 
prominently placed and should remain prominently placed for at least 48 
hours after initial placement.
    (c) Languages. All voluntary recall notices should be in the 
English

[[Page 69801]]

language. In addition, a voluntary recall notice should be translated 
into additional languages, if, in the Commission's discretion, such 
translations are necessary or appropriate to adequately inform 
consumers or the public. Such voluntary recall notice translations 
should be transmitted in the same manner as, and along with, the 
English language voluntary recall notice. In circumstances requiring 
voluntary recall notice translations, the recalling firm should provide 
consumer recall support (such as call center scripts, in-store posters 
and other communications) in both English and the applicable 
translation. Where Spanish, in addition to English, is the appropriate 
language for a voluntary recall notice, the recalling firm should use 
the Commission's Spanish translation of the recall press release on its 
Web site and other agreed-upon locations.


Sec.  1115.34  Voluntary recall notice content guidelines.

    Every voluntary recall notice should include the information set 
forth below:
    (a) Terms. A voluntary recall notice should include the word 
``recall'' in the heading and text.
    (b) Date. A voluntary recall notice should include its date of 
release, issuance, posting, or publication.
    (c) Headline. The headline (or equivalent language in an electronic 
medium) on the voluntary recall notice should be brief and should 
communicate: The name of the firm conducting the recall; the type of 
product being recalled; the hazard; the name of the U.S.-based 
manufacturer, importer, or retailer responsible for effectuating the 
remedy for consumers; and the name of the retailer, if the firm is the 
exclusive retailer of the product. The headline may include a reference 
to the nature of the remedy (such as refund, repair or replacement).
    (d) Description of product. A voluntary recall notice should 
include a clear and concise statement of the information that will 
enable consumers and other persons to readily and accurately identify 
the specific product and distinguish the product from similar products. 
The information should allow consumers to determine readily whether 
they have, or may have been exposed to the product. To the extent 
applicable to a product, descriptive information that should appear on 
a voluntary recall notice should include, but not be limited to:
    (1) The product's name, including informal and abbreviated names, 
by which customers and other persons should know or recognize the 
product;
    (2) The product's intended or targeted use population (e.g., 
infants, children, or adults);
    (3) The product's colors and sizes;
    (4) The product's model names and numbers, serial numbers, date 
codes, stock keeping unit (SKU) numbers, and tracking labels, including 
their exact locations on the product;
    (5) Identification and exact locations of product tags, labels, and 
other identifying parts, and a statement of the specific identifying 
information found on each part; and
    (6) Product photographs. Upon request by the Commission, a firm 
should provide to the Commission, digital, color photographs that are 
of high resolution and quality, in a format that is consistent with 
applicable Commission specifications. Effective notification may 
require multiple photographs and photographic angles.
    (e) Description of action being taken. A voluntary recall notice 
should contain a clear and concise statement of the actions that a firm 
is taking concerning the product. These actions may include, but are 
not limited to, one or more of the following: Stop sale and 
distribution in commerce; recall to the distributor, retailer, or 
consumer level; repair; request return, and provide a replacement; and 
request a return, and provide a refund or credit.
    (f) Statement of number of product units. A voluntary recall notice 
should state the approximate number of product units covered by the 
recall, including all product units manufactured, imported, and/or 
distributed in commerce.
    (g) Description of alleged substantial product hazard. A voluntary 
recall notice should contain a clear and concise description of the 
product's actual or potential hazards that result from the product 
condition or circumstance giving rise to the recall. The description 
should enable consumers and other persons to readily identify the 
reasons that a firm is conducting a recall. The description should also 
enable consumers and other persons to readily identify and understand 
the risks and potential injuries or deaths associated with the product 
conditions and circumstances giving rise to the recall. The description 
should include:
    (1) The product defect, fault, failure, or flaw, and/or problem 
giving rise to the recall;
    (2) The type of hazard or risk, including, by way of example only, 
burn, fall, choking, laceration, entrapment, or death; and
    (3) A statement that the hazard ``can'' occur when there have been 
incidents or injuries associated with the recalled product.
    (h) Identification of recalling firm. A voluntary recall notice 
should identify the firm conducting the recall by stating the firm's 
legal name and commonly known trade name, the city and state of its 
headquarters, and Web domain or other effective and reasonably 
accessible electronic mechanism through which consumers and others can 
communicate with the firm. The notice should state whether the 
recalling firm is a manufacturer (including importer), retailer, or 
distributor.
    (i) Identification of manufacturer. A voluntary recall notice 
should identify each manufacturer (including importer) of the product 
and the country of manufacture. Under the definition in section 
3(a)(11) of the CPSA (15 U.S.C. 2052(a)(11)), a ``manufacturer'' means 
``any person who manufactures or imports a consumer product.'' If a 
product has been manufactured outside of the United States, a voluntary 
recall notice should identify the foreign manufacturer and the United 
States importer. A voluntary recall notice should identify the 
manufacturer by stating the manufacturer's legal name and the city and 
state of its headquarters, or, if a foreign manufacturer, the foreign 
manufacturer's legal name and the city and country of its headquarters.
    (j) Identification of significant retailers. A voluntary recall 
notice should identify each significant retailer of the product. A 
recall notice should identify such a retailer by stating the retailer's 
commonly known trade name. Under the definition in Section 3(a)(13) of 
the CPSA (15 U.S.C. 2052(a)(13)), a ``retailer'' means ``a person to 
whom a consumer product is delivered or sold for purposes of sale or 
distribution by such person to a consumer.'' A product's retailer is 
``significant'' if, upon the Commission's information and belief, any 
one or more of the circumstances set forth below is present (the 
Commission may request manufacturers (including importers), retailers 
and distributors to provide information relating to these 
circumstances):
    (1) The retailer was the exclusive retailer of the product;
    (2) The retailer was an importer of the product;
    (3) The retailer has multiple stores nationwide or regionally;
    (4) The retailer sold, or held for purposes of sale or distribution 
in commerce, a significant number of the total manufactured, imported, 
or distributed units of the product; or;

[[Page 69802]]

    (5) Identification of the retailer is in the public interest.
    (k) Region. Where necessary or appropriate to assist consumers in 
determining whether they have the product at issue, a description of 
the region where the product was sold, or held for purposes of sale or 
distribution in commerce, should be provided.
    (l) Dates of manufacture and sale. A voluntary recall notice should 
state the month and year in which the manufacture of the product began 
and ended, and the month and year in which the retail sales of the 
product began and ended. These dates should be included for each make 
and model of the product.
    (m) Price. A voluntary recall notice should state the approximate 
retail price or price range of the product.
    (n) Description of incidents, injuries and deaths. A voluntary 
recall notice should contain a clear and concise summary description of 
all incidents (including, but not limited to, property damage), 
injuries, and deaths associated with the product, conditions or 
circumstances giving rise to the recall, as well as a statement of the 
number of such incidents, injuries, and deaths. The description should 
allow consumers and other persons to understand readily the nature and 
extent of the incidents and injuries. A voluntary recall notice should 
provide the age and state of residence of all persons killed.
    (1) If, after the issuance of the voluntary recall notice, the firm 
receives information that a significant number of additional incidents, 
or one or more fatalities associated with the product have occurred, 
such information should be reflected in an update to the notice on the 
firm's Web site.
    (2) The firm should immediately notify the Commission of all newly 
reported injuries and/or fatalities in order to permit the issuance of 
an updated voluntary recall notice.
    (o) Description of remedy. A voluntary recall notice should contain 
a clear and concise statement, readily understandable by consumers and 
other persons, of:
    (1) Each remedy available to a consumer for the product conditions 
or circumstances giving rise to the recall. Remedies include, but are 
not limited to, refunds, product repairs, product replacements, 
rebates, coupons, gifts, premiums, and other incentives.
    (2) All specific actions that a consumer must take to obtain each 
remedy, including, but not limited to, the following: Instructions on 
how to participate in the recall. These actions may include, but are 
not limited to, contacting a firm, removing the product from use, 
discarding the product, forwarding the product to the manufacturer, 
returning the product to the retailer, scheduling an in-home repair, or 
removing or disabling a part of the product.
    (3) All specific information that a consumer needs to obtain each 
remedy and to obtain all information about each remedy. This 
information may include, but is not limited to, the following: 
Manufacturer, retailer, and distributor contact information (such as 
name, address, telephone, and facsimile number, email address, and Web 
site address); whether telephone calls will be toll-free or collect; 
and telephone number days and hours of operation, including time zone. 
If inclusion of all model names and model and serial numbers in the 
voluntary recall notice is complicated or extensive, the voluntary 
recall notice should refer consumers to the recalling firm's Web site, 
call center, or similar customer service resource.
    (4) If, after the issuance of the voluntary recall notice, the firm 
intends to change the process or nature of the remedy, this information 
should be promptly communicated to the Commission. Changes to the 
process or nature of the remedy should be reflected in an update to the 
voluntary recall notice agreed to by the Commission and the firm. The 
updated voluntary recall notice should be posted promptly on the firm's 
Web site and the Commission's Web site and otherwise transmitted to 
consumers in a manner consistent with the communication of the initial 
voluntary recall notice.
    (p) Compliance program. A voluntary recall notice may contain a 
reference to applicable compliance programs or requirements, as 
appropriate.
    (q) Other information. A voluntary recall notice should contain 
such other information as the Commission and the recalling firm deem 
appropriate.


Sec.  1115.35  Multiple products or mode.

    For each product or model covered by a voluntary recall notice, the 
notice should comport with the guidelines set forth in Sec.  1115.34.

    Dated: November 14, 2013.
Todd A. Stevenson,
Secretary, Consumer Product Safety Commission.
[FR Doc. 2013-27656 Filed 11-20-13; 8:45 am]
BILLING CODE 6355-01-P