DRAFT 4/21/2017 Hank Tapy, Director, Western Region Import Surveillance U.S. Consumer Product Safety Commission This presentation has not been reviewed.

DRAFT 4/21/2017 Hank Tapy, Director, Western Region Import Surveillance U.S. Consumer Product Safety Commission This presentation has not been reviewed or approved by the Commission and may not reflect its views

Outline of Session CPSC Background Products Under CPSC Jurisdiction
DRAFT 4/21/2017 Outline of Session CPSC Background Products Under CPSC Jurisdiction Major Requirements of the Consumer Product Safety Improvement Act (CPSIA) General Conformity Certification and Third Party Accreditation Enforcement Avoiding the Pitfalls that could delay entry

Background Independent Federal Agency 1973
DRAFT 4/21/2017 Background Independent Federal Agency 1973 Headed by 5 Commissioners (1 Chair) Approximately 400 staff total Annual Budget ~$100M 3 main Sections of the Agency Office of Compliance and Field Operations Division of Import Surveillance (Feb 2008) Compliance Officers (Subject Matter Experts) Field Investigators First time in 20 years that the CPSC has had 5 commissioners Commission is already very active Joint weekly briefings Monthly briefings on special topics Regular meetings held every Wednesday at 2pm Currently 14 Compliance investigators in the Import Surveilance Division Will add up to 10 more next fiscal year I supervise all CIs west of the Mississippi River Houston Los Angeles San Francisco Seattle Jim Johloske supervises New York/Newark, JFK, Buffalo, Savannah, Norfolk, Miami Field Invesgtigators (Product Safety Investigators) also assist with import surveillance

Jurisdictional Authority Many Acts
DRAFT 4/21/2017 Jurisdictional Authority Many Acts Consumer Product Safety Improvement Act (CPSIA) Consumer Product Safety Act (CPSA) Lighters Federal Hazardous Substances Act (FHSA) Flammable Fabrics Act (FFA) Sleepwear/mattresses Poison Prevention Packaging Act (PPPA) Dietary Supplements, Packaging Refrigerator Safety Act (RSA) Virginia Graham Baker Pool and Spa Act

CPSC Does NOT Have Authority Over
DRAFT 4/21/2017 CPSC Does NOT Have Authority Over Tobacco products Medical Devices Food and Drugs Boats or Motor Vehicles or Aircraft Firearms Pesticides Workplace products Alcohol .

Definition of a Consumer Product
DRAFT 4/21/2017 Definition of a Consumer Product Any article or component of an article which is customarily produced or distributed for sale to or for the personal use, consumption, or enjoyment of consumers in a residential, school, recreational or other environment. It does not include a product intended for commercial or industrial use, unless it is sold to or used by consumers more than occasionally.

Definition of Durable Infant or Toddler Product
DRAFT 4/21/2017 Definition of Durable Infant or Toddler Product Intended for use, or reasonable expected to be used by children under the age of 5. Cribs Toddler beds High chairs, booster seats and hook on chairs Bath seats Gates and other closures for confining a child Play yards Stationary activity centers New requirement under the CPSIA

Durable Products Continued
DRAFT 4/21/2017 Durable Products Continued Infant Carriers Strollers Walkers Swings Bassinets and cradles

What’s New Laboratory New Public Database GAO Report
DRAFT 4/21/2017 What’s New Laboratory New Public Database GAO Report Generic Defect Rules Targeting Center Penalties Public Notice of Violations Generic Defect rules are also known as “substantial hazards” under section 15(j) of the CPSA Depending on audience, it may be appropriate to discuss new

Laboratory August 2010 – New Lab will be completed CPSC – Rockville
DRAFT 4/21/2017 Laboratory August 2010 – New Lab will be completed CPSC – Rockville Modern, purpose built facility Local storage of samples

Public Database OMB released $8M in FY09
DRAFT 4/21/2017 Public Database OMB released $8M in FY09 CPSC plan goes beyond merely making consumer complaints public March 2011 completion date for public portal Will make us more effective and efficient Will create a data warehouse Data mining possible Aids in defect pattern recognition and “early warning” Will simplify making assignments to field personnel and in case management

DRAFT 4/21/2017 GAO Report Recognized that CPSC has limited staff at the ports of entry Three recommendations Implement key provisions of CPSIA Update agreements with CBP Update strategic plan Key provisions include generic defect rules and certification provisions Agreements will clarify roles with CBP and develop capacity to analyze advance shipment data and use for targeting purposes

Generic Defect Rules Section 223(a) of CPSIA
DRAFT 4/21/2017 Generic Defect Rules Section 223(a) of CPSIA Allows commission, by rule, to define the presence or absence of certain characteristics as a defect for a class of products Why? Regulated Products are easier to stop at the ports of entry than defective products Characteristics must be “readily observable” and addressed by voluntary standards that are effective and generally complied with Characteristics may be those that should not be present (drawstrings) or that should be present (GFCI on hairdryers)

CTAC Commercial Targeting Analysis Center Operated by CBP
DRAFT 4/21/2017 CTAC Commercial Targeting Analysis Center Operated by CBP Staffed by CBP, CPSC, and other agencies responsible for import safety Center will be located in Washington DC Will be stood up on October 1 We are currently recruiting for analyst positions,

Penalties Record number of firms agreed to civil penalties in FY2009
DRAFT 4/21/2017 Penalties Record number of firms agreed to civil penalties in FY2009 Closing in on record amount for civil penalites Over 50% increase in number of firms with penalty settlements My data is a few weeks old, but we have collected $8.5 million in FY09 as compared to our all-time high of $8.8 million in FY05

Penalty Issues Increase in potential penalties for violations DRAFT
4/21/2017 Penalty Issues Increase in potential penalties for violations Violations under CPSA, FHSA, and FFA The maximum penalty for each violation rises from $5,000 to $100,000 The maximum total penalty rises from $1.25 million to $15 million Knowing AND willful violations of any prohibited act can be prosecuted criminally and are subject to fines and jailtime of up to 5 years.

Public Notice of Violations
DRAFT 4/21/2017 Public Notice of Violations Currently, most of our enforcement of regulated products is invisible outside of the commission CPSIA allows disclosure of all violations, not just violations of the CPSA

CPSIA Focus Children’s Products Lead Phthalates Certification
DRAFT 4/21/2017 CPSIA Focus Children’s Products Lead Phthalates Certification 3rd Party Testing Tracking Labels New standards for durable nursery products Product Registration Cards Mandatory Toy Standards What is a children’s product? It is a consumer product designed primarily for children 12 and under A product intended for teenagers is not necessarily a children’s product even if it appeals to a 12 year old. The next series of slides will discuss each of these elements and how they are interrelated. When determining if a product is a children’s product, we must consider: Statements from the manufacturer about its intended use (if reasonable) How the product is advertised, promoted, and marketed Whether commonly recognized as intended for children CPSC age determination guidelines

New Lead Content Limits
DRAFT 4/21/2017 New Lead Content Limits 300ppm Retroactive Must be Accessible Interim final rule exempting certain electronics Exclusions Stays of Enforcement Periodic Review of Standard Standard became effective 8/14/09 for children’s products The standard is retroactive. Products produced before 8/14 CANNOT be sold, imported, or exported if they have a lead content of 300ppm or greater Accessibility rules rely on familiar “use and abuse” tests and accessibility probes Exclusions – None have been granted by the Commission. The commission has refused ATVs, bikes, and crystals Stays of Enforcement – Certain components (metal parts only) of youth ATVs, other motorized vehicles, and bikes - No exceptions for non-metal parts of ATVs or bikes, OR for ANY part of a tricycle, scooter, wagon, or such .Certain natural products such as dyed and undyed textiles, wood, paper, precious, and semi-precious stones, although they must meet lead standard, are exempt from testing and certification. However, when you affix a zipper or a button to the textile, the item must be tested and certified. On 8/14/11 the standard goes to 100ppm if technically feasible and must be reviewed every five years after that

New Lead Paint Standard
DRAFT 4/21/2017 New Lead Paint Standard 90ppm Retroactive Standard applies to same items as previously Standard became effective 8/14/09 The standard is retroactive. Products produced before 8/14 CANNOT be sold, imported, or exported if the paint has a lead content of 90ppm or greater Standard applies to: Paint in cans Toys Children’s articles Household furniture

Lead Screening XRF used in field to screen for lead
DRAFT 4/21/2017 Lead Screening XRF used in field to screen for lead Highly accurate in screening homogenous plastic materials Demonstration Anyone have an item that they would like tested? XRF is our X-Ray Flourescence Device, a handheld unit. Currently, we rely on wet chemistry for definitive test results. However, the CPSIA allows for the commission to establish alternate testing procedures, and XRF may definitely be a candidate in certain circumstances some day. The faster we can make a final determination, the faster compliant freight can get on its way.

Phthalates What are Phthalates? Permanent Ban Interim Ban
DRAFT 4/21/2017 Phthalates What are Phthalates? Permanent Ban DEHP DBP BBP Interim Ban DINP DIDP DnOP Revised lab test What are Phthalates? They are plasticizers (softeners) used in PVCs and other plastics Often used as a solvent in adhesives, paint (especially fabric paint) Permanent ban applies to child care articles and children’s toys child care articles – used to facilitate sleeping or eating for kids 3 and younger 1000ppm or greater Interim ban applies to child care articles MOUTHABLE toys – one dimension less than 5cm New lab test focuses only on plasticized component – not entire article

DRAFT 4/21/2017 Certification Certification generally means vouching that a product complies with a certain requirement, such as a government standard Sometimes called a “supplier’s declaration of conformity” May or may not involve any test laboratory May or may not involve a label on the product Under the CPSIA, a certificate of conformity is a statement by the manufacturer that its product conforms. For imported products, the importer is considered the manufacturer for purposes of certification Under prior law, certification was generally required only for consumer products subject to standards promulgated by the Commission under the Consumer Product Safety Act such as lighters and bike helmets The 2008 Act expands the general certification requirement to all products subject to bans as well as standards under the CPSA, or to any “similar rule, ban, standard, or regulation under any other Act enforced by the Commission.” For future standards, certification will be required at the effective date of the standard Two types of certificates: General Conformity Certificate (GCC) or Certificate based on third party testing (for children’s products.

What Are “Similar” Rules?
DRAFT What Are “Similar” Rules? 4/21/2017 CPSA standards and bans; not section 27 rules FHSA bans and requirements adopted by Commission, not bans solely by definition FHSA labeling rules for specific products FFA standards PPPA “special packaging” standards RSA standard for refrigerators Generic Defect Rule

DRAFT 4/21/2017 Who Must Certify? “Every manufacturer” of a product that is subject to a consumer product safety rule or similar rule, ban, standard or regulation and which is “imported for consumption or warehousing” or “distributed in commerce” Every manufacturer includes: foreign manufacturers, importers and domestic manufacturers If the product bears a private label, the private labeler must also issue a certificate.

Certification vs. Compliance
DRAFT 4/21/2017 Certification vs. Compliance Certification does not exempt any product from the requirement to comply with an applicable rule, standard, ban or regulation. Manufacturers (including importers), distributors and retailers must report to the CPSC immediately if they learn that one of their products fails to comply with an applicable consumer product safety rule or “any other rule, regulation, standard, or ban” under the CPSA or any other Act enforced by the Commission.

Are All Imports Covered?
DRAFT 4/21/2017 Are All Imports Covered? Certification is required for products that are “imported for consumption or warehousing” This may not include certain products that are imported for testing, for trade shows or for re-export The certification requirement would apply, however, if any of these products is later sold for distribution in US commerce

What Testing Is Required As a Basis for Certification?
DRAFT 4/21/2017 What Testing Is Required As a Basis for Certification? Certification must be based on a test of each product or upon a reasonable testing program The Commission may prescribe a reasonable testing program and may now require that testing be done by an independent third party For children’s products, Congress set a schedule under which all certification must eventually be based on third-party testing

Content of Certificates
DRAFT 4/21/2017 Content of Certificates Certificates must identify the product, manufacturer (importer) or private labeler issuing the certificate, and any third party on whose testing the certificate depends, by name, address and phone number Must spell out the date and place where the product was manufactured and date and place of testing Must show contact information for person maintaining test records Must specify each applicable standard, ban, etc. Examples of certificates are available on the CPSC.gov website.

Availability of Certificates
DRAFT 4/21/2017 Availability of Certificates Certificates must “accompany” each product or shipment of products covered by the same certificate A copy of the certificate must be “furnished to each distributor or retailer of the product” (no requirement to provide to ultimate consumer) Not necessarily a paper copy A copy of the certificate must be made available to the Commission and Customs upon request If a certificate is transmitted to the broker, and the broker makes available to CBP or CPSC this serves as “accompanying the shipment”. This is how the majority of certificates are made available at present. We call the broker and they fax it to us. CPSC may, by rule, provide for electronic filing of certificates up to 24 hours before arrival. ACE requirements have been identified to provide for this functionality at a later date. A unique solution that I have started to see at import is the printing of a unique URL on the carton that links directly to the certificate of conformity. This pretty much guarantees that the certificate will not only be immediately available to CPSC and CBP but will naturally follow the distribution chain all the way to retail.

Certification at the Ports
DRAFT 4/21/2017 Certification at the Ports There is currently no requirement to file a certificate with CBP or any government agency as part of the entry process or otherwise

Certification Violations
DRAFT Certification Violations 4/21/2017 CPSA Section 19(a)(6) makes it unlawful for any person either: to fail to furnish a certificate required by section 14; or to issue a false certificate if the issuer in exercise of due care has reason to know it is false or misleading in any material respect Knowing violations of section 19 are subject to civil penalties; knowing and willful violations could lead to imprisonment

DRAFT 4/21/2017 Third-Party Testing For children’s products, certification will have to be based on testing by an independent, third-party laboratory that is accredited under rules issued by the Commission The Commission must promulgate rules over time to give greater specificity to the requirements for third-party testing

Laboratory Accreditation
DRAFT 4/21/2017 Laboratory Accreditation Baseline Accreditation ISO 17025, specific scope ILAC recognized Proprietary Labs Government Labs List of accredited laboratories is on the CPSC website. This list is sortable by location and standards the labs are certified to test to.

Is Third-Party Testing Required for All Children’s Products?
DRAFT 4/21/2017 Is Third-Party Testing Required for All Children’s Products? The requirement for third party testing applies to every children’s product that is subject to a “children’s product safety rule” The term “children’s product safety rule” is defined broadly to include any standard or ban under the CPSA or any “similar rule, regulation, standard or ban” under any other Act enforced by CPSC, including a rule declaring a consumer product to be a banned hazardous substance

Products Currently Requiring Certificates
DRAFT 4/21/2017 Products Currently Requiring Certificates Adult ATV’s (GCC) Children’s Products (3P) Lead Paint Lead Content in Children’s Jewelry Cribs Pacifiers Small parts On 2/2/09, a stay of enforcement stayed many but not all requirements If a product required testing and certification prior to the CPSIA, it was not stayed.

Products Requiring Certificates Manufactured after February 10, 2010:
DRAFT 4/21/2017 Products Requiring Certificates Manufactured after February 10, 2010: Bicycle Helmets (GCC/3P) Bunk Beds (GCC/3P) Rattles (3P) Dive Sticks (3P) Portable Gas Containers (GCC) Special Packaging subject to the Poison Prevention Packaging Act (GCC)

DRAFT 4/21/2017 Products Requiring Certificates Manufactured after February 10, 2010: Ban on Extremely Flammable Contact Adhesives (GCC) Ban on Unstable Refuse Bins (GCC) Standard for Refrigerator Door Latches (GCC) Mattresses (GCC) Architectural Glazing (GCC) Matchbooks (GCC)

DRAFT 4/21/2017 Products Requiring Certificates Manufactured after February 10, 2010: CB Antennas (GCC) Lawnmowers (GCC) Swimming Pool Slides (GCC) Candles with Metal Wicks (GCC) Cellulose Insulation (GCC) Garage Door Openers (GCC) Cigarette Lighters (GCC)

DRAFT 4/21/2017 Products Requiring Certificates Manufactured after February 10, 2010: Multi-purpose Lighters (GCC) Fireworks (GCC)

Products Requiring Certificates Subject to Stays of Enforcement:
DRAFT 4/21/2017 Products Requiring Certificates Subject to Stays of Enforcement: 5/17/2010: Bicycles (GCC/3P) 2/10/2011 Lead content in Children’s Products (3P)

DRAFT 4/21/2017 Stays of Enforcement until 90 Days After List of Accredited Laboratories is Issued: Carpets and Rugs (3P) Vinyl Plastic Film (3P) Wearing Apparel (3P) Caps and Toy Guns (3P) Phthalates (3P) ASTM F963 Toy Standard (3P) Clacker Balls (3P)

DRAFT 4/21/2017 Stays of Enforcement until 90 Days After List of Accredited Laboratories is Issued: Baby Walkers (3P) Bath Seats (3P) Children’s Sleepwear (3P) Electronically Operated Toys (3P) Durable Infant Products (3P) Children’s ATVs (3P) Children’s Mattresses (3P)

Tracking Labels Required on children’s products
DRAFT 4/21/2017 Tracking Labels Required on children’s products Requires permanent mark on product and packaging Requirement effective NOW (as of 8/14/2009) Mark must enable consumer to ascertain: Manufacturer or private labeler (brand name) Date and place of production (country/city) Cohort/batch info Products without tracking labels can be stopped at ports of entry on that basis alone Products and their packaging should each contain tracking labels to the extent feasible. Acceptable: Name of manufacturer; URL linking to unique tracking label information Name of manufacturer; generic URL; unique code associated with unique tracking label information

Standards for Durable Infant & Toddler Products
DRAFT 4/21/2017 Standards for Durable Infant & Toddler Products Most will become effective in 2011. First standards Baby Walkers Bath Seats After standards on baby walkers and bath seats, the commission will issue at least two standards on infant and toddler programs at least every 6 months thereafter. Proposed rule for baby walkers and bath seats issued on 9/3/2009.

Product Registration Cards
DRAFT 4/21/2017 Product Registration Cards For durable infant and toddler products Effective Date: 6/28/2010 Will apply to 12 products initially: 6 Additional products to be added 12/29/2010 Cribs Toddler Beds High Chairs/Booster Chairs Bath Seats Gates & Other Enclosures Play Yards Stationary Activity Centers Infant Carriers Strollers Walkers Swings Basinets & Cradles 12/29/2010 the new rule will affect 6 additional product categories: Children’s folding chairs; Changing tables; Infant bouncers; Infant bathtubs; Portable toddler bed rails; and Infant slings Must permanently mark or label the products with manufacturer’s (importer) name, U.S> address, and telephone number; model name and number; and date of manufacture. Marks must be legible, in English, and conspicuous to the consumer. Must also provide a consumer registration card and maintain a record of those who have registered their products. Records must be maintained in the United States. Products must be marked and labeled prior to being entered for consumption. Marking and labeling is a condition of admissibility. May be entered for warehousing but must be marked prior to withdrawal. Conditional release to permit marking may be authorized in some instances. Registration cards must be in English, include the manufacturer’s name, model name and number, date of manufacture, and include an option for consumers to register through the internet. Internet registration MAY be contracted to a third party. It must also include a statement that information provided by the consumer shall not be used for any purpose other than to facilitate a recall or safety alert regarding the product. Registration cards must be attached to the surface of the product so that the consumer MUST handle the form after purchase. Products without registration cards or properly marked may be refused admission and ordered exported under government supervison or destroyed at importer’s cost.

Mandatory Toy Standard
DRAFT 4/21/2017 Mandatory Toy Standard ASTM F963 Toys made after 2/10/09 must meet the F standard Toys made after 8/14/09 must meet the F963-8 standard. However, toy chests made after that date still fall under the F963-7 standard. High risk items include: Magnets Cords, straps, elastics 12” or longer for kids <18 months. Cords on pull toys 12” or longer for kids <36 months

DRAFT 4/21/2017 Refusal of Admission Products refused admission under Section 17 (a)(2) of the CPSA must be destroyed unless the Secretary of Treasury permits export All expenses of destruction (including salaries, travel, per diem, etc) shall be paid by the owner or consignee If expenses of destruction are not paid, they become a lien against future imports by the same owner or consignee.

Prohibited Acts Sec. 216 Sale of a Recalled Product
DRAFT 4/21/2017 Prohibited Acts Sec. 216 Sale of a Recalled Product Also applies to voluntary corrective action taken with the manufacturer jointly with CPSC Use of a registered safety certification mark owned by an accredited conformity assessment body. (UL,ASTM,etc.) Misrepresentation to CPSC in the course of an investigation Exporting banned products unless made solely for export This brings the total number of prohibited acts under Section 16 of the CPSA to 16. Knowing and willful violaton of a prohibited act is now subject to criminal prosecution with a maximum penalty of 5 years incarceration.

DRAFT 4/21/2017 Enforcement Yearly Programs Coordinated with CBP for routine enforcement of Mandatory standards Rule sets developed in partnership with CBP Local Operations formulated based on port specific activity Targeted Exams

How are potential violations investigated?
DRAFT 4/21/2017 How are potential violations investigated? Common Sense Approach Counterfeit versus Safety Defect Pre-screening of products containing lead for rapid decision making of shipment Importer Inspections (sometimes jointly with CBP) Domestic visits to retailers, wholesalers and consumers

Avoiding the Pitfalls that could Delay Entry
DRAFT 4/21/2017 Avoiding the Pitfalls that could Delay Entry Make certificates readily available Ensure goods are classified appropriately Include product detail on invoice If importing ATV’s have a CPSC approved action plan on file Make sure 3rd party testing body is accredited by CPSC Sign up for ISA

DRAFT 4/21/2017 Pitfalls Continued Ensure the correct citation to each CPSC product safety regulation or statutory requirement to which the product is being certified on the certificate. Don’t import children's upper and outerwear with drawstrings.

DRAFT 4/21/2017 Children’s Jewelry Same relevant factors as any other children’s article Lead content < 300ppm Certificate of Conformity Tracking Label When determining if a product is a children’s product, we must consider: Statements from the manufacturer about its intended use (if reasonable) How the product is advertised, promoted, and marketed Whether commonly recognized as intended for children CPSC age determination guidelines 5 categories: Bracelets Pins Earrings Neclaces Rings

Rules of Thumb Bracelets Pins Earrings Necklaces Rings
DRAFT 4/21/2017 Rules of Thumb Bracelets Elastic; less than 6 ¾” in length Pins Simple post and clutch backing Earrings Small in size; brightly colored; backing not relevant Necklaces Less than 16” in length (12” up to age four) Rings Less than ¾” (sizes 3-5) Earrings may be pierced, clip-on, or magnetic

Questions? Getting the most up-to-date information: GO TO
DRAFT 4/21/2017 Questions? Getting the most up-to-date information: GO TO under CPSIA legislation Hank Tapy, Director, Western Region (636)

DRAFT 4/21/2017 Hank Tapy, Director, Western Region Import Surveillance U.S. Consumer Product Safety Commission This presentation has not been reviewed.

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DRAFT 4/21/2017 Hank Tapy, Director, Western Region Import Surveillance U.S. Consumer Product Safety Commission This presentation has not been reviewed.

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