Hank Tapy, Director, Western RegionHank Tapy, Director, Western RegionImport Surveillance Import Surveillance U.S. Consumer Product Safety U.S. Consumer Product Safety CommissionCommission

This presentation has not been reviewed or approved by the Commission and may not reflect its views

1

2

Outline of SessionOutline of Session CPSC BackgroundCPSC Background Products Under CPSC JurisdictionProducts Under CPSC Jurisdiction Major Requirements of the Consumer Major Requirements of the Consumer

Product Safety Improvement Act (CPSIA)Product Safety Improvement Act (CPSIA) General Conformity Certification and General Conformity Certification and

Third PartyThird Party AccreditationAccreditation Enforcement Enforcement Avoiding the Pitfalls that could delay Avoiding the Pitfalls that could delay

entryentry

BackgroundBackground

Independent Federal Agency 1973Independent Federal Agency 1973 Headed by 5 Commissioners (1 Chair)Headed by 5 Commissioners (1 Chair) Approximately 400 staff totalApproximately 400 staff total Annual Budget ~$100MAnnual Budget ~$100M 3 main Sections of the Agency3 main Sections of the Agency Office of Compliance and Field Office of Compliance and Field

OperationsOperations Division of Import Surveillance (Feb 2008)Division of Import Surveillance (Feb 2008) Compliance Officers (Subject Matter Compliance Officers (Subject Matter

Experts)Experts) Field InvestigatorsField Investigators

3

Consumer Product Safety Consumer Product Safety Improvement Act (CPSIA)Improvement Act (CPSIA)

Consumer Product Safety Act (CPSA)Consumer Product Safety Act (CPSA) LightersLighters

Federal Hazardous Substances Act Federal Hazardous Substances Act (FHSA)(FHSA)

Flammable Fabrics Act (FFA)Flammable Fabrics Act (FFA) Sleepwear/mattressesSleepwear/mattresses

Poison Prevention Packaging Act (PPPA)Poison Prevention Packaging Act (PPPA) Dietary Supplements, PackagingDietary Supplements, Packaging

Refrigerator Safety Act (RSA)Refrigerator Safety Act (RSA) Virginia Graham Baker Pool and Spa ActVirginia Graham Baker Pool and Spa Act

Jurisdictional Authority Jurisdictional Authority Many ActsMany Acts

CPSC Does CPSC Does NOTNOT Have Have Authority OverAuthority Over

Tobacco productsTobacco products Medical DevicesMedical Devices Food and DrugsFood and Drugs Boats or Motor Vehicles or AircraftBoats or Motor Vehicles or Aircraft FirearmsFirearms PesticidesPesticides Workplace productsWorkplace products AlcoholAlcohol

Definition of a Consumer Definition of a Consumer ProductProduct

Any article or component of an article Any article or component of an article which is customarily produced or which is customarily produced or distributed for sale to or for the personal distributed for sale to or for the personal use, consumption, or enjoyment of use, consumption, or enjoyment of consumers in a residential, school, consumers in a residential, school, recreational or other environment. It recreational or other environment. It does not include a product intended for does not include a product intended for commercial or industrial use, unless it is commercial or industrial use, unless it is sold to or used by consumers more than sold to or used by consumers more than occasionally.occasionally.

Definition of Durable Definition of Durable Infant or Toddler Infant or Toddler

ProductProduct Intended for use, or reasonable expected Intended for use, or reasonable expected

to be used by children under the age of 5.to be used by children under the age of 5. CribsCribs Toddler bedsToddler beds High chairs, booster seats and hook on chairsHigh chairs, booster seats and hook on chairs Bath seatsBath seats Gates and other closures for confining a childGates and other closures for confining a child Play yardsPlay yards Stationary activity centersStationary activity centers

7

Durable Products Durable Products ContinuedContinued

Infant CarriersInfant Carriers StrollersStrollers WalkersWalkers SwingsSwings Bassinets and cradlesBassinets and cradles

8

What’s NewWhat’s New

LaboratoryLaboratory New Public DatabaseNew Public Database GAO ReportGAO Report Generic Defect RulesGeneric Defect Rules Targeting CenterTargeting Center PenaltiesPenalties Public Notice of ViolationsPublic Notice of Violations

9

LaboratoryLaboratory

August 2010 – New Lab will be August 2010 – New Lab will be completedcompleted

CPSC – RockvilleCPSC – Rockville Modern, purpose built facilityModern, purpose built facility Local storage of samplesLocal storage of samples

10

Public DatabasePublic Database

OMB released $8M in FY09OMB released $8M in FY09 CPSC plan goes beyond merely CPSC plan goes beyond merely

making consumer complaints publicmaking consumer complaints public March 2011 completion date for March 2011 completion date for

public portalpublic portal

11

GAO ReportGAO Report

Recognized that CPSC has limited Recognized that CPSC has limited staff at the ports of entrystaff at the ports of entry

Three recommendationsThree recommendations1.1. Implement key provisions of CPSIAImplement key provisions of CPSIA

2.2. Update agreements with CBPUpdate agreements with CBP

3.3. Update strategic planUpdate strategic plan

12

Generic Defect RulesGeneric Defect Rules

Section 223(a) of CPSIASection 223(a) of CPSIA Allows commission, by rule, to define Allows commission, by rule, to define

the presence or absence of certain the presence or absence of certain characteristics as a defect for a class characteristics as a defect for a class of productsof products

13

CTACCTAC

Commercial Targeting Analysis Commercial Targeting Analysis CenterCenter

Operated by CBPOperated by CBP Staffed by CBP, CPSC, and other Staffed by CBP, CPSC, and other

agencies responsible for import agencies responsible for import safetysafety

14

PenaltiesPenalties

Record number of firms agreed to Record number of firms agreed to civil penalties in FY2009civil penalties in FY2009

Closing in on record amount for civil Closing in on record amount for civil penalitespenalites

15

Penalty IssuesPenalty Issues

Increase in potential penalties for Increase in potential penalties for violationsviolations

16

17

Public Notice of ViolationsPublic Notice of Violations

CPSIA FocusCPSIA Focus

Children’s ProductsChildren’s Products LeadLead PhthalatesPhthalates CertificationCertification 33rdrd Party Testing Party Testing Tracking LabelsTracking Labels New standards for durable nursery productsNew standards for durable nursery products Product Registration CardsProduct Registration Cards Mandatory Toy StandardsMandatory Toy Standards

18

New Lead Content LimitsNew Lead Content Limits

300ppm300ppm RetroactiveRetroactive Must be AccessibleMust be Accessible Interim final rule exempting certain Interim final rule exempting certain

electronicselectronics ExclusionsExclusions Stays of EnforcementStays of Enforcement Periodic Review of StandardPeriodic Review of Standard

19

New Lead Paint StandardNew Lead Paint Standard

90ppm90ppm RetroactiveRetroactive Standard applies to same items as Standard applies to same items as

previouslypreviously

20

Lead ScreeningLead Screening

XRF used in field to screen for leadXRF used in field to screen for lead Highly accurate in screening Highly accurate in screening

homogenous plastic materialshomogenous plastic materials DemonstrationDemonstration

Anyone have an item that they would Anyone have an item that they would like tested?like tested?

21

PhthalatesPhthalates

What are Phthalates?What are Phthalates? Permanent BanPermanent Ban

DEHPDEHP DBPDBP BBPBBP

Interim BanInterim Ban DINPDINP DIDPDIDP DnOPDnOP

Revised lab testRevised lab test

22

23

CertificationCertification

Certification generally means vouching Certification generally means vouching that a that a product compliesproduct complies with a certain with a certain requirement, such as a government requirement, such as a government standardstandard

Sometimes called a “supplier’s Sometimes called a “supplier’s declaration of conformity”declaration of conformity”

May or may not involve any test May or may not involve any test laboratorylaboratory

May or may not involve a label on the May or may not involve a label on the productproduct

24

What Are “Similar” What Are “Similar” Rules?Rules?

CPSA standards and bans; CPSA standards and bans; notnot section 27 section 27 rulesrules

FHSA bans and requirements adopted by FHSA bans and requirements adopted by Commission, Commission, not bans solely by not bans solely by definitiondefinition

FHSA labeling rules for specific productsFHSA labeling rules for specific products FFA standardsFFA standards PPPA “special packaging” standardsPPPA “special packaging” standards RSA standard for refrigeratorsRSA standard for refrigerators Generic Defect RuleGeneric Defect Rule

25

Who Must Certify?Who Must Certify?

““EveryEvery manufacturer” of a product manufacturer” of a product that is subject to a consumer that is subject to a consumer product safety rule or similar rule, product safety rule or similar rule, ban, standard or regulation ban, standard or regulation andand which is “which is “importedimported for consumption for consumption or warehousing” or warehousing” oror “ “distributeddistributed in in commerce”commerce”

26

Certification vs. Certification vs. ComplianceCompliance

Certification Certification does not exemptdoes not exempt any any product from the requirement to comply product from the requirement to comply with an applicable rule, standard, ban or with an applicable rule, standard, ban or regulation. regulation.

Manufacturers (including importers), Manufacturers (including importers), distributors and retailers must report to distributors and retailers must report to the CPSC immediately if they learn that the CPSC immediately if they learn that one of their products fails to comply with one of their products fails to comply with an applicable consumer product safety an applicable consumer product safety rule or “any other rule, regulation, rule or “any other rule, regulation, standard, or ban” under the CPSA or any standard, or ban” under the CPSA or any other Act enforced by the Commission.other Act enforced by the Commission.

27

Are Are AllAll Imports Covered? Imports Covered?

Certification is required for products Certification is required for products that are “imported for consumption that are “imported for consumption or warehousing”or warehousing”

28

What Testing Is RequiredWhat Testing Is Required As a Basis for As a Basis for Certification?Certification?

Certification must be based on a test Certification must be based on a test of each product or upon a of each product or upon a reasonable testing programreasonable testing program

29

Content of CertificatesContent of Certificates Certificates must Certificates must

identify the product, manufacturer (importer) identify the product, manufacturer (importer) or private labeler issuing the certificate, and or private labeler issuing the certificate, and any third party on whose testing the certificate any third party on whose testing the certificate depends, by name, address and phone numberdepends, by name, address and phone number

Must spell out the date and place where the Must spell out the date and place where the product was manufactured and date and place product was manufactured and date and place of testingof testing

Must show contact information for person Must show contact information for person maintaining test recordsmaintaining test records

Must specify each applicable standard, ban, Must specify each applicable standard, ban, etc. etc.

30

Availability of Availability of CertificatesCertificates

Certificates must “Certificates must “accompanyaccompany” each ” each product or shipment of products covered product or shipment of products covered by the same certificateby the same certificate

A copy of the certificate must be A copy of the certificate must be ““furnishedfurnished to each distributor or retailer to each distributor or retailer of the product” (no requirement to of the product” (no requirement to provide to ultimate consumer)provide to ultimate consumer) Not necessarily a paper copyNot necessarily a paper copy

A copy of the certificate must be made A copy of the certificate must be made available to the Commission and Customs available to the Commission and Customs upon requestupon request

31

Certification at the PortsCertification at the Ports

There is currently There is currently no requirement no requirement to fileto file a certificate with CBP or any a certificate with CBP or any government agency as part of the government agency as part of the entry process or otherwiseentry process or otherwise

32

Certification ViolationsCertification Violations CPSA Section 19(a)(6) makes it unlawful CPSA Section 19(a)(6) makes it unlawful

for any person either:for any person either: to to fail to furnishfail to furnish a certificate a certificate

required by section 14; orrequired by section 14; or to to issue a false certificateissue a false certificate if the if the

issuer in exercise of due care has issuer in exercise of due care has reason to know it is false or reason to know it is false or misleading in any material respectmisleading in any material respect

Knowing violations of section 19 are Knowing violations of section 19 are subject to civil penalties; knowing and subject to civil penalties; knowing and willful violations could lead to willful violations could lead to imprisonmentimprisonment

33

Third-Party TestingThird-Party Testing

For children’s products, certification For children’s products, certification will have to be based on testing by will have to be based on testing by an independent, third-party an independent, third-party laboratory that is accredited under laboratory that is accredited under rules issued by the Commissionrules issued by the Commission

The Commission must promulgate The Commission must promulgate rules over time to give greater rules over time to give greater specificity to the requirements for specificity to the requirements for third-party testingthird-party testing

34

Laboratory AccreditationLaboratory Accreditation

Baseline AccreditationBaseline Accreditation ISO 17025, specific scopeISO 17025, specific scope ILAC recognizedILAC recognized

Proprietary LabsProprietary Labs Government LabsGovernment Labs

35

Is Third-Party Testing Is Third-Party Testing Required for All Children’s Required for All Children’s

Products?Products? The requirement for third party The requirement for third party

testing applies to every children’s testing applies to every children’s product that is subject to a product that is subject to a “children’s product safety rule”“children’s product safety rule”

Products Currently Products Currently Requiring CertificatesRequiring Certificates

Adult ATV’s (GCC)Adult ATV’s (GCC) Children’s Products (3P)Children’s Products (3P)

Lead PaintLead Paint Lead Content in Children’s JewelryLead Content in Children’s Jewelry CribsCribs PacifiersPacifiers Small partsSmall parts

36

Products Requiring Products Requiring Certificates Certificates

Manufactured afterManufactured afterFebruary 10, 2010: February 10, 2010:

Bicycle Helmets (GCC/3P)Bicycle Helmets (GCC/3P) Bunk Beds (GCC/3P)Bunk Beds (GCC/3P) Rattles (3P)Rattles (3P) Dive Sticks (3P)Dive Sticks (3P) Portable Gas Containers (GCC)Portable Gas Containers (GCC) Special Packaging subject to the Special Packaging subject to the

Poison Prevention Packaging Act Poison Prevention Packaging Act (GCC)(GCC)

37

Products Requiring Products Requiring Certificates Certificates

Manufactured afterManufactured afterFebruary 10, 2010: February 10, 2010:

Ban on Extremely Flammable Contact Ban on Extremely Flammable Contact Adhesives (GCC)Adhesives (GCC)

Ban on Unstable Refuse Bins (GCC)Ban on Unstable Refuse Bins (GCC) Standard for Refrigerator Door Latches Standard for Refrigerator Door Latches

(GCC)(GCC) Mattresses (GCC)Mattresses (GCC) Architectural Glazing (GCC)Architectural Glazing (GCC) Matchbooks (GCC)Matchbooks (GCC)

38

Products Requiring Products Requiring Certificates Certificates

Manufactured afterManufactured afterFebruary 10, 2010: February 10, 2010:

CB Antennas (GCC)CB Antennas (GCC) Lawnmowers (GCC)Lawnmowers (GCC) Swimming Pool Slides (GCC)Swimming Pool Slides (GCC) Candles with Metal Wicks (GCC)Candles with Metal Wicks (GCC) Cellulose Insulation (GCC)Cellulose Insulation (GCC) Garage Door Openers (GCC)Garage Door Openers (GCC) Cigarette Lighters (GCC)Cigarette Lighters (GCC)

39

Products Requiring Products Requiring Certificates Certificates

Manufactured afterManufactured afterFebruary 10, 2010: February 10, 2010:

Multi-purpose Lighters (GCC)Multi-purpose Lighters (GCC) Fireworks (GCC)Fireworks (GCC)

40

Products Requiring Products Requiring Certificates Subject to Certificates Subject to Stays of Enforcement: Stays of Enforcement:

5/17/2010: Bicycles (GCC/3P)5/17/2010: Bicycles (GCC/3P) 2/10/2011 Lead content in 2/10/2011 Lead content in

Children’s Children’s

Products (3P)Products (3P)

41

Stays of Enforcement Stays of Enforcement until 90 Days After List until 90 Days After List

of Accredited of Accredited Laboratories is Issued: Laboratories is Issued:

Carpets and Rugs (3P)Carpets and Rugs (3P) Vinyl Plastic Film (3P)Vinyl Plastic Film (3P) Wearing Apparel (3P)Wearing Apparel (3P) Caps and Toy Guns (3P)Caps and Toy Guns (3P) Phthalates (3P)Phthalates (3P) ASTM F963 Toy Standard (3P)ASTM F963 Toy Standard (3P) Clacker Balls (3P)Clacker Balls (3P)

42

Stays of Enforcement Stays of Enforcement until 90 Days After List until 90 Days After List

of Accredited of Accredited Laboratories is Issued: Laboratories is Issued:

Baby Walkers (3P)Baby Walkers (3P) Bath Seats (3P)Bath Seats (3P) Children’s Sleepwear (3P)Children’s Sleepwear (3P) Electronically Operated Toys (3P)Electronically Operated Toys (3P) Durable Infant Products (3P)Durable Infant Products (3P) Children’s ATVs (3P)Children’s ATVs (3P) Children’s Mattresses (3P)Children’s Mattresses (3P)

43

Tracking LabelsTracking Labels

Required on children’s productsRequired on children’s products Requires permanent mark on Requires permanent mark on

product and packagingproduct and packaging

44

Standards for Durable Standards for Durable Infant & Toddler Infant & Toddler

ProductsProducts Most will become effective in 2011.Most will become effective in 2011. First standardsFirst standards

Baby WalkersBaby Walkers Bath SeatsBath Seats

45

Product Registration Product Registration CardsCards

For durable infant and toddler productsFor durable infant and toddler products Effective Date: 6/28/2010Effective Date: 6/28/2010 Will apply to 12 products initially:Will apply to 12 products initially:

6 Additional products to be added 6 Additional products to be added 12/29/201012/29/2010

46

Cribs Toddler Beds

High Chairs/Booster Chairs

Bath Seats

Gates & Other Enclosures

Play Yards

Stationary Activity Centers

Infant Carriers

Strollers Walkers

Swings Basinets & Cradles

Mandatory Toy StandardMandatory Toy Standard

ASTM F963ASTM F963

47

48

Refusal of AdmissionRefusal of Admission

Products refused admission under Section Products refused admission under Section 17 (a)(2) of the CPSA 17 (a)(2) of the CPSA must be destroyedmust be destroyed unless the Secretary of Treasury permits unless the Secretary of Treasury permits exportexport

All expenses of destruction (including All expenses of destruction (including salaries, travel, per diem, etc) shall be salaries, travel, per diem, etc) shall be paid by the owner or consigneepaid by the owner or consignee

If expenses of destruction are not paid, If expenses of destruction are not paid, they become a lien against future imports they become a lien against future imports by the same owner or consignee.by the same owner or consignee.

Prohibited Acts Sec. 216Prohibited Acts Sec. 216

Sale of a Recalled ProductSale of a Recalled Product Also applies to voluntary corrective action Also applies to voluntary corrective action

taken with the manufacturer jointly with CPSCtaken with the manufacturer jointly with CPSC Use of a registered safety certification Use of a registered safety certification

mark owned by an accredited conformity mark owned by an accredited conformity assessment body. (UL,ASTM,etc.)assessment body. (UL,ASTM,etc.)

Misrepresentation to CPSC in the course of Misrepresentation to CPSC in the course of an investigationan investigation

Exporting banned products unless made Exporting banned products unless made solely for exportsolely for export

49

EnforcementEnforcement

Yearly Programs Coordinated with Yearly Programs Coordinated with CBP for routine enforcement of CBP for routine enforcement of Mandatory standardsMandatory standards Rule sets developed in partnership with Rule sets developed in partnership with

CBPCBP Local Operations formulated based Local Operations formulated based

on port specific activityon port specific activity Targeted ExamsTargeted Exams

50

How are potential How are potential violations investigated?violations investigated?

Common Sense ApproachCommon Sense Approach Counterfeit versus Safety DefectCounterfeit versus Safety Defect

Pre-screening of products containing Pre-screening of products containing lead for rapid decision making of lead for rapid decision making of shipmentshipment

Importer Inspections (sometimes Importer Inspections (sometimes jointly with CBP)jointly with CBP)

Domestic visits to retailers, Domestic visits to retailers, wholesalers and consumerswholesalers and consumers

51

Avoiding the Pitfalls that Avoiding the Pitfalls that could Delay Entrycould Delay Entry

Make certificates readily availableMake certificates readily available Ensure goods are classified Ensure goods are classified

appropriatelyappropriately Include product detail on invoiceInclude product detail on invoice If importing ATV’s have a CPSC If importing ATV’s have a CPSC

approved action plan on fileapproved action plan on file Make sure 3Make sure 3rdrd party testing body is party testing body is

accredited by CPSCaccredited by CPSC Sign up for ISASign up for ISA

52

Pitfalls ContinuedPitfalls Continued

Ensure the correct citation to each Ensure the correct citation to each CPSC product safety regulation or CPSC product safety regulation or statutory requirement to which the statutory requirement to which the product is being certified on the product is being certified on the certificate.certificate.

Don’t import children's upper and Don’t import children's upper and outerwear with drawstrings.outerwear with drawstrings.

53

Children’s JewelryChildren’s Jewelry

Same relevant factors as any other Same relevant factors as any other children’s articlechildren’s article

Lead content < 300ppmLead content < 300ppm Certificate of ConformityCertificate of Conformity Tracking LabelTracking Label

54

Rules of ThumbRules of Thumb BraceletsBracelets

Elastic; less than 6 ¾” in lengthElastic; less than 6 ¾” in length PinsPins

Simple post and clutch backingSimple post and clutch backing EarringsEarrings

Small in size; brightly colored; backing not Small in size; brightly colored; backing not relevantrelevant

NecklacesNecklaces Less than 16” in length (12” up to age four)Less than 16” in length (12” up to age four)

RingsRings Less than ¾” (sizes 3-5)Less than ¾” (sizes 3-5)

55

56

Questions?Questions?

Getting the most up-to-date Getting the most up-to-date information: GO TOinformation: GO TO

www.cpsc.gov under CPSIA legislation under CPSIA legislation

Hank Tapy, Director, Western RegionHank Tapy, Director, Western Region

(636) 536-0567(636) 536-0567