46598 Federal Register / Vol. 76, No. 149 / Wednesday, August 3, 2011 / Rules and Regulations 

1The Commission voted 5–0 to publish this 

notice of requirements. Chairman Inez M. 

Tenenbaum, Commissioner Nancy A. Nord, and 

Commissioner Robert S. Adler each issued a 

statement, and the statements can be found at 

http://www.cpsc.gov/pr/statements.html. 

39—AIRWORTHINESS DIRECTIVES 

§ 39.13 [Corrected] 

On page 41655, in the second table, 

Table 2—Initial Compliance Times for 

Airworthiness Limitations Tasks, a 

fourth column title was inadvertently 

printed above the words ‘‘Within 240 

Flight hours after the effective date of 

this AD.’’ The table should appear as set 

forth below. 

TABLE 2—INITIAL COMPLIANCE TIMES FOR AIRWORTHINESS LIMITATIONS TASKS

Bombardier, Inc. model— Task(s)— Initial compliance time (whichever occurs later)— 

CL–600–2A12 (CL–601) airplanes, 

serial numbers 3001 through 

3066 inclusive; and CL–600– 

2B16 (CL–601–3A and CL–601– 

3R Variants) airplanes, serial 

numbers 5001 through 5194 inclusive; on which Bombardier 

Service Bulletin 601–0590 has 

been accomplished.

30–11–00–101, Wing Anti-icing ... Prior to the accumulation of 4,800 

total flight hours; or within 

4,800 flight hours after accomplishing Task 30–11–06–204 in 

Section 5–20–15 of the applicable Time Limits/Maintenance 

Checks manual specified in 

table 1 of this AD; whichever 

occurs later.

Within 240 flight hours after the 

effective date of this AD. 

CL–600–2A12 (CL–601) airplanes, 

serial numbers 3001 through 

3066 inclusive; and CL–600– 

2B16 (CL–601–3A and CL–601– 

3R Variants) airplanes, serial 

numbers 5001 through 5194 inclusive; on which Bombardier 

Service Bulletin 601–0590 has 

been accomplished.

30–11–00–102, Wing Anti-icing ... Prior to the accumulation of 4,800 

total flight hours; or within 

4,800 flight hours after accomplishing Task 30–13–00–205 in 

Section 5–20–15 of the applicable Time Limits/Maintenance 

Checks manual specified in 

table 1 of this AD; whichever 

occurs later.

Within 240 flight hours after the 

effective date of this AD. 

CL–600–2B16 (CL–604 Variants) 

airplanes, serial numbers 5301 

through 5665 inclusive.

30–11–00–101, Detailed Inspection of the Wing Anti-Ice Duct 

Piccolo-Tube, and 36–21–00– 

101, Functional Test of the 

Leading Edge Thermal Switches.

Prior to the accumulation of 6,400 

total flight hours; except for airplanes having 6,400 total flight 

hours or more as of the effective date of this AD on which 

the task has not been accomplished: prior to the next scheduled 6,400 flight hour task inspection or prior to the next 

scheduled accomplishment of 

Task 57–10–00–208 in the applicable Time Limits/Maintenance Checks manual specified 

in table 1 of this AD, whichever 

occurs first.

Within 320 flight hours after the 

effective date of this AD. 

CL–600–2B16 (CL–604 Variants) 

airplanes, serial numbers 5701 

and subsequent.

30–11–00–101, Detailed Inspection of the Wing Anti-Ice Duct 

Piccolo-Tube, and 36–21–00– 

101, Functional Test of the 

Leading Edge Thermal Switches.

Prior to the accumulation of 6,400 

total flight hours.

Within 320 flight hours after the 

effective date of this AD. 

[FR Doc. C1–2011–17402 Filed 7–28–11; 8:45 am] 

BILLING CODE 1505–01–D 

CONSUMER PRODUCT SAFETY 

COMMISSION 

16 CFR Chapter II 

[CPSC Docket No. CPSC–2011–0050] 

Third Party Testing for Certain 

Children’s Products; Toys: 

Requirements for Accreditation of 

Third Party Conformity Assessment 

Bodies 

AGENCY: Consumer Product Safety 

Commission. 

ACTION: Notice of requirements. 

SUMMARY: The Consumer Product Safety 

Commission (‘‘CPSC,’’ ‘‘Commission,’’ 

or ‘‘we’’) is issuing a notice of 

requirements that provides the criteria 

and process for Commission acceptance 

of accreditation of third party 

conformity assessment bodies for 

testing, pursuant to ASTM 

International’s (formerly the American 

Society for Testing and Materials) 

(‘‘ASTM’’) Standard Consumer Safety 

Specification for Toy Safety, F 963–08 

(‘‘ASTM F 963–08’’), and section 4.27 

(toy chests) from ASTM International’s 

F 963–07e1 version of the standard 

(‘‘ASTM F 963–07e1’’), which are the 

consumer product safety standards for 

toys, pursuant to section 106 of the 

Consumer Product Safety Improvement 

Act of 2008 (CPSIA), Public Law 110– 

314. The Commission is issuing this 

notice of requirements pursuant to 

section 14(a)(3)(B)(vi) of the Consumer 

Product Safety Act (CPSA). 

DATES: Effective Date: The requirements 

for accreditation of third party 

conformity assessment bodies to assess 

conformity with ASTM F 963–08 and/ 

or section 4.27 of ASTM F 963–07e1 are 

effective August 3, 2011.1

Comments in response to this notice 

of requirements should be submitted by 

September 2, 2011. Comments on this 

notice should be captioned ‘‘Third party 

Testing for Certain Children’s Products; 

Toys: Requirements for Accreditation of 


srobinson on DSK4SPTVN1PROD with RULES
Federal Register / Vol. 76, No. 149 / Wednesday, August 3, 2011 / Rules and Regulations 46599 

Third party Conformity Assessment 

Bodies.’’ 

ADDRESSES: You may submit comments, 

identified by Docket No. CPSC–2011– 

0050, by any of the following methods: 

Electronic Submissions: Submit 

electronic comments in the following 

way: 

Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

To ensure timely processing of 

comments, the Commission is no longer 

accepting comments submitted by 

electronic mail (e-mail) except through 

http://www.regulations.gov. 

Written Submissions: Submit written 

submissions in the following ways: 

Mail/Hand delivery/Courier (for paper, 

disk, or CD–ROM submissions) 

preferably in five copies, to: Office of 

the Secretary, Consumer Product Safety 

Commission, Room 820, 4330 East West 

Highway, Bethesda, MD 20814; 

telephone (301) 504–7923. 

Instructions: All submissions received 

must include the agency name and 

docket number for this notice. All 

comments received may be posted 

without change to http:// 

www.regulations.gov, including any 

personal information provided. Do not 

submit confidential business 

information, trade secret information, or 

other sensitive or protected information 

(such as a Social Security Number) 

electronically; if furnished at all, such 

information should be submitted in 

writing. 

Docket: For access to the docket to 

read background documents or 

comments received, go to http:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Richard McCallion, Team Leader for the 

Mechanical, Recreation, and Sports 

Program Area, U.S. Consumer Product 

Safety Commission, 4330 East West 

Highway, Bethesda, Maryland 20814; 

e-mail RMcCallion@cpsc.gov. CPSC 

intends to issue a Federal Register 

notice providing information about its 

proposed education and outreach plan 

for stakeholders directly affected by the 

Notice of Requirements for Third Party 

Testing for Certain Children’s Products. 

The Federal Register notice will also 

request public comment and input. 

Many of the informative materials for 

stakeholders will be available at a 

dedicated toy safety standard webpage: 

http://www.cpsc.gov/toysafety. 

SUPPLEMENTARY INFORMATION: 

I. Introduction 

Section 14(a)(3)(B)(vi) of the CPSA, as 

added by section 102(a)(2) of the CPSIA, 

directs the CPSC to publish a notice of 

requirements for accreditation of third 

party conformity assessment bodies to 

assess children’s products for 

conformity with ‘‘other children’s 

product safety rules.’’ Section 14(f)(1) of 

the CPSA defines ‘‘children’s product 

safety rule’’ as ‘‘a consumer product 

safety rule under [the CPSA] or similar 

rule, regulation, standard, or ban under 

any other Act enforced by the 

Commission, including a rule declaring 

a consumer product to be a banned 

hazardous product or substance.’’ Under 

section 14(a)(3)(A) of the CPSA, each 

manufacturer (including the importer) 

or private labeler of products subject to 

those regulations must have products 

that are manufactured more than 90 

days after the Federal Register 

publication date of a notice of the 

requirements for accreditation, tested by 

a third party conformity assessment 

body accredited to do so, and must issue 

a certificate of compliance with the 

applicable regulations based on that 

testing. Section 14(a)(2) of the CPSA, as 

added by section 102(a)(2) of the CPSIA, 

requires that certification be based on 

testing of sufficient samples of the 

product, or samples that are identical in 

all material respects to the product. The 

Commission also emphasizes that, 

irrespective of certification, the product 

in question must comply with 

applicable CPSC requirements (see, e.g., 

section 14(h) of the CPSA, as added by 

section 102(b) of the CPSIA). 

This notice provides the criteria and 

process for Commission acceptance of 

accreditation of third party conformity 

assessment bodies for testing toys, 

pursuant to ASTM F 963–08, and for 

testing toy chests, pursuant to section 

4.27 of ASTM F 963–07e1. ASTM F 

963–08 and section 4.27 of ASTM F 

963–07e1 are voluntary standards, but 

under section 106(a) of the CPSIA, they 

have become mandatory federal 

requirements, ‘‘except for section 4.2 

and Annex 4 [of ASTM F 963], or any 

provision that restates or incorporates 

an existing mandatory standard or ban 

promulgated by the Commission or by 

statute.’’ Readers may obtain a copy of 

ASTM F 963–08 and/or ASTM F 963– 

07e1 from ASTM International, 100 Barr 

Harbor Drive, P.O. Box C700, West 

Conshohocken, PA, 19428–2959; (610)- 

832–9500; http://www.astm.org. 

Section 106(a) of the CPSIA states 

that, beginning 180 days after August 

14, 2008—the date the CPSIA was 

enacted—ASTM F 963–07 shall be 

considered a consumer product safety 

standard issued by the Commission 

under section 9 of the CPSA. Under 

section 106(g) of the CPSIA, when 

ASTM proposes to revise ASTM F 963, 

it must notify the Commission of the 

proposed revision. The revised standard 

will be considered the consumer 

product safety standard effective 180 

days after the date on which ASTM 

notified the Commission of the revision, 

unless the Commission objects within 

the first 90 days of the 180-day period. 

If the Commission determines that the 

proposed revision does not improve the 

safety of a consumer product, the 

Commission can notify ASTM that the 

already-existing standard will continue 

to be considered the consumer product 

safety standard. 

ASTM proposed F 963–08 as a revised 

standard in February 2009, and on May 

13, 2009, the Commission voted to 

accept F 963–08 as the consumer 

product safety standard for toys, except 

the revision omitting section 4.27 

related to toy chests, which the 

Commission retained from the previous 

version of F 963 (ASTM F 963–07e1). 

Accordingly, ASTM F 963–08 and 

section 4.27 of ASTM F 963–07e1 (toy 

chests) are considered consumer 

product safety standards issued by the 

Commission under section 9 of the 

CPSA. 

We anticipate the ASTM F963–08 

standard is likely to be revised and 

updated in the future. Given this 

possibility, the Commission seeks 

comments now on how to make the 

transition in testing requirements as 

clear and efficient as possible should 

the standard change. 

We note that ordinarily, when the 

Commission bases a mandatory 

requirement on a voluntary standard, 

we incorporate the voluntary standard 

by reference, in accordance with the 

rules of the Office of the Federal 

Register. See 1 CFR part 51. However, in 

this instance, ASTM F 963 became a 

consumer product safety standard by 

operation of law, rather than by an act 

of the Commission. See Public Law No. 

110–314 § 106(a), (g). Therefore the 

Commission does not need to 

incorporate ASTM F 963 by reference. 

We also note that certain provisions of 

ASTM F 963–08 and section 4.27 of 

ASTM F 963–07e1 will not be subject to 

third party testing and therefore we will 

not be accepting accreditations to those 

excepted sections. The exceptions are as 

follows: 

• Those sections of ASTM F 963–08 

that address food and cosmetics, 

products traditionally outside the 

Commission’s jurisdiction. 

• Those sections of ASTM F 963–08 

that pertain to the manufacturing 

process and thus, cannot be evaluated 

meaningfully by a test of the finished 

product (e.g., the purified water 

provision at section 4.3.6.1). 


srobinson on DSK4SPTVN1PROD with RULES
46600 Federal Register / Vol. 76, No. 149 / Wednesday, August 3, 2011 / Rules and Regulations 

2Products subject to 16 CFR part 1303, Ban of 

Lead-Containing Paint and Certain Consumer 

Products Bearing Lead-Containing Paint, that have 

been tested by a CPSC-accepted third party 

conformity assessment body and found not to 

exceed the lead limit in 16 CFR part 1303, do not 

need to be tested to the lead solubility standard in 

section 4.3.5.2 of ASTM F 963–08. 

• Requirements for labeling, 

instructional literature, or producer’s 

markings in ASTM F 963–08 or section 

4.27 of ASTM F 963–07e1. We have 

taken similar positions in other 

contexts. For example, the Commission 

has stated that it will not require testing 

and certification to the labeling 

requirements under the Federal 

Hazardous Substances Act, 15 U.S.C. 

1261–1278. See 74 FR 68588, 68591 

(Dec. 28, 2009) (Notice of Commission 

Action on the Stay of Enforcement of 

Testing and Certification Requirements). 

We also do not require third party 

testing for the labeling requirements for 

children’s sleepwear under the 

Flammable Fabrics Act, 15 U.S.C. 1191– 

1204. See 75 FR 70911, 70913 (Nov. 19, 

2010) (Third Party Testing for Certain 

Children’s Products; Children’s 

Sleepwear, Sizes 0 Through 6X and 7 

Through 14: Requirements for 

Accreditation of Third Party Conformity 

Assessment Bodies). 

• Those sections of ASTM F 963–08 

that involve assessments that are 

conducted by the unaided eye and 

without any sort of tool or device. 

• Section 4.3.8 of ASTM F 963–08, 

pertaining to a specific phthalate, 

because section 108 of the CPSIA 

specifically addresses phthalates and 

will be the subject of a separate notice 

of requirements. 

In sum, the Commission will only 

require certain provisions of ASTM F 

963–08 and Section 4.27 of ASTM F 

963–07e1 to be subject to third party 

testing and therefore we will only 

accept the accreditation of third party 

conformity assessment bodies for testing 

under the following toy safety 

standards: 

• ASTM F 963–07e1 

—Section 4.27—Toy Chests (except labeling 

and/or instructional literature 

requirements) 

• ASTM F 963–08 

—Section 4.3.5.2, Surface Coating 

Materials—Soluble Test for Metals 2

—Section 4.3.6.3, Cleanliness of Liquids, 

Pastes, Putties, Gels, and Powders (except 

for cosmetics and tests on formulations 

used to prevent microbial degradation) 

—Section 4.3.7, Stuffing Materials 

—Section 4.5, Sound Producing Toys 

—Section 4.6, Small Objects (except labeling 

and/or instructional literature 

requirements) 

—Section 4.7, Accessible Edges (except 

labeling and/or instructional literature 

requirements) 

—Section 4.8, Projections 

—Section 4.9, Accessible Points (except 

labeling and/or instructional literature 

requirements) 

—Section 4.10, Wires or Rods 

—Section 4.11, Nails and Fasteners 

—Section 4.12, Packaging Film 

—Section 4.13, Folding Mechanisms and 

Hinges 

—Section 4.14, Cords, Straps, and Elastics 

—Section 4.15, Stability and Overload 

Requirements 

—Section 4.16, Confined Spaces 

—Section 4.17, Wheels, Tires, and Axles 

—Section 4.18, Holes, Clearances, and 

Accessibility of Mechanisms 

—Section 4.19, Simulated Protective Devices 

(except labeling and/or instructional 

literature requirements) 

—Section 4.20.1, Pacifiers with Rubber 

Nipples/Nitrosamine Test 

—Section 4.20.2, Toy Pacifiers 

—Section 4.21, Projectile Toys 

—Section 4.22, Teethers and Teething Toys 

—Section 4.23.1, Rattles with Nearly 

Spherical, Hemispherical, or Circular 

Flared Ends 

—Section 4.24, Squeeze Toys 

—Section 4.25, Battery-Operated Toys 

(except labeling and/or instructional 

literature requirements) 

—Section 4.26, Toys Intended to Be Attached 

to a Crib or Playpen (except labeling and/ 

or instructional literature requirements) 

—Section 4.27, Stuffed and Beanbag-Type 

Toys 

—Section 4.30, Toy Gun Marking 

—Section 4.32, Certain Toys with Spherical 

Ends 

—Section 4.35, Pompoms 

—Section 4.36, Hemispheric-Shaped Objects 

—Section 4.37, Yo-Yo Elastic Tether Toys 

—Section 4.38, Magnets (except labeling and/ 

or instructional literature requirements) 

—Section 4.39, Jaw Entrapment in Handles 

and Steering Wheels 

We note that the ASTM toy safety 

standards cover toys intended for use by 

children under 14 years of age. See, e.g., 

section 1.3 of ASTM F 963–08. 

However, only ‘‘children’s products’’ 

are required to be third party tested in 

support of the children’s product 

certificate required by section 14(a)(2) of 

the CPSA. Section 3(a)(2) of the CPSA 

defines ‘‘children’s product,’’ to mean, 

inter alia, ‘‘a consumer product 

designed or intended primarily for 

children 12 years of age or younger.’’ To 

the extent that there are products 

subject to ASTM F 963–08 and/or 

section 4.27 of ASTM F 963–07e1 that 

are not ‘‘children’s products,’’ as that 

term is defined in the CPSA, such 

products do not need to be third party 

tested in support of the certification 

required by section 14 of the CPSA. 

Although section 14(a)(3)(B)(vi) of the 

CPSA directs the CPSC to publish a 

notice of requirements for accreditation 

of third party conformity assessment 

bodies to assess conformity with ‘‘all 

other children’s product safety rules,’’ 

this notice of requirements is limited to 

the safety standards identified 

immediately above. 

The CPSC also recognizes that section 

14(a)(3)(B)(vi) of the CPSA is captioned: 

‘‘All Other Children’s Product Safety 

Rules’’; however, the body of the 

statutory requirement refers only to 

‘‘other children’s product safety rules.’’ 

Nevertheless, section 14(a)(3)(B)(vi) of 

the CPSA could be construed to require 

a notice of requirements for ‘‘all’’ other 

children’s product safety rules, rather 

than a notice of requirements for 

‘‘some’’ or ‘‘certain’’ children’s product 

safety rules. However, whether a 

particular rule represents a ‘‘children’s 

product safety rule’’ may be subject to 

interpretation, and Commission staff is 

continuing to evaluate which rules, 

regulations, standards, or bans are 

‘‘children’s product safety rules.’’ The 

CPSC intends to issue additional notices 

of requirements for other rules that the 

Commission determines to be 

‘‘children’s product safety rules.’’ 

This notice of requirements applies to 

all third party conformity assessment 

bodies as described in section 14(f)(2) of 

the CPSA. Generally speaking, such 

third party conformity assessment 

bodies are: (1) Third party conformity 

assessment bodies that are not owned, 

managed, or controlled by a 

manufacturer or private labeler of a 

children’s product to be tested by the 

third party conformity assessment body 

for certification purposes; (2) 

‘‘firewalled’’ conformity assessment 

bodies (those that are owned, managed, 

or controlled by a manufacturer or 

private labeler of a children’s product to 

be tested by the third party conformity 

assessment body for certification 

purposes and that seek accreditation 

under the additional statutory criteria 

for ‘‘firewalled’’ conformity assessment 

bodies); and (3) third party conformity 

assessment bodies owned or controlled, 

in whole or in part, by a government. 

The Commission requires baseline 

accreditation of each category of third 

party conformity assessment body to the 

International Organization for 

Standardization (ISO)/International 

Electrotechnical Commission (IEC) 

Standard 17025:2005, ‘‘General 

Requirements for the Competence of 

Testing and Calibration Laboratories.’’ 

The accreditation must be by an 

accreditation body that is a signatory to 

the International Laboratory 

Accreditation Cooperation–Mutual 

Recognition Arrangement (ILAC–MRA), 

and the scope of the accreditation must 

include clear references to those 


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Federal Register / Vol. 76, No. 149 / Wednesday, August 3, 2011 / Rules and Regulations 46601 

sections of ASTM F 963–08 and/or 4.27 

of ASTM F 963–07e1 identified earlier 

in part I of this document for which the 

third party conformity assessment body 

seeks CPSC acceptance. 

(Descriptions of the history and 

content of the ILAC–MRA approach and 

of the requirements of the ISO/IEC 

17025:2005 laboratory accreditation 

standard are provided in the CPSC staff 

briefing memorandum ‘‘Third Party 

Conformity Assessment Body 

Accreditation Requirements for Testing 

Compliance with 16 CFR part 1501 

(Small Parts Regulations),’’ dated 

November 2008, and available on the 

CPSC’s Web site at: http:// 

www.cpsc.gov/library/foia/foia09/brief/ 

smallparts.pdf). 

The Commission has established an 

electronic accreditation registration and 

listing system that can be accessed via 

its Web site at: http://www.cpsc.gov/ 

ABOUT/Cpsia/labaccred.html. 

The Commission stayed the 

enforcement of certain provisions of 

section 14(a) of the CPSA in a notice 

published in the Federal Register on 

February 9, 2009 (74 FR 6396); the stay 

applied to testing and certification of 

various products, including those 

covered by the safety standards in 

ASTM F 963. On December 28, 2009 the 

Commission published a notice in the 

Federal Register (74 FR 68588) revising 

the terms of the stay. One section of the 

December 28, 2009 notice addressed 

‘‘Consumer Products or Children’s 

Products Where the Commission Is 

Continuing the Stay of Enforcement 

Until Further Notice,’’ due to factors 

such as pending rulemaking 

proceedings affecting the product or the 

absence of a notice of requirements. The 

ASTM F 963 testing and certification 

requirements were included in that 

section of the December 28, 2009 notice. 

The absence of a notice of requirements 

prevented the testing and certification 

stay from being lifted with regard to toys 

subject to ASTM F 963. While the 

publication of this notice would have 

had the effect of lifting the testing and 

certification stay with regard to ASTM 

F 963, at the decisional meeting on July 

20, 2011, the Commission voted to stay 

enforcement of the testing and 

certification requirements of section 14 

of the CPSA with respect to toys subject 

to ASTM F 963 until December 31, 

2011. 

Accordingly, each manufacturer of a 

children’s product covered by F 963–08 

and/or section 4.27 of ASTM F 963– 

07e1 (toy chests) must have any such 

product manufactured after December 

31, 2011, tested by a third party 

conformity assessment body accredited 

to do so and must issue a certificate of 

compliance with applicable sections of 

ASTM F 963–08 and/or section 4.27 of 

ASTM F 963–07e1 based on that testing. 

(Under the CPSA, the term 

‘‘manufacturer’’ includes anyone who 

manufactures or imports a product.) 

This notice of requirements is exempt 

from the notice and comment 

rulemaking requirements of the 

Administrative Procedure Act, 5 U.S.C. 

553 (see section 14(a)(3)(G) of the CPSA, 

as added by section 102(a)(2) of the 

CPSIA (15 U.S.C. 2063(a)(3)(G)). 

II. Accreditation Requirements 

A. Baseline Third Party Conformity 

Assessment Body Accreditation 

Requirements 

For a third party conformity 

assessment body to be accredited to test 

children’s products for conformity with 

one or more of the ASTM F 963 toy 

standards identified earlier in part I of 

this document, it must be accredited by 

an ILAC–MRA signatory accrediting 

body, and the accreditation must be 

registered with, and accepted by, the 

Commission. A listing of ILAC–MRA 

signatory accrediting bodies is available 

on the Internet at: http://ilac.org/ 

membersbycategory.html. The 

accreditation must be to ISO Standard 

ISO/IEC 17025:2005, ‘‘General 

Requirements for the Competence of 

Testing and Calibration Laboratories,’’ 

and the scope of the accreditation must 

expressly include references to one or 

more of the following sections of ASTM 

F 963–08, Standard Consumer Safety 

Specification for Toy Safety, and/or 4.27 

of ASTM F 963–07e1, the consumer 

product safety standard for toy chests 

• ASTM F 963–07e1 

—Section 4.27—Toy Chests (except labeling 

and/or instructional literature 

requirements) 

• ASTM F 963–08 

—Section 4.3.5.2, Surface Coating 

Materials—Soluble Test for Metals 

—Section 4.3.6.3, Cleanliness of Liquids, 

Pastes, Putties, Gels, and Powders (except 

for cosmetics and tests on formulations 

used to prevent microbial degradation) 

—Section 4.3.7, Stuffing Materials 

—Section 4.5, Sound Producing Toys 

—Section 4.6, Small Objects (except labeling 

and/or instructional literature 

requirements) 

—Section 4.7, Accessible Edges (except 

labeling and/or instructional literature 

requirements) 

—Section 4.8, Projections 

—Section 4.9, Accessible Points (except 

labeling and/or instructional literature 

requirements) 

—Section 4.10, Wires or Rods 

—Section 4.11, Nails and Fasteners 

—Section 4.12, Packaging Film 

—Section 4.13, Folding Mechanisms and 

Hinges 

—Section 4.14, Cords, Straps, and Elastics 

—Section 4.15, Stability and Overload 

Requirements 

—Section 4.16, Confined Spaces 

— Section 4.17, Wheels, Tires, and Axles 

—Section 4.18, Holes, Clearances, and 

Accessibility of Mechanisms 

—Section 4.19, Simulated Protective Devices 

(except labeling and/or instructional 

literature requirements) 

—Section 4.20.1, Pacifiers with Rubber 

Nipples/Nitrosamine Test 

—Section 4.20.2, Toy Pacifiers 

—Section 4.21, Projectile Toys 

—Section 4.22, Teethers and Teething Toys 

—Section 4.23.1, Rattles with Nearly 

Spherical, Hemispherical, or Circular 

Flared Ends 

—Section 4.24, Squeeze Toys 

—Section 4.25, Battery-Operated Toys 

(except labeling and/or instructional 

literature requirements) 

—Section 4.26, Toys Intended to Be Attached 

to a Crib or Playpen (except labeling and/ 

or instructional literature requirements) 

—Section 4.27, Stuffed and Beanbag-Type 

Toys 

—Section 4.30, Toy Gun Marking 

—Section 4.32, Certain Toys with Spherical 

Ends 

—Section 4.35, Pompoms 

—Section 4.36, Hemispheric-Shaped Objects 

—Section 4.37, Yo-Yo Elastic Tether Toys 

—Section 4.38, Magnets (except labeling and/ 

or instructional literature requirements) 

—Section 4.39, Jaw Entrapment in Handles 

and Steering Wheels 

A true copy, in English, of the 

accreditation and scope documents 

demonstrating compliance with the 

requirements of this notice must be 

registered with the Commission 

electronically. The additional 

requirements for accreditation of 

firewalled and governmental conformity 

assessment bodies are described in parts 

II.B and II.C of this document below. 

The Commission will maintain on its 

Web site an up-to-date listing of third 

party conformity assessment bodies 

whose accreditations it has accepted 

and the scope of each accreditation. 

Subject to the limited provisions for 

acceptance of ‘‘retrospective’’ testing 

noted in part IV below, once the 

Commission adds a third party 

conformity assessment body to that list, 

the third party conformity assessment 

body may commence testing children’s 

products to support the manufacturer’s 

certification that the product complies 

with the applicable toy safety standards 

identified earlier in part I of this 

document. 

B. Additional Accreditation 

Requirements for Firewalled Conformity 

Assessment Bodies 

In addition to the baseline 

accreditation requirements in part II.A 

of this document above, firewalled 

conformity assessment bodies seeking 


srobinson on DSK4SPTVN1PROD with RULES
46602 Federal Register / Vol. 76, No. 149 / Wednesday, August 3, 2011 / Rules and Regulations 

accredited status must submit to the 

Commission copies, in English, of their 

training documents, showing how 

employees are trained to notify the 

Commission immediately and 

confidentially of any attempt by the 

manufacturer, private labeler, or other 

interested party to hide or exert undue 

influence over the third party 

conformity assessment body’s test 

results. This additional requirement 

applies to any third party conformity 

assessment body in which a 

manufacturer or private labeler of a 

children’s product to be tested by the 

third party conformity assessment body 

owns an interest of 10 percent or more. 

While the Commission is not addressing 

common parentage of a third party 

conformity assessment body and a 

children’s product manufacturer at this 

time, it will be vigilant to see if this 

issue needs to be addressed in the 

future. 

As required by section 14(f)(2)(D) of 

the CPSA, the Commission must 

formally accept, by order, the 

accreditation application of a third party 

conformity assessment body before the 

third party conformity assessment body 

can become an accredited firewalled 

conformity assessment body. 

C. Additional Accreditation 

Requirements for Governmental 

Conformity Assessment Bodies 

In addition to the baseline 

accreditation requirements of part II.A 

of this document above, the CPSIA 

permits accreditation of a third party 

conformity assessment body owned or 

controlled, in whole or in part, by a 

government if: 

• To the extent practicable, 

manufacturers or private labelers 

located in any nation are permitted to 

choose conformity assessment bodies 

that are not owned or controlled by the 

government of that nation; 

• The third party conformity 

assessment body’s testing results are not 

subject to undue influence by any other 

person, including another governmental 

entity; 

• The third party conformity 

assessment body is not accorded more 

favorable treatment than other third 

party conformity assessment bodies in 

the same nation who have been 

accredited; 

• The third party conformity 

assessment body’s testing results are 

accorded no greater weight by other 

governmental authorities than those of 

other accredited third party conformity 

assessment bodies; and 

• The third party conformity 

assessment body does not exercise 

undue influence over other 

governmental authorities on matters 

affecting its operations or on decisions 

by other governmental authorities 

controlling distribution of products 

based on outcomes of the third party 

conformity assessment body’s 

conformity assessments. 

The Commission will accept the 

accreditation of a governmental third 

party conformity assessment body if it 

meets the baseline accreditation 

requirements of part II.A of this 

document above, and meets the 

additional conditions stated here. To 

obtain this assurance, CPSC staff will 

engage the governmental entities 

relevant to the accreditation request. 

III. How does a third party conformity 

assessment body apply for acceptance 

of its accreditation? 

The Commission has established an 

electronic accreditation acceptance and 

registration system accessed via the 

Commission’s Internet site at: http:// 

www.cpsc.gov/about/cpsia/ 

labaccred.html. The applicant provides, 

in English, basic identifying information 

concerning its location, the type of 

accreditation it is seeking, and 

electronic copies of its accreditation 

certificate and scope statement from its 

ILAC–MRA signatory accreditation 

body, and firewalled third party 

conformity assessment body training 

document(s), if relevant. 

Commission staff will review the 

submission for accuracy and 

completeness. In the case of baseline 

third party conformity assessment 

bodies and government-owned or 

government-operated conformity 

assessment bodies, when that review 

and any necessary discussions with the 

applicant are satisfactorily completed, 

the third party conformity assessment 

body in question is added to the CPSC’s 

list of accredited third party conformity 

assessment bodies at: http:// 

www.cpsc.gov/about/cpsia/ 

labaccred.html. In the case of a 

firewalled conformity assessment body 

seeking accredited status, when staff’s 

review is complete, staff transmits its 

recommendation on accreditation to the 

Commission for consideration. (A third 

party conformity assessment body that 

may ultimately seek acceptance as a 

firewalled third party conformity 

assessment body also can initially 

request acceptance as a third party 

conformity assessment body accredited 

for testing of children’s products other 

than those of its owners.) If the 

Commission accepts a staff 

recommendation to accredit a firewalled 

conformity assessment body, the 

firewalled conformity assessment body 

will be added to the CPSC’s list of 

accredited third party conformity 

assessment bodies. In each case, the 

Commission will notify the third party 

conformity assessment body 

electronically of acceptance of its 

accreditation. All information to 

support an accreditation acceptance 

request must be provided in the English 

language. 

Subject to the limited provisions for 

acceptance of ‘‘retrospective’’ testing 

noted in part IV of this document below, 

once the Commission adds a third party 

conformity assessment body to the list, 

the third party conformity assessment 

body may begin testing children’s 

products to support certification of 

compliance with the applicable toy 

safety standards identified earlier in 

part I of this document for which it has 

been accredited. 

IV. Limited Acceptance of Children’s 

Product Certifications Based on Third 

Party Conformity Assessment Body 

Testing Prior to the Commission’s 

Acceptance of Accreditation 

The Commission will accept a 

certificate of compliance with the 

applicable sections of Standard 

Consumer Safety Specification for Toy 

Safety, F 963–08 and/or section 4.27 

(toy chests) from ASTM F 963–07e1 

based on testing performed by an 

accredited third party conformity 

assessment body (including a 

government-owned or -controlled 

conformity assessment body, and a 

firewalled conformity assessment body) 

before the Commission’s acceptance of 

its accreditation if: 

• At the time of product testing, the 

product was tested by a third party 

conformity assessment body that was 

ISO/IEC 17025 accredited by an 

accreditation body that is a signatory to 

the ILAC–MRA. For firewalled 

conformity assessment bodies, the 

firewalled conformity assessment body 

must be one that the Commission 

accredited, by order, at or before the 

time the product was tested, even 

though the order will not have included 

the test methods specified in this notice. 

If the third party conformity assessment 

body has not been accredited by a 

Commission order as a firewalled 

conformity assessment body, the 

Commission will not accept a certificate 

of compliance based on testing 

performed by the third party conformity 

assessment body before it is accredited, 

by Commission order, as a firewalled 

conformity assessment body; 

• The third party conformity 

assessment body’s application for 

testing to the toy standard section(s) 

under which the test(s) was conducted 


srobinson on DSK4SPTVN1PROD with RULES
Federal Register / Vol. 76, No. 149 / Wednesday, August 3, 2011 / Rules and Regulations 46603 

1 15 U.S.C. 77a et seq. 

2 15 U.S.C. 78a et seq. 

3 17 CFR 230.134. 

4 17 CFR 230.138. 

5 17 CFR 230.139. 

6 17 CFR 230.168. 

7 17 CFR 239.13. 

8 17 CFR 239.25. 

9 17 CFR 239.33. 

10 17 CFR 239.34. 

11 17 CFR 239.39. 

12We are removing references to Form F–9 in 

Securities Act Forms F–8 [17 CFR 239.38], F–10 [17 

CFR 239.40], F–80 [17 CFR 239.41], and Form F– 

X [17 CFR 239.42]; in Exchange Act Form 40–F [17 

CFR 249.240f], and in the following rules: 17 CFR 

200.800, 17 CFR 229.10, 17 CFR 230.134, 17 CFR 

230.467, 17 CFR 230.473, and 17 CFR 232.405. 

13 17 CFR 240.14a–101. 

14Pub. L. No. 111–203, 124 Stat. 1376 (2010). 

Section 939A of the Dodd-Frank Act requires that 

we ‘‘review any regulation issued by [us] that 

requires the use of an assessment of the creditworthiness of a security or money market 

instrument and any references to or requirements in 

such regulations regarding credit ratings.’’ Once we 

have completed that review, the statute provides 

that we modify any regulations identified in our 

review to ‘‘remove any reference to or requirement 

of reliance on credit ratings and to substitute in 

such regulations such standard of creditworthiness’’ as we determine to be appropriate. 

15See Security Ratings, Release No. 33–9186 (Feb. 

9, 2011) [76 FR 8946] (‘‘2011 Proposing Release’’). 

16See Security Ratings, Release No. 33–8940 (July 

1, 2008) [73 FR 40106] (‘‘2008 Proposing Release’’). 

In 2009, we re-opened the comment period for the 

release for an additional 60 days. See References to 

Ratings of Nationally Recognized Statistical Rating 

Organizations, Release No. 33–9069 (Oct. 5, 2009) 

[74 FR 52374]. Public comments on both of these 

releases were published under File No. S7–18–08 

and are available at http://www.sec.gov/comments/ 

s7-18-08/s71808.shtml. Comments also are available 

for Web site viewing and printing in the 

Commission’s Public Reference Room, 100 F Street, 

NE., Washington, DC 20549, on official business 

days between the hours of 10 a.m. and 3 p.m. 

17See the 2008 Proposing Release for a discussion 

of the history and background of references to credit 

ratings in rules and regulations under the Securities 

Act. See also Credit Ratings Disclosure, Release No. 

Continued 

is accepted by the CPSC on or before 

October 3, 2011; 

• With regard to tests conducted 

under F 963–08, the product was tested 

to the applicable section(s) on or after 

May 13, 2009; with regard to tests 

conducted under section 4.27 of F 963– 

07e1, the product was tested on or after 

August 14, 2008; 

• The accreditation scope in effect for 

the third party conformity assessment 

body at the time of testing expressly 

included testing to the toy standard 

section(s) under which the test(s) was 

conducted; 

• The test results show compliance 

with the applicable current toy 

standards; and 

• The third party conformity 

assessment body’s accreditation, 

including inclusion in its scope of the 

toy standard section(s) under which the 

test(s) was conducted, remains in effect 

through the effective date for mandatory 

third party testing and manufacturer 

certification for conformity with ASTM 

F 963–08 and/or section 4.27 of ASTM 

F 963–07e1. 

Dated: July 22, 2011. 

Todd A. Stevenson, 

Secretary, Consumer Product Safety 

Commission. 

[FR Doc. 2011–18962 Filed 8–2–11; 8:45 am] 

BILLING CODE 6355–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Parts 200, 229, 230, 232, 239, 

240, and 249 

[Release No. 33–9245; 34–64975; File No. 

S7–18–08] 

RIN 3235–AK18 

Security Ratings 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: In light of the provisions of 

Section 939A of the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act, we are adopting amendments to 

replace rule and form requirements 

under the Securities Act of 1933 and the 

Securities Exchange Act of 1934 for 

securities offering or issuer disclosure 

rules that rely on, or make special 

accommodations for, security ratings 

(for example, Forms S–3 and F–3 

eligibility criteria) with alternative 

requirements. 

DATES: Effective Date: This rule is 

effective September 2, 2011 except for 

the following amendments, which are 

effective December 31, 2012: 

• Amendatory instruction 2 

amending 17 CFR 200.800; 

• Amendatory instruction 4 

amending 17 CFR 229.10; 

• Amendatory instruction 10 

amending 17 CFR 230.467; 

• Amendatory instruction 11 

amending 17 CFR 230.473; 

• Amendatory instruction 13 

amending 17 CFR 232.405; 

• Amendatory instruction 21 

amending 17 CFR 239.38; 

• Amendatory instruction 22 

amending Form F–8 [referenced in 17 

CFR 239.38]; 

• Amendatory instruction 23 

removing Form F–9 [referenced in 

§ 239.39]; 

• Amendatory instruction 24 

amending 17 CFR 239.40; 

• Amendatory instruction 25 

amending Form F–10 [referenced in 17 

CFR 239.40]; 

• Amendatory instruction 26 

amending 17 CFR 239.41; 

• Amendatory instruction 27 

amending Form F–80 [referenced in 17 

CFR 239.41]; 

• Amendatory instruction 28 

amending 17 CFR 239.42; 

• Amendatory instruction 29 

amending Form F–X [referenced in 17 

CFR 239.42]; 

• Amendatory instruction 33 

amending 17 CFR 249.240f; and 

• Amendatory instruction 34 

amending Form 40–F [referenced in 17 

CFR 249.240f]. 

FOR FURTHER INFORMATION CONTACT: 

Blair Petrillo, Special Counsel in the 

Office of Rulemaking, Division of 

Corporation Finance, at (202) 551–3430, 

or with respect to issuers of insurance 

contracts, Keith E. Carpenter, Senior 

Special Counsel in the Office of 

Disclosure and Insurance Product 

Regulation, Division of Investment 

Management, at (202) 551–6795, U.S. 

Securities and Exchange Commission, 

100 F Street, NE., Washington, DC 

20549. 

SUPPLEMENTARY INFORMATION: We are 

adopting amendments to rules and 

forms under the Securities Act of 1933 

(‘‘Securities Act’’),1 and the Securities 

Exchange Act of 1934 (‘‘Exchange 

Act’’).2 Under the Securities Act, we are 

adopting amendments to Rules 134,3

138,4 139,5 168,6 Form S–3,7 Form S–4,8

Form F–3,9 and Form F–4.10 We are 

rescinding Form F–9 11 and adopting 

amendments to the Securities Act and 

Exchange Act forms and rules that refer 

to Form F–9 to eliminate those 

references.12 We are also amending 

Schedule 14A 13 under the Exchange 

Act. 

I. Introduction 

We are adopting amendments today to 

remove references to credit ratings in 

rules and forms promulgated under the 

Securities Act and the Exchange Act. On 

February 9, 2011, we proposed 

amendments in light of Section 939A of 

the Dodd-Frank Wall Street Reform and 

Consumer Protection Act (‘‘DoddFrank’’) 14 to remove references to credit 

ratings in rules and forms under the 

Securities Act and the Exchange Act.15

We proposed similar changes in 2008, 

prior to the enactment of the DoddFrank Act, but did not act on those 

proposals.16

We have considered the role of credit 

ratings in our rules under the Securities 

Act on several previous occasions and 

even proposed removal of some 

references to credit ratings prior to the 

enactment of the Dodd-Frank Act.17


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