Guidelines and Requirements for Mandatory Recall Notices: Notice of Proposed Rulemaking, 11883-11888 [E9-6021]

Agencies

• Consumer Product Safety Commission

[Federal Register Volume 74, Number 53 (Friday, March 20, 2009)]
[Proposed Rules]
[Pages 11883-11888]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-6021]


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Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

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Federal Register / Vol. 74, No. 53 / Friday, March 20, 2009 / 
Proposed Rules

[[Page 11883]]



CONSUMER PRODUCT SAFETY COMMISSION

16 CFR Part 1115


Guidelines and Requirements for Mandatory Recall Notices: Notice 
of Proposed Rulemaking

AGENCY: Consumer Product Safety Commission.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Consumer Product Safety Improvement Act of 2008 requires 
the United States Consumer Product Safety Commission (``Commission'') 
to establish by rule guidelines and requirements for recall notices 
ordered by the Commission or by a United States District Court under 
the Consumer Product Safety Act. This proposal would establish the 
guidelines and requirements to satisfy that requirement.

DATES: Written comments must be received by April 20, 2009.

ADDRESSES: Comments should be e-mailed to 
mandatoryrecallnotices@cpsc.gov. Comments also may be mailed, 
preferably in five copies, to the Office of the Secretary, Consumer 
Product Safety Commission, Room 502, 4330 East West Highway, Bethesda, 
Maryland 20814, or delivered to the same address (telephone (301) 504-
7923. Comments may also be filed by facsimile to (301) 504-0127. 
Comments should be captioned ``Section 15(i) NPR.''

FOR FURTHER INFORMATION CONTACT: Marc Schoem, Deputy Director, Office 
of Compliance and Field Operations, Consumer Product Safety Commission, 
4330 East West Highway, Bethesda, MD 20814; telephone (301) 504-7520.

SUPPLEMENTARY INFORMATION:

A. Background

    The Consumer Product Safety Improvement Act of 2008 (``CPSIA'', 
Pub. L. 110-314) was enacted on August 14, 2008. The CPSIA amends 
statutes that the U.S. Consumer Product Safety Commission 
(``Commission'') administers, adding requirements with broad 
applicability and some product-specific provisions as well.

B. CPSIA Requirements

    Section 214 of the CPSIA amends section 15 of the Consumer Product 
Safety Act (``CPSA'') to add a new subsection (i). That section 
requires that, ``not later than 180 days after the date of enactment of 
the CPSIA, the Commission shall, by rule, establish guidelines setting 
forth a uniform class of information to be included in any notice 
required by an order under'' sections 12, 15(c), or 15(d) of the CPSA 
(15 U.S.C. 2061, 2064(c), or 2064(d)). Public Law 110-314, section 
214(c), 122 Stat. 3016 (August 14, 2008). The guidelines must include 
information that would be helpful in identifying the product, hazard, 
and remedy associated with a recall. 15 U.S.C. 2064, as added by CPSIA 
Sec.  214.
    Section 214 of the CPSIA also requires that a recall notice include 
certain specific information, unless the Commission determines 
otherwise. This information includes, but is not limited to, 
descriptions of the product, hazard, injuries, deaths, action being 
taken, and remedy; identification of the manufacturer and retailers; 
identification of relevant dates; and any other information the 
Commission deems appropriate. Id.

C. Basis for Proposed Rule

    The Commission and Commission staff have been using recall 
notifications since the Commission's inception. Under section 15(c) of 
the CPSA, if the Commission determines that notification is required to 
adequately protect the public from a substantial product hazard, the 
Commission may order a manufacturer, retailer, or distributor to 
provide notice to certain persons. 15 U.S.C. 2064(c). In addition, for 
many years, the Commission has made information concerning recall 
notices publicly available, including, for example, in the agency's 
Recall Handbook (https://www.cpsc.gov/BUSINFO/8002.html).
    This proposed rule has been written based upon, and with the 
benefit of, the Commission and Commission staff's many years of 
experience with recalls and recall effectiveness. The proposal is also 
based on related agency expertise and on information contained in 
agency recall guidance materials, including, but not limited to, the 
Recall Handbook.

D. Description of the Proposed Rule

    In general, the proposed rule would establish a new subpart C, 
titled, ``Guidelines and Requirements for Mandatory Recall Notices,'' 
in part 1115 of title 16 of the Code of Federal Regulations.

1. Proposed Sec.  1115.23--Purpose

    Proposed Sec.  1115.23 would describe the purpose for a new subpart 
C, ``Guidelines and Requirements for Mandatory Recall Notices.'' In 
accordance with direction in the CPSIA, the proposed rule would set out 
guidelines and requirements for recall notices issued under section 
15(c) and (d) or section 12 of the CPSA. The proposed guidelines would 
provide guidance concerning the content and form of such notices. As 
required by the CPSIA, the proposed rule also would specify the content 
required in such recall notices.

2. Proposed Sec.  1115.24--Applicability

    Consistent with section 15(i) of the CPSA, as added by section 214 
of the CPSIA, the proposed rule would apply only to mandatory recall 
notices, i.e., recall notices issued pursuant to an order of the 
Commission under section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or 
(d)), or pursuant to an order of a U.S. district court under section 12 
of the CPSA (15 U.S.C. 2061).
    Proposed Sec.  1115.24, therefore, would explain that the 
requirements in subpart C apply to manufacturers (including importers), 
retailers, and distributors of consumer products.
    The proposed rule would not contain requirements for recalls and 
recall notices that are voluntary and result from corrective action 
settlement agreements with Commission staff. If the Commission decides 
to extend the requirements to voluntary recalls, it would proceed with 
a separate rulemaking initiated by a separate notice of proposed 
rulemaking. Unless and until the Commission issues a rule containing 
requirements for voluntary recall notices, the proposed rule would 
serve as a guide for voluntary recall notices.

3. Proposed Sec.  1115.25--Definitions

    Proposed Sec.  1115.25 would define certain terms used in subpart 
C. For

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example, proposed Sec.  1115.25(a) would define ``recall'' as ``any one 
or more of the actions required by an order under sections 12, 15(c), 
or 15(d) of the CPSA (15 U.S.C. 2061, 2064(c), or 2064(d)).'' The 
proposed definitions in this section are based on the staff's 
experience with recalls under section 15. Additionally, proposed Sec.  
1115.25 would state that the definitions in section 3 of the CPSA (15 
U.S.C. 2052) apply.

4. Proposed Sec.  1115.26--Guidelines and Policies

    Proposed Sec.  1115.26 would provide general guidance and describe 
the policies pertaining to recall notices. The proposed guidelines 
would restate the goals delineated in section 214 of the CPSIA. The 
CPSIA requires the guidelines to include information helpful to 
consumers. The Commission believes, however, that recall notices are 
intended to be of benefit and importance not only to consumers, but 
also to ``other persons,'' and proposed Sec.  1115.26(a) would reflect 
this position. The latter broader category is intended to encompass the 
wide range of persons and broader public referenced in section 15(c) or 
(d) and in section 12 of the CPSA (15 U.S.C. 2061, 2064(c) or (d)). As 
used here, the term ``other persons'' would include, but would not be 
limited to, consumer safety advocacy organizations, public interest 
groups, trade associations, other State, local and federal government 
agencies, and the media. Historically, these persons have played 
significant roles in assisting with the dissemination of recall notice 
information. The Commission anticipates that these roles will continue.
    In general, proposed Sec.  1115.26(a) would state general 
principles that are important for recall notices to be effective. For 
example, proposed Sec.  1115.26(a)(1) would state that a recall notice 
should provide information that enables consumers and other persons to 
identify the product and take a stated action. Proposed Sec.  
1115.26(a)(2) through (a)(4) would provide guidance on the form of the 
recall notice, recognizing the various forms of notice and providing 
guidance concerning direct recall notices and Web site recall notices.
    Proposed Sec.  1115.26(a)(4) would recognize that a direct recall 
notice is the most effective form of a recall notice, and proposed 
Sec.  1115.26(b)(2) would state that when firms have contact 
information they should issue direct recall notices. By necessity due 
to lack of specific contact information, most recall notices are 
disseminated to broad or, on occasion, partially-targeted audiences. A 
direct recall notice, on the other hand, is sent directly to specific, 
identifiable consumers of the recalled product. In most instances, 
these consumers will be the purchasers of the recalled product. In 
other instances, the purchasers may have given the product to other 
consumers, for example, as a gift. In the latter case, if the purchaser 
received the recall notice, the purchaser will generally know to whom 
the purchaser gave the product and will likely be able to contact the 
recipient about the recall notice. In either case, the persons exposed 
to the product and its hazard will be more likely to receive the direct 
recall notice than to receive a broadly-disseminated recall notice.
    Proposed Sec.  1115.26(b)(1) would describe other possible forms of 
recall notices (such as letters, electronic mail, and video news 
releases), and proposed Sec.  1115.26(b)(3) would discuss Web site 
recall notices.
    Proposed Sec.  1115.26(c) would provide that, where the Commission 
or a court deems it to be necessary or appropriate, the Commission may 
direct that the recall notice be in languages in addition to English.

5. Proposed Sec.  1115.27--Recall Notice Content Requirements

    In addition to requiring the Commission to issue guidelines for 
recall notices required under sections 12 and 15(c) and (d) of the 
CPSA, the CPSIA sets out specific content requirements. The CPSIA 
states that such recall notices shall include the specified 
information, including other information that the Commission or a court 
deems appropriate, unless the Commission or a court determines that 
including the information would not be appropriate in the particular 
recall notice. Thus, proposed Sec.  1115.27 would set forth the recall 
notice content requirements specified in the CPSIA and would provide 
further details where appropriate.
    For example, proposed Sec.  1115.27(a) would require that a recall 
notice include the word ``recall'' in the heading and text. Although 
the CPSIA does not explicitly require use of the word ``recall,'' it 
does require a ``description of the action being taken.'' For many 
years, the Commission staff's Recall Handbook has directed that this 
term should be used. The objectives of a recall include locating the 
recalled products, removing the recalled products from the distribution 
chain and from consumers, and communicating information to the public 
about the recalled product and the remedy offered to consumers. A 
recall notice should motivate firms and media to widely publicize the 
recall information, and it should motivate consumers to act on the 
recall for the sake of safety. To those ends, the word ``recall'' draws 
media and consumer attention to the notice and to the information 
contained in the notice, and it does so more effectively than omitting 
the term or using an alternative term. A recall notice must be read to 
be effective, and drawing attention to the notice through the use of 
the word ``recall'' increases the likelihood that it will be read and, 
therefore, effectuates the purposes of the CPSA and CPSIA.
    Proposed Sec.  1115.27(b) would require the recall notice to 
contain the date of its release, issuance, posting, or publication.
    The CPSIA requires that a recall notice include a description of 
the product, including the model number or SKU number, the names of the 
product, and a photograph. Proposed Sec.  1115.27(c) would further 
flesh out information needed to describe the product by adding such 
items as the product's color, and identifying tags or labels.
    Proposed Sec.  1115.27(d) would require the recall notice to 
contain a clear and concise statement of the actions that a firm is 
taking concerning the product. This is required by the CPSIA.
    Proposed Sec.  1115.27(e) would require the recall notice to state 
the approximate number of units covered by the recall, including all 
product units manufactured, imported, and/or distributed in commerce. 
This information is required by the CPSIA.
    The statute requires that a recall notice include a description of 
the substantial product hazard. Proposed Sec.  1115.27(f) would clarify 
this requirement by stating that the description must enable consumers 
to identify the risks of potential injury or death associated with the 
product, and it must identify the problem giving rise to the recall and 
the type of hazard or risk at issue (e.g., burn, laceration). Proposed 
Sec.  1115.27(f)(1) through (f)(2) would provide greater detail as to 
what the description must include; for example, the description must 
include the product defect, fault, failure, flaw, and/or problem giving 
rise to the recall.
    The statute requires identification of the manufacturers and 
significant retailers. Proposed Sec.  1115.27(g) would state that the 
recall notice must identify the firm conducting the recall and also 
would clarify that, under the CPSA, the term ``manufacturer'' includes 
an importer. Proposed Sec.  1115.27(h) would describe how the 
manufacturer must be identified (e.g., legal name, location of 
headquarters).
    The statute does not define ``significant retailer.'' Identifying 
these

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retailers will help consumers determine whether or not they shopped at 
the identified retailer, and, in turn, whether or not they might have 
the product. In the absence of a statutory definition, and based on its 
experience with recalls, the Commission believes that a significant 
retailer can be determined on the basis of several factors, and 
proposed Sec.  1115.27(i) would describe those factors.
    First, under proposed Sec.  1115.27(i), a product's retailer is 
significant if it was the exclusive retailer of the product. 
Identifying an exclusive retailer is valuable because it can help 
consumers to conclude that, if they did not shop at that retailer, they 
are not likely to have the product, and, conversely, if they did shop 
at that retailer, they may have the product.
    Second, a product's retailer is significant if it was an importer 
of the product. As an importer, a retailer will typically have greater 
information, and greater access to information, about a product, than a 
retailer that was not an importer.
    Third, a product's retailer is significant if it is a nationwide or 
regionally-located retailer. Retailers that are located nationwide will 
be likely to have sold more units of the product, or to have sold the 
product to more consumers, than retailers that are not located 
nationwide. Therefore, nationwide retailers are likely to be more 
familiar to consumers than are retailers that are not nationwide. In 
addition, a regionally-located retailer, such as a retailer with a 
number of stores in several states, will be likely to be better known 
to consumers in those states or that region.
    Fourth, a retailer that sold, or held for purposes of sale or 
distribution in commerce, a significant number of the total 
manufactured, imported, or distributed units of the product, will have 
sold the product to, and affected, more consumers, than a retailer that 
sold fewer units of the product.
    Fifth, a product's retailer is significant if identification of the 
retailer is in the public interest. Recalls and products vary from one 
to the next, and there may be reasons other than those stated above 
that consumers will benefit from knowing the identities of certain 
retailers. Basing identification of a retailer on the public interest 
allows the Commission and firms flexibility to meet consumers' needs in 
a particular recall and to, in general, seek the best possible recall 
effectiveness.
    Proposed Sec.  1115.27(j) would require the recall notice to state 
the month and year in which the manufacture of the product began and 
ended and the month and year in which the retail sales began and ended. 
These dates would be included for each make and model of the product 
covered by the recall notice. This information is required by the 
CPSIA.
    Although the statute does not list price of the product among the 
information required in a recall notice, proposed Sec.  1115.27(k) 
would require the recall notice to state the approximate price of the 
product or a price range. Information about the price will help 
consumers to identify the product and be aware of the appropriate 
amount for a refund if that is the remedy.
    Proposed Sec.  1115.27(l) would require the recall notice to state 
the number and describe any injuries and deaths associated with the 
product, state the ages of any individuals injured or killed and the 
dates or range of dates on which the Commission received information 
about the injuries or deaths. Proposed Sec.  1115.27(m) would require 
the recall notice to provide a description of any remedy available to 
the consumer, what actions the consumer must take to obtain a remedy, 
and any information the consumer needs in order to obtain a remedy. 
Proposed Sec.  1115.27(n) would require the recall notice to contain 
any other information that the Commission or a court deems appropriate 
and orders. This information is all required by the CPSIA.

6. Proposed Sec.  1115.28--Multiple Products or Models

    Proposed Sec.  1115.28 would require the notice for each product or 
model covered by a recall notice to meet the requirements of this 
subpart.

7. Proposed Sec.  1115.29--Final Determination Regarding Form and 
Content

    Proposed Sec.  1115.29(a) would provide, in accordance with the 
statute, that the Commission (in the case of a recall notice under 
section 15(c) or (d)) or a court (in the case of a recall notice under 
section 12) makes the final determination regarding the form and 
content of a recall notice. Additionally, proposed Sec.  1115.29(b) 
would allow the Commission to determine that one or more recall notice 
requirements set forth in subpart C is not required and will not be 
included in a recall notice. Proposed Sec.  1115.29(c) would state that 
the Commission must review and agree, in writing, to all aspects of a 
recall notice before a firm may publish, broadcast, or otherwise 
disseminate a recall notice that is to be issued pursuant to an order 
under section 15(c) or (d) of the CPSA.

E. Effective Date

    The Administrative Procedure Act (``APA'') generally requires that 
the effective date of a rule be at least 30 days after publication of 
the final rule. Id. 553(d). However, an earlier effective date is 
permitted for statements of policy and ``as otherwise provided by the 
agency for good cause found and published with the rule.'' Id. The 
guidelines are essentially a statement of policy. The requirements for 
the content of mandatory recall notices are largely dictated by the 
CPSIA with some further clarifications by the Commission. The statutory 
requirements for the content of mandatory recall notices are already in 
effect. Therefore, the Commission finds that good cause exists for the 
guidelines and requirements to become effective when published in final 
and proposes that the effective date be the date of publication of a 
final rule in the Federal Register.

F. Regulatory Flexibility Certification

    The Regulatory Flexibility Act (``RFA'') generally requires that 
agencies review proposed rules for their potential economic impact on 
small entities, including small businesses. Section 603 of the RFA 
calls for agencies to prepare and make available for public comment an 
initial regulatory flexibility analysis describing the impact of the 
proposed rule on small entities and identifying impact-reducing 
alternatives. 5 U.S.C. 603. However, section 605(b) of the RFA states 
that this requirement does not apply if the head of the agency 
certifies that the rule will not, if promulgated, have a significant 
economic impact on a substantial number of small entities, and the 
agency provides an explanation for that conclusion.
    This rulemaking will have little or no effect on small businesses. 
This rulemaking consists of guidelines (which do not require a 
regulatory flexibility analysis) and recall notice content requirements 
that are largely dictated by the CPSIA. The requirement to issue a 
recall notice for recalls under section 12 or 15(c) or (d) of the CPSA 
does not come from this rulemaking, but from the existing provisions of 
section 15 and 12 of the CPSA. Moreover, the guidelines and 
requirements will only come into play in the context of an 
administratively adjudicated order to a specific party. Such mandatory 
recalls have occurred infrequently in the Commission's history. 
Therefore, the Commission concludes that the proposed guidelines and 
requirements will not have a significant economic impact on a 
substantial number of small entities.

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G. Paperwork Reduction Act

    This proposed rule does not impose any information collection 
requirements. It sets out proposed guidelines and content requirements 
for recall notices that are required by statute to be imposed in 
individual enforcement actions under existing law pursuant to section 
15(c) or (d) or section 12 of the CPSA. Accordingly, it is not subject 
to the Paperwork Reduction Act, 44 U.S.C. sections 3501 through 3520.

H. Environmental Considerations

    The Commission's regulations provide a categorical exemption for 
the Commission's rules from any requirement to prepare an environmental 
assessment or an environmental impact statement as they ``have little 
or no potential for affecting the human environment.'' 16 CFR 
1021.5(c)(2). This proposed rule falls within the categorical 
exemption.

List of Subjects in 16 CFR Part 1115

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

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

PART 1115--SUBSTANTIAL PRODUCT HAZARD REPORTS

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

    Authority: 15 U.S.C. 2061, 2064, 2065, 2066(a), 2068, 2069, 
2070, 2071, 2073, 2076, 2079, and 2080.

    2. Add a new Subpart C to read as follows:
* * * * *
Subpart C--Guidelines and Requirements for Mandatory Recall Notices
Sec.
1115.23 Purpose.
1115.24 Applicability.
1115.25 Definitions.
1115.26 Guidelines and policies.
1115.27 Recall notice content requirements.
1115.28 Multiple products or models.
1115.29 Final determination regarding form and content.
* * * * *

Subpart C--Guidelines and Requirements for Mandatory Recall Notices


Sec.  1115.23  Purpose.

    (a) The Commission establishes these guidelines and requirements 
for recall notices as required by section 15(i) of the Consumer Product 
Safety Act, as amended (CPSA) (15 U.S.C. 2064(i)). The guidelines and 
requirements set forth the information to be included in a notice 
required by an order under sections 12, 15(c), or 15(d) of the CPSA (15 
U.S.C. 2061, 2064(c), or 2064(d)). Unless otherwise ordered by the 
Commission under section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or 
(d)), or by a U.S. district court under section 12 of the CPSA (15 
U.S.C. 2061), the content information required in this subpart must be 
included in every such notice.
    (b) The Commission establishes these guidelines and requirements to 
ensure that every recall notice effectively helps consumers and other 
persons to:
    (1) Identify the specific product to which the recall notice 
pertains;
    (2) Understand the product's actual or potential hazards to which 
the recall notice pertains, and information relating to such hazards; 
and
    (3) Understand all remedies available to consumers concerning the 
product to which the recall notice pertains.


Sec.  1115.24  Applicability.

    This subpart applies to manufacturers (including importers), 
retailers, and distributors of consumer products as those terms are 
defined herein and in the CPSA.


Sec.  1115.25  Definitions.

    In addition to the definitions given in section 3 of the CPSA (15 
U.S.C. 2052), the following definitions apply:
    (a) Recall means any one or more of the actions required by an 
order under sections 12, 15(c), or 15(d) of the CPSA (15 U.S.C. 2061, 
2064(c), or 2064(d)).
    (b) Recall notice means a notification required by an order under 
sections 12, 15(c), or 15(d) of the CPSA (15 U.S.C. 2061, 2064(c), or 
2064(d)).
    (c) Direct recall notice means a notification required by an order 
under sections 12, 15(c), or 15(d) of the CPSA (15 U.S.C. 2061, 
2064(c), or 2064(d)), that is sent directly to specifically-identified 
consumers.
    (d) Firm means a manufacturer (including an importer), retailer, or 
distributor as those terms are defined in the CPSA.


Sec.  1115.26  Guidelines and policies.

    (a) General. (1) A recall notice should provide sufficient 
information and motivation for consumers and other persons to identify 
the product and its actual or potential hazards, and to respond and 
take the stated action. A recall notice should clearly and concisely 
state the potential for injury or death.
    (2) A recall notice should be written in language designed for, and 
readily understood by, the targeted consumers or other persons. The 
language should be simple and should avoid or minimize the use of 
highly technical or legal terminology.
    (3) Firms should use recall notices targeted and tailored to the 
specific product and circumstances. In determining the form and content 
of a recall notice, firms should consider the manner in which the 
product was advertised and marketed.
    (4) A direct recall notice is the most effective form of a recall 
notice.
    (b) Form of recall notice--(1) Possible forms. A recall notice may 
be written, electronic, audio, visual, or in any other form ordered by 
the Commission in an order under section 15(c) or (d) of the CPSA (15 
U.S.C. 2064(c) or (d)), or by a U.S. district court under section 12 of 
the CPSA (15 U.S.C. 2061). The forms of, and means for communicating, 
recall notices include, but are not limited to:
    (i) Letter, Web site posting, electronic mail, RSS feed, or text 
message;
    (ii) Computer, radio, television, or other electronic transmission 
or medium;
    (iii) Video news release, press release, recall alert, Web stream, 
or other form of news release;
    (iv) Newspaper, magazine, catalog, or other publication; and
    (v) Advertisement, newsletter, and service bulletin.
    (2) Direct recall notice. A direct recall notice should be used for 
each consumer for whom a firm has direct contact information. Direct 
contact information includes, but is not limited to, name and address, 
and electronic mail address. Forms of direct recall notice include, but 
are not limited to, United States mail, electronic mail, and telephone 
calls. A direct recall notice should prominently show its importance 
over other consumer notices or mail by including ``Safety Recall'' or 
other appropriate terms in an electronic mail subject line, and, in 
large bold red typeface, on the front of an envelope and in the body of 
a recall notice.
    (3) Web site recall notice. A Web site recall notice should be on a 
Web site's first entry point such as a home page, should be clear and 
prominent, and should be interactive by permitting consumers and other 
persons to obtain recall information and request a remedy directly on 
the Web site.
    (c) Languages. Where the Commission for purposes of an order under 
section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), or a U.S. 
district court for purposes of an order under section 12 of the CPSA 
(15 U.S.C. 2061), determines that it is necessary or appropriate to 
adequately inform and

[[Page 11887]]

protect the public, a recall notice may be required to be in languages 
in addition to English.


Sec.  1115.27  Recall notice content requirements.

    Except as provided in Sec.  1115.29, every recall notice must 
include the information set forth below:
    (a) Terms. A recall notice must include the word ``recall'' in the 
heading and text.
    (b) Date. A recall notice must include its date of release, 
issuance, posting, or publication.
    (c) Description of product. A recall notice must include a clear 
and concise statement of the information that will enable consumers and 
other persons to readily and accurately identify the specific product 
and distinguish it from similar products. The information must enable 
consumers to readily determine whether or not they have, or may be 
exposed to, the product. Description information includes but is not 
limited to:
    (1) The product's names, including informal and abbreviated names, 
by which consumers and other persons should know or recognize the 
product;
    (2) The product's intended or targeted use population (e.g., 
infants, children, or adults);
    (3) The product's colors and sizes;
    (4) The product's model numbers, serial numbers, date codes, stock 
keeping unit (SKU) numbers, and tracking labels, including their exact 
locations on the product;
    (5) Identification and exact locations of product tags, labels, and 
other identifying parts, and a statement of the specific identifying 
information found on each part; and
    (6) Product photographs. A firm must provide photographs. Each 
photograph must be electronic or digital, in color, of high resolution 
and quality, and in a format readily transferable with high quality to 
a Web site or other appropriate medium. As needed for effective 
notification, multiple photographs and photograph angles may be 
required.
    (d) Description of action being taken. A recall notice must contain 
a clear and concise statement of the actions that a firm is taking 
concerning the product. These actions may include, but are not limited 
to, one or more of the following: Stop sale and distribution in 
commerce; recall to the distributor, retailer, or consumer level; 
repair; request return and provide a replacement; and request return 
and provide a refund.
    (e) Statement of number of product units. A recall notice must 
state the approximate number of product units covered by the recall, 
including all product units manufactured, imported, and/or distributed 
in commerce.
    (f) Description of substantial product hazard. A recall notice must 
contain a clear and concise description of the product's actual or 
potential hazards that result from the product condition or 
circumstances giving rise to the recall. The description must enable 
consumers and other persons to readily identify the reasons that a firm 
is conducting a recall. The description must also enable consumers and 
other persons to readily identify and understand the risks and 
potential injuries or deaths associated with the product conditions and 
circumstances giving rise to the recall. The description must include:
    (1) The product defect, fault, failure, flaw, and/or problem giving 
rise to the recall; and
    (2) The type of hazard or risk, including, by way of example only, 
burn, fall, choking, laceration, entrapment, and/or death.
    (g) Identification of recalling firm. A recall notice must identify 
the firm conducting the recall by stating the firm's legal name and 
commonly known trade name, and the city and state of its headquarters. 
The notice must state whether the recalling firm is a manufacturer 
(including importer), retailer, or distributor.
    (h) Identification of manufacturers. A recall notice must identify 
each manufacturer (including importer) of the product and the country 
of manufacture. Under the definition in section 3(a)(11) of the CPSA 
(15 U.S.C. 2052(a)(11)), a manufacturer means ``any person who 
manufactures or imports a consumer product.'' If a product has been 
manufactured outside of the U.S., a recall notice must identify the 
foreign manufacturer and the U.S. importer. A recall notice must 
identify the manufacturer by stating the manufacturer's legal name and 
the city and state of its headquarters, or, if a foreign manufacturer, 
the city and country of its headquarters.
    (i) Identification of significant retailers. A recall notice must 
identify each significant retailer of the product. A recall notice must 
identify such a retailer by stating the retailer's commonly known trade 
name. Under the definition in section 3(a)(13) of the CPSA (15 U.S.C. 
2052(a)(13)), a retailer means ``a person to whom a consumer product is 
delivered or sold for purposes of sale or distribution by such person 
to a consumer.'' A product's retailer is ``significant'' if, upon the 
Commission's information and belief, and in the sole discretion of the 
Commission for purposes of an order under section 15(c) or (d) of the 
CPSA (15 U.S.C. 2064(c) or (d)), or in the sole discretion of a U.S. 
district court for purposes of an order under section 12 of the CPSA 
(15 U.S.C. 2061), any one or more of the circumstances set forth below 
is present (the Commission may require manufacturers (including 
importers), retailers, and distributors to provide information relating 
to these circumstances):
    (1) The retailer was the exclusive retailer of the product;
    (2) The retailer was an importer of the product;
    (3) The retailer has stores nationwide or regionally-located;
    (4) The retailer sold, or held for purposes of sale or distribution 
in commerce, a significant number of the total manufactured, imported, 
or distributed units of the product; or
    (5) Identification of the retailer is in the public interest.
    (j) Dates of manufacture and sale. A recall notice must state the 
month and year in which the manufacture of the product began and ended, 
and the month and year in which the retail sales of the product began 
and ended. These dates must be included for each make and model of the 
product.
    (k) Price. A recall notice must state the approximate retail price 
or price range of the product.
    (l) Description of incidents, injuries, and deaths. A recall notice 
must contain a clear and concise summary description of all incidents 
(including, but not limited to, property damage), injuries, and deaths 
associated with the product conditions or circumstances giving rise to 
the recall, as well as a statement of the number of such incidents, 
injuries, and deaths. The description must enable consumers and other 
persons to readily understand the nature and extent of the incidents 
and injuries. A recall notice must state the ages of all persons 
injured and killed. A recall notice must state the dates or range of 
dates on which the Commission received information about injuries and 
deaths.
    (m) Description of remedy. A recall notice must contain a clear and 
concise statement, readily understandable by consumers and other 
persons, of:
    (1) Each remedy available to a consumer for the product conditions 
or circumstances giving rise to the recall. Remedies include, but are 
not limited to, refunds, product repairs, product replacements, 
rebates, coupons, gifts, premiums, and other incentives.
    (2) All specific actions that a consumer must take to obtain each 
remedy, including, but not limited to, instructions on how to 
participate in the

[[Page 11888]]

recall. These actions may include, but are not limited to, contacting a 
firm, removing the product from use, discarding the product, returning 
part or all of the product, or removing or disabling part of the 
product.
    (3) All specific information that a consumer needs in order to 
obtain each remedy and to obtain all information about each remedy. 
This information may include, but is not limited to, the following: 
Manufacturer, retailer, and distributor contact information (such as 
name, address, telephone and facsimile numbers, e-mail address, and Web 
site address); whether telephone calls will be toll-free or collect; 
and telephone number days and hours of operation including time zone.
    (n) Other information. A recall notice must contain such other 
information as the Commission for purposes of an order under section 
15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), or a U.S. district 
court for purposes of an order under section 12 of the CPSA (15 U.S.C. 
2061), deems appropriate and orders.


Sec.  1115.28  Multiple products or models.

    For each product or model covered by a recall notice, the notice 
must meet the requirements of this subpart.


Sec.  1115.29  Final determination regarding form and content.

    (a) Commission or court discretion. The recall notice content 
required by this subpart must be included in a recall notice whether or 
not the firm admits the existence of a defect or of an actual or 
potential hazard, and whether or not the firm concedes the accuracy or 
applicability of all of the information contained in the recall notice. 
The Commission will make the final determination as to the form and 
content of the recall notice for purposes of an order under section 
15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), and a U.S. 
district court will make the final determination as to the form and 
content of a recall notice for purposes of an order under section 12 of 
the CPSA (15 U.S.C. 2061).
    (b) Recall notice exceptions. The Commission for purposes of an 
order under section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or 
(d)), or a U.S. district court for purposes of an order under section 
12 of the CPSA (15 U.S.C. 2061), may determine that one or more of the 
recall notice requirements set forth in this subpart is not required, 
and will not be included, in a recall notice.
    (c) Commission approval. Before a firm may publish, broadcast, or 
otherwise disseminate a recall notice to be issued pursuant to an order 
under section 15(c) or (d) of the CPSA (15 U.S.C. 2064(c) or (d)), the 
Commission must review and agree in writing to all aspects of the 
notice.

    Dated: March 13, 2009.
Todd Stevenson,
Secretary, U.S. Consumer Product Safety Commission.
[FR Doc. E9-6021 Filed 3-19-09; 8:45 am]
BILLING CODE 6355-01-P