Commission Involvement in Voluntary Standards, 38754-38760 [E6-10572]

Agencies

• Consumer Product Safety Commission

[Federal Register Volume 71, Number 131 (Monday, July 10, 2006)]
[Rules and Regulations]
[Pages 38754-38760]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-10572]


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CONSUMER PRODUCT SAFETY COMMISSION

16 CFR Part 1031


Commission Involvement in Voluntary Standards

AGENCY: Consumer Product Safety Commission.

ACTION: Final rule.

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SUMMARY: The Consumer Product Safety Commission (CPSC or Commission) is 
revising its regulations governing the Commission's involvement in 
voluntary standards activities. The revisions more accurately reflect 
current Commission practices and strengthen oversight of staff 
involvement in standards making activities. The revisions also codify 
existing procedures for internet disclosure and public comment 
regarding standards activities in which Commission staff is actively 
involved.\1\
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    \1\ Chairman Hal Stratton filed a statement which is available 
from the Office of the Secretary or on the Commission's Web site at 
https://www.cpsc.gov.

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EFFECTIVE DATE: July 10, 2006.

FOR FURTHER INFORMATION CONTACT: Barbara Parisi, Office of the General 
Counsel, Consumer Product Safety Commission, 4330 East-West Highway, 
Bethesda, Maryland 20814; telephone (301) 504-7879; bparisi@cpsc.gov.

SUPPLEMENTARY INFORMATION: Since this rule relates solely to rules of 
agency organization, procedure and practice, pursuant to 5 U.S.C. 
553(b) notice and other public procedures are not required. The rule is 
effective immediately upon publication in the Federal Register. 
Further, this action is not a rule as defined in the Regulatory 
Flexibility Act, 5 U.S.C. 601-612, and, thus, is exempt from the 
provisions of the Act.

Background

    Congress enacted the Consumer Product Safety Act (CPSA) in 1972, 
codified at 15 U.S.C. 2051, et seq., to protect consumers against 
unreasonable risks of injury associated with consumer products. In 
furtherance of that goal, Congress established the Consumer Product 
Safety Commission (CPSC or Commission) as an independent regulatory 
agency, and granted it broad authority to promulgate mandatory safety 
standards for consumer products as a necessary alternative to industry 
self-regulation. 15 U.S.C. 2056(a)(1)(A). As initially enacted, the 
CPSA did not contain any language referring to voluntary standards.
    In 1978, the Commission issued regulations describing the extent 
and form of Commission involvement in the development of voluntary 
standards, 43 FR 19216, 16 CFR part 1032--Commission Involvement in 
Voluntary Standards Activities. In the Background section, the 
Commission acknowledged the contribution which voluntary standards had 
made to reducing hazards associated with consumer products, and stated 
that it supported an effective

[[Page 38755]]

voluntary standards program. It also stated its belief that a proper 
combination of voluntary and mandatory standards can have a higher 
``payoff'' in increased product safety than either mandatory or 
voluntary activities alone could have.
    In 1981, Congress amended the CPSA, the Federal Hazardous 
Substances Act, and the Flammable Fabrics Act to mandate that the 
Commission give preference to voluntary standards over promulgating 
mandatory standards if it determines that a voluntary standard will 
eliminate or adequately reduce an injury risk, and that there will be a 
likelihood of substantial compliance with the standard. 15 U.S.C. 
2056(b), 15 U.S.C. 1262(g)(2), 15 U.S.C. 1193(h)(2). The amendments 
also require the Commission to provide administrative and technical 
assistance to organizations engaged in voluntary standards development. 
15 U.S.C. 2054(a)(3) and (4).
    In 1989, the CPSC adopted regulations to reflect the policies set 
forth by the Congress in the 1981 amendments, Pub. L. 97-35, making 
several changes in the agency's policies on employee participation in 
voluntary standards development activities, and combining Part 1031, 
Employees Membership and Participation in Voluntary Standards 
Organizations, and Part 1032, Commission Involvement in Voluntary 
Standards Activities, into a revised Part 1031, Commission 
Participation and Commission Employee Involvement in Voluntary 
Standards Activities. 54 FR 6652.

Explanation of Revisions and Additions in Part 1031

1. Revisions to 16 CFR 1031.2 Background and 1031.9(c)(1) Purpose and 
Scope To More Accurately Reflect the Effect of Executive and 
Legislative Enactments Pertaining to Voluntary Standards

    The existing regulation is inaccurate with respect to the legal 
effect of OMB Circular No. A-119, as this document does not apply to 
CPSC rulemaking activities. Additionally, the current regulation needs 
to be updated to include reference to 1990 Consumer Product Safety 
Information Act (CPSIA), a statute which provides further Congressional 
guidance on agency management of voluntary standards.

2. Revisions To Ensure That Voluntary Standards Activities Stem From 
the Operating Plan, Performance Budget, or Other Official Expressions 
of Commission Intent

    Given the existence of thousands of voluntary standards, the 
Commission must act judiciously in selecting the appropriate activities 
in which to engage. The current regulation does not make reference to 
the existing agency practice of permitting staff to participate only in 
those activities specifically identified in the operating plan, 
performance budget, mid-year review, or other official Commission 
document. Where appropriate, Part 1031 should include language to 
permit staff involvement in only those standards expressly approved by 
the Commission.

3. Revisions to 16 CFR 1031.6 To Eliminate Monitoring/Participating 
Distinction Regarding Degrees of Employee Involvement in Standards 
Activities

    16 CFR 1031.6 sets forth to different levels of staff involvement 
in voluntary standards activities, monitoring and participation. while 
this distinction may have initially served some purpose, the agency has 
over time adopted a more pragmatic approach to oversee staff 
involvement generally with less focus on the extent of the involvement. 
To more accurately reflect the current practice of oversight of staff 
involvement in voluntary standards activities, the regulation requires 
revision.

4. Revisions to CFR 1031.9 To Clarify Reporting Requirements of Staff 
to the Voluntary Standards Coordinator

    Under Sec.  1031.9(d), staff must obtain management approval prior 
to participation in voluntary standards activities. Once approved, 
however, there is no provision to ensure the ongoing oversight of their 
involvement. To address this deficiency, the regulation should 
incorporate specific reporting requirements that staff must fulfill for 
the duration of their involvement with any particular standard. This 
revision has the added effect of improving internal management 
practices by placing all staff activities in the voluntary standards 
arena under the oversight of the Voluntary Standards Coordinator.

5. Addition of Subpart C To Codify Existing Internet Disclosure and 
Public Comment Procedures

    In October, 2004, the CPSC launched a six month pilot program to 
provide the public with information on voluntary standards and to 
provide an advance notice on CPSC staff positions for public review and 
comment for a limited number of voluntary standard activities. The 
primary goal of the program was to make the staff's activities more 
transparent and to obtain the benefit of public review and input before 
finalizing CPSC staff positions. In August, 2005, following the staff's 
recommendation, the Commission voted unanimously to continue the 
program and expand it to include links on the CPSC Web site with 
information pertaining to all of our voluntary standards activities. 
``Internet vetting'' of staff involvement in voluntary standards 
activities represents a significant step to improving transparency of 
staff activities and is consistent with the agency's mission and goals.

List of Subjects in 16 CFR Part 1031

    Business and industry, Consumer protection, Voluntary standards.


0
For the reasons stated in the preamble, 16 CFR part 1031 is revised to 
read as follows:

PART 1031--COMMISSION PARTICIPATION AND COMMISSION EMPLOYEE 
INVOLVEMENT IN VOLUNTARY STANDARDS ACTIVITIES

Sec.
Subpart A--General Policies
1031.1 Purpose and scope.
1031.2 Background.
1031.3 Consumer Product Safety Act amendments.
1031.4 Effect of voluntary standards activities on Commission 
activities.
1031.5 Criteria for Commission involvement in voluntary standards 
activities.
1031.6 Extent and form of Commission involvement in the development 
of voluntary standards.
1031.7 Commission support of voluntary standards activities.
1031.8 Voluntary Standards Coordinator.
Subpart B--Employee Involvement
1031.9 Purpose and scope.
1031.10 Definitions.
1031.11 Procedural safeguards.
1031.12 Membership criteria.
1031.13 Criteria for Employee Involvement.
1031.14 Observation criteria.
1031.15 Communication criteria.
Subpart C--Public Participation and Comment
1031.16 Purpose and scope.
1031.17 Background.
1031.18 Method of review and comment.

    Authority: 15 U.S.C. 2051-2083; 15 U.S.C. 1261-1276; 15 U.S.C. 
1191-1204.

[[Page 38756]]

Subpart A--General Policies


Sec.  1031.1  Purpose and scope.

    (a) This part 1031 sets forth the Consumer Product Safety 
Commission's guidelines and requirements on participating in the 
activities of voluntary standards bodies. Subpart A sets forth general 
policies on Commission involvement, and subpart B sets forth policies 
and guidelines on employee involvement in voluntary standards 
activities. Subpart C sets forth the criteria governing public review 
and comment on staff involvement in voluntary standards activities.
    (b) For purposes of both subpart A and subpart B of this part 1031, 
voluntary standards bodies are private sector domestic or multinational 
organizations or groups, or combinations thereof, such as, but not 
limited to, all non-profit organizations, industry associations, 
professional and technical societies, institutes, and test 
laboratories, that are involved in the planning, development, 
establishment, revision, review or coordination of voluntary standards. 
Voluntary standards development bodies are voluntary standards bodies, 
or their sub-groups, that are devoted to developing or establishing 
voluntary standards.


Sec.  1031.2  Background.

    (a) Congress enacted the Consumer Product Safety Act in 1972 to 
protect consumers against unreasonable risks of injury associated with 
consumer products. In order to achieve that goal, Congress established 
the Consumer Product Safety Commission as an independent regulatory 
agency and granted it broad authority to promulgate mandatory safety 
standards for consumer products as a necessary alternative to industry 
self regulation.
    (b) In 1981, the Congress amended the Consumer Product Safety Act, 
the Federal Hazardous Substances Act, and the Flammable Fabrics Act, to 
require the Commission to rely on voluntary standards rather than 
promulgate a mandatory standard when voluntary standards would 
eliminate or adequately reduce the risk of injury addressed and it is 
likely that there will be substantial compliance with the voluntary 
standards. (15 U.S.C. 2056(b), 15 U.S.C. 1262(g)(2), 15 U.S.C. 
1193(h)(2)). The 1981 Amendments also require the Commission, after any 
notice or advance notice of proposed rulemaking, to provide technical 
and administrative assistance to persons or groups who propose to 
develop or modify an appropriate voluntary standard. (15 U.S.C. 
2054(a)(3)). Additionally, the amendments encourage the Commission to 
provide technical and administrative assistance to groups developing 
product safety standards and test methods, taking into account 
Commission resources and priorities (15 U.S.C. 2054(a)(4)). Although 
the Commission is required to provide assistance to such groups, it may 
determine the level of assistance in accordance with the level of its 
own administrative and technical resources and in accordance with its 
assessment of the likelihood that the groups being assisted will 
successfully develop a voluntary standard that will preclude the need 
for a mandatory standard.
    (c) In 1990, Congress passed the Consumer Product Safety 
Improvement Act (CPSIA), amending section 15(b) of the CPSA to require 
that manufacturers, distributors, and retailers notify the Commission 
about products that fail to comply with an applicable voluntary 
standard upon which the Commission has relied under section 9 of the 
CPSA. CPSIA also amended section 9(b)(2) of the CPSA to require that 
the CPSC afford interested persons the opportunity to comment regarding 
any voluntary standard prior to CPSC termination and reliance.


Sec.  1031.3  Consumer Product Safety Act amendments.

    The Consumer Product Safety Act, as amended, contains several 
sections pertaining to the Commission's participation in the 
development and use of voluntary standards.
    (a) Section 7(b) provides that the Commission shall rely on 
voluntary consumer product safety standards prescribing requirements 
described in subsection (a) whenever compliance with such voluntary 
standards would eliminate or adequately reduce the risk of injury 
addressed and it is likely that there will be substantial compliance 
with such voluntary standards. (15 U.S.C. 2056(b)).
    (b) Section 5(a)(3) provides that the Commission shall, following 
publication of an advance notice of proposed rulemaking or a notice of 
proposed rulemaking for a product safety rule under any rulemaking 
authority administered by the Commission, assist public and private 
organizations or groups of manufacturers, administratively and 
technically, in the development of safety standards addressing the risk 
of injury identified in such notice. (15 U.S.C. 2054(a)(3)).
    (c) Section 5(a)(4) provides that the Commission shall, to the 
extent practicable and appropriate (taking into account the resources 
and priorities of the Commission), assist public and private 
organizations or groups of manufacturers, administratively and 
technically, in the development of product safety standards and test 
methods. (15 U.S.C. 2054(a)(4)).


Sec.  1031.4  Effect of voluntary standards activities on Commission 
activities.

    (a)(1) The Commission, in determining whether to begin proceedings 
to develop mandatory standards under the acts it administers, considers 
whether mandatory regulation is necessary or whether there is an 
existing voluntary standard that adequately addresses the problem and 
the extent to which that voluntary standard is complied with by the 
affected industry.
    (2) The Commission acknowledges that there are situations in which 
adequate voluntary standards, in combination with appropriate 
certification programs, may be appropriate to support a conclusion that 
a mandatory standard is not necessary. The Commission may find that a 
mandatory standard is not necessary where compliance with an existing 
voluntary standard would eliminate or adequately reduce the risk of 
injury associated with the product, contains requirements and test 
methods that have been evaluated and found acceptable by the 
Commission, and it is likely that there will be substantial and timely 
compliance with the voluntary standard. Under such circumstances, the 
Commission may agree to encourage industry compliance with the 
voluntary standard and subsequently evaluate the effectiveness of the 
standard in terms of accident and injury reduction for products 
produced in compliance with the standard.
    (3) In evaluating voluntary standards, the Commission will relate 
the requirements of the standard to the identified risks of injury and 
evaluate the requirements in terms of their effectiveness in 
eliminating or reducing the risks of injury. The evaluation of 
voluntary standards will be conducted by Commission staff members, 
including representatives of legal, economics, engineering, 
epidemiological, health sciences, human factors, other appropriate 
interests, and the Voluntary Standards Coordinator. The staff 
evaluation will be conducted in a manner similar to evaluations of 
standards being considered for promulgation as mandatory standards.
    (4) In the event that the Commission has evaluated an existing 
voluntary standard and found it to be adequate in all but a few areas, 
the Commission may defer the initiation of a mandatory

[[Page 38757]]

rulemaking proceeding and request the voluntary standards organization 
to revise the standard to address the identified inadequacies 
expeditiously.
    (b) In the event the Commission determines that there is no 
existing voluntary standard that will eliminate or adequately reduce a 
risk of injury the Commission may commence a proceeding for the 
development of a consumer product safety rule or a regulation in 
accordance with section 9 of the Consumer Product Safety Act, 15 U.S.C. 
2058, section 3(f) of the Federal Hazardous Substances Act, 15 U.S.C. 
1262(f), or section 4(a) of the Flammable Fabrics Act, 15 U.S.C. 
1193(g), as may be applicable. In commencing such a proceeding, the 
Commission will publish an advance notice of proposed rulemaking which 
shall, among other things, invite any person to submit to the 
Commission an existing standard or portion of an existing standard, or 
to submit a statement of intention to modify or develop, within a 
reasonable period of time, a voluntary standard to address the risk of 
injury.
    (c) The Commission will consider those provisions of a voluntary 
standard that have been reviewed, evaluated, and deemed to be adequate 
in addressing the specified risks of injury when initiating a mandatory 
consumer product safety rule or regulation under the Consumer Product 
Safety Act, the Federal Hazardous Substances Act, or the Flammable 
Fabrics Act, as may be applicable. Comments will be requested in the 
advance notice of proposed rulemaking on the adequacy of such voluntary 
standard provisions.


Sec.  1031.5  Criteria for Commission involvement in voluntary 
standards activities.

    The Commission will consider the extent to which the following 
criteria are met in considering Commission involvement in the 
development of voluntary safety standards for consumer products:
    (a) The likelihood the voluntary standard will eliminate or 
adequately reduce the risk of injury addressed and that there will be 
substantial and timely compliance with the voluntary standard.
    (b) The likelihood that the voluntary standard will be developed 
within a reasonable period of time.
    (c) Exclusion, to the maximum extent possible, from the voluntary 
standard being developed, of requirements which will create 
anticompetitive effects or promote restraint of trade.
    (d) Provisions for periodic and timely review of the standard, 
including review for anticompetitive effects, and revision or amendment 
as the need arises.
    (e) Performance-oriented and not design-restrictive requirements, 
to the maximum practical extent, in any standard developed.
    (f) Industry arrangements for achieving substantial and timely 
industry compliance with the voluntary standard once it is issued, and 
the means of ascertaining such compliance based on overall market share 
of product production.
    (g) Provisions in the standard for marking products conforming to 
the standard so that future Commission investigation can indicate the 
involvement of such products in accidents and patterns of injury.
    (h) Provisions for insuring that products identified as conforming 
to such standards will be subjected to a testing and certification 
(including self-certification) procedure, which will provide assurance 
that the products comply with the standard.
    (i) The openness to all interested parties, and the establishment 
of procedures which will provide for meaningful participation in the 
development of such standards by representatives of producers, 
suppliers, distributors, retailers, consumers, small business, public 
interests and other individuals having knowledge or expertise in the 
areas under consideration, and procedures for affording other due 
process considerations.


Sec.  1031.6  Extent and form of Commission involvement in the 
development of voluntary standards.

    (a) The extent of Commission involvement will be dependent upon the 
Commission's interest in the particular standards development activity 
and the Commission's priorities and resources.
    (b) The Commission's interest in a specific voluntary standards 
activity will be based in part on the frequency and severity of 
injuries associated with the product, the involvement of the product in 
accidents, the susceptibility of the hazard to correction through 
standards, and the overall resources and priorities of the Commission. 
Commission involvement in voluntary standards activities generally will 
be guided by the Commission's operating plan and performance budget.
    (c) Commission involvement in voluntary standards activities 
varies.
    (1) The Commission staff may maintain an awareness of the voluntary 
standards development process through oral or written inquiries, 
receiving and reviewing minutes of meetings and copies of draft 
standards, or attending meetings for the purpose of observing and 
commenting during the standards development process in accordance with 
subpart B of this part. For example, Commission staff may respond to 
requests from voluntary standards organizations, standards development 
committees, trade associations and consumer organizations; by providing 
information concerning the risks of injury associated with particular 
products, National Electronic Injury Surveillance System (NEISS) data, 
death, injury, and incident data, summaries and analyses of in-depth 
investigation reports; discussing Commission goals and objectives with 
regard to voluntary standards and improved consumer product safety; 
responding to requests for information concerning Commission programs; 
and initiating contacts with voluntary standards organizations to 
discuss cooperative voluntary standards activities.
    (2) Employee involvement may include membership as defined in Sec.  
1031.10(a). Commission staff may regularly attend meetings of a 
standard development committee or group and take an active part in the 
discussions of the committee and in developing the standard, in 
accordance with subpart B of this part. The Commission may contribute 
to the deliberations of the committee by expending resources to provide 
technical assistance (e.g., research, engineering support, and 
information and education programs) and administrative assistance 
(e.g., travel costs, hosting meetings, and secretarial functions) in 
support of the development and implementation of those voluntary 
standards referenced in the Commission's operating plan, performance 
budget, mid-year review, or other official Commission document. The 
Commission may also support voluntary standards activities as described 
in Sec.  1031.7. Employee involvement may include observation as 
defined in Sec.  1031.10(c).
    (d) Normally, the total amount of Commission support given to a 
voluntary standards activity shall be no greater than that of all non-
Federal participants in that activity, except where it is in the public 
interest to do so.
    (e) In the event of duplication of effort by two or more groups 
(either inside or outside the Commission) in developing a voluntary 
standard for the same product or class of products, the Commission 
shall encourage the several groups to cooperate in the development of a 
single voluntary standard.

[[Page 38758]]

Sec.  1031.7  Commission support of voluntary standards activities.

    (a) The Commission's support of voluntary safety standards 
development activities may include any one or a combination of the 
following actions:
    (1) Providing epidemiological and health science information and 
explanations of hazards for consumer products.
    (2) Encouraging the initiation of the development of voluntary 
standards for specific consumer products.
    (3) Identifying specific risks of injury to be addressed in a 
voluntary standard.
    (4) Performing or subsidizing technical assistance, including 
research, health science data, and engineering support, in the 
development of a voluntary standard activity in which the Commission 
staff is participating.
    (5) Providing assistance on methods of disseminating information 
and education about the voluntary standard or its use.
    (6) Performing a staff evaluation of a voluntary standard to 
determine its adequacy and efficacy in reducing the risks of injury 
that have been identified by the Commission as being associated with 
the use of the product.
    (7) Encouraging state and local governments to reference or 
incorporate the provisions of a voluntary standard in their regulations 
or ordinances and to participate in government or industrial model code 
development activities, so as to develop uniformity and minimize 
conflicting State and local regulations.
    (8) Monitoring the number and market share of products conforming 
to a voluntary safety standard.
    (9) Providing for the involvement of agency personnel in voluntary 
standards activities as described in subpart B of this part.
    (10) Providing administrative assistance, such as hosting meetings 
and secretarial assistance.
    (11) Providing funding support for voluntary standards development, 
as permitted by the operating plan, performance budget, mid-year 
review, or other official Commission document.
    (12) Taking other actions that the Commission believes appropriate 
in a particular situation.
    (b) [Reserved]


Sec.  1031.8  Voluntary Standards Coordinator.

    (a) The Executive Director shall appoint a Voluntary Standards 
Coordinator to coordinate agency participation in voluntary standards 
bodies so that:
    (1) The most effective use is made of agency personnel and 
resources, and
    (2) The views expressed by such personnel are in the public 
interest and, at a minimum, do not conflict with the interests and 
established views of the agency.
    (b) The Voluntary Standards Coordinator is responsible for managing 
the Commission's voluntary standards program, as well as preparing and 
submitting to the Commission a semiannual summary of staff's voluntary 
standards activities. The summary shall set forth, among other things, 
the goals of each voluntary standard under development, the extent of 
CPSC staff activity, the current status of standards development and 
implementation, and, if any, recommendations for additional Commission 
action. The Voluntary Standards Coordinator shall also compile 
information on the Commission's voluntary standards activities for the 
Commission's annual report.

Subpart B--Employee Involvement


Sec.  1031.9  Purpose and scope.

    (a) This subpart sets forth the Consumer Product Safety 
Commission's criteria and requirements governing membership and 
involvement by Commission officials and employees in the activities of 
voluntary standards development bodies.
    (b) The Commission realizes there are advantages and benefits 
afforded by greater involvement of Commission personnel in the 
standards activities of domestic and international voluntary standards 
organizations. However, such involvement might present an appearance or 
possibility of the Commission giving preferential treatment to an 
organization or group or of the Commission losing its independence or 
impartiality. Also, such involvement may present real or apparent 
conflict of interest situations.
    (c) The purpose of this subpart is to further the objectives and 
programs of the Commission and to do so in a manner that ensures that 
such involvement:
    (1) Is consistent with the intent of the Consumer Product Safety 
Act and the other acts administered by the Commission;
    (2) Is not contrary to the public interest;
    (3) Presents no real or apparent conflict of interest, and does not 
result in or create the appearance of the Commission giving 
preferential treatment to an organization or group or the Commission 
compromising its independence or impartiality; and
    (4) Takes into account Commission resources and priorities.
    (d) Commission employees must obtain approval from their supervisor 
and the Office of the Executive Director to be involved in voluntary 
standards activities. They must regularly report to the Voluntary 
Standards Coordinator regarding their involvement in standards 
activities, and provide copies of all official correspondence and other 
communications between the CPSC and the standards developing entities.
    (e) All Commission employees involved in voluntary standards 
activities are subject to any restrictions for avoiding conflicts of 
interest and for avoiding situations that would present an appearance 
of bias.


Sec.  1031.10  Definitions.

    For purposes of describing the level of involvement in voluntary 
standards activities for which Commission employees may be authorized, 
the following definitions apply:
    (a) Membership. Membership is the status of an employee who joins a 
voluntary standards development or advisory organization or subgroup 
and is listed as a member. It includes all oral and written 
communications which are incidental to such membership.
    (b) Employee involvement. Employee involvement may include the 
active, ongoing involvement of an official or employee in the 
development of a new or revised voluntary standard pertaining to a 
particular consumer product or to a group of products that is the 
subject of a Commission voluntary standards project. These projects 
should be those that are approved by the Commission, either by virtue 
of the agency's annual budget or operating plan, or by other specific 
agency authorization or decision, and are in accord with subpart A. 
Employee involvement may include regularly attending meetings of a 
standards development committee or group, taking an active part in 
discussions and technical debates, expressing opinions and expending 
other resources in support of a voluntary standard development 
activity. It includes all oral and written communications which are 
part of the process. Employee involvement may also involve maintaining 
an awareness related to general voluntary standards projects set forth 
in the agency's annual budget or operating plan or otherwise approved 
by the agency.
    (c) Observation. Observation is the attendance by an official or 
employee at a meeting of a voluntary standards development group for 
the purpose of observing and gathering information.

[[Page 38759]]

Sec.  1031.11  Procedural safeguards.

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


Sec.  1031.12  Membership criteria.

    (a) The Commissioners, their special assistants, and Commission 
officials and employees holding the positions listed below, may not 
become members of a voluntary standards group because they either have 
the responsibility for making final decisions, or advise those who make 
final decisions, on whether to rely on a voluntary standard, promulgate 
a consumer product safety standard, or to take other action to prevent 
or reduce an unreasonable risk of injury associated with a product.
    (1) The Commissioners;
    (2) The Commissioners' Special Assistants;
    (3) The General Counsel and General Counsel Staff;
    (4) The Executive Director, the Deputy Executive Director, and 
Special Assistants to the Executive Director;
    (5) The Associate Executive Directors and Office Directors;
    (6) The Assistant Executive Director of the Office of Hazard 
Identification and Reduction, the Deputy Assistant Executive Director 
of the Office of Hazard Identification and Reduction and any Special 
Assistants to the Assistant Executive Director of that office.
    (b) All other officials and employees not covered under Sec.  
1031.12(a) may be advisory, non-voting members of voluntary standards 
development and advisory groups with the advance approval of the 
Executive Director. In particular, the Commission's Voluntary Standards 
Coordinator may accept such membership.
    (c) Commission employees or officials who have the approval of the 
Executive Director to accept membership in a voluntary standards 
organization or group pursuant to paragraph (b) of this section shall 
apprise the General Counsel and the Voluntary Standards Coordinator 
prior to their acceptance.
    (d) Commission officials or employees who desire to become a member 
of a voluntary standards body or group in their individual capacity 
must obtain prior approval of the Commission's Ethics Counselor for an 
outside activity pursuant to the Commission's Employee Standards of 
Conduct, 16 CFR part 1030.


Sec.  1031.13  Criteria for Employee Involvement.

    (a) Commission officials, other than those positions listed in 
Sec.  1031.12(a), may be involved in the development of voluntary 
safety standards for consumer products, but only in their official 
capacity as employees of the Commission and if permitted to do so by 
their supervisor and any other person designated by agency management 
procedures. Such involvement shall be in accordance with Commission 
procedures.
    (b) Employees in positions listed in Sec.  1031.12(a)(4), (5), and 
(6) may be involved, on a case-by-case basis, in the development of a 
voluntary standard provided that they have the specific advance 
approval of the Commission.
    (c) Except in extraordinary circumstances and when approved in 
advance by the Executive Director in accordance with the provisions of 
the Commission's meetings policy, 16 CFR part 1012, Commission 
personnel shall not become involved in meetings concerning the 
development of voluntary standards that are not open to the public for 
attendance and observation. Attendance of Commission personnel at a 
voluntary standard meeting shall be noted in the public calendar and 
meeting logs filed with the Office of the Secretary in accordance with 
the Commission's meetings policy.
    (d) Generally, Commission employees may become involved in the 
development of voluntary standards only if they are made available for 
comment by all interested parties prior to their use or adoption.
    (e) Involvement by Commission officials and employees in voluntary 
standards bodies or standards-developing groups does not, of itself, 
connote Commission agreement with, or endorsement of, decisions 
reached, approved or published by such bodies or groups.


Sec.  1031.14  Observation criteria.

    A Commission official or employee may, on occasion, attend 
voluntary standards meetings for the sole purpose of observation, with 
the advance approval of his or her supervisor and any other person 
designated by agency management procedures. Commission officials and 
employees shall notify the Voluntary Standard Coordinator, for 
information purposes, prior to observing a voluntary standards meeting.


Sec.  1031.15  Communication criteria.

    (a) Commission officials and employees, who are not in the 
positions listed in Sec.  1031.12(a), or who are not already authorized 
to communicate with a voluntary standards group or representative 
incidental to their approved membership in a voluntary standard 
organization or group or as part of a voluntary standard, may:
    (1) Communicate, within the scope of their duties, with a voluntary 
standard group, representative, or other committee member, on voluntary 
standards matters which are substantive in nature, i.e., matters that 
pertain to the formulation of the technical aspects of a specific 
voluntary standard or the course of conduct for developing the 
standard, only with the specific advance approval from the person or 
persons to whom they apply to obtain approval for

[[Page 38760]]

involvement pursuant to Sec.  1031.13. The approval may indicate the 
duration of the approval and any other conditions.
    (2) Communicate, within the scope of their duties, with a voluntary 
standard group, representative, or other committee member, concerning 
voluntary standards activities which are not substantive in nature.
    (b) Commission employees may communicate with voluntary standards 
organizations only in accordance with Commission procedures.
    (c) Commissioners can engage in substantive and non-substantive 
written communications with voluntary standards bodies or 
representatives, provided a disclaimer in such communications indicates 
that any substantive views expressed are only their individual views 
and are not necessarily those of the Commission. Where a previous 
official Commission vote has taken place, that vote should also be 
noted in any such communication. Copies of such communications shall 
thereafter be provided to the other Commissioners, the Office of the 
Secretary, and the Voluntary Standards Coordinator.
    (d) The Voluntary Standards Coordinator shall be furnished a copy 
of each written communication of a substantive nature and a report of 
each oral communication of a substantive nature between a Commission 
official or employee and a voluntary standards organization or 
representative which pertains to a voluntary standards activity. The 
information shall be provided to the Voluntary Standards Coordinator as 
soon as practicable after the communication has taken place.

Subpart C--Public Participation and Comment


Sec.  1031.16  Purpose and scope.

    (a) This subpart sets forth the Consumer Product Safety 
Commission's criteria and requirements governing public review and 
comment on staff involvement in the activities of voluntary standards 
development bodies.
    (b) The Commission realizes there are advantages and benefits 
afforded by greater public awareness of staff involvement in standards 
development activities. Furthermore, the Commission recognizes public 
comment and input as an important part of the voluntary standards 
development process.
    (c) The purpose of this subpart is to further the objectives and 
programs of the Commission and to do so in a manner that ensures 
openness and transparency.


Sec.  1031.17  Background.

    (a) In a Federal Register Notice (Vol. 69, No. 200) dated October 
18, 2004, the CPSC announced that it was launching a pilot program to 
open CPSC staff activities for public review and comment. The pilot 
program covered information on CPSC staff participation with respect to 
a cross-section of voluntary standards, including advance notice of 
proposed staff positions on issues to be considered by voluntary 
standards organizations. The program was based on the premise that 
increased public awareness and participation would enhance the quality 
and conclusions of the proposed recommendations made by CPSC staff.
    (b) The pilot program ended on April 18, 2005, after a 6-month 
period. CPSC invited general comments on whether to continue the 
programs beyond the pilot period and solicited suggestions for 
improving the program.
    (c) On July 28, 2005, the CPSC staff submitted to the Commission an 
assessment of the pilot program's results, including data that 
indicated the voluntary standards site ranked among the top 20 
directories visited on the CPSC Web site. Further, the report included 
the staff's recommendation that the voluntary standards Web site be 
expanded to include information on all standards activities.
    (d) On August 4, 2005, in accordance with the staff's 
recommendation, the Commission voted unanimously to continue the 
voluntary standards program and expand it to include all voluntary 
standards activities.


Sec.  1031.18  Method of review and comment.

    (a) Each of the voluntary standards activities in which Commission 
staff is involved shall have a unique Web link on the Commission Web 
site with relevant information regarding CPSC activity, including:
    (1) The name(s) of CPSC staff working on the activity; and
    (2) The e-mail and mailing addresses of the CPSC Office of the 
Secretary, to which any interested party may communicate their 
particular interest.
    (b) E-mail and written comments on voluntary standards from the 
public to the CPSC shall be managed by the Office of the Secretary. 
Such communication shall be forwarded to appropriate staff for 
consideration and/or response.
    (c) On the voluntary standards Web site, consumers shall have the 
opportunity to register for periodic e-mail notices from the Commission 
with respect to their standard of interest. Such notices shall be 
issued by the CPSC each time a voluntary standard site has been updated 
and no less than once every calendar year.

    Dated: June 30, 2006.
Alberta E. Mills,
 Acting Secretary, Consumer Product Safety Commission.
[FR Doc. E6-10572 Filed 7-7-06; 8:45 am]
BILLING CODE 6355-01-P