1107 Supporting Statement

INFORMATION COLLECTION REQUEST
Supporting Statement
Third Party Testing of Children’s Products
RIN: 3041-AC71 & 3041-AC86
A.

Justification

1.

Circumstances Necessitating Information Collection

Section 14 of the Consumer Product Safety Act (“CPSA”) requires third party testing of children’s
products that are subject to an applicable children’s product safety rule to ensure compliance with
such rule. Based on this testing, manufacturers and private labelers are required to certify
compliance of their products to the applicable standards. Section 104 of the Consumer Product
Safety Improvement Act (“CPSIA”) requires the Commission to promulgate consumer product
safety standards for durable infant or toddler products that are at least as stringent as such voluntary
Standards that cover those products. The Federal Hazardous Substances Act (FHSA) and the CPSA
authorize the Commission to establish consumer product safety rules. These rules may require
certain recordkeeping, product labelling, or instruction material to inform the public of certain
hazards and the safe use of the product as well as to assist the Commission, the manufacturers, and
the public in identifying products that fail to comply with the product safety rules. This information
collection request covers:
•

the recordkeeping requirements set forth in a final rule on Testing and Labeling
Pertaining to Product Certification (16 CFR part 1107; the testing rule);

•

the recordkeeping and third party disclosure requirements set forth in a final rule on
Conditions and Requirements for Relying on Component Part Testing or
Certification, or Another Party’s Finished Product Testing or Certification to Meet
Testing and Certification Requirements (16 CFR part 1109; the component part
rule);

•

marking, labeling, and instructional literature requirements contained in rules for
durable infant and toddler products issued under section 104 of the Consumer
Product Safety Improvement Act of 2008 (“CPSIA”) (“section 104” rules);
the labeling requirements set forth in the rule establishing requirements for
electrically operated toys or other electrically operated articles intended for children
(16 CFR 1505) (“electrically operated toys and other articles rule”) and the
recordkeeping requirements set forth in the rule that are not also covered by the
testing rule; and,
1

•

The recordkeeping and labelling requirements set forth in the ban on articles known
as “baby bouncers” or “walker-jumpers,” or similar articles that are not covered by
16 CFR 1216 and that are not also covered by the testing rule or the 104 rules. (baby
bouncer/walker-jumper rule, 16 CFR 1500.18(a)(6) and 1500.86(a)(4)).

A more complete discussion of these rules is given below.
Testing Rule: Section 14(a)(2) of the CPSA requires manufacturers and private labelers of any
children’s product that is subject to a children’s product safety rule to submit samples of the
product, or samples that are identical in all material respects to the product, to a third party
conformity assessment body accredited by the Consumer Product Safety Commission (“CPSC” or
“Commission”) to be tested for compliance with such children’s product safety rule. Based on that
testing, the manufacturer or private labeler must issue a certificate that certifies that such children’s
product complies with applicable children’s product safety rules based on the assessment of a third
party conformity assessment body accredited to conduct such tests. 15 U.S.C. 2063(a)(2)(B). This
certificate is called a Children’s Product Certificate. Certificates are required to accompany
products or product shipments, and certifiers are required to furnish a copy of certificates to retailers
or distributors, as well as to the CPSC and to U.S. Customs and Border Protection (“CBP”).
Additionally, section 14(i)(2)(B)(i) of the CPSA requires manufacturers to conduct additional
testing of children’s products to ensure compliance of continuing production, and thus, the validity
of the initial product certification. To ensure continued compliance, the Commission is required, by
regulation, to establish protocols and standards for:
•

Ensuring that a children’s product tested for compliance with a children’s product
safety rule is subject to testing periodically and when there has been a material
change in the product’s design or manufacturing process, including the sourcing of
component parts; and

•

Safeguarding against the exercise of undue influence on a third party conformity
assessment body by a manufacturer or private labeler.

The testing rule establishes requirements for manufacturers for initial third party testing and
certification for children’s products, testing when there has been a material change in the product,
continuing testing (periodic testing), and guarding against undue influence. The testing rule also
requires that representative samples be selected for periodic testing of children’s products to ensure
continuing compliance, and sets forth required documentation.
A list of children’s product safety rules subject to third party testing and certification is set forth in
Appendix A
Component Part Rule: The component part rule is a companion to the testing rule that is intended
to reduce third party testing burdens by providing all parties involved in the required testing and
certifying of children’s products the flexibility to conduct or rely on testing where it is the easiest
and least expensive. Component part suppliers may conduct testing so that test reports can be
2

provided to multiple manufacturers using such component parts. Alternatively, manufacturers who
assemble finished products can test component parts as they are received to reduce costs where, for
example, the same component part is used in multiple product lines. The component part rule
allows for maximum flexibility because a manufacturer (including an importer) who is required to
certify consumer products pursuant to 16 CFR part 1110 (finished product certifier) can base such
certificate upon one or more of the following: (a) component part testing; (b) component part
certification; (c) another party’s finished product testing; or (d) another party’s finished product
certification.
Together, the testing rule and the component part rules implement third party testing, certification,
and labeling requirements for children’s products as required by sections 14(a)(2) and 14(i)(2)(B) of
the CPSA, 15 U.S.C. 2063(a)(2) and (i)(2)(B).
Recordkeeping Requirements: Testing Rule and Component Part Rule: The testing rule and the
component part rule each have recordkeeping requirements that largely overlap. Section 1107.26 of
the testing rule requires each manufacturer or importer of a children’s product subject to a
children’s product safety rule to establish and maintain the following records:
•

a copy of the Children’s Product Certificate (§ 1107.26(a)(1));

•

records of each certification test (§ 1107.26(a)(2));

•

records of periodic tests, production tests, and tests by laboratories accredited to
ISO/IEC 17025, as applicable (§ 1107.26(a)(3));

•

records documenting the basis for selection of representative samples for periodic
testing purposes (§ 1107.26(a)(4));

•

records of descriptions of all material changes in product design, manufacturing
process, and sourcing of component parts, the certification tests run, and the test
values (§ 1107.26(a)(5)); and

•

records of undue influence procedures (§ 1107.26(a)(6)).

Section 1109.5(g) of the component part rule requires the creation and maintenance of specific data
points, as well as documents that each certifier and testing party must provide, either in hard copy or
electronically, to a another party who intends to rely on such documentation to issue a certificate:
•

Identification of the component part or the finished product tested;

•

Identification of a lot or batch number, or other information sufficient to identify the
component parts or finished products to which the testing applies;

•

Identification of the applicable rules, bans, standards, and regulations for which
each component part or finished product was tested;

•

Identification of the testing method(s) and sampling protocol(s) used;

•

The date or date range when the component part or finished product was tested;
3

•

Test reports that provide the results of each test on a component part or finished
product, and the test values, if any;

•

Component part certificate(s) or finished product certificate(s), if any;

•

Identification of the party that conducted each test (including testing conducted by a
manufacturer, testing laboratory, or third party conformity assessment body), and an
attestation by the party conducting the testing that all testing of a component part or
finished product by that party was performed in compliance with applicable
provisions of section 14 of the CPSA, part 1107 of this chapter, or any more specific
rules, bans, standards, or regulations;

•

Records to support traceability as defined in § 1109.4(m), which includes the identity
of all testing parties of a component part of a consumer product or a finished
product, including the name and address of each testing party and any party that
conducted testing on the component part or finished product. Parties that conduct
testing may include a manufacturer, a supplier, a testing laboratory, or a third party
conformity assessment body; and

•

An attestation by each certifier and testing party that while the component part or
finished product was in its custody, it exercised due care to ensure compliance with
test result integrity requirements set forth in § 1109.5(b), including that: (1) proper
management and control of all raw materials, component parts, subassemblies, and
finished products is established and maintained for any factor that could affect the
finished product’s compliance with all applicable rules; (2) the manufacturing
process does not add or result in a prohibited level of a chemical from any source,
such as the material hopper, regrind equipment, or other equipment used in the
assembly of the finished product; and (3) no action or inaction subsequent to testing
and before distribution in commerce has occurred that would affect compliance,
including contamination or degradation.

Items that overlap with the testing rule are indicated in italics above. The first five items are data
points that are usually included on a test report. Test reports are also required to be maintained
under the testing rule. Component part and finished product certificates, the seventh item, are also a
requirement in the testing rule. All of these records need to be created and maintained only once to
meet the applicable recordkeeping requirements. The only unique records required in the
component part rule are the last three bullets, which include two attestations and records that
demonstrate who is responsible for having component parts of the product tested.
Unlike the testing rule, the component part rule requires records, or electronic access to records, to
be provided to a third party, when that party intends to rely on such records to certify a product.
The component part rule does not require that the records actually be physically provided to another
party; electronic access to records is sufficient. Under both rules, § 1107.26(b) and § 1109.5(j),
records must be maintained for 5 years and must be made available, either in hard copy or
electronically, for inspection by the CPSC, upon request.

4

Section 104 Rules: Each section 104 rule contains requirements for marking, labeling, and
instructional literature that are disclosure requirements. Individual section 104 rules specify that:
•

•

Each product and the shipping container must have a permanent label or marking
that identifies the name and address (city, state, and zip code) of the manufacturer,
distributor, or seller.
A permanent code mark or other product identification shall be provided on the
product and its package or shipping container, if multiple packaging is used. The
code will identify the date (month and year) of manufacture and permit future
identification of any given model.

Products are also required in the standards to provide easy-to-read and understand instructions
regarding assembly, maintenance, cleaning, use, and adjustments, where applicable.
CPSC obtains Office of Management and Budget (OMB) control numbers for the estimated burden
in complying with marking and labeling requirements in each section 104 rule as they are
promulgated. However, each time this information collection request is renewed, the burden
requirements of the 104 rules that have been finalized since the last renewal are moved into this
information collection request (the collection of information for Third Party Testing of Children’s
Products), so that the burden for all children’s product testing, certification, recordkeeping, and
marking and labeling are estimated under one OMB control number. CPSC discontinues the use of
the existing OMB control numbers assigned to individual section 104 rules as the burden is moved
into the information collection request for Third Party Testing of Children’s Products. The
discontinued OMB control numbers are listed in a table in section 4 of this document.
Electrically-operated toys and other articles rule: The rule establishing requirements for electrically
operated toys and other electrically operated articles intended for use by children was issued by the
Food and Drug Administration under the authority of the FHSA (15 U.S.C. 1261, 1262).
Responsibility for enforcement of the FHSA was transferred to the Commission when the agency
was established in May 1973. The rule establishes certain criteria to use in determining whether or
not electrically operated toys and other electrically operated children’s products are banned and
requires that certain warning and identification labeling be included on both the product and the
packaging. The rule also requires that manufacturers establish a quality assurance program to
assure compliance and to keep records pertaining to the quality assurance program. Additionally the
rule requires that manufacturers or importers keep records of the sale and distribution of the
products.
CPSC has an OMB control number (3041-0035) for the estimated burden in complying with the
requirements of the electrically operated toys and other articles rule. Because most of the
recordkeeping requirements of this rule are essentially the same as those of the testing rule, with this
renewal, we are moving the marking and labeling burden requirement into the collection of
information for Third Party Testing of Children’s Products to avoid double counting the burden.
CPSC will discontinue use of the existing OMB control numbers for this rule (3041-0035).

5

Baby-bouncer/walker-jumper rule: The rule establishing requirements for baby bouncers, baby
walkers, and similar articles not covered by 16 CFR 1216 was issued by the Food and Drug
Administration under the authority of the FHSA (15 U.S.C. 1261, 1262). Responsibility for
enforcement of the FHSA was transferred to the Commission when the agency was established in
May 1973. The rule establishes certain criteria to use in determining whether certain baby-bouncers,
walker-jumpers, or similar products are banned. The rule also requires that each product be labelled
with information that will permit future identification by the manufacturer of the particular model of
bouncer or walker-jumper. The rule also requires that records of sale, distribution, and results of
tests and inspections be kept for three years and made available to CPSC upon request.

2.

How, by Whom, and for What Purpose Information Is Used

Testing Rule: The recordkeeping requirements establish that products are properly third party tested
and certified before they enter commerce and have been properly retested for conformity with all
applicable rules on a continuing basis, including after a material change in the product’s design or
manufacturing processes.
Component Part Rule: The recordkeeping requirements allow tracking of testing or certification
conducted on component parts of consumer products. The parties to which the rule applies include
more than just a manufacturer or importer because any person can conduct component part testing,
including suppliers and foreign manufacturers. Finished product certifiers (including manufacturers
and importers) and component part certifiers must review the records to ensure third party testing is
conducted properly and to issue a certificate of compliance. CPSC uses the required documentation
to determine whether testing parties and certifiers are performing third party testing responsibilities
properly. The required documentation is also used to identify consumer products, components of
consumer products, test results, and the parties responsible for testing. Such documentation assists
in identifying component parts and finished products that do not comply with the law and to
implement an appropriate corrective action.
Sales and Distribution Records (electrically operated toys rule and baby-bouncer/walker-jumper
rule): If a product subject to the regulation were found to be banned and the hazard severe enough
to warrant recall, the required sales and distribution records would be useful to both the
manufacturer and the Commission in identifying which customers might have received the specific
products which would enable the manufacturer to send notices of the recall to those customers and
would enable the Commission to conduct recall effectiveness checks of the manufacturer’s
customers.

Marking, Labelling, and Instructional Literature (section 104 rules and electrically operated toys
rule): Manufacturers are responsible for compliance with the marking, labeling, and instructional
literature requirements in each children’s product safety rule, including section 104 rules and the
6

electrically-operated toys rule. Such requirements are intended to aid the manufacturer, importer,
CPSC, and consumers in product identification and recall efforts, should a safety defect arise, as
well as to inform consumers how to safely assemble and use the relevant consumer product.
3.

Consideration of Information Technology

The testing and component part rules allow records to be maintained electronically and provided in
that form to the Commission, upon request. The component part rule also allows records to be
accessed by all parties electronically. Manufacturers and importers may use any improvements in
information technology they deem suitable for compiling and maintaining the records required by
the regulations.
4.

Efforts to Identify Duplication and Similar Information Already Available

Testing Rule: The recordkeeping requirements allow a manufacturer to establish that a product was
certified properly before it enters commerce and has been subjected to periodic testing to ensure
continued conformity with all applicable CPSC rules, including testing after a material change in
the product’s design or manufacturing processes. Consequently, unless manufacturers are relying
on component part testing as described below, it is unlikely that the required information is
duplicated or already available from other sources.
Component Part Rule: Certified products and their component parts, if tested separately, must be
traceable to the parties conducting and procuring third party testing. The required documentation is
largely the type of information that is already maintained by testing parties and certifiers on test
reports. However, the final component part rule requires such information to be provided to, or
available to, third parties in the supply chain, such as manufacturers and importers, who intend to
rely on such testing or certification to certify the finished product. Multiple parties are not required
to keep duplicate records under the component part rule, which allows a party who conducts testing
on component parts to make such testing and certification records available electronically. As long
as third parties who rely on these records to certify a product continue to have access to the required
records, and can make the records available to the CPSC as required by the rule, they do not need to
maintain them separately. It is unlikely that the required information and records are available from
other sources.
Section 104 Rules, Electrically Operated Toys Rule, and Baby-Bouncer/Walker-Jumper Rule:
Manufacturers are required by rule to place certain labels and warnings on the product, and certain
warnings and instructions must also accompany each product. We are aware of no other information
sources for these instructions and warnings that would be as readily available to the consumer.
Stakeholder Outreach
Testing and Component Part Rules: Stakeholders were given an opportunity to comment on the
proposed recordkeeping requirements for the testing and component part rules as part of the
rulemaking process for parts 1107 and 1109. A notice of proposed rulemaking was published in the
Federal Register for both rules on May 20, 2010: 75 FR 28336 (testing rule) and 75 FR 28208
7

(component part rule). The CPSC’s responses to comments appear in the final rules published on
November 8, 2011: 76 FR 69482 (testing rule) and 76 FR 69547 (component part rule).
Stakeholders were also given an opportunity to comment on recordkeeping requirements in an
amendment to the testing rule that requires the selection of representative samples and associated
recordkeeping. A notice of proposed rulemaking on this amendment was published in the Federal
Register on November 8, 2011, 76 FR 69586. The CPSC responded to one comment on the
recordkeeping burden in the final rule implementing the representative sample requirement, which
was published in the Federal Register on December 5, 2012, at 77 FR 72205. Stakeholders were
also given the opportunity to comment on reducing third party testing burden associated with the
testing of children’s products pursuant to a request for comment issued by the Commission on
November 8, 2011 (76 FR 69596).
Section 104 Rules: Stakeholders had the opportunity to comment on marking, labeling, and
instruction requirements in each section 104 rule. Following is a list of section 104 rules, a citation
to the Federal Register notice for each final rule, and a citation for any burden renewal (PRA
Update):
Discontinued
OMB
Control Nbr
3041-0145

16 CFR

Standard

Final Rule/PRA Update

1215

Safety Standard for
Infant Bath Seats
Safety Standard for
Infant Walkers
Safety Standard for Toddler
Beds
Safety Standard for
Bassinets and Cradles
Safety Standard for FullSize Baby Cribs
Safety Standard for NonFull-Size Baby Cribs
Safety Standard for Play
Yards
Safety Standard for
Bedside Sleepers
Safety Standard for
Infant Swings
Safety Standard for
Portable Bed Rails
Safety Standard for HandHeld Infant Carriers
Safety Standard for
Soft Infant and Toddler
Carriers
Safety Standard for
Carriages and Strollers

75 FR 31691 (June 4, 2010);
PRA update: 78 FR 73506 (Dec. 6, 2013)
75 FR 35266 (June 21, 2010);
PRA Update: 78 FR 40444 (July 5, 2013)
76 FR 78 FR 22019 (April 20, 2011);
PRA Update: 79 FR 26417 (May 8, 2014)
78 FR 63019 (Oct 23, 2013)

3041-0141

1216

3041-0150

1217

3041-0157

1218

3041-0147

1219

3041-0147

1220

3041-0152

1221

3041-0160

1222

3041-0155

1223

3041-0149

1224

3041-0158

1225

3041-0162

1226

3041-0164

1227

8

75 FR 81766 (Dec 28, 2010)
PRA Update: 79 FR 12185 (March 4, 2014)
75 FR 81766 (Dec 28, 2010)
PRA Update: 79 FR 12185 (March 4, 2014)
78 FR 50328 (Aug. 19, 2013);
PRA Update: 80 FR 59139 (Oct. 1, 2015)
79 FR 2581 (Jan. 15, 2014)
77 FR 66703 (Nov 7, 2012)
PRA Update: 80 FR 60885 (Oct. 8, 2015)
77 FR 12182 (Feb 29, 2012)
PRA Update: 80 FR 33248 (June 11, 2015)
78 FR 73415 (Dec 6, 2013)

79 FR 17422 (March 28, 2014)
79 FR 13208 (Mar 10, 2014)

3041-0167

1228

3041-0174

1229

3041-0166

1230

3041-0173

1231

3041-0172

1232

3041-0170

1233

3041-0171

1234

3041-0175

1235

3041-0178

1237

Safety Standard for Sling
Carriers
Safety Standard for Infant
Bouncer Seats
Safety Standard for
Frame Child Carriers
Safety Standard for High
Chairs
Safety Standard for
Children’s Folding Chairs
and Stools
Safety Standard for
HookOn-Chairs
Safety Standard for Infant
Bath Tubs
Safety Standard for Baby
Changing Products
Safety Standard for Booster
Seats

82 FR 8671 (Jan 30, 2017)
82 FR 43470 (Sep 18, 2017)
80 FR 11113 (Mar 2, 2015)
83 FR 28358 (Jun 19, 2018)

82 FR 59505 (Dec 15, 2017)
81 FR 17062 (Mar 28, 20106)
82 FR 15615 (Mar 30, 2017)
83 FR 29672 (Jun 26, 2018)
83 FR 30837 (Jul 2, 2018)

Electrically Operated Toys Rule: The electrically operated toys rule and its recordkeeping and
labeling requirements predates the Commission. The public last had an opportunity to comment on
these requirements when it sought approval for an extension of the information collection in 2016.
A Federal Register notice for the PRA update was published on February 23, 2016 (81 FR 8942).
Baby-Bouncer/Walker Jumper Rule: The baby-bouncer/walker-jumper rule and its recordkeeping
and labeling requirements predates the Commission. The public last had an opportunity to comment
on these requirements when the CPSC sought approval for an extension of the information
collection. A Federal Register notice for the PRA update was published on October 26, 2015 (80 FR
65218).
5.

Impact on Small Business

Recordkeeping Requirements: Although many small businesses are required to keep records for
children’s product testing and certification, small businesses have the flexibility to establish and
maintain records required by the testing rule and the component part rule in any manner or format
provided they contain the information required by the rules and meet the availability requirements
of the rules. The documentation required by the component part rule largely overlaps
recordkeeping required in the testing rule. Although in some instances multiple parties may keep
copies of the same records, they are not required to do so. Access to the same records electronically
is allowed by the component part rule. Finally, using component part testing is voluntary. To the
extent that small businesses do not achieve a cost savings by conducting component part testing,
they are not required to use it in certifying children’s products.

9

Marking, Labeling, and Instructional Material Requirements: The impact on small businesses for
the marking, labeling and instructions required have been addressed during each section 104
rulemaking procedure. Generally, marking, labeling, and instruction requirements have not been
found to significantly impact small businesses. The electrically operated toys rule requires labeling
on the products, outer packaging, and instruction sheets. In the research performed for the section
104 rules, staff found that labeling costs tend to be low in general for all firms, large and small.
Therefore, the labeling requirements for electrically operated toys are not expected to significantly
impact small businesses either.
Baby-Bouncer/Walker-Jumper Rule: The baby-bouncer/walker-jumper rule is not expected to have
a significant impact on small businesses.

6.

Consequences of Less Frequent Information Collection and Technical or Legal Obstacles

Testing Rule: Failure to provide the information required would impair the CPSC’s ability to
determine whether a manufacturer is complying with the testing and certification requirements of
section 14 of the CPSA and the requirements of the testing rule.
Component Part Rule: Without appropriate recordkeeping, allowance of component part testing
could lead to degradation in compliance of finished products. Accordingly, the component part rule
requires documentation sufficient to demonstrate the component part’s compliance with the
standards tested, and that enable component parts to be traced back to the party that had them tested,
and to the third party laboratory that conducted the tests. Any less documentation and
recordkeeping would not achieve this purpose, and would impede CPSC’s ability to investigate
compliance violations and enforce testing and certification rules for children’s products.
Section 104 Rules: Stakeholders, consumers, and the government rely on product marking, labeling,
and instructions to inform about safe use and assembly of products and to identify products for
recall.
Electrically Operated Toys Rule: As with the Section 104 rules, Stakeholders, consumers, and the
government rely on product marking, labeling, and instructions to inform about safe use and
assembly of products and to identify products for recall. Additionally, the recordkeeping
requirements will assist in the identification of products that are found not be compliant with rule.
Baby-Bouncer/Walker-Jumper Rule: Stakeholders, consumers, and the government rely on product
marking, and record keeping to identify products that are found not be compliant with rule and
possibly subject to a recall.

7.

Consistency with the guidelines in 5 CFR 1320.5(d)(2)

10

The testing and component part rules are consistent with the guidelines in 5 CFR § 1320.5(d)(2)
except (iv). Both the testing rule and the component part rule require that the records be maintained
for 5 years (5 CFR 1107.26(b) and 5 CFR 1109.5(j), respectively). The 5-year record retention
requirement was selected to be consistent with the 5-year statute of limitations in 28 U.S.C. § 2462.
The requirements of the section 104 rules, the electrically-operated toys rule, and baby
bouncer/walker-jumper rule are consistent with the guidelines in 5 CFR § 1320.5(d)(2).
8.

Agency’s Federal Register (FR) Notice and Related information

On March 3, 2019 a 60-Day Federal Register Notice was published at 84 FR 9104. No comments
were received.
9.

Payment or Gift to Respondents

The CPSC did not and will not provide any payment or gifts to respondents for any of the rules
included in this information request.
10.

Confidentiality of Information

The information submitted to CBP and CPSC would be subject to the Freedom of Information Act
and its exemptions to public disclosure.
Section 104 Rules: No assurance of confidentiality exists because marking, labeling, and
instructional literature are, in part, on the product and are required disclosures to consumers that are
not considered confidential information.
Electrically Operated Toys Rule and Baby-Bouncer/Walker-Jumper Rule: Any information
required to be maintained which the manufacturer or importer claims to be confidential is subject to
procedures for withholding confidential information from public disclosure set forth at 16 C.F.R.
Part 1015, Subpart B.

11.

Sensitive Questions

Information regarding ownership, business and governmental relationships, suppliers, and third
party conformity assessment body personnel may be considered sensitive. Such information could
appear through the records and documentation required by the testing and component part rules.
However, the rules do not require the disclosure of confidential business information to nongovernmental third parties.
12.

Estimates of Burden Hours and Explanation

11

Burden Summary: The following table summarizes the burden, for each Information Collection
under 3041-0159, followed by a description of how each information collection was estimated:
IC Title
Testing Rule 3041-AC71
Recordkeeping for Component Part Rule 3041-AC86
Third-Party Disclosure for Component Part Rule 3041-AC86
Third Party Disclosure for Section 104 Rules
Recordkeeping of Sales and Distribution
Additional Marking and Labeling Requirements
Total

Responses
1,500,000
150,000
150,000
7,290
412
412
1,808,114

Hours
5,700,000
459,000
51,000
13,790
212
412
6,224,414

Testing Rule: Three types of third party testing of children’s products are required by the testing
rule: certification testing, material change testing, and periodic testing. Component part testing can
be used to meet any of these requirements. Certification testing must occur for every regulated
children’s product before the product is introduced into commerce. After certification testing,
continuing testing must occur when the product undergoes a material change and periodically. If no
material changes occur in continuing production of a children’s product, periodic testing still must
be conducted at certain intervals. The maximum periodic testing interval is 1 year, unless a
manufacturer uses a production testing plan (2 years), or uses a testing laboratory accredited to
ISO/IEC 17025:2005(E) (3 years). When conducting periodic testing, manufacturers must select
representative samples for third party testing. Material change testing is tantamount to
recertification, and it can reset the periodic testing interval for the product or component part tested.
The CPSC reviewed every category in the NAICS and selected those that included firms that could
manufacture or sell any consumer product that could be covered by a consumer product safety rule.
Using data from the U.S. Census Bureau, we determined that there were approximately 34,000
manufacturers, about 77,000 wholesalers, and about 133,000 retailers in these categories. However,
these categories also include many non-children’s products, which are not covered by any
children’s product safety rules. Therefore, these numbers would constitute an overestimate of the
number of firms that are subject to the recordkeeping requirements.
The testing rule requires that manufacturers conduct sufficient testing to ensure that they have a
high degree of assurance that their children’s products comply with all applicable children’s
products safety rules before such products are introduced into commerce. Each manufacturer is
required to obtain third party certification tests for each children’s product and maintain the
resulting records, including the children’s product certificate. Manufacturers are also required to
conduct continuing tests on their children’s products and maintain the records associated with this
testing. Continuing testing includes third party testing after a material change to the product and
periodic third party testing or a combination of periodic third party testing and production (first
party) testing. Because of the vast number and variety of children’s products, there is a
corresponding variety of manufacturing processes for children’s products. Accordingly, the testing
rule allows manufacturers a substantial amount of flexibility in designing their testing programs.
12

For example, manufacturers may use first party production testing to increase the maximum time
interval between required third party periodic testing from 1 to 2 years. Manufacturers also have
the option of simply recertifying each batch of products instead of conducting periodic or
production testing.
Based on the comments that we received from manufacturers in response to the NPR, we estimate
that several hours of recordkeeping, per product, will be required each year, including the cost to
develop any records. However, because firms have multiple options for conducting the required
testing, it is not possible for us to estimate how this time will be distributed over the records listed
under §1107.26. Although all manufacturers will have at least one children’s product certificate for
each children’s product that they produce during the year, some manufacturers will simply conduct
certification tests on each batch produced during the year. This means that they will have to create
records of multiple certification tests and multiple children’s product certificates for each product
but no records of periodic tests, production tests, or material changes. Other manufacturers may opt
to conduct periodic or production tests instead of recertifying each batch. Therefore, these
manufacturers will be responsible for creating and maintaining records of one set of certification
tests and one children’s product certificate, but they will also be responsible for creating and
maintaining the records associated with their periodic testing and material changes.
If a manufacturer conducts periodic testing, they are required to keep records that describe how the
samples for periodic testing are selected, the number of samples that will be selected, and an
explanation of why the procedure described will result in the selection of representative samples.
Although it might take a manufacturer several hours, or perhaps several days, to analyze its
products and manufacturing processes to determine its options for selecting representative samples,
the actual documentation of the procedure and basis for inferring compliance will probably take less
time. This is not likely to be done on a per product basis, but on a per plan basis, which could be
used for more than one product. This is a first year cost. In successive years, it will apply only to
new products or to products whose sampling plan changes, so the burden will be reduced.
Documenting representative sample selection will likely be part of developing a periodic or
production testing plan.
The hour burden of the recordkeeping requirements will likely vary greatly from product to product,
depending upon such factors as the complexity of the product and the amount of testing that must be
documented. Therefore, estimates of the hour burden of the recordkeeping requirements are
somewhat speculative.
Based on the comments we received on the proposed testing rule, we revised the estimated number
of children’s products that are affected, as well as the hourly recordkeeping burden estimate. We
estimate that approximately 300,000 non-apparel children’s products are covered by the rule and
that an average of 5 hours will be needed for the recordkeeping associated with these products per
year. We also estimate that there are approximately 1.2 million children’s apparel and footwear
products, for which an average of 3 hours of recordkeeping will be required per year. Thus, the
total hour burden of the recordkeeping associated with the testing rule is 5.1 million hours (300,000
non-apparel children’s products x 5 hours per non-apparel children’s product plus 1,200,000
13

children’s apparel products x 3 hours per children’s apparel product = 1.5 million hours + 3.6
million hours, or a total of 5.1 million hours). At $32.54 (U.S. Bureau of Labor Statistics,
“Employer Costs for Employee Compensation,” June 2018, Table 9, total compensation for all sales
and office workers in goods-producing private industries: http://www.bls.gov/ncs/) per hour hourly
compensation rate, the total cost of the recordkeeping associated with the testing rule is
approximately $166 million (5.1 million hours x $32.54 = $165,954,000).
In addition to maintaining records of the tests conducted on each product, manufacturers will also
have to keep and maintain records documenting how representative samples of each product are
selected for testing. It is unclear how recordkeeping for the selection of representative samples
changes the recordkeeping burden for children’s products because the requirement exists only for
manufacturers who conduct periodic testing. Additionally, the same basis could apply to multiple
products, and therefore, documentation may not need to be reproduced for each product to which it
applies but could be cited in the periodic or production testing plan. In the final rule implementing
representative sample selection, we estimate that if each product line averages 50 individual models
or styles, then a total of 30,000 individual representative sampling plans (1.5 million children’s
products ÷ 50 models or styles) would need to be developed and documented. This would require
120,000 hours (30,000 plans x 4 hours per plan), at a total cost of approximately $8.4 million
(120,000 hours x $69.60 per hour (U.S. Bureau of Labor Statistics, “Employer Costs for Employee
Compensation,” June 2018, Table 9, total compensation for all management, professional, and
related workers in goods-producing private industries: http://www.bls.gov/ncs/)). If each product
line averages 10 individual models or styles, then a total of 150,000 different representative
sampling plans (1.5 million children’s products ÷ 10 models or styles) would need to be
documented. This would require 600,000 hours (150,000 plans x 4 hours per plan), at a total cost of
approximately $42 million (600000 hours x $69.60 per hour). Thus, the requirement to document
the basis for selecting representative samples could increase the hour burden by up to 600,000 hours
and increase the cost of recordkeeping associated with third party testing of children’s products by
up to $42 million, bringing the total hour burden for the testing rule to 5.7 million.
Component Part Rule: The component part rule shifts some testing costs and some recordkeeping
costs to component part and finished product suppliers because some testing will be performed by
these parties rather than by the finished product certifiers (manufacturers and importers). However,
a finished product certifier is still responsible for receiving or having access to required testing and
traceability records from component part and finished product suppliers and for recording pertinent
information on the finished product certificate. Thus, even if a finished product certifier can rely
entirely on component part and finished product suppliers for all required testing, the finished
product supplier still has some recordkeeping burden in order to create and maintain a finished
product certificate. Therefore, although the component part testing rule should reduce the total cost
of the testing required by the testing rule, it will lead to an increase in the recordkeeping burden for
those who choose to use component part testing.
Because we do not know how many companies participate in component part testing and supply test
reports or certifications to other certifiers in the supply chain, we have no concrete data to estimate
the recordkeeping and third party disclosure requirements in the component part rule. Likewise, no
14

clear method exists for estimating the number of finished product certifiers who conduct their own
component part testing. In the preamble to the proposed rule (75 FR at 28218), we suggested that
the recordkeeping burden for the component part testing rule could amount to 10 percent of the
burden estimated for the testing and labeling rule. Although some comments suggested that the
resulting estimates were too low, no commenter provided a better estimate or suggested a better
method for estimating the burden. Moreover, because the estimate of the recordkeeping burden for
the testing and labeling rule has been increased, using the same methodology used in the proposed
rule, the estimates for the component rule also would increase. This may address the concern of the
commenters who believed the estimate used in the proposed rule was too low.
As discussed above, although we have no concrete data to estimate the amount of component part
recordkeeping, we suggest that it could amount to about 10 percent of the recordkeeping burden
associated with the testing rule. The component part rule also requires third party disclosure of test
reports and certificates, if any, to a certifier intending to rely on such documents to issue its own
certificate. Without data it is also difficult to allocate our burden estimation between the
recordkeeping and third party disclosure requirements. However, we believe that creating and
maintaining records accounts for 90 percent of the burden, while the third party disclosure burden is
much less, perhaps 10 percent. Therefore, if we continue to use the estimate that component part
testing will amount to about 10 percent of the burden estimated for the testing and labeling rule,
then the hour burden of the component part rule would be about 510,000 hours total; allocating
459,000 hours for recordkeeping and 51,000 hours for third party disclosure. At $32.54 per hour,
the total cost of the recordkeeping and third party disclosures for the component part rule would be
about $16.6 million.
Section 104 Rules: Each section 104 rule incorporates by reference an ASTM voluntary standard
for that product. One of the sections of the ASTM standard requires the name and place of business
(city, state, and mailing address, including zip code) and the telephone number of the manufacturer,
distributor, or seller be on each product and its retail package. It also requires a code mark or other
means that identifies the date (month and year, at a minimum) of manufacture on each product and
its retail package. Furthermore, these markings must be permanent.
We estimate the time to make any necessary changes to the marking and labeling to equal one hour
per model. The variable in each rule is the number of respondents, meaning the number of suppliers
(manufacturers, importers, or wholesalers), the number of models supplied, and the average labor
cost. We estimate the hourly compensation for the time required to create and update labels is
$32.54 (U.S. Bureau of Labor Statistics, “Employer Costs for Employee Compensation,” June
2018, Table 9, total compensation for all sales and office workers in goods-producing private
industries: http://www.bls.gov/ncs/). Based on the foregoing, the burden for marking and labeling
for each section 104 rule is provided in the chart below. The total number of respondent hours is
13,790, with total cost equal to $448,727 (13,790 x $32.54).

Another section of each ASTM standard requires use, assembly, or installation instructions to be
supplied with the product. In most cases, products sold without such information would not be able
15

to compete successfully with products supplying this information. Under the OMB’s regulations (5
CFR 1320.3(b)(2)), the time, effort, and financial resources necessary to comply with a collection of
information that would be incurred by persons in the “normal course of their activities” are
excluded from a burden estimate, where an agency demonstrates that the disclosure activities
required to comply are “usual and customary.” Therefore, because we have found few durable
infant and toddler products that generally require installation or some assembly but lack any
instructions to the user about such installation or assembly, for most durable products we estimate
that there are no burden hours associated with section 10 of each ASTM standard, because any
burden associated with supplying instructions with would be “usual and customary” and not within
the definition of “burden” under the OMB’s regulations.
The one exception to this assumption is sling carriers. At the time the rule was promulgated, we
estimated that about one-third of the firms would have to modify their instructional material
somewhat to meet the requirements, but that about two-thirds did not provide instructional materials
and would have to create it from scratch. We estimated the total burden for the instructional
material requirement would be 12,600 hours or about 32 hours per supplier. However, once the
literature is created or modified, there is little to no burden in subsequent years. We also believe that
there is substantial entry and exit in this market and perhaps as many as 20 percent of the firms in
any given year might be new to the market. Therefore, we estimate that the burden of instructional
literature requirement is about 20 percent of the original estimate per firm currently in the market or
about 6.5 hours per firm. As there are now about 1,000 firms supplying sling carriers, the total
burden of this requirement would be about 6,500 hours.

16

Discontinued
OMB
Control Nbr
3041-0145

16 CFR
Part

Description

Mfrs

Models

1215

Safety Standard for Infant Bath Seats

12

2

Total
Respondent
Hours
24

3041-0141

1216

Safety Standard for Infant Walkers

19

4

76

3041-0150

1217

Safety Standard for Toddler Beds

111

10

1,110

3041-0157

1218

72

4

288

3041-0147

1219

Safety Standard for Bassinets and
Cradles
Safety Standard for Full-Size Cribs

80

13

1,040

3041-0147

1220

39

2

78

3041-0152

1221

Safety Standard for Non-Full-Size
Cribs
Safety Standard for Play Yards

34

4

136

3041-0160

1222

13

2

26

3041-0155

1223

Safety Standard for Infant Bedside
Sleepers
Safety Standard for Swings

6

8

48

3041-0149

1224

Safety Standard for Portable Bedrails

18

2

36

3041-0158

1225

78

2

156

3041-0162

1226

44

3

132

3041-0164

1227

Safety Standard for Hand-Held Infant
Carriers
Safety Standard for Soft Infant and
Toddler Carriers
Safety Standard for Carriages and
Strollers

100

7

700

3041-0167

1228

Safety Standard for Sling Carriers

1,000

2

8,500*

3041-0174

1229

Safety Standard for Infant Bouncer
Seats

26

4

104

3041-0166

1230

Safety Standard for Frame Child
Carriers

14

3

42

3041-0173

1231

Safety Standard for High Chairs

83

3

249

3041-0172

1232

Safety Standard for Children’s
Folding Chairs and Stools

17

2

34

3041-0170

1233

Safety Standard for Hook-On-Chairs

7

1

7

3041-0171

1234

Safety Standard for Infant Bath Tubs

27

2

54

3041-0175

1235

Safety Standard for Baby Changing
Products

141

6

846

3041-0178

1237

Safety Standard for Booster Seats

52

2

104

Total Burden Hours
*

Includes 6,500 hours for instructional literature.
17

13,790

Electrically Operated Toys Rule: The electrically operated toys rule requires certain warning and
identification labeling on both the product and the packaging. The regulation also requires that the
manufacturer establish and maintain a quality assurance program and that records be made, kept and
maintained for 3 years, of the sales and distribution, the material and production specifications, a
description of the quality assurance program, and the results of all inspections and tests conducted.
Products subject to the electrically operated toys rule are also subject to the requirements of the testing
rule. The records of the material and production specifications, description of the quality assurance
program, and the test and inspection results are duplicated by the requirement in the testing rule for
records of periodic and production tests. Therefore, the burden of these requirements will not be
reported here as they were in the cancelled ICR because this would result in their being double
counted. Only the burden associated with the requirement to keep record of the sales and distribution
of the products and the labeling requirements will be reported here. Much of the burden associated
with maintaining records of the sale and distribution of products would be incurred as part of normal
business operations.
We estimate the additional burden associated with maintaining these records by product for the
three year period is about 30 minutes per product. The Commission estimates that there are about
40 manufacturers and importers. Each one may have an average of 10 products each year for which
the recordkeeping would be required. Therefore the estimated burden of recordkeeping is about 200
hours. As with the section 104 rules, we estimate that the time necessary to make any changes to
the labeling to equal one hour per model. Again, assuming each firm produces 10 new models each
year, this requirement amounts to a total of 400 hours per year. Therefore the total burden for the
electrically operated toys rule is about 400 hours. We estimate the hourly compensation for the
time required to create and update labels is $32.54 (U.S. Bureau of Labor Statistics, “Employer
Costs for Employee Compensation,” June 2018, Table 9, total compensation for all sales and office
workers in goods-producing private industries: http://www.bls.gov/ncs/). Based on the foregoing,
the burden for recordkeeping and labeling for the electrically operated toys rule would be $19,524
((200 hours + 400 hours) x $32.54 per hour).
Baby-Bouncer/Walker-Jumper Rule: CPSC staff estimates that about 6 firms are subject to
the testing and recordkeeping requirements of the regulations. Firms are expected to test on average
two new models per year per firm. CPSC staff estimates further that the burden imposed by the
regulations on each of these firms is approximately 1 hour per year on the recordkeeping
requirements and 1 hour per model on the label requirements. Thus, the annual burden imposed by
the regulations on all manufacturers and importers is approximately 12 hours on recordkeeping (6
firms x 1 hour x 2 models) and 12 hours on labeling (6 firms x 1 hour x 2 models) for a total annual
burden of 24 hours per year. Based on previous information provided to the CPSC staff by a
manufacturer, it is believed that the recordkeeping requirements do not impose a significant burden
on manufacturers and importers because the records are kept for other purposes, and testing is
conducted for other reasons in addition to complying with the regulation. Since no changes have
been made to the requirements for baby bouncers and walker-jumpers, those circumstances likely
apply today.

18

13.

Estimates of Other Total Annual Cost Burden to Respondents or Recordkeepers

Testing and Component Part Rules: Typically, most records required by the rules will not be
provided to the government. Records are requested by CPSC when we are investigating a potential
noncompliant product at the ports, or through a domestic compliance program. The component part
rule requires disclosure of records to third parties, but it allows for electronic access of records by
such parties. Thus, the component part rule does not require that records be duplicated and
physically provided to third parties, as long as such records can be made available to CPSC upon
request. No particular format for recordkeeping is required by either rule. The annual cost to
respondents to provide records to the CPSC and to third parties is expected to be minimal because
records can be provided electronically, via electronic mail, or via any other electronic format, such
as an Internet website.
Section 104 Rules: Marking, labeling, and instructions are required for every product subject to a
section 104 rule, which incorporate voluntary standards by reference. Firms will likely need to
obtain the current versions of the applicable standards to ensure that they are complying with the
rules. The average cost for a voluntary standard is about $60. We assume that each firm that
manufactures or imports a product subject to a specific 104 rule will require a copy of the voluntary
standard incorporated in the rule. Summing the number of firms that supply products in each
standard in the above Table suggests that firms subject to the rule will require a total of 1,259 copies
of various standard. The total cost of these standards is estimated to be about $75,000. Every
product must be marked and instructions must accompany the product. Because marking, labeling,
and instructions are typically already provided with the products, and only adjustments to them are
necessary, there should be minimal capital costs associated with meeting the requirements.
Electrically Operated Toys Rule: The electrically operated toys rule does not require any specific
technology or software be used for either the recordkeeping or the labeling requirement. Nor does it
require a specific format for the recordkeeping. There should be minimal, if any, capital costs
associated with this rule.
Baby-Bouncer/Walker-Jumper Rule: The baby-bouncer/walker-jumper rule does not require any
specific technology or software be used for either the recordkeeping or the labeling requirement.
Nor does it require a specific format for the recordkeeping. There should be minimal, if any, capital
costs associated with this rule.

14.

Annual Cost to the Government

Testing and Component Part Rules: CPSC collects testing and certification records when we are
investigating a potential noncomplying product. The records are intended to provide documentation
of testing and certification, and traceability of component parts. In an investigation, access to these
records should make it easier to identify the noncomplying products and possibly reduce the cost to
the government of investigating a recall. Although the CPSC cannot estimate how often it will
investigate allegedly noncomplying product incidents, the examination of records required by the
19

rule would largely be incidental to a CPSC investigation. Accordingly, we anticipate that the
annual cost to the government will be minimal.
Section 104 Rules: For each section 104 rule, the estimated annual cost to the federal government is
approximately $3,938, which includes 60 staff hours to examine and evaluate the information, as
needed, for compliance activities. This is based on a GS-12 level salaried employee. The average
wage rate for a mid-level salaried GS-12 employee in the Washington, D.C. metropolitan area
(effective as of January 2018) is $92,421 (GS-12, step 5). This represents 67.7 percent of total
compensation (U.S. Bureau of Labor Statistics, “Employer Costs for Employee Compensation,”
June 2018, Table 1, percentage of wages and salaries for all civilian management, professional, and
related employees). Adding an additional 32.3 percent for benefits brings the average compensation
for a mid-level salaried GS-12 employee to $136,516 or $65.63per hour. Assuming that
approximately 60 hours will be required annually, this results in an annual cost of $3,938. The
combined cost to the federal government for all 22 section 104 rules is $86,632.
Electrically Operated Toys Rule: The total estimated cost to the government is expected to be less
than 1 staff month, or less than $11,376 per year. Record review will be performed during
compliance inspections conducted to follow up on consumer complaints and reports of injury which
indicate possible violations of the regulations. This estimate uses an annual total compensation of
$92,421 (the equivalent of a GS-12 Step 5 employee) with an additional 32.3 percent added for
benefits U.S. Bureau of Labor Statistics, “Employer Costs for Employee Compensation,” June
2018, Table 1, percentage of wages and salaries for all civilian management, professional, and
related employees).
Baby-Bouncer/Walker-Jumper Rule: During a typical year, the CPSC will expend approximately
two days (16 hours) of professional staff time reviewing records required by the regulations for
baby-bouncers and walker-jumpers. The annual cost to the government of the collection of
information is estimated to be about $1,050. This is based on an average hourly wage rate of
$65.63 with an additional 32.3 percent added for benefits (the equivalent of a GS-12 Step 5
employee) (U.S. Bureau of Labor Statistics, “Employer Costs for Employee Compensation,” June
2018, Table 1, percentage of wages and salaries for all civilian management, professional, and
related employees).
15.

Changes in Burden

Changes due to Agency Estimates: The changes in the Agency’s estimate of burden largely result
from changes in the estimates for Children’s Apparel. We estimate that there are 6.7 million apparel
products. This estimate is based on estimates of the number of garments, garments sold, the number
units sold per SKU and the size/color combinations per SKU. To estimate the number that were
intended for children under the age of 12 we simply use the percentage of children in the total
population. This percentage fell from 17.1% to 15.8% from the 2000 census to the 2010 census.
This results in a reduction of 100,000 in our estimate of the number of children’s apparel products
for which a certificate is required. This reduction results in a reduction of 330,000 hours for the
Testing Rule; 27,000 hour reduction for the recordkeeping requirements on the Component Part
20

Rule; 3,000 hour reduction in third party disclosure requirements of the Component Part Rule.
The total reduction of 370,000 hours.
Changes due to Agency Discretion: Approximately 9,898 hours were transferred into this ICR from
eight Section 104 rules with OMB numbers: (3041-0167, 3041-0174, 3041-0173, 3041-0172, 30410170, 3041-0171, 3041-0175, 3041-0178). There is an added 624 hours for additional labeling and
recordkeeping requirements from the Electrically Operated Toys (3041-0035) and Bouncer/WalkerJumper (3041-0019) incorporation. As a result this ICR includes a change of 10,522 (9,898 + 624)
hours due to agency discretion.
16.

Statistical Reporting

Information collected under this requirement will not be published.
17.

Exemption for Display of Expiration Date

The agency does not seek an exemption from displaying the expiration date.
18.

Exemption to Certification Statement

N/A.
B.

Statistical Methods

The information collection requirements do not employ statistical methods.
APPENDIX A
Children’s Product Safety Rules: The following is a list of children’s product safety rules that
require third party testing and certification.
Citation
1203
1215
1216
1217
1218
1219
1220
1221
1222
1223
1224
1225
1226
1227

Description
Safety Standard for Bicycle Helmets – Children's
Safety Standard for Infant Bath Seats
Safety Standard for Infant Walkers
Safety Standard for Toddler Beds
Safety Standard for Bassinets and Cradles
Safety Standard for Full-Size Cribs
Safety Standard for Non-Full-Size Cribs
Safety Standard for Play Yards
Safety Standard for Infant Bedside Sleepers
Safety Standard for Swings
Safety Standard for Portable Bedrails
Safety Standard for Hand-Held Infant Carriers
Safety Standard for Soft Infant and Toddler Carriers
Safety Standard for Carriages and Strollers
21

1228
1229
1230
1231
1232
1233
1234
1235
1237
1303

1420
1501
1505
1510
1511
1512
1513
1610
1611
1615
1616
1630
1631
1632
1633
15 USC 1278a
Metal
15 USC 1278a
Non-Metal
15 USC 2057c

1500.18(a)
1500.86(a)(5)
1500.86(a)(7) & (8)
ASTM F963

Safety Standard for Sling Carriers
Safety Standard for Infant Bouncer Seats
Safety Standard for Frame Child Carriers (not effective until 9/2016)
Safety Standard for High Chairs
Safety Standard for Children’s Folding Chairs and Stools
Safety Standard for Hook-On Chairs
Safety Standard for Infant Bath Tubs
Safety Standard for Baby Changing Products
Safety Standard for Booster Seats
Ban of Lead-Containing Paint and Certain Consumer Products Bearing Lead-Containing Paint
- Children's Products. Applies to consumer paints and paint used on certain movable nonmetal children's furniture products
Requirements for All Terrain Vehicles (ATVs) - Children's
Small Parts
Electrically Operated Toys or Articles
Rattles
Pacifiers
Requirements for Bicycles – Children's
Safety Standard for Entrapment Hazards in Bunk Beds – Children's
Standard for the Flammability of Clothing Textiles - Children's
Standard for the Flammability of Vinyl Plastic Film - Children's
Standard for the Flammability of Children’s Sleepwear: Sizes 0 through 6X (FF 3-71)
Standard for the Flammability of Children’s Sleepwear: Sizes 7 through 14 (FF 5-74)
Standard for the Surface Flammability of Carpets and Rugs - Children's
Standard for the Surface Flammability of Small Carpets and Rugs - Children's
Standard for the Flammability of Mattresses and Mattress Pads (FF 4-72, Amended) Children's
Standard for the Flammability (Open Flame) of Mattress Sets - Children's
Test Method CPSC-CH-E1001-08 and/or CPSC-CH-E1001-08.1 and/or CPSC-CHE100108.2 and/or CPSC-CH-E1001-08.3, or for Metal Jewelry CPSC Laboratory SOP
(effective date 03/23/2009)
Test Method CPSC-CH-E1002-08 and/or CPSC-CH-E1002-08.1 and/or CPSC-CH-E100108.2 and/or CPSC-CH-E1002-08.3, Lead Content in Children's Non-Metal Products
Determination of Phthalates in Toys and Certain Children’s Products— Plasticizers in
Polyvinyl Chloride Plastic(Test Method: CPSC-CH-C1001-09.3 and/or GB/T 22048-2008)
(effective date December 31, 2011. See Federal Register notice of August 10, 2011)
Kites
Clacker Balls
Dive Sticks and Other Similar Articles
Standard Consumer Safety Specification for Toy Safety

The following sections of ASTM F963 are mandatory safety requirements for toys. Toys must be
third party tested and certified to meet each applicable section of the standard listed below.
Citations are to the 2011 version of ASTM F963, unless otherwise noted.
Citation
4.10
4.11
4.12

Description
Wires or Rods
Nails and Fasteners
Plastic Film
22

4.13
4.14
4.15
4.16
4.17
4.18
4.19
4.20.1
4.20.2
4.21
4.22
4.23.1
4.24
4.25
4.26
4.27
4.27
4.3.5.1(2)
4.3.5.2
4.3.6.3
4.3.7
4.30
4.32
4.35
4.36
4.37
4.38
4.39
4.5
4.6
4.7
4.8
4.9

Folding Mechanisms and Hinges
Cords, Straps, and Elastics
Stability and Overload Requirements
Confined Spaces
Wheels, Tires, and Axles
Holes, Clearances, and Accessibility of Mechanisms
Simulated Protective Devices (except labeling and/or instructional literature requirements)
Pacifiers with Rubber Nipples/Nitrosamine Test
Toy Pacifiers
Projectile Toys
Teethers and Teething Toys
Rattles with nearly spherical, hemispherical, or circular flared ends
Squeeze Toys
Battery-Operated Toys (except labeling and/or instructional literature requirements)
Toys Intended to Be Attached to a Crib or Playpen (except labeling and/or instructional literature
requirements)
Toy Chests (except labeling and/or instructional literature requirements) – ASTM F-963-07e1
Stuffed and Beanbag-Type Toys
Surface Coating Materials – Soluble Test for Metals
Toy Substrate Materials
Cleanliness of Liquids, Pastes, Putties, Gels, and Powders
Stuffing Materials
Toy Gun Marking
Certain Toys with Nearly Spherical Ends
Pompoms
Hemispheric-Shaped Objects
Yo-Yo Elastic Tether Toys
Magnets (except labeling and/or instructional literature requirements)
Jaw Entrapment in Handles and Steering Wheels
Sound Producing Toys
Small Objects (except labeling and/or instructional literature requirements)
Accessible Edges (except labeling and/or instructional literature requirements)
Projections (except bath toy projections)
Accessible Points (except labeling and/or instructional literature requirements)

23