[Federal Register Volume 86, Number 118 (Wednesday, June 23, 2021)]
[Rules and Regulations]
[Pages 33022-33072]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-12723]



[[Page 33021]]

Vol. 86

Wednesday,

No. 118

June 23, 2021

Part II





Consumer Product Safety Commission





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16 CFR Parts 1112, 1130, and 1236





Safety Standard for Infant Sleep Products; Final Rule

Federal Register / Vol. 86 , No. 118 / Wednesday, June 23, 2021 / 
Rules and Regulations

[[Page 33022]]


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CONSUMER PRODUCT SAFETY COMMISSION

16 CFR Parts 1112, 1130, and 1236

[CPSC Docket No. 2017-0020]


Safety Standard for Infant Sleep Products

AGENCY: Consumer Product Safety Commission.

ACTION: Final rule.

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SUMMARY: Pursuant to the Consumer Product Safety Improvement Act of 
2008 (CPSIA), the U.S. Consumer Product Safety Commission (CPSC) is 
issuing this final rule establishing a safety standard for infant sleep 
products, which are products marketed or intended to provide a sleeping 
accommodation for an infant up to 5 months of age, and that are not 
subject to any of CPSC's mandatory standards for infant sleep. CPSC is 
also finalizing an amendment to its regulations regarding third party 
conformity assessment bodies, to include the safety standard for infant 
sleep products in the list of notices of requirements (NORs) and an 
amendment to the consumer registration rule, to identify infant sleep 
products as a durable infant or toddler product subject to consumer 
registration requirements, as a subcategory of bassinets and cradles.

DATES: This rule is effective June 23, 2022. The incorporation by 
reference of the publication listed in this rule is approved by the 
Director of the Federal Register as of June 23, 2022.

FOR FURTHER INFORMATION CONTACT: Keysha Walker, Compliance Officer, 
U.S. Consumer Product Safety Commission, 4330 East-West Highway, 
Bethesda, MD 20814; telephone: 301-504-6820; email: <a href="/cdn-cgi/l/email-protection#bcd7cbddd0d7d9cefcdfcccfdf92dbd3ca"><span class="__cf_email__" data-cfemail="5e35293f32353b2c1e3d2e2d3d70393128">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION: 

I. Statutory Authority and Background

A. Statutory Authority

    Section 104(b) of the CPSIA, 15 U.S.C. 2056a(b), requires the 
Commission to: (1) Consult with representatives of consumer groups, 
juvenile product manufacturers, and independent child product engineers 
and experts, to examine and assess the effectiveness of any voluntary 
consumer product safety standards for durable infant or toddler 
products (15 U.S.C. 2056a(b)(1)(A)); and (2) promulgate, in accordance 
with 5 U.S.C. 553, consumer product safety standards that are 
substantially the same as such voluntary standards, or are more 
stringent than such voluntary standards if the Commission determines 
that more stringent standards would further reduce the risk of injury 
associated with such products. 15 U.S.C. 2056a(b)(1)(B). Additionally, 
section 104(b)(2) of the CPSIA directs the Commission to periodically 
review and revise the standards set forth under this subsection, to 
ensure that such standards provide the highest level of safety for such 
products that is feasible.
    Section 104(d) of the CPSIA requires manufacturers of durable 
infant or toddler products to establish consumer registration card 
programs that comply with CPSC's implementing rule, 16 CFR part 1130. 
Additionally, under section 14 of the CPSA, children's products (such 
as durable infant or toddler products) must comply with testing and 
certification requirements that CPSC implemented through 16 CFR parts 
1107, 1109, and 1110. Section 104(f)(1) of the CPSIA states that a 
``durable infant or toddler product'' is a ``durable product intended 
for use, or that may be reasonably expected to be used, by children 
under the age of 5 years.'' Id. 2056a(f)(1). Section 104(f)(2) of the 
CPSIA provides a non-exhaustive list of categories of products that are 
durable infant or toddler products, such as cribs, toddler beds, and 
bassinets and cradles. Id. 2056a(f)(2). The Commission's consumer 
registration rule at 16 CFR 1130.2(a) defines a ``durable infant or 
toddler product'' as:

    DEFINITION OF DURABLE INFANT OR TODDLER PRODUCT means the 
following products intended for use, or that may be reasonably 
expected to be used, by children under the age of 5 years. The 
listed product categories are further defined in the applicable 
standards that the Commission issues under section 104(b) of the 
Consumer Product Safety Improvement Act of 2008, and include 
products that are combinations of [17 listed] product categories. . 
. .

B. Infant Sleep Products Are Durable Infant or Toddler Products

    This rule establishes a category of products called ``infant sleep 
products,'' which are all products marketed or intended to provide a 
sleeping accommodation for an infant up to 5 months of age, and that 
are not already subject to a mandatory CPSC sleep standard. The product 
category ``infant sleep products'' is not included in the statutory 
list of products in section 104(f)(2) of the CPSIA. However, similar 
sleep products, such as bassinets and cradles, and cribs, are listed in 
the statute; and the Commission has the authority to add product 
categories to the statutory list. The Commission adds product 
categories to the list of ``durable infant or toddler products'' 
through a rulemaking to amend 16 CFR 1130.2, the Commission's rule 
requiring durable infant or toddler products to meet consumer 
registration rule requirements. All durable infant or toddler products 
identified in Sec.  1130.2 must meet the product registration card 
requirement; and because rules issued under section 104 of the CPSIA 
are children's product safety rules, these products must also meet the 
third-party testing and certification requirements in section 14 of the 
CPSA, and implemented by the Commission in 16 CFR parts 1107, 1109, and 
1110.
    CPSC issued a notice of proposed rulemaking in 2017 (the 2017 NPR), 
proposing to categorize infant inclined sleep products as a ``durable 
infant or toddler product'' under section 104 of the CPSIA, as a subset 
of the bassinet and cradle category. 82 FR 16963, 16969-70 (Apr. 7, 
2017). In 2019, CPSC issued a supplemental notice of proposed 
rulemaking (the 2019 SNPR), proposing to identify an ``infant sleep 
product,'' a broader category of infant sleep, as a durable infant or 
toddler product under section 104(f) of the CPSIA, also as a 
subcategory of bassinets and cradles. 84 FR 60949, 60957 (Nov. 12, 
2019). The 2019 SNPR proposed to remove the term ``inclined'' from the 
proposed mandatory standard, which included removing the term 
``inclined'' from the title, scope, introduction, and definitions of 
ASTM F3118-17a, and to include within the rule, instead: ``any infant 
sleep product not currently covered by another mandatory rule for 
infant sleep products: Bassinets/cradles, cribs (full-size and non-
full-size), play yards, and bedside sleepers.'' 84 FR at 60951. 
Accordingly, the 2019 SNPR proposed that the scope of the rule include 
two types of sleep products that are currently unregulated by CPSC 
under any mandatory standard, including inclined sleep products, 
meaning infant sleep products with a sleep surface angle greater than 
10 degrees from horizontal, and flat (non-inclined) sleep products, 
meaning infant sleep products with a sleep surface angle equal to or 
less than 10 degrees.
    For this final rule, CPSC will finalize the definition of an 
``infant sleep product'' as a durable infant or toddler product, a 
category of products that is a subset of the bassinet and cradle 
standard, consistent with the 2019 SNPR. The final rule defines an 
``infant sleep product'' as ``a product marketed or intended to provide 
a sleeping accommodation for an infant up to 5 months of age,'' and 
that is not already subject to one of CPSC's mandatory standards for 
infant sleep:


[[Page 33023]]


<bullet> 16 CFR part 1218--Safety Standard for Bassinets and Cradles
<bullet> 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs
<bullet> 16 CFR part 1220--Safety Standard for Non-Full-Size Baby Cribs
<bullet> 16 CFR part 1221--Safety Standard for Play Yards, or
<bullet> 16 CFR part 1222--Safety Standard for Bedside Sleepers.

    As defined in the final rule, an ``infant sleep product'' meets the 
definition of a ``durable infant or toddler product'' because the 
products are intended for infants up to 5 months old, and the products 
are ``intended for use,'' and ``reasonably expected to be used,'' by 
children under 5 years old. Moreover, products marketed or intended as 
a sleeping accommodation for an infant are similar to the products for 
infant sleep that are already included in the statutory list of durable 
infant or toddler products, such as cribs and bassinets and cradles. We 
also note that ``infant sleep products'' are further defined in the 
final rule, as provided in part 1130. Accordingly, adding ``infant 
sleep products'' as a durable infant or toddler product is consistent 
with the Commission's approach of adding a durable infant or toddler 
product category that has a mandatory standard to the list of products 
in part 1130, to clarify that these products must meet the consumer 
registration rule, and the third-party testing and certification 
requirements for children's product safety rules.

C. Consultation Regarding the Effectiveness of the Voluntary Standard

    To meet the first requirement in section 104(b) of the CPSIA that 
the Commission consult with representatives of consumer groups, 
juvenile product manufacturers, and independent child product engineers 
and experts to examine and assess the effectiveness of the relevant 
voluntary standards, CPSC staff regularly participates in the juvenile 
products subcommittee meetings of ASTM International (ASTM). Staff's 
participation in ASTM's voluntary standards process includes providing 
anonymized incident data, participating in meetings to assess the 
ability of a voluntary standard to address the incident data, and 
working through the ASTM process to develop performance and labeling 
requirements to address identified hazards. Staff also comments or 
votes on certain ASTM ballots to revise voluntary standards. ASTM 
subcommittees consist of members who represent producers, users, 
consumers, government, and academia.\1\
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    \1\ ASTM International website: www.astm.org, ``About ASTM 
International.''
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    In 2011, ASTM began work on a new standard for infant inclined 
sleep products. Development of this new ASTM standard for infant 
inclined sleep products, F3118, arose from efforts to update the 
voluntary standard for bassinets and cradles. Accordingly, staff's 
consultation process for the inclined sleep product rulemaking 
commenced in approximately 2011, when ASTM, with CPSC's concurrence, 
decided to separate hammocks and other inclined sleep products from the 
development of the bassinet standard, ASTM F2194, to develop a new 
voluntary standard that would specifically address the characteristics 
of inclined sleep products. For example, the bassinet standard requires 
a sleep surface angle of 10 degrees or less, and inclined products have 
a sleep angle greater than 10 degrees. Since then, staff has been 
actively participating in developing the voluntary standard for infant 
inclined sleep products.
    In addition to working on ASTM's inclined sleep standard, staff 
also has been working with the ASTM subcommittee developing the 
bassinet standard since before 2011, and to this day, continues to 
provide incident data and participate in task group and subcommittee 
meetings, including meetings and ASTM ballots involving the currently 
unregulated flat sleep products within the scope of this final rule.
    Sections V.A.3 and V.B.2 of this preamble contain additional 
information about CPSC staff's work on the products within the scope of 
the final rule, both inclined and flat sleep products, through the ASTM 
standards development process for the bassinet and cradle standard, the 
infant inclined sleep standard, and a new, unpublished standard for in-
bed sleepers.

D. 2017 NPR and 2019 Termination Notice

    When staff began working on the mandatory standard for bassinets 
and cradles, and participating with the ASTM standards development 
subcommittee, staff considered whether infant hammocks and other 
inclined sleep products should fall within the scope of the bassinet 
and cradle standard. Because the bassinets and cradles voluntary 
standard did not address products on the market that had a sleep 
incline greater than 10 degrees, the Commission directed staff to 
initiate a separate rulemaking effort for infant hammocks and other 
inclined sleep products, to address the characteristics of inclined 
products. Accordingly, the infant inclined sleep products safety 
standard was an outgrowth of the bassinet and cradle standard, intended 
to address products with an incline greater than 10 degrees from 
horizontal.
    In approximately 2011, at the time CPSC separated infant inclined 
sleep products from the bassinets and cradles standard, ASTM 
simultaneously began work on developing a voluntary standard for infant 
inclined sleep products. ASTM published the resulting infant inclined 
sleep products standard in May 2015, and updated the standard twice in 
2016, and twice in 2017. ASTM's latest standard for this product 
category is designated, ASTM F3118-17a, Standard Consumer Safety 
Specification for Infant Inclined Sleep Products (ASTM F3118-17a).
    CPSC's 2017 NPR proposed a mandatory standard for infant inclined 
sleep products, incorporating by reference the then-current voluntary 
standard, ASTM F3118-17, with a modification to the standard's 
definition of ``accessory.'' 82 FR 16964 (April 7, 2017). The 2017 NPR 
for infant inclined sleep products, which included hammocks, discussed 
14 fatal incidents related to infant inclined sleep products, which 
were reported to have occurred between January 1, 2005 and September 
30, 2016. The 2017 NPR indicated that ASTM F3118-17 addressed the 
primary hazard patterns CPSC identified in the 657 incidents (including 
14 deaths), except for the definition of ``accessory,'' which was 
defined too narrowly to address potential hazards. Specifically, the 
2017 NPR proposed that CPSC's standard would not include the term 
``rigid frame'' in the definition of ``accessory inclined sleep 
product'' in section 3.1.1 of ASTM F3118-17, broadening the definition 
to encompass a new product that did not have a rigid frame. Id. at 
16968-69, and 16975. The Commission concluded that for the mandatory 
standard, more stringent requirements were necessary to further reduce 
the risk of injury associated with infant inclined sleep products 
relating to the use of an inclined sleep product accessory. Id. at 
16967.
    As the 2017 NPR explained, durable infant or toddler products are 
children's products that must be certified as complying with all 
applicable CPSC-enforced requirements. 15 U.S.C. 2063(a); 82 FR at 
16969. Certification must be based on testing conducted by a CPSC-
accepted third party conformity assessment body (test laboratory). 15 
U.S.C. 2063(a)(2). CPSC must publish an

[[Page 33024]]

NOR for the accreditation of test laboratories to assess a product's 
conformity with a children's product safety rule. The 2017 NPR proposed 
that if issued as a final rule, the new Safety Standard for Infant 
Inclined Sleep Products, to be codified at 16 CFR part 1236, would be 
added to the list of NORs for children's product safety rules in 16 CFR 
part 1112, so that test laboratories applying for CPSC acceptance could 
seek accreditation to test inclined sleep products. 82 FR at 16969. The 
2017 NPR also proposed to amend 16 CFR part 1130, the Commission's 
requirements for consumer registration for durable infant or toddler 
products, to amend the definition of ``durable infant or toddler 
product'' to clarify that infant inclined sleep products fall within 
the term, and are subject to the consumer registration card 
requirements. Id. at 16969-70.
    On June 12, 2019, CPSC staff submitted a briefing package and a 
draft Federal Register notice to the Commission, recommending that the 
Commission terminate the 2017 NPR. Staff recommended terminating the 
2017 NPR because, since issuing the 2017 NPR, CPSC had received reports 
of 42 additional fatalities associated with rocker-like inclined sleep 
products, and because the Commission had issued additional safety 
alerts and recalls involving infant inclined sleep products. To date, 
the Commission has not voted on the notice to terminate the 2017 NPR.

E. 2019 SNPR

    On October 16, 2019, staff provided the Commission with a briefing 
package recommending that instead of terminating the 2017 NPR, the 
Commission issue an SNPR. During the development of Staff's 2019 SNPR 
Briefing Package, staff received reports of 451 new incidents; 59 were 
deaths that occurred in infant inclined sleep products. Commission 
staff contracted with Dr. Erin Mannen, Ph.D., a mechanical engineer 
with a biomechanics specialization, to conduct infant testing to 
evaluate the design of inclined sleep products. Tab B of the Staff's 
2019 SNPR Briefing Package contains Dr. Mannen's study, Biomechanical 
Analysis of Inclined Sleep (Mannen Study).\2\
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    \2\ The October 16, 2019, Staff Briefing Package: Draft 
Supplemental Notice of Proposed Rulemaking for Infant Sleep Products 
under the Danny Keysar Child Product Safety Notification Act 
(Staff's SNPR Briefing Package) is available at: https://www.cpsc.gov/s3fs-public/SupplementalNoticeofProposedRulemakingforInfantSleepProducts_10_16_2019.pdf?TPVAJZEQcz9x9sKeEGltm4LskkonxUWv.
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    The Commission published an SNPR on November 12, 2019. 84 FR 60949. 
The 2019 SNPR proposed to issue a standard for ``infant sleep 
products,'' meaning products that (1) provide sleeping accommodations 
for infants and (2) are not currently subject to a CPSC mandatory 
standard for infant sleep: Bassinets/cradles, cribs (full-size and non-
full size), play yards, and bedside sleepers (collectively, CPSC sleep 
standards). The 2019 SNPR proposed to incorporate by reference ASTM F 
3118-17a, with modifications to require that for each infant sleep 
product: (1) The seat back angle intended for sleep must be equal to or 
less than 10 degrees from horizontal, and (2) must meet the 
requirements for a bassinet and cradle in the standard at 16 CFR part 
1218. 84 FR at 60956. The Commission also proposed to amend the 
consumer registration rule to identify ``infant sleep products'' as a 
category of durable infant or toddler products under section 104(f) of 
the CPSIA, and proposed to amend the regulation at 16 CFR part 1112, to 
add infant sleep products to the list of products that require third-
party testing. Id. at 60957.

F. Overview of the Final Rule

    For the final rule, the Commission is finalizing the requirements 
largely as proposed in the 2019 SNPR. The final rule incorporates by 
reference the voluntary standard, ASTM F3118-17a, Standard Consumer 
Safety Specification for Infant Inclined Sleep Products, with 
modifications to the introduction, scope, performance, and testing 
requirements, to further reduce the risk of injury associated with 
infant sleep products, both flat and inclined. The final rule requires 
that ``infant sleep products,'' defined as products marketed or 
intended to provide a sleeping accommodation for an infant up to 5 
months of age, and that are not covered by a CPSC sleep standard, be 
tested to confirm the seat back/sleep surface angle is 10 degrees or 
less from horizontal, and meet the requirements of 16 CFR part 1218, 
Safety Standard for Bassinets and Cradles, including conforming to the 
definition of a ``bassinet/cradle.'' The scope of the final rule is 
also consistent with this definition of an ``infant sleep product.'' 
The final rule specifies CPSC's sleep standards as:

<bullet> 16 CFR part 1218--Safety Standard for Bassinets and Cradles
<bullet> 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs
<bullet> 16 CFR part 1220--Safety Standard for Non-Full-Size Baby Cribs
<bullet> 16 CFR part 1221--Safety Standard for Play Yards, or
<bullet> 16 CFR part 1222--Safety Standard for Bedside Sleepers.

Products intended for sleep that already conform to a CPSC sleep 
standard in this list are not within the scope of the final rule.
    The scope of the final rule, and the definition of ``infant sleep 
product,'' are purposely broader than the scope of the bassinet and 
cradle standard, and the definition of a ``bassinet/cradle,'' to 
capture within the scope of the final rule all products marketed for 
infant sleep for infants up to 5 months old that are not covered by a 
CPSC sleep standard; those that are currently on the market, and any 
future products developed for this age group. CPSC's intent is to set a 
baseline of safety for infant sleep products so that all of these 
products must, at a minimum, meet the performance and labeling 
requirements in 16 CFR part 1218, including conforming to the 
definition of a ``bassinet/cradle,'' and being tested and certified as 
meeting these requirements.
    Based on the Commission's review of inclined and flat sleep product 
incident data, and consideration of the comments on the 2017 NPR and 
the 2019 SNPR, the Commission is finalizing the requirements as 
proposed in the 2019 SNPR, with the following clarifications in the:
    1. Scope of the final rule, 16 CFR 1236.1, by removing the examples 
of infant inclined sleep products, and aligning the scope of the rule 
to be consistent with the definition of ``infant sleep product,'' to 
avoid confusion about the scope of the rule, which includes inclined 
and flat products;
    2. Introduction of ASTM F3118-17a, by explaining more clearly that 
both inclined and flat sleep products fall within the definition of an 
``infant sleep product,'' and that the purpose of the rule is to reduce 
deaths associated with known infant sleep hazards, including, but not 
limited to, seat back or sleep surface angles that are greater than 10 
degrees from horizontal;
    3. Scope of ASTM F3118-17a, by revising section 1.3 to explain more 
clearly that inclined and flat products fall within the scope of the 
rule, and that products subject to the rule are infant sleep products 
that do not already meet a mandatory standard for a product intended 
for infant sleep. Consistent with the 2019 SNPR, revised section 1.3 
lists existing infant sleep standards, but the final rule lists the 
five CPSC sleep standards with a reference to the ASTM standard 
incorporated by reference in each mandatory standard;
    4. Scope of ASTM F3118-17a, by adding a new section 1.3.2 stating 
that

[[Page 33025]]

crib mattresses that meet the voluntary standard for crib mattresses, 
ASTM F2933, are not included within the scope of the rule. The final 
rule does not cover a crib mattress because a crib mattress is not used 
by itself, and instead, is used as the sleep surface in a crib, a 
product that already must conform to a CPSC sleep standard;
    5. Referenced documents in ASTM F3118-17a, by revising section 2.1 
to add the voluntary standard for crib mattresses, ASTM F2933;
    6. Definition of ``infant sleep product'' in ASTM F3118-17a, by 
revising section 3.1.7 to remove the phrases ``freestanding'' and 
``generally supported by a stationary or rocker base'' from the 
definition, to not inadvertently exclude certain infant sleep products 
from the scope of the rule, such as those that may not initially have a 
base, or may be sold as an attachment to another product. Additionally, 
we revised the age limit in this definition from ``approximately 5 
months of age'' by removing the term ``approximately.'' This revision 
is intended to reduce confusion about which products fall within the 
scope of the rule, and to clarify that any infant sleep product 
marketed or intended for an infant up to 5 months of age, and that is 
not already covered by a CPSC sleep standard, falls within the scope of 
the final rule;
    7. Definitions in ASTM F3118-17a, by revising section 3.1 to remove 
the definitions for ``accessory inclined sleep product,'' ``compact 
inclined sleep product,'' and ``newborn inclined sleep product,'' to 
simplify the regulation text, because these definitions are unnecessary 
based on the other modifications made to ASTM F3118-17a in the final 
rule, and because these products are subsumed within the definition of 
an ``infant sleep product,'' and the final rule does not contain any 
unique requirements for these products; \3\
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    \3\ Note that in the 2019 SNPR the Commission proposed to revise 
these terms by removing the word ``inclined.''
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    8. Requirements in ASTM F3118-17a, by revising section 6.9 to 
remove separate ``Maximum Seat Back Angle'' tests for three product 
types (accessory, compact, and newborn), and leaving only the test for 
``infant sleep products,'' because all products fall within the 
definition of an ``infant sleep product'' in the final rule, and 
because this test is the same for all products;
    9. Requirements in ASTM F3118-17a, by revising section 6.9 and 
6.9.1 to more accurately describe the name of the test by clarifying 
that the seat back angle also refers to a ``sleep surface angle.'' This 
revision is intended to reduce confusion, because flat sleep surfaces 
do not have a seat back; and
    10. Requirements in ASTM F3118-17a, by revising section 6.9.3 to 
remove the references to accessory, compact, and newborn sleep 
products, and to state that infant sleep products must meet the 
requirements of 16 CFR part 1218, Safety Standard for Bassinets and 
Cradles, including conforming to the definition of a bassinet/cradle. 
This revision is intended to streamline the regulation text to reduce 
confusion, and to add a specific requirement to meet the definition of 
a bassinet, which clarifies that infant sleep products must have a 
stand to meet the performance and labeling requirements in part 1218.
    The Commission is also finalizing the amendment to part 1112, to 
include ``infant sleep products'' in the list of children's product 
safety rules for which CPSC has issued NORs, as well as the amendment 
to part 1130, to identify ``infant sleep products'' specifically as a 
subcategory of bassinets and cradles.
    This final rule is based on information and analysis provided in 
Staff's Final Rule Briefing Package, submitted to the Commission on May 
12, 2021, which can be found on the Commission's website at: https://www.cpsc.gov/s3fs-public/FinalRuleSafetyStandardforInfantSleepProducts.pdf?7s3LjLlkZ4Vm_0GWP2.vstoEzBylG8xg.

II. Product Description

A. Scope of Products Within the Final Rule

    The scope of products covered by the 2017 NPR tracked the scope of 
ASTM F3118-17, covering ``a free standing product with an inclined 
sleep surface primarily intended and marketed to provide sleeping 
accommodations for an infant up to 5 months old or when the infant 
begins to roll over or pull up on sides, whichever comes first.'' The 
scope of products covered by the 2019 SNPR broadened from the 2017 NPR, 
proposing to incorporate by reference ASTM F3118-17a with substantial 
modifications, including revisions in the scope of the standard, 
section 1.3, to remove the term ``inclined,'' and to include any infant 
sleep product not currently covered by another CPSC mandatory rule for 
a product intended for infant sleep: Bassinets/cradles, cribs (full-
size and non-full-size), play yards, and bedside sleepers. 84 FR at 
60951.
    For the final rule, the scope of products that fall within the rule 
is consistent with the 2019 SNPR, and includes all of the inclined 
sleep products in the 2017 NPR, plus additional products marketed or 
intended to provide a sleeping accommodation for an infant up to 5 
months of age, and that are not currently covered by any of the five 
CPSC sleep standards. Accordingly, as proposed in the 2019 SNPR, the 
final rule includes the currently unregulated inclined sleep products, 
such as frame-type inclined sleep products, hammocks, compact inclined 
sleep products, and accessory inclined sleep products (collectively, 
inclined sleep products). The final rule also includes the currently 
unregulated non-inclined, flat, infant sleep products, which means 
products with a seat back or sleep surface angle that is already 10 
degrees or less from horizontal (i.e., baby boxes, in-bed sleepers, 
baby nests and pods, rigid-sided and rigid-framed compact bassinets 
without a stand or legs, various designs of ``travel bassinets'' with 
soft padded or mesh sides, and baby tents (collectively, flat sleep 
products)). 84 FR at 60951. Tabs C and E of Staff's Final Rule Briefing 
Package contain additional information and characteristics, as well as 
pictures of the infant sleep products subject to the final rule.

B. Products Excluded From the Scope of the Final Rule

    Consistent with the 2019 SNPR, for the final rule, products with 
inclined or adjustable seat back positions that are covered by other 
CPSC standards, such as infant bouncer seats, strollers, hand-held 
carriers, frame carriers, and infant swings, are excluded from the 
scope of the ASTM infant inclined sleeper standard, and they are also 
excluded from the scope of the final rule, unless the product is 
specifically marketed for infant sleep for an infant up to 5 months of 
age. Id. at 60951-52. If a product's packaging, marketing materials, 
inserts, or instructions indicate that the product is for sleep, or 
includes pictures of sleeping infants, then CPSC will consider the 
product to be marketed for sleep.
    Products that are already compliant with another CPSC sleep 
standard, such as the bassinet standard (16 CFR part 1218), or the crib 
standard (16 CFR part 1219), are excluded from the scope of the final 
rule. Sleep wedge pillows and sleep positioners are out of scope for 
the final rule, and may be covered by Food and Drug Administration 
(FDA) regulations as medical devices, if they are marketed to treat a 
medical condition, such as acid reflux. Infant pillows are also out of 
scope for the final rule, and these products are subject to 16 CFR 
Sec.  1500.18, ``Banned toys and other banned articles intended for use

[[Page 33026]]

by children.'' Hammocks intended as photo props are out of scope for 
the final rule. Hammock accessories intended for shopping carts are 
also not in scope, as those products are not intended for infant sleep. 
Bath chairs with inclined backs are out of scope, as they are covered 
by another standard and are not intended for infant sleep. Pet beds, 
toy hammocks, and play tents labeled for children over 5 months are out 
of scope of the final rule. Loungers, floor chairs, and rockers are out 
of scope of the final rule, unless they are marketed for infant sleep 
on the product itself or its packaging, marketing materials, inserts, 
or instructions, or the product is advertised with pictures of sleeping 
infants.
    Finally, in response to a comment on the 2019 SNPR, the Commission 
specifically is excluding from the scope of the final rule crib 
mattresses that fall within the scope of the voluntary standard for 
crib mattresses, ASTM F2933. A crib mattress, alone, does not meet the 
definition of an ``infant sleep product,'' and is always used in 
conjunction with a sleep product, such as a crib or play yard, that 
falls within one of CPSC's sleep standards. The Commission issued a 
notice of proposed rulemaking for crib mattresses in 2020, and intends 
to finalize a separate rule later this fiscal year, providing 
performance and labeling requirements for crib mattresses, based on 
ASTM F2933.

C. Market Description <SUP>4</SUP>
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    \4\ Tab E of Staff's Final Rule Briefing Package contains CPSC 
staff's analysis of the market for infant sleep products.
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    Infant sleep products covered by this rule may be purchased at 
general retailers, online retailers, mattress and bedding stores, and 
baby specialty stores. At least 60 small U.S.-based manufacturers and 
importers are in this market, as well as five large domestic companies, 
and dozens of foreign companies, some that ship these items directly to 
customers in the United States via online marketplaces. More than a 
thousand home-based manufacturers, hundreds based in the United States, 
sell soft-sided baby nests and pods, in-bed sleepers, and infant 
hammocks directly to consumers via online marketplaces and as third-
party sellers via major retailers' websites. We estimate total sales in 
this market at more than $125 million per year, to at least a third of 
U.S. households with newborns.
    Products within the scope of the final rule compete with products 
for infant sleep that are compliant with one of CPSC's sleep standards 
and with other small, portable products that are not marketed for 
sleep. One goal of the final rule is to make it clearer to consumers 
which products are certified as compliant with a CPSC sleep standard, 
regardless of the product name or advertising.
    The proliferation of physically different products with similar 
names (particularly ``bassinets''), the many suppliers in the market, 
and new product types each season, reflect a competitive market for 
innovative sleep products. New sleep products are marketed as filling a 
need for a small, portable sleeping or napping space. Many items are 
also marketed specifically to facilitate bed-sharing.\5\ In addition to 
the marketing as secondary sleeping options, some of these compact and 
relatively inexpensive sleep products are also marketed as primary 
sleep spaces for families with limited living space and budget. Baby 
boxes, in-bed sleepers, and hammocks, in particular, are marketed as 
primary sleep spaces for babies.
---------------------------------------------------------------------------

    \5\ Tab D of Staff's Final Rule Briefing Package contains CPSC 
staff's analysis of the hazards associated with bed-sharing.
---------------------------------------------------------------------------

    CPSC did not find any evidence that consumer demand for compact, 
inexpensive, and portable sleep spaces cannot be met by products 
compliant with an existing CPSC sleep standard. Many small bassinets 
that are compliant with CPSC's bassinet standard sell for $50 to $75 
and have a footprint similar to the flat sleep products covered by this 
rule. As for bed-sharing, bedside sleepers retail for as little as 
$100. Cradles compliant with the bassinet and cradle standard have a 
swinging function similar to a hammock with a frame, often at a lower 
retail price. Innovative products compliant with the existing CPSC 
sleep standards have been introduced in recent years, including small, 
foldable play yards, oval cribs and bassinets, bassinets that are 
attached to an adult chair, bassinets with rocking functions, and 
bedside sleepers with a rocking base.
1. Inclined Sleep Products
    The 2019 SNPR described four types of inclined sleep products 
within the scope of the rule: Frame-type inclined sleep products, 
hammocks, compact inclined sleep products, and accessory inclined sleep 
products. 84 FR at 60951. We update the market for these products 
below, grouping frame-type, compact, and accessory inclined products 
into one category, and hammocks into another category.
(a) Hard-Frame Inclined Sleepers, Compact Foam Inclined Sleepers, and 
Play Yard Accessories
    Freestanding, inclined hard-frame sleepers retail for $40 to $120, 
depending on brand and features, such as attached toys, fabric 
coverings, battery-operated sounds, and adjustable positions. Compact 
foam inclined sleepers retail for about $100. Hard-frame inclined play 
yard accessories are not sold separately; they are included in the 
price of the play yard.
    In recent years, sales of inclined sleepers have totaled at least 
722,000 units per year.\6\ The sales of these products alone total 
nearly a quarter of all households with newborn infants, given that 
just under 3.8 million live births occurred in the United States in 
2018.\7\ Additionally, more than 4,000 adoptions from foreign countries 
occurred, but most of those infants were at least 1-year-olds by the 
time the adoption was finalized.\8\ We assume that some of the market 
for inclined sleepers has shifted to other flat sleep product 
categories covered by this rule, or shifted to small portable sleep 
products compliant with existing CPSC sleep standards. Since the CPSC 
published the NPR in 2017, some inclined sleep products have been 
recalled or otherwise removed from the market. However, although 
reselling recalled products is prohibited, discontinued items sold on 
the secondary market that have not been recalled, as well as non-
recalled physically similar products sold by small companies, are still 
available.
---------------------------------------------------------------------------

    \6\ The recalled inclined products alone had sales of nearly 6.5 
million from May 2010 to August 2019. Assuming that the recalled 
products represented most of the market, 6.5 million divided by 9 
years is 722,000.
    \7\ https://www.cdc.gov/nchs/nvss/births.htm.
    \8\ https://travel.state.gov/content/travel/en/Intercountry-Adoption/adopt_ref/adoption-statistics-esri.html.
---------------------------------------------------------------------------

(b) Baby Hammocks
    Hammocks range in price from about $50 for a simple fabric hammock 
without a frame, to more than $300 for a hammock with a wooden or metal 
stand. Crib hammocks, which are intended to attach to cribs or play 
yards of any brand, retail for about $50 to $100.
    Baby hammocks are widely available from small domestic companies, 
importers, and home-based sellers. The websites of several major 
general retailers sell these items from third-party sellers. Hammocks 
are made of a variety of fabrics and may include padded sides or 
bottoms. They may come without a frame, or with a wooden

[[Page 33027]]

or metal stand. Some items are solid fabric, while others are mesh or 
crochet. The market is fragmented, and all of the sellers in the United 
States are small companies, although some sellers are importers of 
items made by large foreign companies. The large number of sellers, 
including at least one company that sells only baby hammocks, and 
dozens of home-based sellers, suggests that thousands of baby hammocks 
are sold each year.
2. Flat Sleep Products
(a) Flat Sleep Surface, Soft-Sided Products
    The flat sleep surface, soft-sided products that are not covered by 
a CPSC sleep standard include baby pods or baby nests, which are 
marketed for use on a hard surface or as in-bed sleepers, and soft-
sided ``bassinets.'' Some soft-sided products are marketed for use 
inside a crib or bassinet. Some sleep products are marketed as portable 
or travel infant beds. The flat infant sleep products currently not 
covered by any voluntary or mandatory sleep standard, but would be 
regulated under the final rule, include:

<bullet> Baby pods and baby nests--These products have a soft floor, 
usually padded in some way, with low soft fabric or mesh sides, 
resembling a small pet bed. They can be rectangular, oval, or figure 8-
shaped. Some come with a wedge pillow. They are sometimes marketed as 
suitable for use inside a crib or play yard.
<bullet> Soft-sided ``travel bassinets'' or ``travel beds''--These 
products can have either a soft or semi-rigid floor. Some products come 
with straps and zippers so that they can be rolled up and carried like 
a backpack when not in use. Some are marketed as ``3-in-1'' products 
that can also be used as a changing mat and include pockets for 
diapers. Some products have a ``cocoon'' design, with a soft padded 
top, intended to cover the body of the occupant.
<bullet> Hand-held carriers marketed for sleep--These products are 
marketed as both a hand-held carrier and a (soft) bassinet, suitable 
for napping or sleeping.
<bullet> In-bed sleepers--These products have low, soft sides and a 
soft floor, specifically intended and marketed for bed-sharing.

Play yard accessories have mesh or fabric sides that attach to the 
rails of the play yard and are marketed for infant sleep, including 
``napping''; and they would not fall within the scope of the rule if 
they are already compliant with the bassinet standard. Items marketed 
as changing pads are not considered to be infant sleep products.
    The prices for baby nests, baby pods, and in-bed sleepers range 
from about $40 to $200, with the lower-priced items tending to come 
from home-based manufacturers and foreign direct shippers, and the more 
expensive items coming from larger U.S. companies. Smaller products 
intended only for infants up to 5 months of age also tend to be cheaper 
than larger products intended for children up to 2 years old. The 
various soft-sided travel bassinets and ``travel beds,'' some that fold 
up into a backpack, have a similar price range. At least 30 small 
businesses, mostly importers, sell the soft-sided flat sleep surface 
products.\9\ Dozens of foreign companies ship these sleep products 
directly to U.S. customers via U.S. Internet retailers, and there are 
more than 1,000 home-based sellers of baby pods and baby nests.
---------------------------------------------------------------------------

    \9\ This number is approximate, as the proliferation of internet 
retailing allows importers to enter and exit the market quickly, and 
to switch their product line based on demand.
---------------------------------------------------------------------------

    The estimated annual sales of in-bed sleepers alone are 1 million 
units,\10\ based on public comment and staff analysis. The Durable 
Nursery Products Exposure survey (DNPES) indicated that 38 percent of 
parents slept with their child under 1 year of age at least once a 
week, with 18 percent indicating they sleep with their child under 1 
year of age every night. The CDC similarly found \11\ that 24.4 percent 
of parents bed-shared with their infant ``often or always'' and 37 
percent indicated they bed-shared ``rarely or sometimes.'' If parents 
who regularly sleep with their infants commonly purchase or make a 
soft-sided baby nest or other type of in-bed sleeper, then these 
products could be owned by 25 percent of households with newborns, 
representing about 1 million units sold per year, which is consistent 
with the estimate from a public comment on the 2019 SNPR.
---------------------------------------------------------------------------

    \10\ A public comment on the SNPR estimated the annual sales of 
``in-bed sleep products'' at 500,000 to 1.5 million units, which is 
consistent with the estimates in the DNPES and from CDC on 
prevalence of bed-sharing.
    \11\ Bombard JM, Kortsmit K, Warner L, et al., Vital Signs: 
Trends and Disparities in Infant Safe Sleep Practices--United 
States, 2009-2015. MMWR Morb Mortal Wkly Rep 2018;67:39-46. DOI: 
http://dx.doi.org/10.15585/mmwr.mm6701e1.
---------------------------------------------------------------------------

(b) Flat Sleep Surface, Rigid-Sided and Rigid-Framed Compact Bassinets, 
Travel Bassinets, and Similar Products
    This infant sleep product category includes flat sleep surface, 
free-standing products that resemble a bassinet without a stand or 
legs. Baby boxes and other rigid-sided products without a stand are 
marketed for infant sleep, sometimes as ``compact'' or ``travel'' 
bassinets. Some compact bassinets have mesh sides with a rigid metal or 
plastic frame. Larger rigid-sided items that comply with the play yard 
standard, and play yard accessories that are compliant with the 
bassinet standard, are out of scope for the final rule. Most flat sleep 
surface, rigid-sided products are rectangular, but oval and round ones 
are also available. As noted, some flat, soft-sided items are also 
marketed as ``travel'' bassinets. The term ``bassinet'' is used in 
product names for rigid-sided items with a stand that meet CPSC's 
bassinet standard, but the term is also used in product names of flat 
and inclined items without a stand, some with low and soft padded 
sides, which do not meet the bassinet standard. The final rule 
addresses this issue, and, in part, is intended to make it clearer to 
consumers which products are safe for infant sleep, regardless of the 
product name.
    Rigid-sided and rigid-framed compact bassinets and travel bassinets 
typically sell for about $50 to $150, which is comparable to the lower 
end of the price range of bassinets that comply with the bassinet 
standard. Retail prices for baby boxes start at about $50 to $75, 
depending on the brand and decorative design, although some are sold 
only as part of a $300, or more, bundle with clothes, diapers, and 
other baby items. Baby boxes were given away for free by some state 
governments and hospitals, so the cost to the consumer was $0, although 
those organizations purchased them from a small domestic company that 
is no longer offering them. Play yard accessories are not priced or 
sold separately; rather, they are included in the price of the play 
yard.
    Products in this category have a variety of names. Several small 
domestic manufacturers and small importers, as well as large domestic 
and foreign companies, sell small, rigid-sided or rigid-framed products 
that resemble a bassinet without a stand as ``compact,'' ``portable,'' 
or ``travel'' bassinets, or as infant ``travel beds.'' About a dozen 
sellers ship these products from the United States, and a few foreign 
companies sell through internet marketplaces. The presence of several 
large domestic and foreign companies in this market, as well as 
introductions of innovative products each year, indicate that a strong 
consumer demand for these products. CPSC believes it likely that some 
of the demand for inclined rigid-sided products has shifted to this 
market sector. Unlike the soft-sided products,

[[Page 33028]]

this sector does not have many home-based businesses or foreign direct 
shippers.
    Baby boxes are a sub-type of compact bassinet that are made of 
cardboard. They are sold in the United States by two small domestic 
companies and one foreign company and can also be purchased directly 
from several foreign companies. The sales are relatively small; 
estimated at under 20,000 per year.\12\ This means that less than 1 
percent of households with newborns purchase these items. Baby boxes 
are sometimes marketed as ``Finnish'' baby boxes, because the 
government of Finland provides new parents with a baby box or cash 
equivalent. As noted, in the past, some state and local hospitals gave 
away baby boxes to new parents or made them widely available through 
social service agencies.\13\ Like other compact bassinets, baby boxes 
are marketed as a primary sleep environment for newborns.
---------------------------------------------------------------------------

    \12\ A public comment estimated 2018 sales from two of the three 
U.S. baby box companies at more than 10,000.
    \13\ Similar programs now offer free cribs or play yards.
---------------------------------------------------------------------------

(c) Baby Tents
    Baby tents, which are a small mesh or solid fabric products with a 
fabric floor are marketed for sun protection, play, and baby sleep. 
They are sometimes marketed as a combination of tent and ``travel bed'' 
or ``travel bassinet.'' Some baby tents come with flaps, covers, or 
shades so that the baby can sleep in darkness. Some products come with 
poles or stakes to fasten the tent to the ground or in the sand at the 
beach. Some tents have a shallow fillable pool/sandbox in the bottom, 
which indicates they are not intended primarily for sleep, but rather, 
for play.
    Baby tents retail for about $20 to $75; larger and more expensive 
tents are available, but they are marketed for older children. Baby 
tents are offered for sale on major internet general retailer websites 
and in general retail stores by about a dozen small importers and a few 
large companies. Dozens of foreign companies ship these baby tents 
directly to U.S. customers via U.S. Internet retailers; the majority of 
suppliers in this category are foreign direct shippers. Baby tents are 
marketed as a specialty item for outdoor use, particularly beach trips 
or camping, to shade the baby from sun and provide a place for playing 
and sleeping. Indoor ``play'' tents are also marketed for sleep, but 
those products are mostly marketed for children over 3 years of age. 
Indoor play yards with tent-like covers are in the scope of the play 
yard standard. Although baby tents are a relatively niche product, 
compared to some of the other types of sleepers, there appears to be 
sufficient demand for baby tents to support the market presence of 
dozens of companies, including a few large companies selling a variety 
of other baby products.

III. Incident Data and Hazard Patterns

A. Inclined Sleep Products

1. Incident Data
    The 2017 NPR discussed 14 fatal incidents related to inclined sleep 
products, which were reported to have occurred between January 1, 2005 
and September 30, 2016. Eight of the 14 deaths involved rocker-like 
inclined sleep products; in three cases, the unstrapped decedent was 
found to have rolled over into a facedown position. Two additional 
cases also reported a rollover into a facedown position, but the 
reports did not include any information about the use of a restraint. 
CPSC had little information about the cause or manner of the three 
remaining deaths. The 2017 NPR recognized that reporting was ongoing 
and that the number of reported fatalities could change. 82 FR at 
16965-66.
    The 2019 SNPR updated fatal and nonfatal incident reports 
associated with the use of an inclined sleep product. At the time of 
the 2019 SNPR, CPSC was aware of 451 incidents (59 fatal and 392 
nonfatal) related to inclined sleep products that occurred from January 
1, 2005 through June 30, 2019, and reported between October 1, 2016 and 
June 30, 2019. This count included incidents reported after the 
reporting end date stated in the 2017 NPR. Forty-three percent of the 
incident reports (196 out of 451) were based solely on information from 
manufacturers/retailers. Various sources, such as hotlines, internet 
reports, newspaper clippings, medical examiners, and other state/local 
authorities provided the remaining incident reports to CPSC. 84 FR at 
60952-53. Tab A of the October 16, 2019 Staff SNPR Briefing Package 
describes the incident data and the hazard patterns associated with 
infant inclined sleep products at the time of the SNPR.
    For the final rule, the Directorate for Epidemiology staff, Tab B 
of Staff's Final Rule Briefing Package, describes 71 new incident 
reports associated with inclined sleep products since the 2019 SNPR. Of 
the 71 new reported incidents, 10 are fatalities; among the remaining 
61 nonfatal incidents, 17 reported an injury. Reporting is ongoing, and 
therefore, the number of reported fatalities, nonfatal injuries, and 
non-injury incidents may change in the future.
(a) Fatalities
    Since the 2019 SNPR, the Commission is aware of 10 fatalities 
associated with the use of an inclined sleep product that reportedly 
occurred during the period from January 1, 2019 through December 31, 
2020.
    <bullet> Three of the 10 fatal reports describe infants placed 
supine (on their back) in a rocker-like sleeper product, but who ended 
up rolling over, fully or partially, resulting in suffocations or 
positional asphyxiations. Staff does not know whether a restraint was 
used in any of these cases. All three decedents were 3- or 4-month-old 
infants.
    <bullet> One report describes a fatality involving a foam-type 
reclined infant seat. The seat was placed on an adult bed, where the 
parents were also asleep. The seat was found tipped over on the floor, 
with the 4-month-old decedent found underneath the seat.
    <bullet> One incident reports a fatality of a 3-month-old infant, 
found supine in an infant rocker-like product (in the same position as 
originally placed) with a blanket covering the infant's face.
    <bullet> Five remaining fatality reports provide very little 
information on the incidents. Lack of any information on the 
circumstances leading up to the death does not allow CPSC staff to 
classify these deaths. Of the known ages, the decedents ranged in age 
from 1 to 6 months old.
(b) Nonfatal Incidents
    Since the 2019 SNPR, the Commission has received reports of 61 
nonfatal incidents associated with the use of an inclined sleep product 
that occurred between January 1, 2019 and December 31, 2020. Among 
these 61 reports, 17 reports involved an injury. We describe the 
severity of the 17 injuries below:
    <bullet> Four infants required hospital admission. Three of the 
hospitalizations were for respiratory problems due to mold on the sleep 
product, and one was for treatment of injuries from a fall when an 
accessory-type product collapsed.
    <bullet> Three infants were treated and released from emergency 
departments. Those infants were treated for respiratory problems from 
exposure to mold or for fall injuries.
    <bullet> Ten infants required other medical care, mostly for 
plagiocephaly (flat head syndrome), torticollis (twisted neck 
syndrome), or both conditions, which were associated with prolonged use 
of inclined sleep products; two of the 10

[[Page 33029]]

infants suffered minor bumps/bruises due to falls or near falls.
    The remaining 44 incidents reported no injuries, or provided no 
information about any injury. However, many of the descriptions 
indicated the potential for a serious injury, or even death. Thirty-
four percent of the incidents involved infants 0 to 5 months of age, 
and 9 percent involved infants 6 months to 12 months of age. CPSC does 
not know the infant's age in 58 percent of the incidents.
2. Hazard Patterns
    The 2017 NPR identified nine hazard patterns among the 657 reported 
incidents associated with inclined sleep products. These hazard 
patterns included: Design issues, lack of structural integrity, 
inadequate restraints, electrical issues, non-product-related or 
unknown issues, difficulty with correct positioning, miscellaneous 
product-related issues, unspecified falls, and consumer comments. 82 FR 
at 16965-66.
    For the 2019 SNPR, CPSC staff considered all 451 reported incidents 
(59 fatal and 392 nonfatal) to identify hazard patterns associated with 
inclined sleep products; and staff described the variety of sleep 
products considered, such as: Hammocks, which are suspended in air, 
seat-like products meant to be placed on a floor level (yet incident 
reports indicate these products often were not placed on floor level), 
and products that sit on top of larger nursery products as attachments. 
CPSC staff identified eight hazard patterns among 451 reported 
incidents in the 2019 SNPR, which differed, depending on which product 
was involved, and how the product was being used: Design issues, 
electrical issues, consumer comments, undetermined issues (due to 
confounding information), structural integrity issues, other product-
related issues, infant placement issues, and insufficient information. 
Staff's identified hazard pattern categories were very similar between 
the 2017 NPR and the 2019 SNPR. 84 FR at 60952-53.
    For the final rule, staff again reports that the staff-identified 
hazard categories for inclined sleep products are very similar to those 
identified in the 2019 SNPR. Following a CPSC-issued safety recall on 
inclined sleep products in April 2019, staff observed a surge of 
reports related to the recall; these reports are combined with other 
consumer comments in the hazard categories. Staff identified the 
following hazard patterns among the 71 reported incidents (10 fatal and 
61 nonfatal) associated with the use of infant inclined sleep products. 
The categories are presented in descending order of frequency:
    (a) Consumer comments: Thirty-one of the 71 reported incidents (44 
percent) fall into this category. The reports consist of consumer 
comments/observations of perceived safety hazards, complaints about 
unauthorized sale of infant inclined sleep products, or inquiries 
regarding the April 2019 safety recall on inclined sleep products. 
Although one complaint describes a minor injury incident, none of the 
remaining reports indicate that an incident actually occurred.
    (b) Design of the inclined sleep product: Twenty-four of the 71 
reported incidents (34 percent) fall into this category.
    (i) Ten incidents report that infants rolled over--fully or 
partially--from their original supine (on their back) position. 
Although a few of the infants were strapped into the product, for 
others, whether a restraint was used is unreported. Reports describe 
infants as young as 1 month of age rolling over. Some parents/
caregivers, who witnessed and reported some of the nonfatal incidents, 
were able to rescue distressed infants quickly; some of the other 
infants died due to suffocation or asphyxiation.
    (ii) One infant stopped breathing temporarily, due to difficulty 
positioning his head correctly.
    (iii) Eight incidents report that infants developed physical 
deformations, such as plagiocephaly (flat head syndrome) and/or 
torticollis (twisted neck syndrome), from extended product use.
    (iv) According to five reported incidents, infants developed 
respiratory ailments due to the growth of mold on the product.
    The design category includes three deaths, three hospitalizations, 
one ED visit, and eight non-hospitalized, non-ED injuries.
    (c) Other product-related issues: Four of the 71 incidents (6 
percent) report other product-related issues, such as instability 
(posed by products that have completely or nearly flipped over) or 
lock/latch problem (i.e., the sleep surface failed to remain in 
position during use). One of the three instability incidents was a 
fatality that occurred when a foam-type reclined seat tipped over and 
fell from the adult bed to the floor, trapping the decedent underneath. 
No injury is reported in this category.
    (d) Lack of structural integrity: Three of the 71 incidents (4 
percent) report components breaking, such as the rail, hardware, or 
other unspecified part. This category includes one hospitalization and 
one non-ED-treated injury due to a fall.
    (e) Electrical issue: One of the 71 incidents (1 percent) describes 
an odor emanating from the product after a short period of use 
indicative of overheating; further investigation revealed molten 
plastic inside. No injury is reported.
    (f) Non-product-related issues: One of the 71 incidents (1 percent) 
reports a fatality in an unsafe sleep environment. A 3-month-old was 
placed supine (on their back) in an infant rocker-like product with a 
blanket covering the face; the decedent was found in the same position, 
with the blanket still covering the face.
    (g) Insufficient information: Seven of the 71 incident reports (10 
percent) contain insufficient information for staff to categorize them 
accurately. For five deaths, staff has no information on the 
circumstances of the deaths. Reports for two injuries in this category 
describe unspecified falls treated in hospital EDs, with no information 
on restraint usage.
    Table 1 presents the distribution of the 71 reported incidents by 
hazard patterns and severity of incidents.

                       Table 1--Hazard Patterns and Incident Severity Associated With Infant Inclined Products 2019-2020 Incidents
                                                               [Reported since 2019 SNPR]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                Total incidents                       Deaths                         Injuries
                        Issues                         -------------------------------------------------------------------------------------------------
                                                             Count         Percentage         Count         Percentage         Count        Percentage
--------------------------------------------------------------------------------------------------------------------------------------------------------
Product-Related.......................................              63              89                4              40               15              88
    Comments/Concerns.................................              31              44   ..............  ...............               1               6
    Design............................................              24              34                3              30               12              71
    Other Product-Related.............................               4               6                1              10   ..............  ..............
    Structural Integrity..............................               3               4   ..............  ...............               2              12

[[Page 33030]]

 
    Electrical........................................               1               1   ..............  ...............  ..............  ..............
Non-Product-Related...................................               1               1                1              10   ..............  ..............
    Unsafe Sleep Environment..........................               1               1                1              10   ..............  ..............
Insufficient Information..............................               7              10                5              50                2              12
                                                       -------------------------------------------------------------------------------------------------
        Total.........................................              71             100               10             100               17             100
--------------------------------------------------------------------------------------------------------------------------------------------------------
Source: CPSC epidemiological databases CPSRMS and NEISS. Percentages may not add to sub-totals and totals due to rounding.

B. Flat Sleep Products

    In response to the 2019 SNPR, the Commission received public 
comments regarding the safety of non-inclined sleep products, or flat 
sleep products, that do not fall within an existing CPSC sleep standard 
or a voluntary standard that are available in the marketplace. Staff 
completed a review of CPSC's epidemiological databases, CPSRMS and 
NEISS, to respond to these comments and concerns.
    Flat sleep products include: In-bed sleepers, baskets (that can 
function as hand-held carriers as well), baby boxes, compact bassinets 
(most of which are portable for travel), and baby tents. Based on the 
descriptions in the incident reports received, some have soft, puffy 
sides along the sleep area perimeter; others have semi-rigid sides, 
with mesh or soft-padded sidewalls held in place by tubular structures 
along the perimeter. Baby boxes have cardboard walls, while baby tents 
have flexible wires which provide structural support for fabric/mesh 
tent walls. All of these non-inclined sleep products are flat and come 
with mattress pads. Some products have short legs; many can sit on the 
floor or can be used on a bed or a couch. The data show that some 
products were placed inside a standard-sized crib, play yard, or 
bassinet.
    For the final rule, we characterize the number of deaths and 
injuries and the types of hazards related to flat sleep products. 
CPSC's characterizations are based on anecdotal incident reports 
received by the Commission. The number of emergency department (ED)-
treated injuries associated with flat sleep products, for the covered 
time frame, is insufficient to derive any reportable national 
estimates.\14\ Accordingly, we do not present injury estimates here, 
but include ED-treated injuries in the total count of reported 
incidents. Moreover, reporting is ongoing and staff considers 2019-2020 
data incomplete, so the number of reported fatalities, nonfatal 
injuries, and non-injury incidents reported here may change in the 
future.\15\
---------------------------------------------------------------------------

    \14\ According to the NEISS publication criteria, an estimate 
must be 1,200 or greater, the sample size must be 20 or greater, and 
the coefficient of variation must be 33 percent or smaller.
    \15\ In the reports received by CPSC, consumers referred to flat 
sleep products as ``cribs,'' ``bassinets,'' ``cosleepers,'' 
``cribettes,'' ``nests,'' ``pads,'' or ``positioners.'' Because of 
the variety of terms used by consumers to describe these products--
often unfamiliar to CPSC staff--staff's data search for this 
analysis was challenging, and staff believes it is possible that 
some relevant reports may have been missed.
---------------------------------------------------------------------------

1. Incident Data
    CPSC staff received a total of 183 incident reports related to flat 
sleep products available in the marketplace. These incidents reported a 
date of occurrence between January 1, 2019 and December 31, 2020. 
Manufacturer and retailer reports submitted through CPSC's ``Retailer 
Reporting Program'' serve as the only source of information for 73 
percent (133 out of 183) of the incidents. Of the 183 reported 
incidents, 11 are fatalities. Among the remaining 172 nonfatal 
incidents, 16 reported an injury. Additionally, staff's flat sleep 
product data search was limited to children age 12 months or under, 
because that is typically the manufacturer-recommended use age for 
these products. One hundred and fifteen incident reports provided the 
victim's age; among them, 24 involved a fatality or injury. Table 2 
provides the age breakdown among the 183 incident reports.

                 Table 2--Age Distribution in Flat Sleep Products-Related Incidents in 2019-2020
----------------------------------------------------------------------------------------------------------------
                                                          All incidents               Injuries and fatalities
                  Age of child                  ----------------------------------------------------------------
                                                    Frequency       Percentage       Frequency      Percentage
----------------------------------------------------------------------------------------------------------------
Unreported *...................................              68              37                3              11
One-Five Months................................              89              49               19              70
Six-Eight Months...............................              18              10                4              15
Nine-Twelve Months.............................               8               4                1               4
                                                ----------------------------------------------------------------
    Total......................................             183             100               27             100
----------------------------------------------------------------------------------------------------------------
Source: CPSC epidemiological databases CPSRMS and NEISS.
* Age may be ``unreported'' under two circumstances: age was unknown, or age was not reported, because the
  incident involved no injury.

(a) Fatalities
    The Commission is aware of 11 fatalities associated with the use of 
a flat sleep product, meaning flat sleep surface products marketed for 
infant sleep that are not currently within the scope of an existing 
CPSC sleep standard or a voluntary standard, reported to have occurred 
during the period of January 1, 2019 through December 31, 2020. Seven 
of the 11

[[Page 33031]]

fatality reports describe a suffocation death, as follows:
    <bullet> A 1-month-old was found partially rolled over onto their 
side in a soft-sided compact bassinet/travel bed.
    <bullet> A 2-month-old infant was found completely rolled over the 
edge of an in-bed sleeper.
    <bullet> A 2-month-old was placed in an in-bed sleeper, in a prone 
position, stomach down, with his face turned to one side; he was 
discovered with part of his body outside the sleeper, face down into a 
blanket.
    <bullet> A 2-month-old infant was put into a compact bassinet/
travel bed placed on top of an adult bed, with one side of the compact 
bassinet/travel bed leaning against the wall. According to the official 
report, the combination of the travel bed's non-reinforced flexible 
bottom, along with the soft surface of the adult bed, allowed the 
infant to sink; he was found trapped between the bed and the wall.
    <bullet> A 3-month-old, in a handheld basket that was placed on an 
adult bed, was found completely rolled over from her original supine 
position.
    <bullet> A 4-month-old was placed on his back in an in-bed sleeper 
that was placed inside a standard bassinet; the infant was discovered 
in a prone position deceased.
    <bullet> A 7-month-old was wrapped in a blanket and placed supine 
in an in-bed sleeper. The infant was found deceased, having rolled over 
into a prone position.

The remaining four fatalities are as follows:
    <bullet> A 1-month-old was placed in an in-bed sleeper inside a 
play yard. The official reports describe the decedent as having 
suffocated on the puffy sides of the sleeper or becoming entrapped 
somehow, suffering positional asphyxia.
    <bullet> A 7-month-old was placed in an in-bed sleeper for a nap. 
According to official reports, at some point, the infant got to the 
edge of the adult bed and became entrapped between the footboard and 
the mattress of the adult bed and died of positional asphyxia.
    <bullet> Official reports deemed the cause and manner of death for 
two additional fatalities as undetermined. Both decedents were 1-month-
olds, one placed in a basket, while the other was in an in-bed sleeper.
(b) Nonfatalities
    From among the 172 nonfatal reports, CPSC identified 16 injury 
reports associated with the use of flat sleep products that occurred 
between January 1, 2019 and December 31, 2020. We describe the severity 
of the injury type among the 16 injuries below:
    <bullet> Two infants required hospital admission. An 8-day-old 
infant suffered unspecified breathing difficulties; another 2-month-old 
infant fell out of an in-bed sleeper and suffered head injuries when a 
sibling jumped onto the couch where the in-bed sleeper was situated.
    <bullet> Ten infants, ranging in age from 1 month to 9 months, 
required emergency department (ED) visits after falling out of the 
sleeper product. For most cases, the sequence of events leading to each 
fall was unreported. In two cases, the infant fell while being 
transported in the sleeper; and in another case, the sleeper slipped 
off of the adult bed on which it was placed. The injuries included head 
injuries, such as a skull fracture, closed-head injury, and head 
contusion, or other injuries, such as face abrasion and knee contusion.
    <bullet> Four other injury incidents reported an allergic reaction; 
a mold-related breathing difficulty episode; laceration of the nose on 
the rough mesh wall surface on the sleeper; and a fall when a sibling 
pulled on the sleeper, causing it to flip over. One of these infants 
required repeated visits to a medical professional, but the level of 
care the other infants received was unspecified.

The remaining 156 incidents reported no injuries, or provided no 
information about any injury. However, many of the descriptions were 
similar to incidents in which a serious injury or death occurred. 
Therefore, CPSC staff indicated the potential for a serious injury or 
even death. Forty-nine percent of the incidents involved infants 0 to 5 
months of age, and 4 percent involved infants 6 to 12 months of age. 
The age was unknown in 37 percent of the incidents.
2. Hazard Patterns
    Similar to the inclined sleep products, the hazard patterns 
reported for the flat sleep products varied according to the type and 
usage pattern of the product. Many of the products are new in the 
marketplace, and consumers and safety advocates expressed concern about 
their safety. Staff identified the hazard patterns among the 183 
reported incidents (11 fatal and 172 nonfatal) associated with the use 
of these flat sleep products. We present the staff-identified hazard 
patterns below in descending order of frequency among the reports.
    (a) Lock/Latch problems: One hundred and fifteen of the 183 reports 
(63 percent) fall in this category. All but one of these reports 
pertain to different models of a particular stand-alone compact 
bassinet. The locking/latching mechanism that controls the opening/
closing of the cover on the product failed. Some reports describe that 
the inability of the cover to open completely results in the product 
not lying flat. The single report about a different product describes a 
foldable sleeper not remaining flat; the unit reportedly folds up while 
the baby is in the product. None of the reports mention any injuries.
    (b) Comments/Concerns: Twenty-nine of the 183 reports (16 percent) 
expressed consumers' or safety advocates' concerns about the perceived 
safety hazard of a product, non-compliance with the relevant 
standard(s) for which a product is being labeled, and/or misleading 
marketing statements about a product. None of the reports indicate that 
an incident actually occurred.
    (c) Falls/Containment issues: Twelve of the 183 incidents (7 
percent) report an infant falling out of the product or an infant not 
being kept contained within the product. Examples include infants 
rolling out of a sleeper onto an adult bed and then onto floor; an 
infant falling out of a sleeper when a sibling jumped onto the couch 
containing the sleeper; an infant crawling/rolling (unwitnessed) out of 
a sleeper and getting entrapped between an adult bed frame and 
mattress. This category includes one death, one hospital admission, and 
nine ED visits.
    (d) Instability issues: Twelve of the 183 reported incidents (7 
percent) describe problems with the product not remaining stable. The 
incident reports describe some products with legs lifting up higher or 
leaning on one side; other products have slipped off or flipped over 
from the adult beds/couches on which they were resting. This category 
includes two reported injuries, one involving an ED visit.
    (e) Asphyxiation/Suffocation hazard: Nine of the 183 indents (5 
percent) fall into this category. The products were compact bassinets/
travel beds, baskets, as well as in-bed sleepers, one being used inside 
a standard bassinet and another, inside a play yard. All but one of the 
infants had rolled over from their initial position--either fully or 
partially; positional information is not available for one infant. 
Eight of the incidents were fatalities due to suffocation or positional 
asphyxia; one was a near-suffocation episode, with a parent nearby to 
rescue the infant.
    (f) Miscellaneous product-related issues: Three of the 183 incident 
reports (2 percent) are about mold or quality of the product material. 
Two of the three products were in-bed sleepers, and the third was a 
compact bassinet/travel bed. All three report an injury.

[[Page 33032]]

    (g) Undetermined issues: In three of the 183 incident reports (2 
percent), staff could not definitively identify the issue involved. Two 
of the incidents were fatalities; in both cases, CPSC Field 
investigation reports indicate that the cause of death is undetermined. 
The third incident resulted in a hospitalization due to unspecified 
breathing difficulties suffered by the infant.

C. Safety Alerts, Press Releases, and Product Recalls

    The Commission issued two safety alerts involving infant inclined 
sleep products. A May 31, 2018 safety alert \16\ advised of infant 
rollover deaths in inclined sleep products, and reminded caregivers to 
always use restraints and to stop using the product as soon as an 
infant can roll over. An April 5, 2019 safety alert \17\ advised 
consumers to stop using the inclined sleep product when an infant 
reaches 3 months of age, or as soon as an infant exhibits rollover 
capabilities. Since issuing the 2019 SNPR, the Commission issued two 
press releases regarding infant inclined sleep products. A January 16, 
2020 press release warned the public about the risk of suffocation 
associated with the Summer Infant SwaddleMe By Your Bed Sleeper, an 
infant inclined sleeper. The release advised consumers to stop using 
the product immediately.\18\ An October 31, 2020 press release warned 
consumers that infant inclined sleep products were not safe for infant 
sleep based on the results of the Mannen Study, and advised caregivers 
to stop using infant sleep products with an inclined seat back of more 
than 10 degrees.\19\
---------------------------------------------------------------------------

    \16\ https://www.cpsc.gov/content/cpsc-consumer-alert-caregivers-urged-to-use-restraints-with-inclined-sleep-products.
    \17\ https://www.cpsc.gov/Newsroom/News-Releases/2019/CPSC-ALERT-CPSC-and-Fisher-Price-Warn-Consumers-About-Fisher-Price-Rock-N-Play-Due-to-Reports-of-Death-When-Infants-Roll-Over-in-the-Product.
    \18\ https://www.cpsc.gov/Newsroom/News-Releases/2020/CPSC-Warns-Consumers-to-Stop-Using-Summer-Infant-USA-Inc-s-SwaddleMe-By-Your-Bed-Sleeper.
    \19\ https://www.cpsc.gov/Newsroom/News-Releases/2020/CPSC-Cautions-Consumers-Not-to-Use-Inclined-Infant-Sleep-Products.
---------------------------------------------------------------------------

    The Commission also conducted numerous recalls involving infant 
inclined sleep products. The 2019 SNPR stated that from May 10, 2000 to 
August 20, 2019, CPSC conducted 13 consumer-level recalls involving 
infant inclined sleep products. 84 FR at 60953-54. CPSC conducted 
recalls in response to hazards involving strangulation, suffocation, 
falls, structural stability, entrapment, exposure to mold, and death. 
Six recalls involved infant hammocks, six recalls involved infant 
inclined sleep products, and one recall involved an infant inclined 
sleep accessory included with a play yard. Id. Tab G in the October 
2019 Staff SNPR Briefing Package contains a detailed chart outlining 
recalls involving infant inclined sleep products up through August 20, 
2019.
    Since the issuance of the 2019 SNPR, CPSC conducted six additional 
recalls for a suffocation hazard involving infant inclined sleep 
products. These six recalls affected approximately 268,300 units. Tab F 
of Staff's Final Rule Briefing Package contains a chart outlining these 
recalls. CPSC did not conduct any recalls for flat sleep products from 
August 2019 through January 2021.

IV. Overview of CPSC Sleep Standards

    The final rule would require that any ``infant sleep product,'' 
defined as a product marketed or intended to provide a sleeping 
accommodation for an infant up to 5 months old, and that is not already 
subject to one of CPSC's mandatory standards for infant sleep, must 
meet the requirements of the mandatory standard for bassinets and 
cradles, 16 CFR part 1218, Safety Standard for Bassinets and Cradles, 
including conforming to the definition of a ``bassinet/cradle.'' 
Currently, the five mandatory CPSC sleep standards are: \20\
---------------------------------------------------------------------------

    \20\ Tab E of Staff's Final Rule Briefing Package contains a 
description of each CPSC sleep standard and the associated voluntary 
standard the rule is based upon.

<bullet> 16 CFR part 1218--Safety Standard for Bassinets and Cradles
<bullet> 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs
<bullet> 16 CFR part 1220--Safety Standards for Non-Full-Size Baby 
Cribs
<bullet> 16 CFR part 1221--Safety Standards for Play Yards, and
<bullet> 16 CFR part 1222--Safety Standard for Bedside Sleepers.

    The Commission considers products that fall within the scope of a 
CPSC sleep standard to generally follow safe sleep principles. 
Additionally, caregivers can expect that regulated products intended 
for infant sleep are tested for compliance to the applicable standard, 
as well as to any other applicable CPSC rule, such as lead in paint and 
lead content. Pursuant to section 14 of the CPSA, products within the 
scope of a children's product safety rule, which includes all of CPSC's 
sleep standards, must be tested for compliance to the standard by a 
CPSC-accepted third party laboratory, and such compliance must be 
certified by the manufacturer or importer of the product. Staff 
regularly participates in ASTM subcommittees for these products, and 
routinely updates incident data associated with regulated products, to 
address identified hazards through the ASTM process. If a voluntary 
standard that has been adopted by the Commission is revised to address 
identified hazards, section 104(b)(4)(B) of the CPSIA provides an 
update process, whereby the revised voluntary standard becomes the new 
mandatory standard.\21\ Additionally, section 104(b)(2) of the CPSIA 
requires the Commission to periodically review and revise rules issued 
under section 104, to ensure that such rules provide the highest level 
of safety for such products that is feasible. Table 3 summarizes CPSC 
sleep standards applicable to regulated infant sleep products.
---------------------------------------------------------------------------

    \21\ Under section 104(b)(4)(B) of the CPSIA, the organization 
must notify the Commission of a revised voluntary standard, and the 
revised standard becomes a consumer product safety standard issued 
by the Commission unless within 90 days after notification, the 
Commission determines that the revised standard does not improve the 
safety of the consumer product covered by the standard, and the 
Commission is retaining the existing consumer product safety 
standard. The revised voluntary standard will become the mandatory 
standard, effective 180 days after the Commission received 
notification of the revision (or a later date specified by the 
Commission in the Federal Register). 15 U.S.C. 2056a(b)(4)(B).

[[Page 33033]]



                        Table 3--Regulated Infant Sleep Products and Applicable Standards
----------------------------------------------------------------------------------------------------------------
                Product                          Voluntary standard                   Mandatory standard
----------------------------------------------------------------------------------------------------------------
Bassinet/Cradle.......................  ASTM F2194-16[egr]1 \22\...........  16 CFR 1218.
Full-Size Crib........................  ASTM F1169-19......................  16 CFR 1219.
Non-Full-Size Crib....................  ASTM F406-19.......................  16 CFR 1220.
Play Yard.............................  ASTM F406-19.......................  16 CFR 1221.
Bedside Sleeper.......................  ASTM F2906-13......................  16 CFR 1222.
----------------------------------------------------------------------------------------------------------------

    Some products currently marketed or intended for infant sleep are 
not regulated by one of the five existing CPSC sleep standards. 
Additionally, new products continue to enter the market for infant 
sleep, but some are also not within the scope of an existing CPSC sleep 
standard. Such products may not follow safe sleep principles, and are 
not tested for compliance to a CPSC sleep standard. These unregulated 
sleep products collectively include products such as: Infant inclined 
sleep products, in-bed sleepers, baby boxes, compact/travel bassinets 
without handles or handholds, and infant travel tents. Hand-held 
bassinet/cradles are regulated as part of 16 CFR part 1225, Safety 
Standard for Hand-Held Infant Carriers, but part 1225 does not address 
hazards associated with infant sleep. Accordingly, hand-held carriers 
are unregulated if marketed or intended for infant sleep.
---------------------------------------------------------------------------

    \22\ CPSC's mandatory standard, 16 CFR part 1218, Safety 
Standard for Bassinets and Cradles, incorporates by reference ASTM 
F2194-13, Standard Consumer Safety Specification for Bassinets and 
Cradles, with modifications to make the standard more stringent. In 
2016, ASTM revised the voluntary standard to include the 
modifications set forth in the mandatory standard. Accordingly, ASTM 
F2194-16[egr]1 is substantially similar to the mandatory standard, 
and we assess this version of the voluntary standard in this 
preamble, to simplify our analysis.
---------------------------------------------------------------------------

    The final rule seeks to address hazards associated with infant 
sleep products, both inclined and flat. Products that already meet a 
CPSC sleep standard are, by definition, outside the scope of the rule. 
The final rule addresses hazards associated with infant sleep products 
by requiring them to meet the requirements of the bassinet and cradle 
standard, 16 CFR part 1218, including conforming to the definition of a 
``bassinet/cradle.''

V. Voluntary Standards Overview--ASTM F3118 and ASTM F2194

A. Infant Inclined Sleep Products--ASTM F3118

1. History
    As a result of incidents associated with the use of inclined sleep 
products, the Commission directed CPSC staff to work with ASTM to 
develop voluntary requirements to address the hazard patterns related 
to the use of inclined sleep products. ASTM first approved ASTM F3118 
on April 1, 2015, and published it in May 2015. Through the ASTM 
process, CPSC staff consulted with manufacturers, retailers, trade 
organizations, laboratories, consumer advocacy groups, consultants, and 
members of the public. The current standard, ASTM F3118-17a, was 
approved on September 1, 2017, and published in October 2017. This is 
the fourth revision of the standard since it was first published in May 
2015. ASTM F3118-17a states that it is intended to address hazards from 
falls, positional asphyxiation, and obstruction of nose and mouth by 
bedding.
2. Description
    The 2017 NPR described the key provisions of ASTM F3118-17, 
including: Scope, terminology, general requirements, performance 
requirements, test methods, marking and labeling, and instructional 
literature. 82 FR at 16967. The 2019 SNPR proposed to incorporate by 
reference the most recent version of the voluntary standard, ASTM 
F3118-17a, which is substantially the same as ASTM F3118-17, except 
that the ``accessory'' definition was updated to match the modification 
recommended in the 2017 NPR. Like the previous version, ASTM F3118-17a 
describes the scope of the voluntary standard, defines terms for 
various types of infant inclined sleep products, and sets out 
requirements for performance (such as for structural integrity and 
stability) and for warnings and instructions. As discussed elsewhere in 
this preamble, CPSC's final rule makes substantial modifications to 
ASTM F3118-17a.
3. CPSC Staff's Work Within the ASTM Process
    CPSC staff's work on the infant inclined sleep product voluntary 
standard arose from staff's work through the ASTM process on the 
voluntary standard for bassinets and cradles in approximately 2011, in 
preparation for a proposed rule on bassinets and cradles. ASTM began 
developing the infant inclined sleep products voluntary standard to 
address hammocks and inclined sleep products, whose product 
characteristics at that time did not appear to align with bassinets, 
because the bassinets standard requires a sleep surface of 10 degrees 
or less, while the inclined product category at that time included 
products with an incline of 10 to 30 degrees. Staff has been actively 
participating in the development of the voluntary standard for inclined 
sleep products since then.
    CPSC staff participated in the ASTM process by attending 
meetings,\23\ working on task groups, commenting on ballots,\24\ and 
providing incident data. CPSC staff provided incident data and hazard 
pattern analysis associated with inclined sleep products for the 2017 
NPR and the 2019 SNPR, and updated this information in this final rule 
preamble. Additionally, staff last provided ASTM with incident data 
associated with inclined sleep products in May 2018.
---------------------------------------------------------------------------

    \23\ Meeting logs detailing CPSC's work with ASTM on the infant 
inclined sleep product voluntary standard can be found here: https://www.cpsc.gov/Newsroom/FOIA/ReportList?field_nfr_date_value%5Bvalue%5D%5Bmonth%5D=&field_nfr_date_value_1%5Bvalue%5D%5Byear%5D=&field_nfr_type_value=meeting&title=incline&=Apply.
    \24\ CPSC staff's correspondence with ASTM since issuing the 
2017 NPR regarding these products can be found on 
www.regulations.gov under supporting materials: https://www.regulations.gov/docket/CPSC-2017-0020/document?documentTypes=Supporting%20%26%20Related%20Material.
---------------------------------------------------------------------------

    Since the SNPR published on November 12, 2019, ASTM has not updated 
ASTM F3118-17a to address hazards associated with inclined products. 
Staff's SNPR Briefing Package was posted on the Commission's website on 
October 16, 2019, before ASTM held fall meetings on voluntary standards 
for juvenile products, and before the Commission voted on the SNPR, so 
that ASTM members and other stakeholders could review the package, 
including the Mannen Study, before the ASTM meetings, and so that staff 
could discuss the package and the Mannen Study with ASTM members. The 
ASTM Agenda for Infant Inclined Sleep Products meeting that occurred on 
October 21, 2019, included a link to Staff's SNPR Briefing Package. 
CPSC staff discussed the 2019 SNPR Briefing

[[Page 33034]]

Package at the ASTM meetings in October 2019, including the ASTM 
subcommittees for infant inclined sleep products, in-bed sleepers, and 
bassinets, discussing the Mannen Study findings, as well as addressing 
the fact that flat sleep products were covered by the SNPR. Dr. Mannen 
attended the subcommittee meeting for infant inclined sleep products 
via telephone, to discuss the Mannen Study and to answer questions.
    After the SNPR published in the Federal Register on November 12, 
2019, CPSC staff urged the ASTM subcommittee for ASTM F3118 to meet and 
discuss how to address issues presented in the 2019 SNPR. However, the 
F3118 subcommittee did not meet again until August 26, 2020, following 
a July 16, 2020 letter from CPSC staff.\25\ After staff's letter, the 
ASTM F3118 subcommittee established a task group to revise the infant 
inclined sleep standard's title, introduction, and scope, to be more in 
line with the proposal in the 2019 SNPR. In December 2020, the ASTM 
subcommittee introduced ballot F15-18 (20-1) to change the standard's 
title, introduction, and scope to include all infant sleep products 
(and not just inclined sleep products). The ballot sought to:
---------------------------------------------------------------------------

    \25\ Available at: https://www.cpsc.gov/s3fs-public/IISPLettertoASTM-07162020.pdf?6ntZUkyau.r2mlrQnM31s0B3g1EkUg.9.

<bullet> Remove the word ``inclined'' throughout the standard.
<bullet> Include in the scope, products intended for infants up to 12 
months old.
<bullet> Include in the scope, products marketed or intended to provide 
sleeping accommodations.
<bullet> Change the scope to include all infant sleep products that do 
not fall within the scope of an existing infant sleep product standard:
    [ssquf] Full-Sized Cribs (F1169)
    [ssquf] Bassinets (F2194)
    [ssquf] Bedside Sleepers (F2906)
    [ssquf] Non-Full-Size Cribs/Play Yards (F406)
<bullet> Exempt crib mattresses from the scope of the standard.
<bullet> Limit the sleep surface in all positions to be 10 degrees or 
less.

However, in January 2021, the ballot did not pass due to six negative 
votes. The negative votes objected to a variety of different aspects of 
the ballot, including four broad categories:
    1. That the proposal would discourage innovation and be too broad;
    2. That the ballot appeared to allow products that fall under other 
sleep standards to opt to meet ASTM F3118 instead;
    3. That the voter could not support changing the title, 
introduction, and scope without seeing the underlying requirements; and
    4. Editorial comments.
    The ASTM F3118 subcommittee discussed the ballot results at a 
meeting on January 27, 2021. During this meeting, ASTM members 
disagreed on the intent and consequences of changes to the voluntary 
standard, and the meeting ended without a consensus on a path forward. 
However, CPSC staff participates on an ASTM task group to review safe 
sleep requirements across infant sleep product standards (the 
comparison task group), and reports that this task group has met at 
least four times since the January 27, 2021 meeting. Based on the 
ballot results and the discussions in these ASTM meetings, staff 
advises that it is unlikely that ASTM will be able to move forward with 
changes to ASTM F3118 that address safe sleep requirements in the near 
term.\26\
---------------------------------------------------------------------------

    \26\ The ASTM task group approach is different than CPSC's 
approach in this final rule, because ASTM is attempting to put safe 
sleep requirements in ASTM F3118, rather than rely on the 
performance and labeling requirements in the bassinets and cradles 
standard. The Commission determines in this final rule that the 
performance and labeling requirements in the bassinet standard are 
the minimum safe sleep requirements for infant sleep products. Thus, 
it remains unclear whether ASTM's approach can be successful. 
However, if the ASTM committee revises ASTM F3118-17a and notifies 
the Commission, the staff will evaluate the revised voluntary 
standard at that time.
---------------------------------------------------------------------------

    Recently, on April 22, 2021, at an ASTM task group meeting on the 
title, introduction, and scope of the voluntary standard, task group 
members discussed balloting the proposed regulatory text in the 2019 
SNPR for the voluntary standard, to prevent the sale of infant inclined 
sleep products that purport to certify to ASTM F3118-17a, meaning 
products with an incline above 10 degrees, while ASTM works to revise 
the voluntary standard to be more in line with the 2019 SNPR. However, 
the task group does not plan to ballot the 2019 SNPR requirement that 
infant sleep products meet the requirements of the bassinet standard, 
because ASTM is working to create minimum safe sleep requirements in a 
revised ASTM F3118 standard. Staff is participating in this effort as 
well, but staff has advised the task group that staff's expertise does 
not suggest that requirements that are different and less stringent 
than the requirements in the bassinet standard will adequately address 
the risk of injury associated with infant sleep products. Additionally, 
staff's conclusion that the Safety Standard for Bassinets and Cradles 
contains the minimum safe sleep requirements for these products is 
supported by the assessment presented in Staff's Final Rule Briefing 
Package and in this final rule.

B. Bassinets and Cradles--ASTM F3194

1. History and Description
    The voluntary standard for bassinets and cradles, ASTM F2194, was 
first approved and published by ASTM in 2002, as ASTM 2194, Standard 
Consumer Safety Specification for Bassinets and Cradles. The voluntary 
standard was revised several times between 2002 and CPSC's promulgation 
of a mandatory standard for bassinets in 2013. CPSC's mandatory 
standard for bassinets and cradles, codified at 16 CFR part 1218, 
incorporates by reference ASTM F2194-13, with the following 
modifications to the voluntary standard:
    1. Clarify the scope of the standard to include multi-mode products 
in which a mode meets the definition of a ``bassinet/cradle'' (seat 
incline is 10 degrees or less from horizontal)
    2. Modify the stability test procedure to require the use of a 
newborn CAMI dummy, rather than an infant CAMI dummy.
    3. Add stability requirements for removable bassinet beds.
    4. Add more stringent mattress flatness performance requirements to 
limit measured angle to 10 degrees (versus 14 degrees allowed in ASTM 
F2194-13).
    5. Exempt bassinets that are less than 15 inches across from the 
mattress flatness requirement.
    In 2016, ASTM approved and published the most recent version of the 
standard, ASTM F2194-16[egr]1, with new requirements to bring the 
voluntary ASTM standard in line with the mandatory standard for 
bassinets in 16 CFR part 1218. In developing ASTM F2194-16[egr]1, ASTM 
harmonized the voluntary standard with all modifications specified in 
part 1218. In addition to including all modifications contained in part 
1218, ASTM added:
    1. Additional clarification that strollers with a removable 
bassinet must be tested to the bassinet standard,
    2. Minor formatting and editorial changes, and
    3. An additional warning statement to be applied to bassinet bed 
products that are removable from the base/stand without the use of 
tools and that contain a lock/latch mechanism that secures the bassinet 
bed to the base/stand.

Staff assessed the additional changes to the voluntary standard, beyond 
harmonization with 16 CFR part 1218,

[[Page 33035]]

and advises that the changes are either non-substantive, or an 
improvement in safety. We evaluate and discuss ASTM F2194-16[egr]1 in 
this preamble to the final rule, and CPSC will update the reference in 
part 1218 to ASTM F2194-16[egr]1 as soon as feasible.
    The more significant requirements of ASTM F2194 include:
    <bullet> Scope--describes the types of products intended to be 
covered under the standard.
    <bullet> Spacing of rigid-side components--is intended to prevent 
child entrapment between both uniformly and non-uniformly spaced 
components, such as slats.
    <bullet> Openings for mesh/fabric--is intended to prevent the 
entrapment of children's fingers and toes, as well as button 
ensnarement.
    <bullet> Static load test--is intended to ensure structural 
integrity even when a child three times the recommended (or 95th 
percentile) weight uses the product.
    <bullet> Stability requirements--is intended to ensure that the 
product does not tip over when pulled on by a 2-year-old male.
    <bullet> Sleeping pad thickness and dimensions--is intended to 
minimize gaps and the possibility of suffocation due to excessive 
padding.
    <bullet> Tests of locking and latching mechanisms--is intended to 
prevent unintentional folding while in use.
    <bullet> Suffocation warning label--is intended to help prevent 
soft bedding incidents.
    <bullet> Fabric-sided openings test--is intended to prevent 
entrapments.
    <bullet> Rock/swing angle requirement--is intended to address 
suffocation hazards that can occur when latch/lock problems and 
excessive rocking or swinging angles press children into the side of 
the bassinet/cradle.
    <bullet> Occupant restraints--is intended to prevent incidents 
where unused restraints have entrapped and strangled children.
    <bullet> Side height requirement--is intended to prevent falls.
    <bullet> Segmented mattress flatness--is intended to address 
suffocation hazards associated with ``V'' shapes that can be created by 
the segmented mattress folds.
    The voluntary standard also includes: (1) Torque and tension tests 
to prevent components from being removed; (2) requirements for several 
bassinet/cradle features to prevent entrapment and cuts (minimum and 
maximum opening size, small parts, hazardous sharp edges or points, and 
edges that can scissor, shear, or pinch); (3) requirements for the 
permanency and adhesion of labels; (4) requirements for instructional 
literature; and (5) corner post extension requirements intended to 
prevent pacifier cords, ribbons, necklaces, or clothing that a child 
may be wearing from catching on a projection. 78 FR 63019, 63020-21 
(Oct. 23, 2013).
2. CPSC Staff's Work Within the ASTM Process
    CPSC has been working with ASTM on the voluntary standard for 
bassinets and cradles since before publication of the original 
voluntary standard in 2002. CPSC began rulemaking under section 104 of 
the CPSIA, to create a mandatory standard for bassinet and cradles 
based on the voluntary standard, in approximately 2009, following 
passage of the CPSIA. CPSC issued a notice of proposed rulemaking in 
2010 (75 FR 22303 (Apr. 28, 2010)), a supplemental notice of proposed 
rulemaking in 2012 (77 FR 64055 (Oct. 18, 2012)), and a final rule in 
2013 (78 FR 63019 (Oct. 28, 2013)). The final rule is codified at 16 
CFR part 1218, Safety Standard for Bassinets and Cradles. The final 
rule incorporated by reference the then-current voluntary standard, 
ASTM F2194-13, with modifications to make the standard more stringent.
    CPSC staff has continually participated in the ASTM process, 
including attending subcommittee meetings,\27\ participating in task 
groups,\27\ commenting and voting on ballots to revise the voluntary 
standard,\28\ and providing incident data, when requested. This has 
included ASTM's recent efforts to address hazards associated with 
currently unregulated flat sleep products, such as compact bassinets, 
baby boxes, and in-bed sleepers, since approximately 2015. ASTM has not 
yet been successful in adding any of these flat sleep products to the 
bassinet standard.
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    \27\ CPSC meeting logs associated with staff's work with ASTM 
can be found here: https://www.cpsc.gov/Newsroom/FOIA/ReportList?field_nfr_date_value%5Bvalue%5D%5Bmonth%5D=&field_nfr_date_value_1%5Bvalue%5D%5Byear%5D=&field_nfr_type_value=meeting&title=bassinet&=Apply.
    \28\ CPSC correspondence with the ASTM Subcommittee for 
Bassinets and Cradles can be found here: https://cpsc.gov/s3fs-public/VoteCommentToASTMBassinet_10162020.pdf?NbTgq8p5FBJ12mr1IAQeG0weJUDh_6ZI.
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    CPSC staff's correspondence with ASTM states that staff is opposed 
to removing or reducing the requirements of the bassinet and cradle 
voluntary standard to create new requirements specifically for these 
products, when such requirements are inconsistent with safe sleep 
principles already required in the bassinet standard. Accordingly, for 
example, in a December 12, 2019 letter to both the inclined sleep and 
bassinet subcommittees, CPSC staff reiterated concerns with weakening 
the safe sleep requirements in the voluntary standard for bassinets and 
cradles in order to accommodate unregulated products, such as in-bed 
sleepers, compact bassinets, and baby boxes.\29\ Additionally, on 
October 16, 2020, staff voted negatively on an ASTM ballot to modify 
the bassinet standard to include less stringent stability and side 
height requirements for compact bassinets, versus traditional 
bassinets.\30\ To ensure safe sleep, staff's negative ballot vote urged 
ASTM to maintain the same side height and stability requirements for 
compact bassinets that are required of bassinets.
---------------------------------------------------------------------------

    \29\ Available at: https://www.cpsc.gov/s3fs-public/LetterToASTMBassinet_IISP_121219.pdf?uMq_ImMYhtrDmFkoDH9I6vdwNI0hsm00
.
    \30\ Available at: https://www.cpsc.gov/s3fs-public/VoteCommentToASTMBassinet_10162020.pdf?NbTgq8p5FBJ12mr1IAQeG0weJUDh_6ZI. CPSC's website, at https://www.cpsc.gov/Regulations-Laws--Standards/Voluntary-Standards, contains information on staff 
activities as well as correspondence with voluntary standards 
organizations.
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    In June 2019, ASTM began to develop a separate in-bed sleeper 
voluntary standard. Staff provided data to ASTM regarding in-bed 
sleepers in 2017, and has participated in ASTM meetings for in-bed 
sleepers since June 2019, as well as working with performance and 
labeling task groups.\31\ Task groups working on the in-bed sleeper 
standard have been unable to reach consensus on performance 
requirements for in-bed sleepers, and have been focusing on developing 
warning labels for these products. CPSC staff continues to participate 
in all of these ASTM efforts, and to urge ASTM members to retain safe 
sleep principles in standards development. For example, in a July 8, 
2020 letter to the Subcommittee Chairman for ASTM's in-bed sleeper 
committee, CPSC staff stated:
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    \31\ Meeting logs describing ASTM meetings are available on 
CPSC' website: https://www.cpsc.gov/Newsroom/FOIA/ReportList?field_nfr_date_value%5Bvalue%5D%5Bmonth%5D=&field_nfr_date_value_1%5Bvalue%5D%5Byear%5D=&field_nfr_type_value=meeting&title=in-bed&=Apply.

    We would like to be clear that based on our evaluation of 
incident data related to in-bed sleepers, we have great concerns 
regarding the safety of in-bed sleepers and the feasibility of 
developing any safety standard that fully addresses potential 
hazards. Based on the 12 deaths discussed with the In-bed Sleeper 
Data Task Group members, CPSC staff cannot foresee how these 
products can be designed and regulated to ensure safe use for 
infants. Staff is not confident that an in-bed sleeper voluntary 
standard that differs

[[Page 33036]]

from the current bassinet standard will result in a safe sleep 
product.\32\
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    \32\ See July 8, 2020 Letter from C. Kish to ASTM Subcommittee 
for In-bed Sleepers, available at: https://www.cpsc.gov/s3fs-public/InbedSleepers_07082020ASTM%20Letter.pdf?3SpzS3cG3zvPjCLFamcCz.9FxNjpUu2s.
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VI. Assessment of the Voluntary Standards To Address Identified Hazard 
Patterns Associated With Infant Sleep Products

A. Inclined Sleep Products

    The 2019 SNPR assessed the adequacy of ASTM F3118-17a to address 
the risk of injury associated with inclined sleep products. 84 FR 
60955-56. The assessment relied, in part, on the Mannen Study regarding 
the safety of inclined sleep surfaces for infant sleep, attached as Tab 
B to Staff's SNPR Briefing Package, and also summarized in the 2019 
SNPR. Id. at 60954. Based on the Mannen Study, CPSC staff advised that 
a flat sleep surface, meaning one that does not exceed 10 degrees from 
the horizontal, is the safest sleep surface for infants. Id. 
Accordingly, the Commission proposed in the 2019 SNPR to remove the 
term ``inclined'' in CPSC's mandatory standard, and to require that all 
sleep products not otherwise subject to a CPSC sleep standard (full-
size cribs, non-full-size cribs, play yards, bedside sleepers, and 
bassinets and cradles), meet the requirements of 16 CFR part 1218, 
Safety Standard for Bassinets and Cradles, which, among other 
requirements, mandates a seat back/sleep surface angle intended for 
sleep to be 10 degrees or less from horizontal. Id.
    Here, we summarize the results of the Mannen Study again, summarize 
the assessment of ASTM F3118-17a in the 2019 SNPR, and update our 
assessment to determine whether the voluntary standards, ASTM F3118-
17a, or ASTM F2194-16[egr]1, are adequate to address the incidents 
associated with inclined sleep products, including the 71 new incidents 
reported since the 2019 SNPR.
    Based on the following analysis, the Commission determines that 
ASTM F3118-17a is inadequate to address the risk of injury associated 
with inclined sleep products, and that more stringent requirements are 
necessary in the final rule to further reduce the risk of injury 
associated with infant inclined sleep products. Specifically, the 
Commission determines that the performance requirements in the 
mandatory standard, 16 CFR part 1218, Safety Standard for Bassinets and 
Cradles, would adequately address the risk of injury associated with 
these products.
1. Mannen Study Summary
    During the development of the 2019 SNPR, staff reviewed 450 
incidents, 59 were deaths that occurred while in infant inclined sleep 
products. Commission staff contracted with Dr. Erin Mannen, Ph.D., a 
mechanical engineer with a biomechanics specialization, to conduct 
infant testing to evaluate the design of inclined sleep products. The 
Mannen Study examined how the degree of a seatback angle affects an 
infant's ability to move within the products and whether those designs 
directly impact safety or present a risk factor that could contribute 
to the suffocation of an infant. The testing compared infants' muscle 
movement and oxygen saturation on a flat crib mattress at 0 degrees, 10 
degrees, and 20 degrees, versus seven different inclined sleep 
products. The Mannen Study concluded that none of the inclined sleep 
products tested were safe for infant sleep. Id.
    The Mannen Study concluded that muscle activity for infants who 
rolled over in inclined sleep products with a 20-degree incline sleep 
surface was significantly different than in products with a zero-degree 
incline surface. The increased demand on the abdominal muscles could 
lead to increased fatigue and suffocation if an infant is unable to 
reposition themselves after rolling from a supine to prone position. 
The Mannen Study also concluded that inclined sleep products with a 10-
degree or less sleep surface incline do not significantly impact infant 
motion or muscle activity. Based on the Mannen Study, staff recommended 
that 10 degrees is the maximum sleep surface angle that should be 
allowed for any product intended for infant sleep, similar to the 
requirements found in the EN 1130:2019 children's cribs, EN 1466:2014 
carry cots, and the AS/NZS 4385:96 infant rocking cradles international 
standards. Id.
2. Hazard Pattern Categories
    In the 2019 SNPR, CPSC reviewed 451 reported incidents involving 
inclined sleep products, which included 59 fatalities and 96 injuries. 
CPSC identified seven hazards that involved deaths and injuries (for 
this analysis, we did not consider patterns, such as consumer comments, 
that did not involve injuries or deaths):
    <bullet> Design issues (31 percent). This hazard involved 19 
deaths, 17 resulting from infants rolling over into a prone (face down) 
position. An additional 71 injuries were reported in this category, 
including five hospitalizations and four emergency department visits. 
Thirty-three percent of the reported incidents involved infants rolling 
from their original supine (on their back) position.
    <bullet> Electrical issues (28 percent). This hazard involved no 
deaths and two reports of injuries.
    <bullet> Undetermined (8 percent). This hazard involved 28 deaths 
and six injuries. Among the 28 deaths, staff was unable to determine 
the product's role, but often unsafe sleep environment was cited as a 
co-contributing condition to sudden infant death syndrome (SIDS).
    <bullet> Structural Integrity (6 percent). This hazard involved no 
deaths and two injuries.
    <bullet> Insufficient information (4 percent). This hazard involved 
eight deaths and six injuries. The reports did not provide information 
on the circumstances of deaths and injuries involved unspecified falls.
    <bullet> Other Product-Related Issues (3 percent). This hazard 
involved no deaths and nine injuries. The category includes reports of 
instability (product tipping over) and inadequacy of restraints, and 
most of the injuries involved falls.
    <bullet> Infant placement issues (1 percent). This hazard involved 
four deaths and no injuries. Three of the four deaths involved infants 
placed in a prone position.

Id. at 60952-53.

    Since the 2019 SNPR, CPSC received a total of 71 new incident 
reports related to inclined sleep products. While the distribution of 
the data in this update varies somewhat, staff advises that the broader 
hazard categories are very similar. The 71 new reports included 10 
fatalities and 17 injuries. Of the 10 fatalities, three deaths involved 
an infant who rolled from a supine position, one death involved an 
overturned sleeper, one death involved an infant placed with a blanket, 
and five deaths without reports containing information on the 
circumstances of the death. Of the 17 injuries 12 involved design 
issues, two involved structural integrity, and two involved unspecified 
falls.
3. Assessment of ASTM Standards in Addressing Hazards
    Below we summarize the hazard patterns associated with deaths and 
injuries from all 522 incident reports related to inclined sleep 
products CPSC received and reviewed since the 2017 NPR. CPSC did not 
consider patterns, such as consumer comments, that did not involve 
injuries or deaths. The 522 incidents involved 69 deaths and 113 
injuries. We assesses the adequacy of the voluntary standard for infant

[[Page 33037]]

inclined sleep products (ASTM F3118) and the adequacy of the voluntary 
standard for bassinets (ASTM F2194) in addressing hazards associated 
with injuries and deaths.
    In the 2019 SNPR, CPSC determined that the voluntary standard for 
infant inclined sleep products, ASTM F3118-17a, is inadequate to 
address the risk of injury associated with the incline of sleep 
products, because the standard allows for products with a seatback 
angle greater than 10 degrees. Id. at 60955-56. The majority of deaths 
(in which the circumstances were known) were due to suffocation after 
the infant rolled over in the product, and the same hazard pattern was 
reported in nonfatal incidents. For the mandatory standard, CPSC 
proposed to modify ASTM F3118-17a to limit the seatback angle for all 
infant sleep products to 10 degrees or less, and to replace the 
performance requirements with the performance requirements in 16 CFR 
part 1218, Safety Standard for Bassinets and Cradles, which 
incorporates by reference ASTM F2194-13 Standard Consumer Safety 
Specification for Bassinets and Cradles, with modifications. With the 
modifications in the mandatory standard, the standard is substantially 
similar to ASTM F2194-16[egr]1, which we use for the assessment here.
(a) Hazard: Design Issues
    When combining the data from the 2019 SNPR with new incident data 
received since the SNPR, the ``design issues'' hazard is associated 
with 22 deaths and 83 injuries. At least 20 deaths involved infants 
rolling into a prone position (face down) and suffocating. More than 
one-third of the incidents also reported that infants rolled over--
fully or partially--from their original supine (on their back) 
position.
    In the 2019 SNPR, we concluded that a flat sleeping surface that 
does not exceed 10 degrees from horizontal offers infants the safest 
sleep environment. This conclusion was based on findings from the 
Mannen Study. 84 FR at 60955-56. Although some comments to the 2019 
SNPR stated that more testing should be done to determine if the 
maximum angle for safe sleep may be between 10 degrees to 20 degrees, 
the Mannen Study suggested if future work were done on safe sleep 
angles, one area of study would be additional biomechanical testing to 
determine ``which, if any, angles between 10- and 20-degrees may be 
safe for infant sleep.''
    The Mannen Study recommendations do not imply that an incline angle 
between 10 and 20 degrees may be safe for infant sleep, merely that if 
higher angles are considered, additional biomechanical testing is 
required. The Mannen Study also stated that its testing of awake 
infants was a limitation because ``while the muscle use and motion may 
be similar, it is likely that infants who find themselves in a 
compromised position in an inclined sleep product during a nap or 
overnight sleep may not have enough energy or alertness to achieve 
self-correction and may succumb to suffocation earlier or more easily 
than infants who are fully awake.''
    Given the vulnerability of newborn infants and infant fatalities 
who were most likely asleep at the time of incidents in inclined 
products, we conclude that additional research of inclines above 10 
degrees is unnecessary for the final rule. Based on the biomechanical 
results of the Mannen Study, and its conclusion that 10 degrees is 
likely a safe incline for infant sleep, which supports the 10 degrees 
stated in the scope of ASTM F2194-16[egr]1, the Commission concludes 
that 10 degrees is the maximum sleep surface angle that should be 
allowed for any product intended for infant sleep for young infants up 
to 5 months old. Additionally, other research \33\ has demonstrated a 
discernable difference in infant ability between 5, 7, and 10 degrees 
in a side-to-side tilt, which formed the basis of the 7-degree maximum 
sleep surface angle in Health Canada's regulations. Staff advises that 
additional research at angles higher than 10 degrees is unlikely to 
alter their assessment that 10 degrees is the maximum safe incline for 
infant sleep.
---------------------------------------------------------------------------

    \33\ Beal SM, Moore L, Collett M, Montgomery B, Sprod C, Beal A. 
The danger of freely rocking cradles. J Paediatr Child Health. 1995 
Feb;31(1):38-40. doi: 10.1111/j.1440-1754.1995.tb02910.x. PMID: 
7748688.
---------------------------------------------------------------------------

    The current voluntary standard for infant inclined sleep products, 
ASTM F3118-17a, defines an ``inclined sleep product,'' in part, as 
having a seatback angle greater than 10 degrees and not exceeding 30 
degrees. Based on the Mannen Study and the other factors discussed 
above, we conclude that ASTM F3118-17a does not adequately address the 
risk of injury related to a sleep surface incline greater than 10 
degrees, because the voluntary standard does not limit the sleep 
surface to a safe incline angle. In comparison, the voluntary standard 
for bassinets, ASTM F2194-16[egr]1, defines a sleep surface as being 
less than or equal to 10 degrees, and includes performance requirements 
for mattress flatness that limit measured angles to 10 degrees or 
less.\34\ Therefore, for the mandatory standard specified in this final 
rule, with respect to sleep surfaces, all infant sleep products, 
including inclined sleep products, must meet the more stringent sleep 
surface angle requirement of the voluntary standard for bassinets, ASTM 
F2194-16[egr]1, as codified in 16 CFR part 1218, to further reduce the 
risk of death from suffocation.
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    \34\ In the final rule for bassinets, the Commission stated they 
intended to limit the scope of the bassinet standard to exclude all 
inclined products ``when the incline is more than 10 degrees from 
horizontal.'' 78 FR 63,021.
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(b) Hazard: Undetermined Product Issue
    This hazard category is associated with 28 deaths and six injuries. 
Among the 28 deaths and six injuries, staff was unable to determine the 
product's role. Without information on the product's role in deaths or 
injuries, we are unable to assess whether the voluntary standard for 
infant inclined sleep, ASTM F3118-17a, or the voluntary standard for 
bassinets, ASTM F2194-16[egr]1, would adequately address the hazards in 
this category.
(c) Hazard: Insufficient Information
    This hazard category is associated with 13 deaths and eight 
injuries. The reports did not provide information on the circumstances 
of deaths and injury reports involving unspecified falls. Without 
information on the circumstances of deaths or injuries, staff is unable 
to assess if the voluntary standard for infant inclined sleep, ASTM 
F3118-17a, or the voluntary standard for bassinets, ASTM F2194-
16[egr]1, would adequately address the hazards in this category. Falls 
are discussed in more detail in ``Other Product-Related Issues,'' 
below.
(d) Hazard: Infant Placement
    This hazard category is associated with five deaths and no 
injuries. Three of the deaths involved infants placed in a prone 
position, and one death involved an infant placed in a supine position 
with a blanket covering the face. Based on the Mannen study, sleep 
surfaces with a 20-degree incline significantly increased the demand on 
abdominal muscles and could lead to increased fatigue and suffocation 
if an infant is unable to reposition themselves after rolling from a 
supine to prone position. In three of the deaths in this hazard 
category, the infant was placed in the prone position and the inclined 
sleep surface may have contributed to suffocation if the angle of the 
sleep surface led to fatigue that prevented the infant from rolling to 
a supine position.

[[Page 33038]]

    While infants can die in flat products when placed to sleep in the 
prone position, based on the Mannen Study, an inclined surface could 
further contribute to deaths in the prone position. A sleep surface 
limited to a 10-degree or less incline, as required in the bassinet 
standard (ASTM F2194-16[egr]1), could reduce the risk of injury 
associated with the prone position, when compared to an inclined sleep 
product. Therefore, with respect to sleep surfaces, for the mandatory 
rule, all infant sleep products, including inclined sleep products, 
must meet the more stringent sleep surface angle requirement of the 
voluntary standard for bassinets, ASTM F2194-16[egr]1, as set forth in 
16 CFR part 1218, to further reduce the risk of death from suffocation.
(e) Hazard: Other Product-Related Issues (Instability, Restraints, 
etc.)
    This hazard category includes reports of instability (product 
tipping over) and containment; the category is associated with one 
death and nine injuries. One death occurred when a foam-type reclined 
product tipped over and fell from the adult bed to the floor, trapping 
the infant underneath. Most of the injuries involved falls and at least 
10 reports (with no injury reported) related to nearly or completely 
flipped over products.
    The death, and most likely the injuries, relate to the stability of 
the product and how easy it is to tip the product over into a hazardous 
situation. The voluntary standard for infant inclined sleep products, 
ASTM F3118-17a, includes two stability performance requirements that 
apply to ``Compact Inclined Sleep Products'' and ``Infant or Newborn 
Inclined Sleep Products.'' For the ``Compact Inclined Sleep Products,'' 
the product must remain upright when placed on a 20-degree inclined 
test platform. For the ``Infant or Newborn Inclined Sleep Products,'' a 
23-lb. vertical force and 5-lb. horizontal force are applied to the 
product's side with a newborn CAMI dummy occupant to simulate an older 
sibling pulling up on the side to view the infant in the bassinet, and 
the product must remain upright containing the CAMI dummy. The 
``Compact Inclined Sleep Products'' are exempt from the 23- and 5-pound 
force requirements, with the rationale that the compact products are 
intended to sit on a floor and are unlikely to have an older sibling 
attempt to pull up to see the infant inside.
    The current voluntary standard for bassinets, ASTM F2194-16[egr]1, 
includes an identical stability requirement that applies a 23-lb. 
vertical force and a 5-lb. horizontal force to the product with a 
newborn CAMI dummy occupant, and this requirement applies to all 
products; it does not provide exemptions for ``Compact Inclined Sleep 
Products'' to meet only the less stringent 20-degree inclined test 
platform test. The rationale in ASTM F2194 states the dual application 
of forces simulates a 2-year-old male pulling on the side of the 
product; staff advises that sibling interaction is a reasonable 
scenario which may cause the product to tip over. Due to the 
portability of some of the unregulated compact sleep products, incident 
data confirm that the products are used on raised surfaces from which 
infants and product may fall. Therefore, regarding the product's 
stability, in the final rule, all infant sleep products, including 
inclined products, must meet the more stringent stability requirement 
of the voluntary standard for bassinets, ASTM F2194-16[egr]1, as 
codified in 16 CFR part 1218, to further reduce the risk of injury from 
tip over of the product.
(f) Hazard: Structural Integrity
    This hazard category includes reports of some component failures on 
the product such as buckles/straps, hardware coming loose, hub/rail/leg 
coming loose, or other unspecified components breaking. This hazard 
category involved no deaths and four injuries. All injuries were 
related to falls, and include one hospitalization and three emergency 
department visits.
    The voluntary standard for infant inclined sleep products, ASTM 
F3118-17a, includes performance requirements to assess the integrity of 
inclined sleep products. The requirements specify a dynamic test in 
which an 18-lb. load, consisting of a 6- to 8-inch steel shot bag, is 
dropped 50 times from a height of 1.0 inch onto the seat surface. The 
requirements also specify a static test in which a 50-lb. load or three 
times the product's maximum recommended weight, whichever is greater, 
is gradually applied through a 6-inch square wooden block to the seat 
surface for 60 seconds. The current voluntary standard for bassinets, 
ASTM F2194-16[egr]1, has a performance requirement to address 
structural integrity that specifies a static load test that applies a 
54-lb. load or three times the manufacturer's recommended weight, 
whichever is greater, through a 6-inch aluminum block to the sleep 
surface for 60 seconds. The rationale in ASTM F2194 states 54 lbs. is 
three times the weight of the 95th percentile of a 3- to 5-month-old 
infant.
    Although the voluntary standard for infant inclined sleep products, 
ASTM F3118-17a, requires a dynamic test for structural integrity, its 
effectiveness in evaluating the product's strength is minimal, compared 
to the static test. The load in the dynamic test being one-third of the 
static load, the low drop height, short test timeframe, and presence of 
energy-absorbing material (shot bag and flexible product material), 
combine to minimize the effect of this test on the product's structural 
integrity. In contrast, the static test applies a much larger load, 
three times the heaviest infant in the product, with a rigid applicator 
applied continuously for 60 seconds. Therefore, staff advises that the 
static test is the more stringent evaluator of product integrity than 
the dynamic test.
    The static load in ASTM F2194-16[egr]1 is 54 lbs., which is a more 
stringent load compared to the static load of 50 lbs. in ASTM F3118-
17a. Therefore, to further reduce the risk of injury associated with 
structural defects, for the final rule, the Commission concludes that 
the static load test in ASTM F2194 is adequate to assess structural 
integrity of infant sleep products, and is more stringent than the 
static load test in ASTM F3118-17a. The final rule requires that all 
infant sleep products, including inclined sleep products, meet the more 
stringent structural integrity requirement of the voluntary standard 
for bassinets, ASTM F2194-16[egr]1, as codified in 16 CFR part 1218.
(g) Hazard: Electrical Issues
    This hazard category involved no deaths and two reports of injuries 
related to electric shock. Non-injury incidents reported overheating/
melting of components and issues with batteries. As noted in the 2019 
SNPR, the infant inclined sleep products standard, ASTM F3118-17a, does 
not include any performance requirements for electrical components. 84 
FR at 60956. The voluntary standard for bassinets, ASTM F2194-16[egr]1, 
also does not address electrical hazards. However, CPSC staff advises 
that they raised this issue with ASTM, and that the ASTM Ad Hoc task 
group is developing performance requirements to address electrical 
hazards across juvenile products. As these electrical requirements are 
added during the ASTM voluntary standard updates, CPSC can review the 
updated voluntary standard pursuant to the update provision in Public 
Law 112-28, and determine whether to revise the mandatory standard 
based on a revised voluntary standard.

[[Page 33039]]

4. Assessment of International Standards
(a) EN1466:2014 Carry Cots
    The BS EN 1466:2014 Child use and care articles--Carry cots and 
stands--Safety requirements and test methods European standard applies 
to products intended for carrying a child in a lying position using a 
handle or stand. This standard applies to children who cannot sit 
unaided or roll over or push up on their hands and knees and is a 
maximum weight of 19.84 pounds.
i. Side Height
    For cots on a stand, EN 1466:2014 standard requires an internal 
height of at least 7.87 inches (200 mm) from the top of a mattress, 
compressed by a 19.84-pound (9kg) steel plate, to the lowest point of 
the upper edge of the sides. For carry cots not on a stand, the 
standard requires an internal height 5.9 inches (150mm) to 7.09 inches 
(180mm), depending on the length of the cot, using the same test 
method. This requirement measures the internal side height when an 
occupant of the maximum weight compresses the mattress. This standard 
has a side height requirement similar to the ASTM F2194-16[egr]1 
bassinet standard, which requires a minimum side height of 7.5 inches 
from an uncompressed mattress. For bassinets on a stand, if the 
mattress compresses more than \3/8\ of an inch, ASTM F2194-16[egr]1 
requires a higher side. For bassinets not on a stand, ASTM F2194-
16[egr]1 has a higher side height of 7.5 inches from an uncompressed 
mattress, compared to the EN 1466:2014 requirement, which is 7.09 
inches from a compressed mattress. Additionally, ASTM F2194-16[egr]1 
requires a consistent side height no matter the configuration.
ii. Sleep Surface Angle
    The EN 1466:2014 standard requires a maximum sleep surface angle of 
10 degrees. This requirement is similar to the ASTM F2194-16[egr]1 
bassinet standard, which requires a maximum sleep surface angle of 10 
degrees.
iii. Latching Requirements
    The EN 1466:2014 standard requires products with a folding stand 
mechanism not to collapse after the latch is operated (closed and 
opened) 300 times, and after a 44.96 pound-force (200N) is applied in 
the area of the stand most likely to cause the product to fold. The EN 
1466:2014 standard's latching requirement only simulates the action of 
unintentionally folding the stand without the carry cot or box 
assembled on the stand. In contrast, the ASTM F2194-16[egr]1 bassinet 
standard tests both the stand and the bassinet as a fully assembled 
product.
    The ASTM F2194-16[egr]1 bassinet standard requires products without 
a latching or locking device not to fold when a 20 pound-force is 
applied to the top edge of the bassinet in the direction most likely to 
cause it to fold. The ASTM F2194-16[egr]1 bassinet standard requires a 
lower force than the EN standard, but the force is applied at a higher 
location (top side of the bassinet) than the EN standard (force applied 
to the stand). The higher location of the force can create a higher 
torque at the latch due to the longer lever arm. For bassinets with a 
locking hinge or latch, the locking mechanism must withstand a 10-pound 
force in the direction most likely to release it. Determining which 
latching requirement is more stringent is difficult because the test 
parameters are not directly comparable. Staff assesses that testing the 
product fully assembled, as required by ASTM, is a better test because 
it simulates realistic use of the product.
    The ASTM standard also includes a Removable Bassinet Bed Attachment 
to Base/Stand requirement and testing to address latching and locking 
devices intended to secure removable bassinet beds to the base/stand. 
These requirements and test are unique because they address known 
incidents of false latching of a removable bassinet bed. By considering 
the latching, unintentional folding, and bassinet bed attachments to 
the stand requirements in total, staff assesses that the ASTM F2194-
16[egr]1 bassinet standard's latching requirements are adequate.
iv. Stability Requirements
    The EN1466:2014 standard requires products with an occupant test 
mass of 15.43 pounds not to tip over when placed on a 20-degree 
surface. EN1466:2014 rationalizes this test by stating: ``Carry cots 
shall be designed so that they do not tip over when they are placed on 
slightly sloping ground or when the child leans against one side of the 
carry cot.'' This is different compared to the ASTM F2194-16[egr]1 
bassinet standard that requires the product (with simulated newborn 
occupant) to withstand a 23-lb. vertical force and 5-lb. horizontal 
force along its side, without tipping. The rationale in ASTM F2194 
states the dual application of forces simulates a 2-year-old male 
pulling on the side of the product; staff advises that this is a 
reasonable scenario in which the product may tip over. Determining 
which stability requirement is more stringent is difficult, because 
both standards' torque arms depend upon the product's geometry. Using a 
10-inch wide by 10-inch tall sidewall box on a 10-inch stand as a 
reference product for comparison, staff determined the reference 
product would fail the ASTM F2194 bassinet standard's test and pass the 
EN 1466 standard's test. Therefore, staff assesses that the ASTM 2194-
16[egr]1 bassinet standard's stability requirement is more stringent 
for this reference product.
v. EN1466:2014 Summary
    The EN 1466:2014 carry cots standard has a side height and sleep 
surface angle requirement similar to ASTM F2194- 16[egr]1's bassinet 
standard. However, the ASTM F2194-16[egr]1 standard has a potentially 
more stringent stability requirement.
(b) EN 1130:2019 Children's Cribs and Cradles
    The European Standard, EN 1130-1: 2019 ``Furniture--Cribs and 
Cradles for Domestic Use'' has several requirements not found in ASTM 
F2194-16[egr]1. Most of these additional requirements address hazards 
associated with cribs intended for use with older children (in excess 
of the 5-month recommended maximum age for bassinets); and thus, these 
requirements are not applicable to bassinets.
i. Side Height
    The EN 1130:2019 standard requires a side height of at least 7.87 
inches (200 mm) when a 19.84-pound (9kg) steel plate is placed on the 
compressed mattress. This measures the crib's internal side height with 
a 19.84-pound occupant is compressing the mattress. This standard has a 
side height requirement similar to the ASTM F2194-16[egr]1 bassinet 
standard, which requires a minimum side height of 7.5 inches from an 
uncompressed mattress. If the mattress compresses more than \3/8\ of an 
inch, ASTM F2194-16[egr]1 requires a higher side.
ii. Sleep Surface Angle
    The EN 1130:2019 standard requires a maximum sleep surface angle of 
10 degrees. This standard has a sleep surface angle requirement similar 
to the ASTM F2194-16[egr]1 bassinet standard, which requires a maximum 
sleep surface angle of 10 degrees.
iii. Latching Requirements
    The EN 1130:2019 standard requires folding products to contain a 
dual-action locking mechanism, and to unlock with a tool, and to fold 
only when the crib is lifted, or not collapse after the latch is 
operated (closed and

[[Page 33040]]

opened) 300 times, and at least an 11.24-pound force (50N) is required 
to unlock it. The EN 1130:2019 standard's latching requirement only 
simulates the action of unintentionally folding the product's folding 
or adjustable legs, while the ASTM F2194-16[egr]1 bassinet standard 
tests both the standard and the bassinet as a fully assembled product.
    The ASTM F2194-16[egr]1 bassinet standard requires products without 
a locking mechanism to withstand a 20-pound force applied to the top 
edge of the bassinet in the direction most likely to cause it to fold. 
For products with a locking hinge or latch, the locking mechanism must 
withstand a 10-pound force in the direction most likely to release it. 
Staff's assessment is that testing the product fully assembled, as 
required by ASTM, is a better test because it simulates realistic use 
of the product.
    The ASTM standard also includes a Removable Bassinet Bed Attachment 
to Base/Stand requirement and testing to address latching and locking 
devices intended to secure removable bassinet beds to the base/stand. 
These requirements and the test are unique because they address known 
incidents of false latching of a removable bassinet bed. By considering 
the latching, unintentional folding, and bassinet bed attachments to 
the stand requirements in total, staff assesses that the ASTM F2194-
16[egr]1 bassinet standard's latching requirements are adequate.
iv. Stability Requirements
    The EN1330:2019 standard requires products not to tip over when a 
19.87-pound weight is placed on one side of the crib, while on the 
opposite side's top rail, a 6.74 pound-force is horizontally applied 
towards the weight. This test is similar to the ASTM F2194-16[egr]1 
bassinet standard with reasonably similar forces. EN1330:2019 
rationalizes the test, stating the product ``should remain stable when 
the child moves in the crib or when the crib swings along the amplitude 
permitted by the suspension device.'' ASTM F2194-16[egr]1 is based on 
U.S. incident data of a 2-year-old sibling pulling over a bassinet, 
which is a more severe condition than an infant moving within the 
product. Therefore, staff concludes the ASTM F2194-16[egr]1 bassinet 
standard's stability requirements are adequate.
v. EN 1130:2019 Summary
    The EN 1130:2019 children's cribs and cradle standard has side 
height, sleep surface angle, and stability requirements similar to the 
ASTM F2194-16[egr]1 bassinet standard; however, the ASTM F2194-16[egr]1 
standard has a more extensive and stringent latching requirement.
(c) AS/NZS 4385:1996 Infant's Rocking Cradles
    The Australian/New Zealand standard (AS/NZS 4385:1996) contains 
requirements for rocking and swinging angles used to develop some of 
the ASTM F2194-12 requirements. The ASTM rock/swing rest angle 
performance requirement is more stringent because the occupant 
surrogate, a CAMI dummy, is placed against the sidewall, resulting in 
higher rest angles.
i. Side Height
    The AS/NZS 4385:1996 standard requires a minimum side height of 
11.81 inches (300 mm) between the top of the mattress support to the 
top edge of the lowest rocking cradle's side. The maximum mattress 
thickness the AS/NZS standard permits is 2.95 inches (75mm). Therefore, 
the minimum side height between the top of the mattress and the top 
edge of the lowest side is 8.85 inches. This is similar to the ASTM 
F2194-16[egr]1 bassinet standard, which requires a minimum side height 
of 7.5 inches between the top of the mattress and the top of the lowest 
sidewall.
ii. Sleep Surface Angle
    The AS/NZS 4385:1996 standard requires the mattress angle on 
rocking cradles without a self-leveling device not to exceed 5 degrees 
and 10 degrees on rocking cradles with a self-leveling device. This is 
similar to the ASTM F2194-16[egr]1 bassinet standard, which requires a 
maximum sleep surface angle of 10 degrees.
iii. Latching Requirements
    The AS/NZS 4385:1996 standard does not contain any latching 
requirements to address the unintentional folding hazard. The ASTM 
F2194-16[egr]1 bassinet standard is more stringent because it requires 
products without a locking mechanism to withstand a 20-pound force 
without folding, or a 10-pound force for hinges with locking 
mechanisms. The ASTM F2194-16[egr]1 also addresses the false latching 
of a removable bassinet bed with requirements including an automatic 
locking latch or a false latch indicator.
iv. Stability Requirements
    The AS/NZS 4385:1996 standard requires a product not to tip over 
when a 19.84-pound (9 kg) weight is on the mattress and a 4.49-pound 
force (20N) is applied horizontally to the uppermost rail. This test is 
similar to the ASTM F2194-16[egr]1 bassinet standard, which requires 
the product (with simulated newborn occupant) to withstand a 23-pound 
vertical force and 5-lb. horizontal force along its side, without 
tipping. The rationale in ASTM F2194 states the dual application of 
forces simulates a 2-year-old male pulling on the side of the product; 
staff concludes that this is a reasonable scenario in which the product 
may tip over.
v. AS/NZS 4385:1996 Summary
    The AS/NZS 4385:1996 infant's rocking cradle standard has a side 
height, sleep surface angle, and stability requirement similar to the 
ASTM F2194-16[egr]1 bassinet standard. However, the ASTM F2194-16[egr]1 
bassinet standard has a more stringent latching requirement.
(d) Canadian Standard (SOR/2016-152) Cribs, Cradles, and Bassinets
    The Canadian standard (SOR/2016-152) includes requirements for 
cribs, cradles, and bassinets. Staff focused their analysis on the 
requirements for ``bassinets,'' which are defined as providing sleeping 
accommodations for a child with sides to confine the child, and a sleep 
surface area less than or equal to 4000 cm\2\ (620 in\2\).
i. Side Height
    The Canadian standard requires a minimum side height of 230 mm 
(9.05 inches), measured from the mattress support. Because ASTM F2194-
16[egr]1 allows a bassinet mattress of 1.5 inches, measuring from the 
upper surface of the mattress support to the upper surface of the side 
would be 1.5 inches greater than measuring from the upper surface of an 
uncompressed mattress. Therefore, staff advises that the 7.5-inch side 
height, from the upper surface of an uncompressed mattress, is 
functionally equivalent to the 9-inch side height, measured from the 
upper surface of the mattress support in the Canadian standard.
ii. Sleep Surface Angle
    The Canadian standard requires the sleep surface angle not to 
exceed 7 degrees, which is based on a 1995 study that demonstrated a 
discernable difference in infant ability between 5, 7, and 10 degrees 
in a side-to-side tilt. Staff advises they understand that Health 
Canada selected 7 degrees and applied it to all sides of the product, 
regardless of head-to-toe or side-to-side tilt. The ASTM F2194-16[egr]1 
bassinets standard allows for a side-to-side resting angle of 7 degrees 
for rocking cradles, and limits head-to-toe angle to 10 degrees. As 
discussed in section

[[Page 33041]]

VI.A.3(a) of this preamble, based on the Mannen Study and other 
factors, the Commission concludes that a flat sleeping surface that 
does not exceed 10 degrees from horizontal offers infants the safest 
sleep environment.
iii. Latching Requirements
    The Canadian standard requires folding products to contain an auto-
locking mechanism that requires a dual-simultaneous action to disengage 
and that does not fold when a 52.91-pound (24kg) load is applied on any 
area most likely to damage the mattress support. While the Canadian 
standard requires an auto-locking mechanism that requires a dual-
simultaneous action to disengage, it also tests the latching strength 
by loading the mattress support. The ASTM F2194-16[egr]1 bassinet 
standard requires that products without a latching or locking device 
not fold when a 20-pound force is applied to the top edge of the 
bassinet in the direction most likely to cause it to fold. The ASTM 
F2194-16[egr]1 bassinet standard requires a lower force than the 
Canadian standard, but the force is applied at a higher location (top 
side of the bassinet) than the Canadian standard (force applied to the 
mattress support). The higher location of the force could create a 
greater torque at the latch, due to the longer lever arm. For bassinets 
with a locking hinge or latch, the locking mechanism must withstand a 
10-pound force in the direction most likely to release it. Determining 
which latching requirement is more stringent is difficult because the 
test parameters are not directly comparable.
    The ASTM standard also includes a Removable Bassinet Bed Attachment 
to Base/Stand requirement and testing to address latching and locking 
devices intended to secure removable bassinet beds to the base/stand. 
These requirements and test are unique because they address known 
incidents of false latching of a removable bassinet bed. By considering 
the latching, unintentional folding, and bassinet bed attachments to 
the stand requirements in total, staff assesses that the ASTM F2194-
16[egr]1 bassinet standard's latching requirements are adequate.
iv. Stability Requirements
    The Canadian requirement in Schedule 11, Test for Stability of 
Cradles, Bassinets, and Stands, of their regulation is substantially 
equivalent to the requirement in ASTM F2194-16[egr]1. The requirement 
specifies that the product (with a simulated newborn occupant) must 
withstand a 10-kg (approximately 22 pounds) static vertical load over a 
period of 5 seconds and a 22 N (approximately 4.9 pounds) horizontal 
force, without tipping. Staff advises that this test evaluates the same 
stability hazard and is substantially equivalent to the ASTM F2194-
16[egr]1 bassinets standard, differing slightly due to conversions to 
metric.
v. SOR/2016-152 Summary
    The Canadian standard has a side height and stability requirement 
similar to the ASTM F2194-16[egr]1 bassinet standard. While the 
Canadian standard has a more stringent sleep surface angle requirement, 
the ASTM F2194-16[egr]1 bassinet standard has a more extensive latching 
requirement. Staff concludes that the requirements in the ASTM standard 
are adequate to address the risk of injury demonstrated in the incident 
data.

B. Flat Sleep Products \35\
---------------------------------------------------------------------------

    \35\ Tab C of Staff's Final Rule Briefing Package contains CPSC 
staff's assessment of the adequacy of ASTM F2194-16[egr]1 to address 
incidents associated with flat sleep products.
---------------------------------------------------------------------------

    CPSC received public comments on the 2019 SNPR regarding the safety 
of currently unregulated flat infant sleep products available in the 
marketplace. In response, for the final rule CPSC staff completed a 
review of CPSC's epidemiological databases, CPSRMS and NEISS. CPSC 
received a total of 183 incident reports from January 1, 2019 through 
December 30, 2020, related to flat sleep products available in the 
marketplace that are currently not under the purview of any mandatory 
or voluntary standard that addresses sleep hazards. These flat sleep 
products include: In-bed sleepers, baskets (that can function as hand-
held carriers as well), baby boxes, compact bassinets, most of which 
are portable for travel, and travel tents. All of these unregulated 
sleep products are flat (sleep surface has no incline) and most come 
with mattress pads (with the exception of some baby travel tents).
    Based on the following analysis, the Commission determines that the 
performance and labeling requirements of the voluntary standard for 
bassinets and cradles, ASTM F2194-16[egr]1, as codified in 16 CFR part 
1218, Safety Standard for Bassinets and Cradles, are adequate to 
address the risk of injury associated with flat infant sleep products, 
and furthermore, finds that requiring flat products to conform to these 
requirements would also further reduce the risk of injury associated 
with flat sleep products.
1. Hazard Pattern Categories
    Of the 183 reported incidents, 11 are fatalities; among the 
remaining 172 nonfatal incidents, 16 reported an injury. Seven of the 
11 fatalities involved suffocation. We identified six hazards related 
to the risk of injury or death (we did not consider patterns that did 
not relate to injuries or deaths, such as consumer comments). The 
hazard patterns identified among the 183 incidents are: Lock/latch 
problems, falls/containment issues, instability, asphyxiation/
suffocation, product-related issues, and undetermined causes.
    Engineering staff analyzed whether the voluntary standard for 
bassinets, ASTM F2194-16[egr]1, would address the identified hazards 
for flat sleep products. The voluntary standard for bassinets, ASTM 
F2194-16[egr]1, is more applicable to these flat products than ASTM 
F3118-17a, because these products have a sleep surface less than 10 
degrees, and because, as set forth below, the standard addresses the 
identified hazards associated with these products. The current 
voluntary standard for infant inclined sleep products, ASTM F3118-17a, 
is not applicable to these flat sleep surface products, and it does not 
address hazards associated with flat sleep surfaces.
    In the 2019 SNPR, the Commission proposed expanding the scope of 
ASTM F3118-17a for the mandatory rule, to include all infant sleep 
products (inclined and flat) that are not covered by another CPSC sleep 
standard, including the bassinets, cribs (full-size and non-full size), 
play yards, or bedside sleepers standards. The 2019 SNPR proposed to 
require that all products marketed or intended for infant sleep have a 
seatback angle of 10 degrees or less, and meet 16 CFR part 1218, Safety 
Standard for Bassinets and Cradles, which includes the performance 
requirements of ASTM F2194-16[egr]1 bassinets. The following are the 
identified hazards for flat sleep products are discussed below.
(a) Hazard: Lock/Latch Issue
    One hundred fifteen of the 183 incidents, and no deaths, were 
related to latches that control the opening/closing of the cover on the 
product failed. Although these latch incidents did not relate to a 
product folding or collapsing, they illustrate, nevertheless, that 
these products have latch failures. From analyses on other products, 
staff is aware that failure of a product's latch can cause the product 
to fold or collapse unintentionally and pose a suffocation hazard to 
the infant. The ASTM F2194-16[egr]1 bassinets standard addresses 
hazards posed by a lock/latch failure with an unintentional folding

[[Page 33042]]

requirement. The requirement specifies that if a folding product does 
not have a latching or locking device, then it shall not fold when a 
20-lb. force is applied in the direction most likely to fold the 
product (with simulated infant occupant). The requirement also 
specifies if a folding product does have a single-action latch, then it 
shall not fold when a 10-lb. force is applied in the direction most 
likely to fold the product. Staff assesses that this requirement 
adequately simulates the action of unintentionally folding the product, 
and therefore, to address this risk of injury, we conclude that all 
flat sleep products with a lock or latch should at least meet the ASTM 
F2194-16[egr]1 bassinets standard's unintentional folding requirement.
    The ASTM F2194-16[egr]1 bassinets standard also includes a 
``Removable Bassinet Bed Attachment to Base/Stand'' performance 
requirement. A removable bassinet bed attaches to the bassinet stand 
and is secured with a latch/lock. This requirement states a removable 
bassinet bed shall:

<bullet> Not be supported by the bassinet stand in an unlocked/latched 
configuration;
<bullet> automatically lock to the bassinet stand and can't be placed 
in an unlocked position on the bassinet stand;
<bullet> clearly and obviously be unstable when the product is 
unlocked/latched by placing the sleeping surface at a 20-degree 
incline;
<bullet> have a false latch/lock visual indicator designed to visually 
alert caregivers when the bed is not properly locked to the stand; or
<bullet> have a lock/latch mechanism that is not needed to pass the 
stability requirement.

    The purpose of this requirement is to ensure that bassinets that 
can be removed from their stand are securely latched to the stand when 
in use. Staff assesses that the ASTM F2194-16[egr]1 bassinets 
standard's requirement adequately simulates the action of a bassinet 
unintentionally unlatching from its stand. Staff also assesses that the 
ASTM F2194-16[egr]1 bassinets standard's requirement is more stringent 
compared to the ASTM F3118-17a infant inclined sleep products standard, 
which lacks a requirement for products that can be removed from a 
stand. Therefore, the final rule requires that flat sleep products meet 
the ASTM F2194-16[egr]1 bassinets standard's ``unintentional folding 
requirement'' and the ``Removable Bassinet Bed Attachment to Base/Stand 
requirement,'' if applicable, to address the risk of injury associated 
with locks and latching features on these products.
(b) Hazard: Falls/Containment Issue
    Twelve of the 183 incidents were related to falls or an infant 
otherwise not being kept contained within the product. Of the 12 
incidents, one resulted in a death, one required hospital admission, 
and nine required ED visits. Failure to contain occupants in an infant 
sleep product can lead to infants falling or climbing out of the infant 
sleep product into a hazardous area.
    Typically, regulated sleep products do not allow an active occupant 
restraint system for occupant containment. Active restraint systems are 
only effective when the caregiver actively uses them and adjusts them 
correctly; however, in a sleep environment, active restraints can 
create an entanglement and asphyxiation hazard.
    The ASTM F2194-16[egr]1 bassinets standard does not allow the use 
of restraints, and instead addresses containment-related hazards posed 
with a side height requirement, a passive safety feature. The 
requirement specifies that the product's interior side height with an 
uncompressed mattress shall be at least 7.5 inches.
    In 2012, the ASTM F2194-12 bassinets standard first required a 
minimum 7.5-inch side height based on the Canadian standard.\36\ The 
side height is measured from the upper surface of the uncompressed 
mattress to the upper surface of the lowest side. This requirement 
remains in effect in the most recent version of the bassinets standard, 
ASTM F2194-16[egr]1. Canada requires a side height of 230 mm (9 
inches), measured from the mattress support. Because ASTM F2194-
16[egr]1 allows a bassinet mattress of 1.5 inches, measuring from the 
upper surface of the mattress support, which is underneath the 
mattress, to the upper surface of the side would be 1.5 inches greater 
than measuring from the upper surface of an uncompressed mattress. 
Therefore, staff assesses that the 7.5-inch side height, from the upper 
surface of an uncompressed mattress is functionally equivalent to the 
9-inch side height, measured from the upper surface of the mattress 
support in Canada.
---------------------------------------------------------------------------

    \36\ 78 FR 63,109 (Oct. 23, 2013).
---------------------------------------------------------------------------

    Products that CPSC staff identified as flat sleep products are not 
currently subject to a voluntary or mandatory standard that specifies a 
minimum side height. Flat sleep products that are considered hand-held 
carriers under 16 CFR part 1225, Safety Standard for Hand-Held Infant 
Carriers, and ASTM F2050-19, Standard Consumer Safety 
Speci[filig]cation for Hand-Held Infant Carriers, can be defined as a 
``hand-held bassinet/cradle'' product intended for sleep, but ``hand-
held bassinet/cradles'' are not subject to a side height requirement in 
the mandatory or voluntary standard. Products without a minimum side 
height could fail to contain occupants, which can lead to infants 
falling or climbing out of the product into a hazardous area.
    Table 4 shows the side height requirements for each sleep product 
standard. Sleep products that have a minimum side height requirement 
range from 2-inches for the voluntary standard for infant inclined 
sleep products, to 9-inches for cribs. Bassinets, bedside sleepers, and 
infant inclined sleep products are intended for infants from birth to 
5-months old. Cribs are intended for newborns up to children 35-inches 
tall, which is equivalent to a 95th percentile in stature 21-month-old.

          Table 4--Side Height Requirements for Sleep Products
------------------------------------------------------------------------
                                      Side height
            Standard                  requirement          Age range
------------------------------------------------------------------------
16 CFR 1218--Safety Standard for  7.5 inches........  0-5 months, or sit
 Bassinets and Cradles.                                up.
ASTM F2194-16[egr]1, Standard
 Consumer Safety Specification
 for Bassinets and Cradles..
16 CFR 1219--Safety Standard for  9 inches..........  0-35 inches tall
 Full-Size Baby Cribs.                                 (95th percentile
ASTM F1169-19, Standard Consumer                       21-month old).
 Safety Specification for Full-
 Size Baby Cribs..

[[Page 33043]]

 
16 CFR 1220--Safety Standards     9 inches..........  0-35 inches tall
 for Non-Full-Size Baby Cribs.                         (95th percentile
16 CFR 1221--Safety Standards                          21-month old).
 for Play Yards..
ASTM F 406-19, Standard Consumer
 Safety Specification for Non-
 Full-Size Baby Cribs/Play
 Yards..
16 CFR 1222--Safety Standard for  4 inches on side    0-5 months, or sit
 Bedside Sleepers.                 next to adult       up.
ASTM F2906-13, Standard Consumer   bed. 7.5 inches
 Safety Specification for          for other 3 sides.
 Bedside Sleepers..
ASTM F3118-17a, Standard          3 inches..........  0-5 months, or sit
 Consumer Safety Specification    2 inches..........   up.
 for Infant Inclined Sleep                            0-3 months.
 Products.
16 CFR part 1225 Safety Standard  No requirements...
 for Hand-Held Infant Carrier.
ASTM F2050-19 Standard Consumer
 Safety Specification for Hand-
 Held Infant Carrier..
------------------------------------------------------------------------

    Inclined sleep products covered in ASTM F3118-17a can meet the 
standard with a minimum side height of 3-inches, for products intended 
for newborns, to 5-month of age and a minimum side height of 2-inches, 
for products intended for newborns up to 3-months old.
    Upon review of applicable standards, CPSC staff determined that the 
ASTM F2194-16[egr]1 bassinets standard's 7.5-inch side height 
requirement provided the greatest safety for the intended use for 
newborns to 5-months of age. Staff assesses that the minimum side 
height requirement of 2-inches and 3-inches in ASTM F3118-17a is 
inadequate to address the incidents of infants failing to be contained 
in low-sided products, and the 3-inch side height is lower than the 
center of gravity of a 5-month-old infant on its side. Staff determined 
that because most flat sleep products are intended for infants under 5 
months, who cannot sit upright unassisted, the side height requirement 
in ASTM F2194-16[egr]1 is adequate to address containment incidents. 
Based on staff's analysis, the Commission determines that flat sleep 
products with no side height requirements pose a potential fall hazard, 
as reflected in the incident data.
    Staff's analysis demonstrates that the ASTM F2194-16[egr]1 
bassinets standard's 7.5-inch side height requirement is appropriate 
and would adequately address the falls/containment hazard in flat sleep 
products for infants up to 5 months old or who cannot sit up 
unassisted. Therefore, consistent with the 2019 SNPR, the final rule 
requires that all infant sleep products, inclined and flat, meet the 
side height requirement of the ASTM F2194-16[egr]1 bassinets standard, 
as provided in 16 CFR part 1218, to address fall/containment hazards.
(c) Hazard: Instability
    Twelve of the 183 incidents were related to the instability of the 
product. An unstable product can lead to tip-over incidents. Of the 12 
incidents, two resulted in injuries, one involved an ED visit. The data 
summarized in Tab B of the Staff's Final Rule Briefing Package includes 
at least one incident in a small, portable infant sleep product 
involving a sibling interaction resulting in a fall. Specifically, the 
NEISS report states: ``7WKOF WITH HEAD INJURY, FELL FROM PORTABLE 
BASSINET THAT WAS ON COUCH, APPROX 1.5FT, YOUNGER BROTHER PULLED THE 
BASSINET AND IT FLIPPED ONTO THE PLAYMAT, PT LANDED ON RT SIDE OF 
HEAD.'' This sibling interaction-type incident is addressed by the 
bassinet standard, as discussed below.
    Unregulated flat sleep products are not required to have a stand. 
Therefore, these products can be placed directly on the floor or on 
potentially hazardous or unstable elevated surfaces, such as tables, 
countertops, soft mattresses, or couches. The ASTM F2194-16[egr]1 
bassinets standard addresses this hazard scenario by requiring 
bassinets to have a stand/base/frame. ASTM F2194-16[egr]1 defines a 
``bassinet'' as a small bed ``supported by free standing legs, a 
stationary frame/stand, a wheeled base, a rocking base, or which can 
swing relative to a stationary base.'' This requirement to have a 
stand, and be raised off the floor, increases the stability of a 
portable product by discouraging or preventing use of the product on 
other, less stable, surfaces, such as elevated surfaces or soft 
surfaces (couches and adult beds). Therefore, with respect to this 
hazard scenario, and as proposed in the 2019 SNPR, the final rule 
requires that all infant sleep products, flat and inclined, meet the 
ASTM F2194-16[egr]1 bassinets standard's requirements, including 
requiring products to have a stand, to further reduce the risk of 
injury from a product placed on a hazardous elevated surface or an 
unstable surface, such as a couch or adult bed. This requirement in the 
final rule is codified by requiring products to meet the definitional 
requirement of a ``bassinet/cradle.''
    Additionally, the ASTM F2194-16[egr]1 bassinets standard addresses 
hazards posed by the product's instability with a stability 
requirement. The requirement specifies that the product (with simulated 
newborn occupant) withstand a 23-lb. vertical force and 5-lb. 
horizontal force along its side, without tipping. The rationale in ASTM 
F2194 states the dual application of forces simulates a 2-year-old male 
pulling on the side of the product; staff assesses that this is a 
reasonable scenario in which the product may tip over. Incident data 
also demonstrate that these compact products are used on elevated 
surfaces, such as beds and couches, from which the infant and product 
fell. Therefore, with respect to the product's stability, the final 
rule requires that all infant sleep products meet the stability 
requirement of the voluntary standard for bassinets, ASTM F2194-
16[egr]1, as provided in 16 CFR part 1218, to further reduce the risk 
of injury associated with product tip-over.
    The Canadian requirement in Schedule 11, Test for Stability of 
Cradles, Bassinets and Stands, of their regulation is substantially 
equivalent to the requirement in ASTM F2194-16[egr]1. The requirement 
specifies that the product (with a simulated newborn occupant) 
withstand a 10-kg (approximately 22 pounds) static vertical load over a 
period of 5 seconds and a 22 newton (approximately 4.9 pounds) 
horizontal force without tipping. Staff advises that this test is 
substantially equivalent to the ASTM test, differing slightly due to 
conversions to metric.
(d) Hazard: Asphyxiation/Suffocation
    Nine of the 183 incidents were related to infants that partially or 
fully rolled over from their initial position in infant sleep products. 
Of the nine incidents, eight resulted in a death, and one

[[Page 33044]]

resulted in a near-suffocation prevented by a nearby parent.
    The voluntary standard for bassinets, ASTM F2194-16[egr]1, 
addresses the asphyxiation/suffocation hazard with the following 
general/performance requirements:
    <bullet> 5.10 Corner Posts: This requirement addresses corner post 
extensions that can entangle ribbons, pacifier cords, necklaces, or 
occupant clothing. Entanglement of any of these items could lead to the 
asphyxiation of the occupant. This requirement limits the extension of 
a bassinet's corner post from extending more than .06 inches above the 
upper edge of an end or side panel. Corner posts that extend at least 
16 inches above the top of a side rail are exempt because they are 
deemed inaccessible to the occupant. These are the same requirements 
found in the regulated ASTM F406-19 (non-full-sized cribs) and ASTM 
F1169-19 (full-sized cribs) standards that CPSC staff previously 
concluded adequately address the corner post entanglement hazard.
    <bullet> 6.1 Spacing of Rigid-Sided Bassinet/Cradle Components. 
This requirement limits the distance between slats to less than 2\3/8\ 
inches to mitigate the suffocation hazard from feet-first head 
entrapment.
    <bullet> 6.2 Openings for Mesh/Fabric-Sided Bassinets/Cradle. This 
requirement tests openings in the bassinet's mesh for entrapment of 
fingers, toes, and snaring buttons, often used on infant clothing. The 
snaring of a button entraps the button and could lead to asphyxiation 
as the infant becomes entangled and entrapped. In this performance 
requirement, the mesh-sided bassinet's openings cannot allow a \1/4\-
inch rod to fit through.
    <bullet> 6.5.3 Pad Dimensions. This requirement mitigates the 
hazard of suffocating when entrapped in the space between the edge of 
the mattress and the bassinet's sidewall, by limiting the available 
space to less than 1 inch.
    <bullet> 6.7 Bassinets with Segmented Mattress: Flatness Test. This 
requirement limits sleep surface variability of a segmented or folding 
mattress to 10 degrees or less. This angle was determined to reduce the 
likelihood of an infant's face becoming engulfed by a small ``V'' shape 
formed by the creases in a folded mattress, potentially present in a 
bassinet that uses a folding play yard mattress as the bassinet 
mattress.
    <bullet> 6.8 Fabric-Sided Enclosed Openings. This requirement 
addresses the hazard of a feet-first head entrapment through the 
openings of fabric-sided bassinets. This requirement limits the 
openings in a fabric-sided bassinet to prevent the 5th percentile 0 to 
2-year-old torso probe from passing through. This requirement prevents 
a child's torso from fitting through any openings in the fabric 
sidewalls; therefore, staff concludes this requirement would prevent a 
feet-first head entrapment.
    <bullet> 6.9 Rock/Swing Angle. This requirement limits the 
bassinet's sleeping surface angle to less than 20 degrees when rocked, 
and seven degrees when the bassinet is at rest. In the 2019 SNPR, and 
in this final rule, the Commission determined that a flat sleep surface 
that does not exceed 10 degrees offers infants the safest sleep 
environment. This conclusion is based on the Mannen Study.
    In total, these requirements address known suffocation hazards with 
infant sleep and create a minimally safe sleep environment. Therefore, 
for the final rule, with respect to the asphyxiation/suffocation 
hazard, we finalize the 2019 SNPR proposal, by requiring that all 
infant sleep products meet general and performance requirements of the 
voluntary standard for bassinets, ASTM F2194-16[egr]1, as provided in 
16 CFR part 1218, to further reduce the risk of death from suffocation.
(e) Hazard: Product-Related Issues
    Three of the 183 incidents were related to mold or quality of the 
product material. Two of the three products were in-bed sleepers, while 
the third was a compact bassinet/travel bed. All three reported an 
injury. None of the voluntary standards currently address conditions 
such as mold that manifest due to the conditions under which a product 
is used. A moisture-resistant requirement has been discussed in the 
ASTM task group for baby boxes (which is under the bassinet 
subcommittee), but the task group has not reached a consensus on 
appropriate performance requirements to address mold and moisture 
resistance. CPSC staff will continue to work with this task group.
(f) Hazard: Undetermined Issues
    Three of the 183 incidents did not have enough reported information 
for us to determine the issue involved. Two of the incidents were 
fatalities; in both cases, CPSC Field investigation reports indicate 
that the cause of death is undetermined. The third incident resulted in 
a hospitalization due to unspecified breathing difficulties suffered by 
the infant. The reports did not provide sufficient information on the 
circumstances of deaths, and injury reports involved unspecified falls. 
Without information on the circumstances of deaths or injuries, we are 
unable to assess whether the voluntary standard for bassinets, ASTM 
F2194-16[egr]1, would adequately address the hazards in this category.
2. Assessment of International Standards
(a) EN12790:2009 Reclined Cradles
    The scope of the European Standard, EN 12790-2009 ``Child use and 
care articles--Reclined cradles'' includes inclined bassinets/cradles, 
car seat carriers, hammocks, and bouncers. Some of the general 
requirements could apply, but because the scope of the products that 
fall within this standard is not the same as the final rule, most of 
the requirements are not applicable to infant sleep products.
i. Side Height
    The EN 12790:2009 standard does not have a side height requirement, 
but it includes a three-point restraint to address the containment 
hazard. The ASTM F2194-16[egr]1 bassinet standard is more stringent by 
requiring a minimum side height of 7.5 inches. Restraints are an active 
safety feature that might not always be used, while the side height 
requirement is a passive safety feature.
ii. Sleep Surface Angle
    The EN 12790:2009 standard requires a seatback angle between 10 
degrees and 80 degrees, while the ASTM F2194-16[egr]1 bassinet standard 
is more stringent by requiring a maximum sleep surface angle of 10 
degrees. The EN 12790:2009 standard was written for products that may 
or may not be intended for sleep, such as car seats, a scope that is 
broader than the scope of the ASTM bassinet standard. The Mannen Study 
concluded that a seatback angle of 10 degrees or less is safe. 
Accordingly, the sleep surface requirement in the final rule remains 
consistent with the Mannen Study findings, and as already codified in 
16 CFR part 1218.
iii. Latching Requirements
    The EN 12790:2009 standard specifies that infant rocking cradles 
must have at least one automatic locking latch mechanism, and that the 
locking mechanisms:
    <bullet> Require 50N (11.24 pounds-force) to unlatch after 
operating the latch 300 times;
    <bullet> Require a tool to unlatch;
    <bullet> Require two consecutive actions to unlatch; or
    <bullet> Require two independent and simultaneous actions to 
unlatch.
    The EN 12790:2009 standard's latching requirement simulates the 
action of unintentionally folding the product. The ASTM F2194-16[egr]1

[[Page 33045]]

bassinets standard similarly includes requirements that address the 
unintentional folding hazard and requirements that address the false 
latching of a removable bassinet bed. Therefore, staff assesses that 
the ASTM F2194-16[egr]1 bassinets standard's latching requirements are 
adequate.
iv. Stability Requirements
    The EN 12790:2009 standard requires products with a test mass not 
to tip over when placed on a 15-degree surface. The test mass for 
cradles designed for occupants up to 13.22 pounds is 19.84 pounds. The 
test mass for cradles designed for occupants up to 19.87 pounds is 
33.06 pounds. This standard simulates the stability of an occupied 
reclined cradle on an uneven surface. This is different compared to the 
ASTM F2194-16[egr]1 bassinets standard, which requires the product 
(with simulated newborn occupant) to withstand a 23-lb. vertical force 
and 5-lb. horizontal force along its side, without tipping. The 
rationale in ASTM F2194 states the dual application of forces simulates 
a 2-year-old male pulling on the side of the product; staff concludes 
that this is a reasonable scenario in which the product may tip over.
v. EN 12790:2009 Summary
    The EN 12790:2009 reclined cradle standard is less stringent than 
the ASTM F2194-16[egr]1 bassinets standard by not requiring any minimum 
side height for containment and permits a more inclined sleep surface 
angle for products that include reclined cradles and car seats for 
children up to 19.84 pounds.

C. Applicability of ASTM F2194-16[egr]1 to Flat Sleep Product Hazards

    Table 5 summarizes the hazards associated with flat sleep products 
and how each hazard category is addressed by the voluntary standard for 
bassinets, ASTM F2194-16[egr]1. Table 5 demonstrates that four hazard 
categories (shaded) are addressed by ASTM F2194-16[egr]1: Latching, 
Falls/Containment, Instability, and Asphyxiation/Suffocation.

                                      Table 5--Flat Sleep Product Hazards Addressed by Bassinets Voluntary Standard
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                           Infant sleep hazards
                                  Applicable    --------------------------------------------------------------------------------------------------------
           Product                 voluntary                            Falls/                          Asphyxiation/    Miscellaneous
                                   standard          Latching         containment       Instability      suffocation    product-related    Undetermined
--------------------------------------------------------------------------------------------------------------------------------------------------------
Flat Sleep Products (flat and  ................  115 incidents:    12 incidents: 1   12 incidents: 2   9 incidents: 8   3 mold-related   3 incidents:
 inclined).                                       Not currently     death. Not        injuries. Not     deaths; not      incidents; not   Two deaths.
                                                  addressed.        currently         currently         currently        currently        Too little
                                                                    addressed.        addressed.        addressed.       addressed.       information to
                                                                                                                                          determine
                                                                                                                                          addressability
                                                                                                                                          .
Bassinet/Cradle..............  ASTM F2194-       Unintentional     Side height       Stability         Max sleep        Not currently    Too little
                                16[egr]1.         folding           requirement.      requirement.      surface angle    addressed;       information to
                                                  requirement.                                          defined in       task group       determine
                                                                                                        definition;      work.            addressability
                                                                                                        Restraints not                    .
                                                                                                        allowed;
                                                                                                        Flatness/
                                                                                                        hazardous Vs
                                                                                                        identified;
                                                                                                        Pad
                                                                                                        dimensions;
                                                                                                        Corner posts;
                                                                                                        fabric sided
                                                                                                        enclosed
                                                                                                        openings;
                                                                                                        Spacing; Mesh
                                                                                                        openings.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Based on this assessment of the hazards associated with flat sleep 
products, and consistent with the 2019 SNPR, the final rule requires 
that all infant sleep products not already regulated by a CPSC sleep 
standard meet the requirements in the ASTM F2194-16[egr]1 bassinets 
standard, as provided in 16 CFR part 1218, to address the risk of 
injury associated with these sleep products. Specifically, the final 
rule requires that infant sleep products, meaning products that are 
marketed or intended as a sleeping accommodation for an infant up to 5 
months of age, and that are not subject to a CPSC sleep standard 
(bassinets and cradles, cribs (full-size and non-full-size), play 
yards, or bedside sleepers), meet the requirements of 16 CFR part 1218, 
including conforming to the definition of a ``bassinet/cradle.''

VII. Response to Comments

    The Commission collected comments on the 2017 NPR, which proposed 
to incorporate by reference the then-current voluntary standard for 
infant inclined sleep products, ASTM F3118-17, with a modification to 
the standard's definition of ``accessory.'' 82 FR 16964 (April 7, 
2017). The Commission also collected comments on the 2019 SNPR, which 
proposed to incorporate by reference the current voluntary standard for 
infant inclined sleep products (ASTM F3118-17a), with modifications to 
make the standard more stringent, to further reduce the risk of injury. 
84 FR 60949 (Nov. 12, 2019). The 2019 SNPR proposed to expand the scope 
of the rule to include all unregulated infant sleep products, including 
inclined products and non-inclined, flat products. The 2019 SNPR 
invited the public to submit written comments during a 75-day comment 
period, beginning on the SNPR publication date, and ending on January 
27, 2020. In response to a request for an extension of the comment 
period, the Commission extended the comment period by 30 days, closing 
on February 26, 2020. 85 FR 4918 (Jan. 28, 2020).
    Below we consolidate the Commission's responses to comments on the 
2017 NPR and the 2019 SNPR. In response to the 2017 NPR, the Commission 
received seven comments. In response to the 2019 SNPR, the Commission 
received 56 comments within the comment period. We also considered two 
late-filed documents, one received on February 2, 2021, and one 
received on April 30, 2021. We organized the comments by rulemaking 
notice (2017 NPR or 2019 SNPR), and then by topic.
    Numerous commenters on the 2019 SNPR, such as the American Academy 
of Pediatrics (AAP), consumer groups, and individual parents, supported 
the SNPR, because the products covered in the final rule will be 
required to follow the AAP safe sleep guidelines. Based on 
consideration of the comments received, for the final rule, the 
Commission will maintain the proposed 12-month effective date, and make 
several clarifications, as listed in section I.F of this preamble.

A. Comments on the 2017 NPR

1. Safety of Inclined Products
    Comment 1: Three commenters disagreed with the 2017 NPR, stating 
that infant sleep products with a 30-degree seat back angle are not 
safe and contradict the AAP's safe sleep

[[Page 33046]]

recommendations. One commenter also indicated that the Commission 
should:
    <bullet> Conduct more research on the 30-degree seat back angle;
    <bullet> Conduct more research on developmental implications when 
an infant is restrained while sleeping;
    <bullet> Provide performance requirements to address product 
misassembly;
    <bullet> Make the side height requirement match the 7.5 side height 
requirement in the bassinets and cradles standard;
    <bullet> Develop performance or design changes for compact units so 
they cannot be placed on a raised surface, in crib, or on soft surface;
    <bullet> Add seat back height requirement for infant products like 
newborn products;
    <bullet> Add requirements for hammocks to increase stability;
    <bullet> Add requirements for flat sleep products, so an infant 
cannot move into an unsafe chin to chest position;
    <bullet> Add pictograms to warnings like slings and hand-held 
carriers;
    <bullet> Include ``marking'' on products to show compliance with 
new regulations;
    <bullet> Conduct market surveillance after a regulation becomes 
effective; and
    <bullet> Have a 6-month effective date for the final rule.
    Response 1: We agree, based on the Mannen Study, that infant sleep 
products, as defined in the final rule, should not have a seat back/
sleep surface angle greater than 10 degrees. The Commission proposed to 
address many of the commenter's in-scope recommendations noted above in 
the 2019 SNPR, and is now finalizing the requirements, by requiring 
inclined and flat sleep products that are marketed or intended to 
provide a sleeping accommodation for an infant up to 5 months old, to 
meet the bassinet standard. Due to the expected significant economic 
impact on some manufacturers, the Commission will maintain the proposed 
12-month effective date for the final rule.
2. Definition of ``Infant Inclined Sleep Product''
    Comment 2: A commenter stated that the phrase, ``primarily intended 
and marketed to provide sleeping accommodations,'' in the proposed 
definition of an ``infant inclined sleep product,'' is not needed, 
because ``incorporating a manufacturer's marketing intentions into a 
definition of a product which impacts the safety standard of that 
product opens the door to potential conflicts of interests.'' The 
commenter reasoned that a child's age and the product incline are 
objective factors, while a manufacturer's intent is more subjective, 
and could allow manufacturers to market the product in a way to avoid 
meeting the requirements of the rule.
    Response 2: Although the definition the commenter refers to in the 
standard no longer includes the term ``inclined,'' we respond here to 
the concept of including the phrase ``marketed or intended'' in the 
definition of ``infant sleep product'' in the final rule. A 
manufacturer's intended use of the product and marketing guide informs 
caregivers about the product's safe use. Manufacturers of products that 
are not designed or marketed for use as an infant sleep product should 
provide caregivers with instructions and warnings regarding safe use of 
the product. Including a manufacturer's marketing and intent in the 
definition also assists the Commission to enforce the regulation, 
because it provides objective criteria for CPSC staff to apply to a 
product's name, packaging, warnings, labeling, and marketing materials 
about whether the product falls within the scope of the rule. CPSC 
staff has experience using marketing materials to enforce CPSC's 
regulations, and CPSC is required to use such materials in some cases. 
For example, section 3 of the CPSA provides factors for determining 
whether a product is a ``children's product,'' and includes several 
factors that require reviewing labeling, promotion, and advertising, to 
determine whether a product is ``designed or intended primarily for 
children 12 years of age or younger.'' 15 U.S.C. 2052(a)(2). Products 
that have no use other than infant sleep, based on the product's 
design, cannot be labelled as not intended for infant sleep to avoid 
meeting the requirements of the final rule.
3. Comments Superseded by the 2019 SNPR
    Comment 3: Two commenters agreed with the modification of the 
``accessory'' definition in the 2017 NPR, and with the 12-month 
effective date. One commenter had a specific comment related to 
restraint requirements in the NPR.
    Response 3: The 2019 SNPR supersedes the 2017 NPR. The proposed 
modification to the definition of ``accessory'' is no longer at issue 
in the final rule, because this definition has been removed, along with 
other requirements related to inclined sleep products. The Commission 
will maintain the 12-month effective date for the final rule, to 
provide manufacturers and importers sufficient time to come into 
compliance. Allowance of a restraint requirement in an infant sleep 
product was unique to inclined sleep products to contain the infant in 
the product. Consistent with the 2019 SNPR, the Commission removed the 
restraint requirement in the final rule, because restraints can create 
a strangulation hazard. The passive containment provision in the 
bassinet and cradle standard, which requires a product side height of 
7.5 inches and a flat (below 10 degree) sleep surface, follows safe 
sleep practices for containment: A bare, flat, infant sleep surface.

B. Comments on the 2019 SNPR

1. Scope of the Final Rule
(a) All Products Marketed, Promoted, or Otherwise Indicated for Sleep
    Comment 4: A commenter suggested: ``[t]he new standard should apply 
not just to those infant products intended by the manufacturer for 
sleep or certified as being for sleep, but also any product that is 
marketed, promoted, or otherwise indicated--or may be reasonably 
interpreted as indicating--as being for any kind of sleep, including 
products described using substitute language for sleep, such as `nap' 
or `snooze.' ''
    Several other commenters expressed concern that various terms used 
in the 2019 SNPR were vague, and recommended that more precise 
definitions be provided for ``sleep'' and ``sleeping accommodations.'' 
In addition, commenters requested clarification regarding which 
products are included in the definitions.
    Response 4: In response to this comment, the preamble and 
regulation text for the final rule: (1) Clarify that the scope of the 
rule includes products with inclined and flat sleep surfaces, and (2) 
more precisely explain the definition of an ``infant sleep product.'' 
For example, to clarify that the scope of the rule includes inclined 
and flat sleep products, the scope of CPSC's regulation text in Sec.  
1236.2, and the scope of the revised voluntary standard in section 1.3, 
explain that the scope of the infant sleep products rule includes 
products with inclined and flat sleep surfaces. The final rule also 
broadens the definition of an ``infant sleep product'' to include the 
term ``marketed'': Which is ``a product marketed or intended to provide 
sleeping accommodations for an infant up to 5 months old that is not 
subject to any of the following . . . .'' The definition then lists 
CPSC's five infant sleep standards, to ensure that all infant products 
marketed or intended for infant sleep meet the requirements of a CPSC 
sleep standard, so that all products meet minimum safe sleep 
requirements. Staff modified the introduction, scope, and definitions 
in

[[Page 33047]]

the final rule to clarify the applicability of the rule to any infant 
sleep product not covered by another CPSC sleep standard.
    While newborns can and do fall asleep in many products, because 
young infants sleep for extended hours throughout the day, certain 
products are designed, marketed, and intended for infant sleep. 
Therefore, ``sleep'' and ``sleeping accommodations'' refer to products 
that are marketed or intended for both extended, unattended sleep, and 
also napping, snoozing, and other types of sleep in which a parent may 
or may not be present, awake, and attentive. Additionally, if a product 
name implies the product is for use as an infant sleep product, such as 
use of the terms ``bed,'' ``bassinet,'' or ``crib,'' but does not 
already comply with the bassinet or crib regulation, the product falls 
within the scope of the final rule. If a product, through marketing, 
pictures, and written description, indicates that the product is being 
sold as an infant sleep product for infants up to 5 months old, that 
product will be covered by this regulation if it is not already subject 
to a CPSC sleep standard.
    The 2019 SNPR included four definitions, ``infant sleep products,'' 
``newborn sleep products,'' ``compact sleep products,'' and ``accessory 
sleep products.'' However, this distinction is not necessary and 
creates confusion when identifying infant sleep products, because there 
are no unique requirements in this rule based on these definitions. 
Accordingly, for the final rule, to clarify which infant sleep products 
are subject to the rule, the Commission removed the separate 
definitions of ``newborn,'' ``compact,'' and ``accessory'' sleep 
products, and will rely solely on the definition of an ``infant sleep 
product'':
    3.1.7 infant sleep product, n--a product marketed or intended to 
provide a sleeping accommodation for an infant up to 5 months of age, 
and that is not subject to any of the following:

<bullet> 16 CFR part 1218--Safety Standard for Bassinets and Cradles
<bullet> 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs
<bullet> 16 CFR part 1220--Safety Standard for Non-Full-Size Baby Cribs
<bullet> 16 CFR part 1221--Safety Standard for Play Yards
<bullet> 16 CFR part 1222--Safety Standard for Bedside Sleepers
(b) Distinguishing Non-Sleep Products
    Comment 5: A commenter stated that infant car seats, swings, and 
rockers typically have seatback angles greater than 30 degrees, adding 
that these products have use patterns very similar to products that 
fall within the scope of ASTM F3118. The commenter requested 
clarification of the distinguishing features or characteristics that 
differentiate these two types of products with very similar usage 
patterns.
    Response 5: The purpose of the final rule is to regulate all 
products marketed or intended for infant sleep for infants up to 5 
months old. Accordingly, the products within the scope of the final 
rule are all marketed and intended for sleep, and do not include car 
seats, swings, or rockers, unless a product is marketed or intended for 
sleep. Newborns can and do fall asleep in many products, because young 
infants typically sleep 16 to 17 hours a day, 1 to 2 hours at a time. 
By 3 months, infants can sleep 4 to 5 hours during the day and 9 to 10 
hours during the night.\37\ However, products such as car seats, 
swings, and rockers typically are not marketed for use as an infant 
sleep product; these products are intended for use while the child is 
awake. Moreover, regarding car seats, CPSC has jurisdiction only for 
use outside of an automobile, when the product is being used as an 
infant carrier; while the National Highway Traffic Safety 
Administration (NHTSA) has jurisdiction over car seats being used in an 
automobile, including the car seats' angle and design for safe use in 
an automobile.
---------------------------------------------------------------------------

    \37\ https://www.stanfordchildrens.org/en/topic/default?id=infant-sleep-90-P02237.
---------------------------------------------------------------------------

    Comment 6: Several commenters stated that the scope of the 2019 
SNPR was too broad, and expressed concerns that non-sleep products 
would be included. Some of the comments requested specific exclusions 
or inclusions to the scope of the final rule.
    Response 6: The final rule does not apply to products that are not 
marketed or intended for infant sleep, such as bouncer seats, swings, 
infant chairs, or other similar durable infant or toddler products that 
are marketed for use while a child is awake. In addition, the 
Commission is specifically excluding crib mattresses that fall within 
the scope of the voluntary standard for crib mattresses, ASTM F2933, 
from the scope of the final rule. A crib mattress, alone, does not meet 
the definition of an ``infant sleep product,'' and is always used in 
conjunction with a sleep product, such as a crib or play yard, which 
are within one of the five existing CPSC sleep standards. The 
Commission issued a notice of proposed rulemaking for crib mattresses 
in 2020, and we intend to finalize a separate rule on crib mattresses 
this fiscal year.
    The purpose of the rule is to set minimum safe sleep requirements 
for products that are marketed or intended for infant sleep up to 5 
months old. The Commission is aware that infant sleep products share 
hazard patterns that can be addressed by performance and labeling 
requirements; but currently, a gap exists between regulated and 
unregulated products. Therefore, the scope of the final rule includes 
all infant sleep products not already covered by a mandatory CPSC sleep 
standard (bassinets, full-sized cribs, non-full-sized cribs, play 
yards, or bedside sleepers), and requires the product to be tested to 
the bassinet standard as a default, so that all infant sleep products 
follow a mandatory safety standard for infant sleep, specifically (and 
minimally) the standard for bassinets and cradles. Based on staff's 
evaluation, following the requirements of the bassinet and cradle 
standard would address the hazard patterns found in the incident data 
for unregulated inclined and flat sleep products (see section VI of 
this preamble and Tab B and C of Staff's Final Rule Briefing Package).
    The Commission is also concerned about new infant sleep products 
that come on the market and that do not follow any CPSC sleep standard. 
The concern is that caregivers may view these products as safe because 
they are on the market, even though these products may not address 
known infant sleep hazards or may not be tested to an appropriate 
standard. Accordingly, the final rule requires all products marketed or 
intended for sleep for infants up to 5 months old to follow core safe 
sleep principles, which the Commission, in agreement with AAP, states 
are: Place infants alone, on their back, and on a flat, firm surface 
with no restraints or loose fabric nearby.
    Rather than list specific inclusions and exclusions, other than 
excluding crib mattresses, the scope and definitions in the final rule 
address potential confusion about which infant sleep products are 
covered. For example, the definition of an ``infant sleep product'' 
states:
    3.1.7 infant sleep product, n--a product marketed or intended to 
provide a sleeping accommodation for an infant up to 5 months of age, 
and that is not subject to any of the following:

<bullet> 16 CFR part 1218--Safety Standard for Bassinets and Cradles
<bullet> 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs
<bullet> 16 CFR part 1220--Safety Standard for Non-Full-Size Baby Cribs
<bullet> 16 CFR part 1221--Safety Standard for Play Yards

[[Page 33048]]

<bullet> 16 CFR part 1222--Safety Standard for Bedside Sleepers

    Comment 7: Several commenters asked for clarification regarding 
whether products, similar in design to inclined sleepers but marketed 
as a ``soother,'' ``rocker,'' or ``lounger,'' are in-scope for the 
rule, and suggested that such products should be in-scope due to the 
potential for consumer confusion as to intended uses. We also received 
a comment asking that inclined products for activity and transport, 
such as a bouncers, strollers, and swings, be excluded from the scope 
of the rule.
    Response 7: Infant products, inclined or flat, do not fall within 
the scope of the final rule as long as they are not intended for sleep, 
and they are marketed conspicuously as not for sleep by infants up to 5 
months old. This means that the product packaging, marketing materials, 
inserts, and instructions cannot indicate that the product is for 
sleep, or imply through pictures of sleeping infants that sleeping in 
the product is acceptable. In addition, if ``attended'' or 
``supervised'' sleep is indicated, then the product would be considered 
within the scope of the final rule. The product name, description, and 
instructions also cannot include references to sleep, snooze, dream, or 
nap. CPSC staff would consider decorations on the product that include 
pictures of sleeping animals or sleeping cartoon figures to imply the 
product is intended for sleep. Additionally, the product must not be 
described as a bed. Some of these products, such as stroller 
accessories, are already required by the mandatory standard for that 
product type to meet the bassinet standard when the product is in 
bassinet mode.
    Comment 8: One commenter acknowledged that the scope of the rule 
does not include sleep positioners and requested ``the CPSC to better 
enforce the ban on sleep positioners.''
    Response 8: Neither CPSC, nor FDA, has a ``ban on sleep 
positioners''; however, both agencies advise consumers not to use them 
with infants due to the risk of suffocation. Sleep positioners are 
considered accessories, and not an ``infant sleep product'' under the 
definition proposed in the 2019 SNPR or as clarified in the final rule. 
Similar to crib mattresses, sleep positioners are not intended to be 
used as the sole product for sleep; instead, they are used in 
conjunction with a sleep product, for example, to hold an infant in a 
position while inside a crib. Therefore, sleep positioners do not fall 
within the final rule because they are not intended to provide a 
sleeping accommodation for an infant. The Commission declines to 
explicitly exclude sleep positioners from the final rule at this time.
(c) Upper Age Limit for Infants Up to 5 Months Old
    Comment 9: The 2019 SNPR posed a question regarding whether the 
Commission should remove the upper age limit from the scope of the 
mandatory standard, to accommodate a broad scope of infant sleep 
products. Several commenters stated that the final rule should remain 
applicable to products intended for infants up to 5 months old. 
Otherwise, the commenters said new requirements addressing containment, 
stability, and side height would need to be added to the bassinet 
standard for products intended for ages 6 to 12 months, noting that the 
existing bassinet requirements are designed only for infants up to 5 
months old.
    Response 9: After further consideration, the Commission agrees that 
changing the scope of the final rule to remove the upper age limit, or 
to include products intended for infants up to 12 months old (as 
suggested at an ASTM task group meeting), would require new 
performance, labeling, and testing requirements in the bassinet 
standard. As the commenters noted, the bassinet standard only applies 
to infants up to 5 months of age. Therefore, a number of requirements 
in the ASTM F2194-16[egr]1 bassinet standard, would need to be changed 
to address older, larger, and more mobile and active infants, including 
changes to the scope in section 1.3, the stability requirement in 
section 6.4, and the side height requirement in section 6.5.4.
    Additionally, the final rule focuses on hazards to young infants 
associated with infant sleep products because infants under 5 months 
old are the most vulnerable, due to their limited mobility and young, 
developing respiratory system. Requiring currently unregulated inclined 
and flat sleep products to meet the bassinet standard sets minimum 
requirements for safe sleep. Bassinets are designed for children who 
are not yet mobile, and the final rule addresses the hazards seen in 
this population. Older infants, i.e., 6 to 12 months old, have 
different needs for sleep, and the existing standards for this older 
age group are designed to address those needs. By 6 months of age, 
infants have developed enough mobility that they can perform such 
actions as rolling back and forth and pulling themselves up. The 
Commission agrees with CPSC staff's assessment that it is unsafe for 6 
to 12 month olds to be in a confined space, such as a bassinet, for 
sleeping, as they may roll out of the product, or pull themselves out 
of the product.
    The unregulated products on the market with which CPSC has 
concerns, e.g., in-bed sleepers, baby boxes, and compact bassinets, are 
intended for this younger, more vulnerable population. In addition, 
CPSC data indicate that 34 percent of the incidents involving inclined 
sleep products and 49 percent of the incidents involving unregulated, 
flat, sleep products happened to infants 0 to 5 months of age. Infants 
6 to 12 months old were involved in 9 percent of inclined sleep 
products and 4 percent of unregulated, flat sleep product incidents, 
respectively. Therefore, consistent with the 2019 SNPR, the final rule 
limits the scope of the standard to infants up to 5 months of age. Due 
to the size and design of these unregulated compact/travel products, 
older infants should not be placed to sleep in these products, and 
older infants are not included within the scope of the final rule.
(d) Consumer Registration Rule
    Comment 10: A commenter expressed no objection to requiring product 
registration cards for products within the scope of the rule, but 
suggested that the Commission ``remain open to innovation as to the 
specific methods of achieving optimum product traceability, 
particularly now that so many products are linked to internet 
devices.''
    Response 10: In the 2009 NPR for the consumer registration rule (74 
FR 30986 (June 29, 2009)), the Commission said it: ``intends to 
encourage innovation in the use of the internet for product 
registration,'' and the methods of registration online are encouraged, 
whether through a website or email. The Commission is open to 
innovation in this area, but we note that section 104(e) of the CPSIA 
sets forth a process the Commission must follow to allow new technology 
for product registration, in lieu of the product registration card 
requirements in part 1130.
    Comment 11: A commenter supported the Commission's amendment of the 
consumer registration rule, 16 CFR part 1130, to identify infant sleep 
products as durable infant or toddler products subject to the product 
registration requirements, so that freestanding sleep products without 
a frame, are included within the scope of part 1130.
    Staff Response 11: To avoid confusion, and to ensure that all 
infant sleep products fall within the requirements of part 1130, the 
final rule updates the list of durable infant or toddler products in 
part 1130 to explicitly identify ``infant sleep products'' as durable 
infant or toddler

[[Page 33049]]

products, as a subcategory of bassinets and cradles.
2. Incident Data
(a) Inclusion of Flat Sleep Products
    Comment 12: Multiple commenters expressed concern about in-bed 
sleepers, baby boxes, and compact bassinets being subject to the 
standard. Concerns included:

<bullet> In-bed sleepers, baby boxes, and compact bassinets are not 
identified in CPSC data;
<bullet> Bed-sharing is a common practice in the United States and 
abroad;
<bullet> Potential disparity in safety among in-bed sleepers versus a 
potential ban of in-bed sleepers;
<bullet> Interest in increased advocacy regarding bed-sharing; and
<bullet> Differences among products necessitates different requirements 
based on demonstrable hazard data.

Commenters objected to including non-inclined sleep products in this 
rulemaking, including objecting to replacing the term ``infant inclined 
sleep products,'' with the more general ``infant sleep products.'' 
Instead, these commenters urged the Commission to focus on inclined 
products for this rulemaking and to review requirements for non-
inclined products in separate rulemaking efforts. A commenter stated 
that it is inappropriate to require all products not subject to an 
existing standard to comply with the bassinet standard.
    Response 12: The Commission recognizes that bed-sharing is a common 
practice of parents, both in the United States and abroad. However, we 
cannot recommend bed-sharing as a safe sleep practice, due to the 
increased risk of SIDS, overlay, and other hazards. AAP safe sleep 
recommendations encourage infants to room-share with parents, but to 
provide infants with their own firm, flat space, near the parents, but 
not in the same bed. For a more detailed discussion on bed-sharing, 
please see CPSC human factor's staff memorandum at Tab D of Staff's 
Final Rule Briefing Package.
    As discussed in section III of this preamble, in response to the 
comments, the Directorate for Epidemiology staff identified 183 
incident reports related to non-inclined, flat products marketed as 
infant sleep products, such as in-bed sleepers, and compact bassinets. 
The incident data, reported to have occurred during the period from 
January 1, 2019 through December 31, 2020, identified 11 fatalities and 
16 injury reports. Seven of the 11 fatalities described a suffocation 
death. The other deaths involved the infant rolling over to a prone 
position, or rolling out of the product and becoming entrapped. The 
final rule identifies the flat sleep products that fall within the 
scope of the rule, provides incident data, describes hazard patterns, 
analyzes the effectiveness of the bassinet standard to address the 
hazards, and compares the performance requirements in international 
standards to demonstrate that these products have similar hazard 
patterns that can be addressed by the requirements in the bassinet 
standard.
    Comment 13: Several commenters urged the Commission to work with 
ASTM to develop product-specific safety standards for each of the 
identified flat products, such as in-bed sleepers, baby boxes, and 
compact bassinets, and to do so in a separate effort.
    Response 13: The ASTM process for developing the voluntary standard 
for infant inclined sleep products took close to 5 years before the 
standard was published. The bassinet subcommittee also has been working 
about 5 years to add ``compact bassinets'' to the standard, which has 
not been completed. CPSC staff has participated in these efforts and 
provided incident data to the ASTM committees and task groups. 
Throughout all this time, inclined and compact infant sleep products 
have entered the retail market without meeting any safe sleep testing, 
voluntary or mandatory. The incident data discussed in section III of 
this preamble (Tab B of Staff's Final Rule Briefing Package), and the 
engineering and human factors analysis in section VI of this preamble 
(Tabs C and D of Staff's Final Rule Briefing Package), demonstrate that 
inclined, compact, and in-bed sleep products pose risks to infants and 
therefore, should not be allowed to be sold as infant sleep products 
without meeting one of CPSC's mandatory sleep standards.
    Comment 14: A commenter stated that no data indicate that overlay 
injuries or fatalities exist while using an infant in-bed sleeper.
    Response 14: As part of CPSC staff's participation with ASTM 
voluntary standards groups, in fall 2017 \38\ and summer 2019,\39\ CPSC 
staff provided the ASTM in-bed sleeper working group with incident data 
that identified fatal and nonfatal incidents involving in-bed sleepers. 
This data demonstrated 11 fatalities and 22 nonfatalities associated 
with in-bed sleepers. The primary hazard patterns, consistent with the 
incident data discussed in this final rule, involved infants falling 
out of in-bed sleepers, rolling into the side, bedsharing, and consumer 
complaints.
---------------------------------------------------------------------------

    \38\ October 2, 2017 email from Hope Nesteruk to Lisa Trofe and 
Meredith Thomas, JPMA contacts for ASTM meetings.
    \39\ Email dated June 4, 2019, from Hope Nesteruk to Meredith 
Thomas, JPMA contact for ASTM meetings.
---------------------------------------------------------------------------

    An overlay hazard typically occurs during bed-sharing, when a 
parent lays over their infant, and typically does not realize they have 
done so because they are asleep. Accordingly, during task group and 
subcommittee meetings, staff expressed additional concerns with low 
side height, soft-sided, in-bed sleepers, because use of such products 
may provide parents with a potentially false sense of security when 
bed-sharing. Based on this information, and bed-sharing concerns 
generally, CPSC has substantial concerns that a low, soft-sided, in-bed 
sleeper may not prevent a parent from inadvertently laying over an 
infant and suffocating the baby. CPSC data for in-bed sleepers is 
anecdotal in nature, and therefore, we may not have received overlay 
incidents that involve an in-bed sleeper, but the large number of 
overlay incidents reported to the CPSC generally indicate that bed-
sharing can be hazardous.
    Comment 15: A commenter stated that the 2019 SNPR is well-
intentioned, but that it is premature, and that the scope of the rule 
ultimately may harm consumer safety, because consumers will use soft 
bedding and other tools to replace an entire category of products that 
effectively are banned under the SNPR. The commenter stated that the 
data necessary to support the rule is either missing or incorrect. 
Another commenter stated that the data on in-bed sleepers, and the 
existing CPSC sleep standards, do not support CPSC's approach in the 
2019 SNPR, noting that babies die in all types of infant sleep products 
despite having an existing standard, citing bassinets, cribs, and play 
yards. Infants die for reasons not associated with the product, the 
commenter asserted, adding that CPSC has not presented data to warrant 
all infant sleep products without a standard to comply with the 
bassinet standard. This commenter maintained that CPSC is using a 
``back-door method'' to remove infant products from the market without 
the data to support or justify this action. The commenter opined that 
CPSC should write safety standards that will ensure safe sleep for each 
product type, and not funnel various products into one standard, 
bassinets and cradles, which was not intended for these products.
    Response 15: In coordination with a range of stakeholders, CPSC has 
carefully developed safety regulations for five infant sleep products 
(cribs: full-size and non-full-size, bassinets, play

[[Page 33050]]

yards, and bedside sleepers), and we encourage consumers to use these 
products for infant sleep. The Commission is aware that deaths occur in 
these products, but as noted, infant deaths are not always associated 
with the product. We particularly urge consumers to follow the AAP safe 
sleep recommendations when using any product intended for infant sleep. 
CPSC data, in section III of this preamble (Tab B of Staff's Final Rule 
Briefing Package), and evaluated in section VI of this preamble (Tabs C 
and D of Staff's Final Rule Briefing Package), show that deaths and 
injuries occur in untested and unregulated infant sleep products, 
including inclined and flat sleep products, and sometimes these 
incidents involve a use contrary to AAP recommendations. However, 
CPSC's evaluation of the incidents in section VI of this preamble 
demonstrates that requiring currently unregulated infant sleep products 
to meet the requirements of the bassinet standard will further reduce 
the risk of death and injury associated with these products (Tab C of 
Staff's Final Rule Briefing Package).
    The argument that parents will use soft bedding and other tools to 
replace products taken off the market is the same argument used in 
support of creating a separate voluntary and mandatory standard for 
infant inclined sleep products, and infants died in these products that 
did not meet AAP safe sleep guidelines. Accordingly, to further reduce 
the risk of death and injury, the final rule requires that all products 
marketed or intended as a sleeping accommodation for infants up to 5 
months old be tested and certified to an existing CPSC sleep standard, 
and that CPSC, the AAP, and the industry, continue to promote and 
educate caregivers about safe sleep practices for infants.
(b) Statistically Significant Data
    Comment 16: One commenter questioned whether the data presented in 
the 2019 SNPR are statistically significant for inclined sleep 
products, or are the deaths due to SIDS?
    Response 16: The analysis presented in the 2019 SNPR and in this 
final rule is based on reported incidents, and therefore, anecdotal in 
nature. This means that the data do not constitute a statistical sample 
representing all incidents related to inclined and flat sleep products; 
nor do the data represent a complete set of incidents that may have 
occurred involving the products. As such, no statistical inference is 
possible. However, the data do provide at least a minimum count for the 
number of incidents related to each type of product reviewed.
    Many of the fatality reports contain unclear, conflicting, and/or 
inconsistent information. For example, for some deaths, medical 
examiners may have concluded the cause of death to be SIDS or Sudden 
Unexpected Infant Death (SUID), but they also may mention co-
contributing conditions, such as an unsafe sleep environment (e.g., 
soft bedding, inclined sleep surface) or other pre-existing medical 
condition(s). This can confound CPSC's ability to determine a 
predominant factor in the fatality. Staff used a consensus-based 
decision-making process to review incident data. If an unsafe sleep 
environment or a product design was one of the factors, staff 
classified the death under that category. Otherwise, staff classified 
the reported incident under the ``undetermined'' category, when no one 
factor stood out, or staff classified the incident under the 
``insufficient information'' category, when staff did not have enough 
information to classify the incident in another category to avoid 
overestimating the risk.
3. Degree of Incline
(a) Additional Testing for Inclines Between 10 and 20 Degrees
    Comment 17: Several commenters stated that the Commission should 
conduct additional research on the safety of inclines between 10 and 20 
degrees for infant sleep products. A commenter stated that CPSC has 
failed to provide relevant data to support the 2019 SNPR's approach 
regarding inclined sleep products, to limit the seat back angle to 10 
degrees or less, and not to conduct additional study on the 10 to 20 
degree angle, or to provide information or incidents to support this 
decision.
    Response 17: During the development of the 2019 SNPR, Commission 
staff contracted with Dr. Erin Mannen to examine how the degree of a 
seat back angle affects an infant's ability to move within inclined 
sleep products, and if the incline angle directly impacts safety or 
presents a risk factor that could contribute to the suffocation of an 
infant.\40\ The Mannen Study findings showed that infants in products 
with a seat back angle greater than 20 degrees exhibit increased demand 
on their abdominal muscles. The Mannen Study concluded that this could 
lead to increased fatigue and suffocation, if an infant is unable to 
reposition themselves after an accidental roll from supine to prone. 
The Mannen Study concluded that a sleep surface that is 10 degrees or 
less, is comparable to a crib mattress surface and can be considered a 
safe sleep surface. The Mannen Study suggested if future work were done 
on safe sleep angles, one area of study would be additional 
biomechanical testing to determine ``which, if any, angles between 10- 
and 20-degrees may be safe for infant sleep.''
---------------------------------------------------------------------------

    \40\ Read the full report from Dr. Mannen beginning on page 91, 
Tab B, of CPSC Staff's SNPR Briefing Package: https://cpsc.gov/s3fs-public/SupplementalNoticeofProposedRulemakingforInfantSleepProducts_10_16_2019.pdf.
---------------------------------------------------------------------------

    The Mannen Study recommendations do not imply that an incline angle 
above 10 degrees may be safe; rather, the Mannen Study merely suggests 
that if higher angles are considered, additional biomechanical testing 
is required. We are not aware of existing research that suggests that 
an inclined sleep surface between 10 and 20 degrees is safe, nor is 
CPSC currently conducting similar research. The Mannen Study also 
stated that its testing of awake infants was a limitation because 
``while the muscle use and motion may be similar, it is likely that 
infants who find themselves in a compromised position in an inclined 
sleep product during a nap or overnight sleep may not have enough 
energy or alertness to achieve self-correction and may succumb to 
suffocation earlier or more easily than infants who are fully awake.'' 
Given the vulnerability of newborn infants and the precedence of 
fatalities of infants who were most likely asleep in inclined products 
at the time of incidents, additional research of inclines above 10 
degrees is unnecessary for the final rule.
    Additionally, other research \41\ has demonstrated a discernable 
difference in infant ability between 5, 7, and 10 degrees in a side-to-
side tilt, which formed the basis of the 7-degree maximum sleep surface 
angle in Health Canada's regulations and the 5-degree limit in the 
Australian requirement. The 10-degree sleep surface limit in the final 
rule is a slightly higher allowed sleep surface angle than other 
countries. Based on the Mannen Study and the research that supports 
sleep surface angles in international standards reviewed by CPSC staff, 
staff believes that it is unlikely that additional research at angles 
higher than 10 degrees will demonstrate that an angle greater than 10 
degrees is safe for infant sleep. Accordingly, for the final rule, 
infant sleep products must be tested for a seat back or sleep surface 
angle of 10

[[Page 33051]]

degrees or less from horizontal, and they must meet the requirements of 
the bassinet and cradle standard.
---------------------------------------------------------------------------

    \41\ Beal SM, Moore L, Collett M, Montgomery B, Sprod C, Beal A. 
The danger of freely rocking cradles. J Paediatr Child Health. 1995 
Feb;31(1):38-40. doi: 10.1111/j.1440-1754.1995.tb02910.x. PMID: 
7748688.
---------------------------------------------------------------------------

(b) Adopt Canadian Standard of 7 Degrees
    Comment 18: One commenter stated that Canada only allows up to 7-
degree seat back angle in sleep products, and suggested CPSC should 
consider adopting the Canadian standard. Another commenter supported 
the SNPR proposal that infant sleep surfaces be no more than 10 degrees 
from horizontal.
    Response 18: The Mannen Study concluded that a seatback angle of 10 
degrees or less is safe. This seatback angle is consistent with CPSC's 
Safety Standard for Bassinets and Cradles, which also requires a 10 
degree or less incline. We recognize that Health Canada is using a 7-
degree maximum incline; however, that requirement is based on a side-
to-side tilt study of infants in rocking cradles published in 1995. The 
2019 Mannen Study compared infant muscle and breathing behavior on a 
flat crib mattress and on a crib mattress, head-to-toe 10 degrees from 
horizontal, and determined that infant responses were essentially the 
same on both sleep surfaces. Accordingly, based on the Mannen Study 
findings, to provide a safe sleep surface, the final rule is consistent 
with the current requirement in the bassinet and cradle standard, 
requiring that infant sleep products must have a head-to-toe incline 
angle of 10 degrees or less.
(c) Highest Seat Back Angle Clarification
    Comment 19: A commenter requested that CPSC replace the phrase: 
``the manufacturer's recommended highest seat back angle position 
intended for sleep,'' with ``the seat back angle position that is the 
highest position intended for sleep or that is the highest position 
that a reasonable consumer would consider as being for infant sleep, 
whichever is higher.''
    Response 19: The commenter's suggestion, by focusing on the ``seat 
back'' of an infant sleep product, illustrates some confusion with 
terminology. The 2019 SNPR applied to infant sleep products, and 
required all infant sleep products to be 10 degrees or less from 
horizontal-the same as the sleep surface in bassinets. However, the 
safe sleep principle requirement from the Mannen Study, and already 
reflected in the bassinet standard, is that infants should sleep flat 
on their backs. Accordingly, the SNPR term ``seat back'' created 
confusion, because the term implies that infant sleep products are for 
``sitting'' in a device with a ``seat.'' Thus, to reduce this confusion 
in the final rule, we replace the term ``seat back'' with the term 
``Seat Back/Sleep Surface.''
4. Safe Sleep Principles
(a) Request to Ban Infant Inclined Sleep Products
    Comment 20: Approximately 25 commenters requested that CPSC ``ban'' 
or ``remove'' infant inclined sleep products from store shelves. Of 
those commenters, three indicated that their child died while sleeping 
in an inclined sleep product.
    Response 20: Many products with an incline greater than 10 degrees 
from horizontal have been removed from the market through CPSC recalls. 
To address newly manufactured products, the final rule does not ``ban'' 
all infant sleep products with an angle, but addresses the hazards 
associated with inclined sleep products by requiring that any product 
marketed or intended for sleep for infants up to 5 months old must not 
have a sleep surface angle greater than 10 degrees, and that any 
currently unregulated infant sleep product meet the bassinet standard. 
The purpose of these requirements is to ensure that all infant sleep 
products meet minimum safe-sleep principles, including the sleep 
surface angle, as addressed through an existing CPSC sleep standard.
(b) Aligning with AAP Safe Sleep Practices
    Comment 21: One commenter acknowledged that the 2019 SNPR aligns 
with the AAP's safe sleep recommendations, and encourages CPSC to 
ensure that the proposed rule sends a clear message addressing safe 
sleep practices.
    Response 21: The Commission is committed to addressing safe sleep 
practices in this rulemaking and ensuring that all products marketed, 
intended, promoted, or otherwise indicated as being for any kind of 
infant sleep for infants up to 5 months old are addressed. Therefore, 
the final rule requires that all infant sleep products, including 
inclined and flat products, be subject to 16 CFR part 1218, Safety 
Standard for Bassinets and Cradles, because part 1218 includes safe 
sleep requirements. Additionally, CPSC's website provides extensive 
information regarding best practices for safe sleep through its CPSC's 
Safe Sleep Campaign and Baby Safety information at: https://www.cpsc.gov/SafeSleep.
(c) Use of Unsafe Products by Sleep Deprived Parents
    Comment 22: One commenter expressed concern that parents, 
particularly those who are sleep deprived, cannot reasonably be 
expected to use a product that is unsafe by design in a safe manner.
    Response 22: Lack of sleep may have a detrimental effect on a 
parent's judgment when using an infant sleep product. Research 
demonstrates that fatigue can negatively affect memory, concentration, 
and decision making.\42\ The final rule is the most effective method of 
ensuring that infant sleep products for infants up to 5 months of age 
are safe for use.
---------------------------------------------------------------------------

    \42\ https://www.sleepfoundation.org/sleep-deprivation.
---------------------------------------------------------------------------

5. Definitions
(a) Remove ``Intended'' From Definitions
    Comment 23: A commenter requested that the word ``intended'' be 
struck from the definitions of infant and newborn sleep products.
    Response 23: We disagree with the request to remove ``intended'' 
from the definitions. Manufacturer's intent, which can be evaluated 
through stated warning messages, marketing photos, product instructions 
and other factors, must remain a factor for staff's consideration. As 
the commenter noted, some products are marketed for swinging or 
bouncing. If infant products are not intended for sleep and are not 
marketed in ways that imply they are for sleeping or napping, they are 
not subject to the infant sleep product standard. CPSC will evaluate a 
manufacturer's intent using all available materials, including 
marketing. Accordingly, the final rule maintains the word ``intended'' 
and also broadens the definition of an ``infant sleep product'' to 
include the word ``marketed.''
(b) Define or Clarify ``Free Standing'' Infant Sleep Products
    Comment 24: One commenter contended that ``free standing'' is an 
ambiguous term.
    Response 24: A ``free-standing'' infant sleep product is a sleep 
product that can be used by itself, without the need of another 
product, such as a portable play yard. ASTM F3118--17a contains a 
separate definition for ``accessory inclined sleep product,'' which 
applies to products that are supported by another product, such as a 
play yard. The term ``free-standing'' is used without issue in other 
ASTM and CPSC standards. For the final rule, the

[[Page 33052]]

definition of ``infant sleep product'' is broadened to cover all 
inclined and flat products marketed or intended as a sleeping 
accommodation, regardless of whether the product is free-standing or 
attached to another product. Accordingly, we removed the term ``free-
standing'' from the definition of ``infant sleep product'' in the final 
rule, to reduce confusion about which infant sleep products are subject 
to the rule.
6. Warnings and Instructions
(a) Provide Information About Scoliosis and Torticollis
    Comment 25: One commenter recommended that information about 
deformities, such as scoliosis and torticollis, be included on an 
insert with all infant sleep products.
    Response 25: Providing parents with information and resources 
regarding various infant deformities is beneficial, and manufacturers 
are not prevented from including this information if they desire. 
However, as indicated in the 2019 SNPR, increases in the number of 
children with plagiocephaly may actually be attributed to the AAP's 
recommendation to place infants to sleep on their backs to decrease the 
risk of SIDS. The final rule does not contain any modifications to the 
voluntary standard to address this issue.
(b) Placement of Warnings
    Comment 26: One commenter recommended that warnings should be 
placed on the outside and inside of the packaging, as well as on the 
product. The commenter also recommended that packaging should be 
labeled, easily visible, and easy to read/understand.
    Response 26: Consistent with the 2019 SNPR, the final rule requires 
that infant sleep products not already subject to a CPSC sleep 
standard, be subject to the warning requirements set forth in the 
bassinet standard, ASTM F2194-16[egr]1, which requires that warning 
labels be present on the product and its packaging, and that warning 
information be present in the instructional literature. ASTM F2194-16e1 
also requires that the warnings be conspicuous, permanent, and easy to 
read/understand.
7. Economic Analysis
    Comment 27: A commenter suggested that CPSC conduct an exposure 
study to research the relative risks of these different sleep products. 
This commenter also suggested that CPSC perform a full cost-benefit 
analysis of the final rule.
    Response 27: CPSC is continuing research topics related to safe 
sleep, which may potentially involve types of infant sleep products. 
Although an exposure study is an effective means to estimate exposure, 
we can estimate exposure by comparing annual sales of products to the 
number of live births, and staff identifies the hazard patterns from 
the incident data. The Commission is not required to conduct cost-
benefit analyses under section 104 of the CPSIA, and has not done so 
for any durable infant or toddler rulemaking. We are uncertain what the 
purpose of such an analysis would accomplish for a rule promulgated 
under section 104 of the CPSIA, where cost/benefit considerations are 
not germane to the Commission's rulemaking authority.
8. Effective Date
    Comment 28: Commenters both supported and opposed the 12-month 
effective date. Some opposing commenters supported a 6-month effective 
date instead, because additional time for the rule to become effective 
puts infants at risk, while other opposing commenters wanted a longer 
effective date, or an indefinite delay until ASTM completes additional 
standards for specific products. The 2019 SNPR proposed that the 
effective date would apply to products manufactured or imported after 
the final rule effective date. We received multiple comments that the 
effective date should apply to products sold after the final rule 
effective date instead of the ``sold by date,'' to prevent stockpiling 
and remove the hazards as soon as possible.
    Response 28: For the final rule, the Commission will maintain the 
2019 SNPR proposed effective date of 12 months after the date of 
publication in the Federal Register. A 6-month effective date may seem 
reasonable because suppliers have had ample lead time to prepare for 
this rule since the SNPR was published in 2019, and many of the 
products within the scope of the final rule have been withdrawn from 
the market or redesigned, particularly for inclined sleep products. 
However, for manufacturers of other unregulated flat sleep products 
that remain in the market, there will likely be a significant economic 
impact as a result of this final rule. While some suppliers can reduce 
the impact of this rule by relabeling their products as not for infant 
sleep, not all manufacturers can simply remarket the product if the 
physical form of the product demonstrates that it is intended for 
sleep. For some of these products, manufacturers could relabel them as 
intended for infants older than five months, or, in some cases, for 
pets. However, the demand for infant sleep products for pet use is 
probably limited.
    The final rule is considered a consumer product safety standard 
issued under the Commission's authority in section 104 of the CPSIA. 
Section 104(b)(1)(B). We are unclear regarding what the commenters' 
``sold by'' date references. The Consumer Product Safety Act (CPSA) 
sets forth requirements for manufacturers and importers once a rule 
becomes effective. Section 19(a)(1) of the CPSA states:
    (a) It shall be unlawful for any person to--
    (1) sell, offer for sale, manufacture for sale, distribute in 
commerce, or import into the United States any consumer product, or 
other product or substance that is regulated under this Act or any 
other Act enforced by the Commission, that is not in conformity with an 
applicable consumer product safety rule under this Act, or any similar 
rule, regulation, standard, or ban under any other Act enforced by the 
Commission;
    15 U.S.C. 2068(a)(1). Accordingly, the CPSA provides that, as of 
the effective date of the final rule, it is unlawful to ``sell, offer 
for sale, manufacture for sale, distribute in commerce, or import into 
the United States,'' any infant sleep product, as defined in the rule, 
that is not in conformity with the final rule.
9. Procedural Comments
(a) Products Subject to the Final Rule
    Comment 29: A commenter stated that the proposed rule would apply 
to domestic products, and not to products made overseas. The commenter 
stated that the rule should apply to products made overseas and sold in 
the United States, for ``optimal consumer safety.''
    Response 29: The commenter appears to misunderstand the scope of 
products subject to the final rule. If finalized, the rule would make 
it unlawful to sell, offer for sale, manufacture for sale, distribute 
in commerce, or import into the United States, an infant sleep product 
that is not in conformity with this rule, regardless of whether the 
product was manufactured in the United States or overseas.
(b) Incorporation by Reference
    Comment 30: A commenter states that the Commission should publish 
the legal standard for infant sleep products, rather than incorporate 
the standard by reference. The commenter stated:

<bullet> Publishing the legal standard ``will advance fundamental 
principles of fair notice and due process by ensuring that the public 
has open and unimpeded access to the law.''
<bullet> The law belongs to the people, regardless of who drafts the 
law, and thus citizens have a fundamental right to know what the law 
contains.

[[Page 33053]]

<bullet> When the public is not informed about relevant legal 
standards, this has the potential for arbitrary or discriminatory 
enforcement.
<bullet> People cannot comply with a law if they do not know the 
substance of the law.

    Response 30: Section 104 of the CPSIA directs the Commission to 
issue standards for durable infant or toddler products that are 
``substantially the same as,'' or more stringent than, applicable 
voluntary standards. Thus, unless the Commission determines that more 
stringent requirements are necessary to further reduce the risk of 
injury, the Commission's rules must be, for the most part, the same as 
the applicable voluntary standard. In this case, the final rule would 
incorporate by reference ASTM F3118-17a, with substantial modifications 
to make the standard more stringent, to further reduce the risk of 
injury associated with infant sleep products. This final rule would set 
forth in the Code of Federal Regulations (CFR): Definitions, one test 
for the seatback/sleep surface angle of an infant sleep product, and 
otherwise require infant sleep products that do not already meet a CPSC 
sleep standard to meet the requirements of the bassinet standard, to 
further reduce the risk of injury associated with inclined and flat 
infant sleep products. CPSC's bassinet standard, 16 CFR part 1218, 
currently incorporates by reference performance and labeling 
requirements in ASTM F2194-13, with modifications set forth in the CFR. 
CPSC's mandatory standard is substantially similar to ASTM F2194-
16[egr]1.
    ASTM's voluntary standards are protected by copyright, which the 
Commission (and the federal government generally) must observe. The 
United States may be held liable for copyright infringement. 28 U.S.C. 
1498. Accordingly, the Commission cannot violate copyright law by 
publishing ASTM's voluntary standards in the CFR. The Office of the 
Federal Register (OFR) has established procedures for incorporation by 
reference that seek to balance the interests of copyright protection 
and public accessibility of material. 1 CFR part 51. OFR's regulations 
are based on Freedom of Information Act provisions that require 
materials to be ``reasonably available'' when incorporated by reference 
with approval of the Director of the Federal Register. 5 U.S.C. 
552(a)(1). Under the OFR's requirements, an agency may incorporate by 
reference specific publications, including standards, if they are 
``reasonably available to and usable by the class of persons 
affected.'' 1 CFR 51.7. To ensure the material is ``reasonably 
available,'' an agency must summarize the material it will incorporate 
by reference and discuss how that material is available to interested 
parties in the Federal Register notice. Id. Sec. Sec.  51.3(a), 
51.5(a).
    Manufacturers and importers of infant sleep products represent the 
class of persons affected by the final rule. Although any interested 
person has access to the content of CPSC's regulations through Federal 
Register notices of proposed and final rules, the CFR, and the content 
of voluntary standards on ASTM's website, under the statutory scheme 
set forth in the CPSIA, it is those manufacturers and importers who 
want to ``sell, offer for sale, manufacture for sale, distribute in 
commerce, or import into the United States,'' any durable infant or 
toddler product, that must conduct testing using a third party 
conformity assessment body (lab) and certify their product as compliant 
with the applicable consumer product safety rule. 15 U.S.C. Sec.  
2063(a)(2).
    The Commission complies with the requirement that publications, 
including standards, are ``reasonably available to and usable by the 
class of persons affected,'' whenever incorporating material by 
reference. For example, when the Commission proposes a rule under 
section 104 of the CPSIA, the Commission describes and summarizes the 
requirements of the rule, including the voluntary standard, in the 
preamble of the rule printed in the Federal Register, and explains that 
ASTM's copyrighted voluntary standards are available to review online 
for free during the comment period at https://www.astm.org/CPSC.htm. 
Once a rule becomes effective, ASTM provides a read-only copy of the 
standard for review on the ASTM website at: https://www.astm.org/READINGLIBRARY/. As always, any person can purchase a voluntary 
standard from ASTM, or may schedule a time to review a voluntary 
standard (for free) at the Commission's headquarters in Bethesda, MD, 
or at the National Archives and Records Administration (NARA). 
Accordingly, citizens who are interested in the content of the law have 
unimpeded access to the regulation, and have several avenues for free 
access to the text of voluntary standards incorporated by reference 
into a mandatory CPSC standard for a durable infant or toddler product.
    Comment 31: A commenter states that CPSC's practice of 
incorporating voluntary standards by reference into law forces citizens 
to either visit the agency in person, or pay for access, to view the 
proposed law. The commenter contends that CPSC's actions to allow 
public access to the proposal, including summarizing the proposed 
requirements in the preamble to the proposed rule, making the voluntary 
standard available for review at CPSC's offices, or reading the 
standard on ASTM's website free of charge, are all problematic, as the 
regulations are not ``reasonably available'' to the class or persons 
affected. The commenter states that ASTM's restrictions on downloading 
or printing the standard (unless the standard is purchased) are an 
impediment to accessing the law, and describes the Commission's access 
to the proposed law as ``limited'' and insufficient to ``ensure robust 
public access to the law.'' Specifically, the commenter notes that 
without the ability to download graphs and charts in the ASTM standard, 
the graphs are unreadable in portrait view. The commenter states that 
``reasonably available'' is not defined in the APA, but should be 
interpreted broadly ``to promote fundamental constitutional values. . . 
.''
    Response 31: We disagree with the commenter that CPSC's efforts to 
make voluntary standards ``reasonably available'' are ``limited.'' For 
rules issued under section 104 of the CPSIA, stakeholders have several 
ways to access the content of the voluntary standard proposed to be 
incorporated by reference, and after the standard is incorporated by 
reference into a regulation, including reading a summary of the 
requirements of a voluntary standard in a proposed or final rule 
(free), reviewing voluntary standards in person at CPSC's offices 
(free), reviewing read-only copies of the voluntary standard on ASTM's 
website (free), and by purchasing a copy of the standard. The OFR's 
regulations do not require free access to the contents of copyrighted 
materials. In developing a regulation, the OFR considered whether to 
require free access to materials that are incorporated by reference 
into regulations, and specifically declined to do so. 79 FR 66267 (Nov. 
7, 2014). The OFR found that adopting requirements to summarize the 
content of the material incorporated, and explaining to stakeholders 
how to obtain the material, was adequate to make the material 
``reasonably available.'' Id. at 66,270. Accordingly, CPSC's efforts to 
make copyrighted materials reasonably available exceed the OFR's 
requirements.
    Comment 32: A commenter states that incorporation by reference, 
without providing free access to the law, undermines due process 
because it may

[[Page 33054]]

limit public input and exclude meaningful participation by some 
stakeholders. The commenter explains, for example, that to participate 
in ASTM standards development, one must be an ASTM member, which costs 
$75 per year. The commenter notes that the regulated community can 
afford this and participate, while members of the public cannot 
meaningfully participate.
    Response 32: Stakeholders have several options to review the 
content of a voluntary standard for free, as described in response to 
comments 30 and 31. ASTM typically seeks a cross section of 
stakeholders to participate in standards development. While ASTM 
requires membership to vote on balloted items to create or revise a 
voluntary standard, ASTM does not require membership to participate in 
ASTM meetings where stakeholders discuss standards development for 
durable infant or toddler products. Thus, if a consumer wanted to 
participate in an ASTM meeting, they could do so without membership. 
Additionally, if a consumer wanted to become an ASTM voting member and 
cannot afford the membership fee, that person can contact ASTM to learn 
about additional options for membership. For example, students can be 
ASTM members free of charge.
    We further note that CPSC's regulation at 16 CFR part 1031 does not 
allow staff to participate in voluntary standards meetings that are not 
open to the public. CPSC staff's participation in ASTM meetings 
discussing durable infant or toddler products are posted on CPSC's 
calendar (on CPSC's website) at least a week in advance. The meeting 
notice provides the date, time, purpose of the meeting, the staff 
attending, and contact information for staff (to obtain ASTM login 
information) so that any person who wants to participate in the ASTM 
meeting may do so. Moreover, CPSC staff creates a written meeting log 
for each ASTM meeting where staff participates, which summarizes the 
meeting content.
    We encourage members of the public to meaningfully participate in 
standards development efforts for durable infant or toddler products 
through the ASTM process and by commenting on CPSC's proposed rules.
    Comment 33: A commenter describes a recent holding by the Eleventh 
Circuit finding that annotations to a Georgia statute were 
``sufficiently law-like'' to require free public access. The commenter 
also describes two district court cases challenging PACER system fees, 
but notes the cases are in the early stages of litigation, but ``the 
underlying principles of free public access to the law and legal 
proceedings are directly relevant here.''
    Response 33: As described in response to comments 30 and 31, CPSC 
exceeds the OFR's regulation requiring that voluntary standards that 
are incorporated by reference be made reasonably available to the class 
of persons affected, because the voluntary standards incorporated by 
reference by CPSC in rules under section 104 of the CPSIA are available 
for review by all interested parties. ASTM provides access to review 
voluntary standards incorporated by reference before and after a 
rulemaking, free of charge, on ASTM's website. Additionally, any person 
can schedule a time to review a voluntary standard (for free) at the 
Commission's headquarters in Bethesda, MD, or at the National Archives 
and Records Administration (NARA).
(c) Alleged Notice and Comment and Section 104 Procedural Defects
    Comment 34: A commenter states that the rulemaking process for 
including flat products within the scope of the 2019 SNPR, such as in-
bed sleepers, is procedurally deficient and does not follow the 
procedure for rules issued under section 104 of the CPSIA, because the 
Commission's 2019 SNPR did not include sufficient data demonstrating 
the need for a rule to cover non-inclined sleep products. The commenter 
states that the data set for non-inclined products is incomplete and 
insufficiently reviewed, suggesting that the Commission did not review 
incident data for non-inclined products with the ASTM committee. The 
commenter states that the Commission's failure to publish a revised 
SNPR to include CPSC staff's concerns with compact bassinets, baby 
boxes, and in-bed sleepers, as described in a December 12, 2019 letter 
from staff to several ASTM subcommittees, which the commenter states 
did not appear in the 2019 SNPR, and to instead provide a 30 day 
extension of the comment period, was insufficient notice to all 
interested parties, and may result in a flawed standard that is unable 
to withstand judicial scrutiny.
    Response 34: The 2019 SNPR provided notice to stakeholders that 
unregulated, non-inclined, flat infant sleep products were included in 
the proposal, by proposing to remove the term ``inclined'' from the 
standard, and to include within the scope of the rule currently 
unregulated infant sleep products, including inclined and non-inclined 
products. For example, the SNPR states:
    <bullet> ``CPSC's proposed standard would cover products intended 
for infant sleep that are not already addressed by another standard.'' 
84 FR at 60949.
    <bullet> ``CPSC proposes to define `infant sleep products' as 
products that provide sleeping accommodations for infants that are not 
currently covered by bassinets/cradles, cribs (full-size and non-full 
size), play yards, and bedside sleepers . . .'' Id. at 60950. Similar 
statements are also made on pages 60951 (three times), 60956, and in 
the draft regulatory text (proposed Sec.  1236.1, Sec.  1236.2(b)(4)(D) 
and Sec.  1236.2(b)(11)(i)) at 60962-63).
    <bullet> ``The Supplemental NPR proposes to incorporate ASTM F3118-
17a with substantial modifications, including revisions in the scope of 
the standard, section 1.3, to remove the term ``inclined,'' and to 
include any infant sleep product not currently covered by another 
mandatory rule for infant sleep products. . . .''
    <bullet> The request for comments on page 60961 asks for comments 
on non-inclined products likely to be impacted by the SNPR, including, 
for example, a request for comment on:
    [cir] ``. . . any additional types of products that commenters 
believe may be impacted by the Supplemental NPR.''
    [cir] ``. . . products with inclines less than or equal to 10 
degrees that do not already comply with the bassinet standard.''
    [cir] removing the upper age limit of 5 months because the SNPR 
``proposes to address `infant sleep products' not already covered by 
traditional sleep product [standards].''
    <bullet> The Staff's October 16, 2019 SNPR Briefing Package, 
referenced in the Federal Register notice, contains similar statements 
about the scope of the rule (pages 15, 16, 21, 117, 136), and on page 
133 also specifically states (and on page 134, Figure 1 provides a 
picture of an unregulated flat sleep product):
    The draft supplemental proposed rule would also cover products with 
inclined sleep surfaces greater than 30 degrees and less than 10 
degrees, if they are intended or marketed for children under 5 months 
of age for sleep purposes, and they are not subject to another sleep 
product standard. For example, the draft supplemental proposed rule 
would include the hammock-style crib accessory shown in Figure 1. It 
appears to have an incline of 10 degrees or less, but does not fall 
under another sleep category.
    CPSC's description of the scope of the rule throughout the 2019 
SNPR and the Staff's SNPR Briefing Package, and the request for comment 
on these products, were sufficient to inform stakeholders that these 
unregulated flat sleep

[[Page 33055]]

products were included within the scope of the rule.
    In addition, ASTM members had actual notice of the contents of the 
2019 SNPR before and after publication. Sections V.A.3 and V.B.2 of 
this preamble discuss staff's work with the ASTM subcommittees and task 
groups. Staff's SNPR Briefing Package was posted on the Commission's 
website on October 16, 2019, before ASTM held fall meetings on 
voluntary standards for juvenile products, and before the Commission 
voted on the SNPR, so that ASTM members and other stakeholders could 
review the package, including the Mannen Study, before the ASTM 
meetings, and so that staff could discuss the package and the Mannen 
Study with ASTM members. The ASTM Agenda for the Infant Inclined Sleep 
Products meeting that occurred on October 21, 2019 included a link to 
Staff's SNPR Briefing Package. CPSC staff discussed the 2019 SNPR 
Briefing Package at the ASTM meetings in October 2019, including with 
the ASTM subcommittees for infant inclined sleep products, in-bed 
sleepers, and bassinets, discussing the Mannen Study findings, as well 
as addressing the fact that flat sleep products were covered by the 
SNPR. Dr. Mannen attended the subcommittee meeting for infant inclined 
sleep products via telephone, to discuss the Mannen Study and to answer 
questions.
    The SNPR published in the Federal Register on November 12, 2019. In 
a December 12, 2019 letter to both the ASTM inclined sleep and bassinet 
subcommittees, CPSC staff again reiterated its concerns with weakening 
the safe sleep requirements in the voluntary standard for bassinets and 
cradles to accommodate unregulated products, such as in-bed sleepers, 
compact bassinets, and baby boxes. Thus, the letter represents an 
additional effort to ensure that the relevant ASTM subcommittees (and 
thus subcommittee members) were aware of CPSC staff's concerns with 
these products, as well as the content of the 2019 SNPR, which proposed 
that flat sleep products would need to meet the requirements of the 
bassinet standard. Even though this letter was in addition to, and not 
instead of, the notice provided in the 2019 SNPR, the Commission 
extended the comment period for an additional 30 days, to accommodate 
any confusion among stakeholders. The final rule addresses scope and 
data concerns submitted by commenters on the inclusion of unregulated 
flat sleep products.
    With regard to in-bed sleepers, baby boxes, and compact bassinets 
specifically, ASTM members, which include manufacturers of these 
products, have been well aware of CPSC staff's concerns with these 
products for years, based on activity on the bassinet subcommittee 
which has been developing requirements for these products to include in 
the bassinet standard, but has thus far been unsuccessful. With regard 
to in-bed sleepers, ASTM created a separate standards development 
effort for this product, which CPSC staff has participated in, and 
provided incident data on the products, including notice of the 
injuries and fatalities associated with these products. Indeed, through 
staff's participation in the ASTM process, including attending 
meetings, providing incident data, and providing comments and votes on 
ballot efforts, staff's concerns with unregulated flat sleep products, 
and the incident data associated with these products, is not unknown to 
stakeholders and these commenters.
    Comment 35: A commenter states that CPSC statutes require the 
Commission to defer to voluntary standards under certain conditions, 
and that CPSC's website states that CPSC follows OMB Circular A-119, 
but the Commission has done neither in this case. Another commenter 
states that the 2019 SNPR did not rely on the ASTM consensus-driven 
process to develop a standard, and that CPSC's data cannot be presented 
belatedly to ASTM participants, after or at the same time as the SNPR 
was provided to the Commission. This commenter states that while CPSC 
claims the process was a collaborative one, for the 2019 SNPR, the 
process was not.
    Response 35: Rulemaking pursuant to sections 7 and 9 of the CPSA 
requires the Commission to rely on a voluntary standard, rather than 
promulgate a rule, if: (1) The voluntary standard adequately addresses 
the risk of injury associated with a product, and (2) there is likely 
to be substantial compliance with the voluntary standard. If either of 
these criteria are not met, the Commission may proceed with rulemaking 
under sections 7 and 9 of the CPSA, if the Commission can make the 
other required findings. Those criteria are not relevant under section 
104 of the CPSIA, which requires the Commission to consult ``with 
representatives of consumer groups, juvenile product manufacturers, and 
independent child product engineers and experts, examine and assess the 
effectiveness of any voluntary consumer product safety standards for 
durable infant or toddler products,'' and to promulgate rules that are 
substantially the same as the voluntary standards, or more stringent 
than the voluntary standards, if the Commission finds that more 
stringent standards would further reduce the risk of injury.
    Although CPSC staff's standards development work through the ASTM 
process can colloquially be termed ``collaborative,'' nothing in 
section 104 of the CPSIA requires ``collaboration'' on a rule outside 
of the rulemaking process. Under section 104, the Commission is not 
required to ``defer'' to the voluntary standard, rather, the Commission 
must promulgate rules, and those rules must be substantially the same 
as the voluntary standard, or more stringent than the voluntary 
standard, if more stringent requirements would further reduce the risk 
of injury. Section 104 requires the Commission to consult regarding the 
effectiveness of a voluntary standard; the Commission is not required 
to consult on the timing of a proposed rule, the Commission's 
enforcement work, or on the content of a proposed rule outside of the 
rulemaking process. In the case of bassinets, unregulated flat sleep 
products, and inclined sleep products, staff has been consulting on the 
effectiveness of the voluntary standards, or lack thereof, for these 
products for many years.
    Generally, CPSC staff's work through the ASTM process has improved 
the safety of durable infant or toddler products. However, nothing in 
section 104 of the CPSIA requires the Commission to delay addressing 
risks of harm to the most vulnerable infants in sleep products that 
parents rely upon as a safe place for an infant, until all ASTM members 
have reached a consensus on whether and how to create or revise a 
voluntary standard to address the risk. The Commission would be 
relinquishing the statutory mandate to protect consumers by ceding 
product safety to the very industry Congress required the agency to 
regulate. CPSC met the requirement to consult on the effectiveness of 
the voluntary standards. The lengthy record of staff's participation 
with the infant inclined sleep committee since the 2017 NPR is 
available on regulations.gov, as well as through ASTM records. A 
similarly robust record of staff's participation on the bassinet and 
cradle committee, outside of the rulemaking process, is available 
through ASTM, on CPSC's website, and through CPSC's Office of the 
Secretariat.\43\
---------------------------------------------------------------------------

    \43\ https://cpsc.gov/Regulations-Laws--Standards/Voluntary-Standards.
---------------------------------------------------------------------------

    Finally, as reviewed in response to comment 12, the final rule 
addresses

[[Page 33056]]

scope and data concerns submitted by commenters on the inclusion of 
unregulated flat sleep products, by specifically listing the products 
included within the scope of the final rule in this preamble, reviewing 
incident data and hazard patterns associated with flat products, and by 
demonstrating that the requirements in the bassinet standard are 
adequate to address the risk of injury associated with flat infant 
sleep products. CPSC's description of the scope of the rule throughout 
the 2019 SNPR and Staff's SNPR Briefing Package, and the request for 
comment on these products (including a 30 day comment extension), were 
sufficient to inform stakeholders that these unregulated flat sleep 
products were included within the scope of the rule. Moreover, the 
Commission received comments on the inclusion of flat sleep products 
within the scope of the rule, demonstrating knowledge of their 
inclusion.
    Comment 36: A commenter states that CPSC had been participating 
collaboratively with the ASTM committee for ASTM F3118 before the 
summer of 2019, when the commenter states the Commission rescinded its 
rulemaking to adopt ASTM F3118 as a mandatory standard, and to modify 
the standard through the SNPR. The commenter states that the better 
practice would be to issue an advanced notice of proposed rulemaking 
(ANPR) while also seeking modifications to ASTM F3118 through the ASTM 
process, so that stakeholders can ``work with urgency'' toward 
addressing CPSC incident data to develop a performance-based standard, 
versus a design restrictive standard. The commenter also expressed 
disappointment that CPSC is ``subverting'' the ASTM process, which has 
a proven track record for resolving product problems. The commenter 
requests that CPSC ``correct its course'' and provide the relevant data 
to the ASTM committee, so that the committee can address the problems 
associated with inclined sleep products through the ASTM process. The 
commenter requests that CPSC hold the SNPR in abeyance while proceeding 
as the commenter has suggested, with an ANPR and working through the 
ASTM process.
    Response 36: Although staff submitted an NPR termination package 
for infant inclined sleep products to the Commission on June 12, 2019, 
the Commission never voted on the termination package. Instead, the 
Commission voted (5-0) on October 25, 2019 to issue the SNPR for infant 
sleep products.
    Generally, CPSC staff's work through the ASTM process to improve 
the requirements of voluntary standards to address hazards associated 
with durable infant or toddler products has improved the safety of 
these products, and CPSC will continue its work through the ASTM 
process. Accordingly, CPSC did not, and is not, subverting the ASTM 
process to address the hazards associated with inclined and flat sleep 
products. CPSC staff has been participating in the infant inclined 
sleep product standards development process, as well as the bassinet 
and cradle standards development committee, for many years, both before 
and after the Commission issued the 2019 SNPR.
    ASTM did not hold subcommittee meetings or task group meetings on 
inclined sleep products or the SNPR for almost one full year after the 
October 2019 ASTM meetings, and did not schedule any meetings until 
after CPSC staff sent a letter to the ASTM subcommittee for infant 
inclined sleep products on July 16, 2020. After staff's letter, the 
ASTM F3118 subcommittee established a task group to revise the infant 
inclined sleep standard's title, introduction, and scope, to be more in 
line with the proposal in the 2019 SNPR. In December 2020, the ASTM 
subcommittee introduced ballot F15-18 (20-1) to change the standard's 
title, introduction, and scope to include all infant sleep products 
(and not just inclined sleep products). A more detailed description of 
this ballot is in section V.A.3 of this preamble. However, in January 
2021, the ballot did not pass due to six negative votes. The ASTM F3118 
subcommittee discussed the ballot results at a meeting on January 27, 
2021. During this meeting, ASTM members disagreed on the intent and 
consequences of changes to the voluntary standard, and the meeting 
ended without a consensus on a path forward.
    Based on the ballot results and the discussions in these ASTM 
meetings, staff advises that it is unlikely that ASTM will be able to 
move forward with changes to ASTM F3118 that address safe sleep 
requirements in the near term. However, we note that a task group to 
review safe sleep requirements across infant sleep product standards 
(the comparison task group) has met four times since the January 27, 
2021 meeting. CPSC staff has participated in all of these ASTM efforts, 
including commenting on ASTM's ballot.
    The December 2020 ASTM ballot to revise the title, introduction, 
and scope of ASTM F3118, and the January 2021 meeting to discuss the 
negatives on the ballot, demonstrate that ASTM members do not have a 
consensus on moving forward to address the hazards associated with 
infant sleep products, despite CPSC's 2019 SNPR and staff's continued 
participation in the process. Although ASTM task groups continue to 
work on revisions to the voluntary standard, staff reports that the 
ASTM process is not close to completing their work, and staff was not 
confident that ASTM would achieve consensus on revisions to the 
standard in the near term.
    In a recent ASTM task group meeting on revisions to the title, 
introduction, and scope of the standard (April 22, 2021), task group 
members discussed balloting the proposed regulatory text in the 2019 
SNPR to replace ASTM F3118-17a, to prevent the sale of infant inclined 
sleep products that purport to certify to ASTM F3118-17a, meaning 
products with an incline above 10 degrees, while ASTM works to revise 
the voluntary standard. However, the task group did not plan to ballot 
the requirement that all infant sleep products meet the bassinet 
standard, because an ASTM task group is attempting to identify minimum 
safe sleep requirements that could apply to infant sleep products to 
include in F3118. Staff is participating in this effort as well, but, 
based on the assessment in this final rule, does not believe that 
requirements that are different and less stringent than the 
requirements in the bassinet standard will adequately address the risk 
of injury associated with infant sleep products.
    Section 104 of the CPSIA requires CPSC to consult regarding the 
effectiveness of the voluntary standard; it does not require CPSC to 
consult on the timing of rulemaking, the content of a rule outside the 
rulemaking process, or to delay rulemaking until ASTM members achieve 
consensus. Moreover, stakeholders have now had sufficient time to 
consider and comment on the Mannen Study, which has been available on 
CPSC's website as an attachment to Staff's SNPR Briefing Package since 
October 2019, and how to address hazards associated with products 
within the scope of the SNPR, through the rulemaking and the ASTM 
processes. Despite having a year and a half to make progress through 
the ASTM process, stakeholders have not achieved consensus on how to 
move forward. When ASTM members do not have, or cannot achieve, 
consensus on whether or how a voluntary standard can address associated 
hazards, product safety is not improved.
    The Commission's statutory mandate under section 104 of the CPSIA 
is to ensure that durable infant or toddler

[[Page 33057]]

product standards provide the highest level of safety for such products 
that is feasible. Accordingly, CPSC will not delay the final rule, and 
section 104 of the CPSIA does not require CPSC to delay under the 
circumstances.
    Comment 37: A commenter states that the scope of the 2019 SNPR 
includes many different types of products, with different sizes, age 
capacities, breathability, firmness, geometry, perceived usage, and 
different warnings. The SNPR did not explain CPSC's rationale to 
include all of these products under ASTM F3118 and to conclude that all 
of these products are unsafe.
    Response 37: The 2019 SNPR stated that the rule applied to all 
infant sleep products not subject to a CPSC sleep standard, including 
products with an incline less than 10 degrees, as outlined in response 
to comment 34. CPSC staff has been participating on the ASTM committees 
for bassinets and infant inclined sleep for many years about the 
hazards associated with products that would fall within the scope of 
the final rule. The infant inclined sleep product standard and the 
developing in-bed sleeper standard both evolved from the bassinet 
standard, and ASTM is currently trying to create new requirements in 
the bassinet standard to accommodate designs of certain flat sleep 
products. Accordingly, as provided in response to comment 36 regarding 
staff's efforts through the ASTM process, stakeholders understand the 
scope of products addressed in the 2019 SNPR and the final rule, ASTM's 
efforts to modify the bassinet requirements to accommodate these 
products, and CPSC staff's objection to modification of the safe sleep 
requirements in the bassinet standard. To address comments on the 2019 
SNPR, the final rule includes additional incident data and analysis to 
demonstrate that the performance and labeling requirements of the 
bassinet standard would address the risk of injury associated with 
currently unregulated flat and inclined sleep products.
    Comment 38: A commenter states that CPSC followed the process set 
forth in section 104 of the CPSIA when it issued the 2017 NPR to 
incorporate by reference into a mandatory rule, ASTM F3118. The 
commenter notes that the NPR was substantially the same as the 
voluntary standard, and that CPSC staff consulted with representatives 
from consumer groups, juvenile product manufacturers, and independent 
child product engineers and experts, to examine and assess the 
effectiveness of ASTM F3118, as required by section 104 of the CPSIA. 
The commenter states, however, that the 2019 SNPR for infant sleep 
products did not meet these two requirements in the CPSIA. Instead of 
consulting with consumer groups, manufacturers, and product safety 
experts through the section 104 process, CPSC staff ``informed'' 
stakeholders about the Commission's change in direction at the October 
2019 ASTM committee meetings, after the SNPR was already issued. 
Moreover, although CPSC staff remains engaged in the ASTM F3118 
subcommittee, their engagement is in support of the SNPR. The commenter 
maintains that the 2019 SNPR was not a collaborative effort, and that 
CPSC did not consult with stakeholders before issuing the SNPR. The 
commenter states: ``The stakeholder community, impacted and potentially 
impacted manufacturers, are in the very unfortunate position of being 
subject to a mandatory rule that they had no part in helping to craft, 
by way of the ASTM development process.'' The commenter also suggests 
that CPSC staff has acted in an ``ultra vires manner to sanitize from 
incline sleep products'' that are otherwise subject to an existing 
standard and to the rulemaking. The commenter recommends that the 
Commission issue another SNPR to clarify the scope of the rulemaking 
and evaluate and mitigate any unintended consequences, and to allow 
time for stakeholders and CPSC staff to work through the ASTM process 
to examine the impact of the proposed rule. Another commenter similarly 
urges the Commission to proceed in accordance with section 104 of the 
CPSIA by working with ASTM to develop a standard with a clearly defined 
scope, clear definitions, and creation of performance requirements 
based on specific product types within the infant sleep product 
category. This approach would require working with ASTM, and then 
reissuing an SNPR, before proceeding with a final rule.
    Response 38: Section 104(b)(1) of the CPSIA requires the Commission 
to: ``(A) in consultation with representatives of consumer groups, 
juvenile product manufacturers, and independent child product engineers 
and experts, examine and assess the effectiveness of any voluntary 
consumer product safety standards for durable infant or toddler 
products;'' and (B) in accordance with the informal notice and comment 
rulemaking requirements under section 553 of the Administrative 
Procedures Act (APA), ``promulgate consumer product safety standards 
that--(i) are substantially the same as such voluntary standards; or 
(ii) are more stringent than such voluntary standards, if the 
Commission determines that more stringent standards would further 
reduce the risk of injury associated with such products.''
    The regulated community participates in the rulemaking process by 
commenting on a proposed rule. Neither section 104 of the CPSIA nor the 
APA requires that stakeholders craft a CPSC mandatory rule. CPSC is 
required to consult regarding the effectiveness of the voluntary 
standard and to promulgate rules. As set forth in section V.A.3 and 
V.B.2 of this preamble, CPSC staff has been consulting about the 
effectiveness of the voluntary standards at issue, infant inclined 
sleep products and bassinets and cradles, for many years, through 
participation with the relevant ASTM subcommittees and task groups. For 
example, since ASTM began development of an infant inclined sleep 
product standard in or around 2011, CPSC has participated in the 
development of the standard. Similarly, CPSC staff has participated in 
the development and revisions to the bassinet and cradle standard since 
at least 2002. For both standards, CPSC staff has provided incident 
data, participated in subcommittee and task group meetings, and 
submitted comments and/or votes on ASTM ballots. For this final rule, 
CPSC has reviewed the incident data, hazard patterns, and the adequacy 
of the voluntary standards to address the risk of injury associated 
with products within the scope of the final rule, unregulated inclined 
and flat sleep products, and is promulgating a rule that is more 
stringent than the voluntary standard, as proposed in the 2019 SNPR, to 
further reduce the risk of injury associated with infant sleep 
products.
    ASTM members have now had ample time to consider the hazards 
associated with infant sleep products, to comment on the SNPR, and to 
address associated hazards through revised voluntary standards. ASTM is 
still working on these issues and staff will continue working with ASTM 
to develop a voluntary standard that addresses the risk of injury 
associated with infant sleep products. If and when ASTM has revised 
ASTM F3118-17a, it may send the revised standard to CPSC to evaluate, 
through the update process set forth in section 104 of the CPSIA.
    Comment 39: Commenters allege that the 2019 SNPR represents an 
unprecedented effort by CPSC to issue a mandatory rule that would 
create a pre-market testing and approval process for an entire product 
category. Commenters state that creating an omnibus rule that requires 
infant sleep

[[Page 33058]]

products to meet the bassinet standard, instead of creating product 
specific standards, would have the unintended consequence of stifling 
innovation.
    Response 39: As with all of CPSC's regulations to set performance 
and labeling requirements, CPSC's mandatory rules for durable infant or 
toddler products set a floor for safe consumer products. CPSC does not 
require pre-market approval of consumer products, nor does the agency 
have the authority to do so. However, CPSC does have the authority to 
create mandatory performance requirements through rulemaking, and to 
require that all products offered for sale in the United States meet 
these requirements to protect consumers from injuries or death. When 
the Commission is aware of a gap in the regulatory framework for infant 
sleep products, the Commission can use its authority to address the 
associated hazards.
    Mandating a safety standard for infant sleep products offered for 
sale in the United States that are not already within the scope of 
another CPSC sleep standard is not ``unprecedented'' and is no 
different than standards for other durable infant or toddler products 
that contain different product types within the same standard, such as 
strollers and high chairs, each of which include a variety of product 
types. No company can sell a stroller in the United States that does 
not comply with the stroller standard, simply based on the type of 
stroller. Similarly, no company can sell a high chair in the United 
States unless it complies with the high chair standard. This is not a 
novel idea. The only difference in these product categories is how the 
voluntary standards evolved. The scope of the stroller and high chair 
standards are broad for the purpose of encapsulating all products. 
Standards for sleep products evolved on a different track. But the 
Commission is not required to continue a patchwork regulatory scheme 
that does not serve the interests of consumer safety. In this case, the 
Commission seeks to ensure that all products marketed or intended for 
infant sleep, for infants up to 5 months of age, meet the infant sleep 
product standard to set a floor for safe infant sleep. CPSC's mission 
is to protect consumers, and the agency will use its authority to 
protect the most vulnerable infants, up to 5 months old, and their 
unsuspecting parents, from sleep surfaces that do not follow known safe 
sleep principles, as set forth in the existing CPSC sleep standards. 
Accordingly, the Commission's effort in the 2019 SNPR is consistent 
with CPSC's statutory mandate to protect consumers, and specifically, 
under section 104, to promulgate standards for product categories that 
the Commission determines to be of the highest priority, and to ensure 
that such standards provide the highest level of safety for such 
products that is feasible.
    Because CPSC staff has been working with ASTM members on the 
bassinet and cradle subcommittee for years, on both inclined sleep 
products, as well as unregulated flat infant sleep products, ASTM 
members should be well aware of staff's efforts and concerns with both 
product types. Once CPSC issues an NPR, CPSC's docket on 
Regulations.gov includes a record of staff's participation through the 
ASTM process, and ASTM records should reflect this participation as 
well. CPSC's Office of the Secretariat maintains meeting logs 
summarizing staff's participation with external parties, such as ASTM, 
outside of the rulemaking process, and these meeting logs are 
searchable on CPSC's website.
    Finally, performance and labeling requirements for consumer 
products allow for innovation with certain baseline safety 
requirements. While we understand the concerns that innovation beyond 
the baseline safety requirements may be discouraged, we note the 
development of infant inclined sleep products as a prime example of 
innovation preceding safety. Infant inclined sleep products were first 
marketed as an innovative sleep solution for parents; however, no 
safety standard existed for these products when they were introduced to 
the market. Commenters to the 2010 NPR and 2012 SNPR for bassinets 
indicated that hammocks and inclined sleep products should have their 
own standard because they could not meet the requirements for 
bassinets, and parents were likely to create their own ``unsafe'' 
alternative if a regulated product was not available. The ASTM 
standards development process for inclined sleep products took many 
years before the standard was published in 2015, and during that time, 
manufacturers were designing and selling innovative inclined products. 
As time went on, the hazards posed by inclined products became apparent 
in the accumulation of infant deaths and incidents associated with this 
product category. To avoid a repeat of this process, involving the most 
vulnerable infants up to 5 months old, the Commission is issuing this 
infant sleep product standard that contains key elements of safe sleep, 
so that product innovation does not compromise safe sleep for infants 
up to 5 months old.
    Comment 40: A commenter states that section 104 of the CPSIA does 
not permit the application of the bassinet standard to an open-ended 
and undefined scope of products. The commenter contends that section 
104 requires the Commission to consider specific product types, 
characteristics, and hazards. The commenter states that the 2019 SNPR 
approach is ``arbitrary'' and ``is a reversal of the Section 104 
process'' for existing and new products that are sleep products, but 
not bassinets or cradles. The commenter states that CPSC must clearly 
define the scope of the rule and the products that fall within the 
scope of the rule.
    Response 40: As set forth in response to comment 34, the 2019 SNPR 
provided notice that the rulemaking included flat infant sleep 
products. Moreover, the preamble to this final rule identifies product 
types that fall within the scope of the rule, as well incident data, 
hazard patterns, and an analysis of how the requirements in the 
bassinet and cradle standard address the risk of injury associated with 
flat infant sleep products. The purpose of the rule is to regulate any 
product marketed or intended as a sleeping accommodation for an infant 
up to five months old that is not already regulated by another CPSC 
sleep standard. Accordingly, the scope of the rule is not ``open-
ended,'' and the final rule demonstrates that the bassinet standard 
provides minimum safe sleep characteristics for these infant sleep 
products.
    Comment 41: A commenter states that to implement a rule that 
requires specific products to meet the requirements of the bassinet 
standard, CPSC must provide a rationale that is supported by 
``substantial evidence.'' The commenter states that the 2019 SNPR did 
not provide a rationale for the application of the bassinet standard to 
specific products within the infant sleep product category.
    Response 41: As stated in response to comment 37, CPSC and 
stakeholders have been working through the ASTM process regarding 
requirements for unregulated flat and inclined sleep products for many 
years, as part of development of the bassinet standard. Accordingly, 
based on the 2019 SNPR and this ongoing work with ASTM, staff's efforts 
have been to maintain the safe sleep requirements in the bassinet 
standard and apply them to all sleep products marketed and intended for 
infants up to 5 months old. In response to comments, the final rule 
makes clearer the unregulated flat sleep products that fall within the 
scope of the rule, provides incident data, identifies hazard patterns, 
analyzes the effectiveness of the bassinet standard to address the 
hazards, and compares the

[[Page 33059]]

performance requirements in international standards to demonstrate that 
products within the scope of the final rule have similar hazard 
patterns that can be addressed by the requirements in the bassinet 
standard.
    Comment 42: A commenter states that the Commission previously 
recognized the importance of product specificity in promulgating the 
consumer registration rule, 16 CFR part 1130. Despite this, the 
commenter states that the 2019 SNPR failed to discuss which product 
types would be considered ``durable infant or toddler products'' for 
product registration card purposes, and ``simply concludes in a 
circular fashion that infant sleep products are durable infant or 
toddler products.'' The commenter believes that a specific rationale is 
required for each product to ``independently qualify'' as a durable 
infant or toddler product. The commenter concludes that under the APA, 
CPSC must specifically define products that fall within an ``infant 
sleep product'' in another SNPR before it can issue a final rule.
    Response 42: The preamble for the final rule identifies product 
types that fall within the scope of the rule. However, the 2019 SNPR 
and the final rule purposely do not define product types by name in the 
regulation text, and instead identify product types by purpose and age 
limit, to ensure that all infant sleep products meet minimum safe sleep 
requirements in the bassinet standard, including existing products and 
future products.
    Section 104(f)(1) of the CPSIA does not require any further product 
type specificity to identify these products as durable infant or 
toddler products. The statute defines a durable infant or toddler 
product as ``a durable product intended for use, or that may be 
reasonably expected to be used, by children under the age of 5 years'' 
and then provides a list of products that are durable infant or toddler 
products. The Commission's implementing rule at 16 CFR 1130.2(a) 
states:

    DEFINITION OF DURABLE INFANT OR TODDLER PRODUCT means the 
following products intended for use, or that may be reasonably 
expected to be used, by children under the age of 5 years. The 
listed product categories are further defined in the applicable 
standards that the Commission issues under section 104(b) of the 
Consumer Product Safety Improvement Act of 2008, and include 
products that are combinations of the following product categories . 
. .

    Based on this definition in part 1130, a product marketed or 
intended as a sleeping accommodation for an infant up to 5 months old 
is a durable infant or toddler product. Because the products are 
intended for infants up to 5 months old, the products are ``intended 
for use,'' and ``reasonably expected to be used,'' by children under 5 
years old. Products intended for infant sleep are similar to products 
on the statutory list intended for infant sleep, such as cribs, and 
bassinets and cradles. Additionally, ``infant sleep products'' are 
further defined in the final rule. Accordingly, adding ``infant sleep 
products'' as a durable infant or toddler product is consistent with 
the Commission's approach of adding a durable infant or toddler product 
category with a mandatory standard to the list of products in part 
1130, to clarify that these products must meet the consumer 
registration rule, and the testing and certification requirements for 
durable infant or toddler products.
    Comment 43: A commenter contends that the creation of specific 
types of infant sleep products is not by the Commission's choice, but 
required by section 104 of the CPSIA. The commenter states that 
Congress purposely listed different types of infant sleep products 
separately in section 104, because ``differences between these products 
warrant individual consideration in any rulemaking proceeding,'' and 
that this principle is true with the remaining infant sleep product 
types.
    Response 43: The commenter offers no legislative history to support 
the idea that Congress listed sleep products separately because product 
differences warranted individual rulemaking proceedings. The products 
listed as durable infant or toddler products are examples of durable 
infant or toddler products that Congress expected the Commission to 
regulate by issuing a mandatory standard. Most of these products had 
existing voluntary standards in 2008 when Congress passed the CPSIA. 
Congress gave CPSC the authority to add products to the list of durable 
infant or toddler products, gave CPSC the mission to protect consumers, 
and instructed CPSC to ``periodically review and revise the standards 
set forth under this subsection to ensure that such standards provide 
the highest level of safety for such products that is feasible.''
    Flat sleep products that are subject to the final rule are not 
currently defined or covered by any existing ASTM standard. If CPSC 
could not use its authority to expand the scope of a rule to include 
such products, especially when staff's analysis demonstrates that the 
existing bassinets and cradles standard would address the risk of 
injury associated with such products, ASTM could dictate when and if 
durable infant or toddler products are regulated by CPSC. Similarly, 
when products fall within an ASTM standard, CPSC should not be bound by 
ASTM's categorization of such products if CSPC can demonstrate that the 
voluntary standard is inadequate to address the risk of injury 
associated with the products, but another voluntary standard would be 
adequate.
    Comment 44: A commenter states that CPSC must not only specifically 
identify product types that fall within the infant sleep product 
category, but must also provide the rationale for applying the bassinet 
and cradle standard requirements to each product type within the 
category, as well as establishing the product type is a durable infant 
or toddler product. The commenter contends that this analysis must 
identify the specific characteristics for each product type and the 
related hazards, to describe how the bassinet standard would address 
each hazard pattern. The commenter contends that a requirement that may 
be applicable to one product type may not be applicable to another 
product type. The commenter contends that ``[n]o broad product category 
to date has ever been subject to a rule without such specificity.'' The 
commenter states this level of specificity is required to avoid banning 
existing safe products or chilling future innovation.
    Response 44: As set forth in response to comment 34, the 2019 SNPR 
provided notice that the rulemaking included flat infant sleep 
products, and multiple other efforts, including those at ASTM, 
reinforced this. In response to comments, the preamble to this final 
rule provides further clarity, identifying product types that fall 
within the scope of the rule, including inclined and flat sleep 
products, as well associated incident data and hazard patterns. This 
final rule also provides an analysis demonstrating that the 
requirements of the bassinet standard are adequate to address each risk 
of injury associated with infant sleep products, both flat and inclined 
product types. As set forth in response to comment 39, we disagree that 
a rule under section 104 of the CPSIA cannot have a scope that is 
broader than one product type. For example, many types of carriages and 
strollers fall within the Safety Standard for Carriage and Strollers. 
Strollers offered for sale in the United States must meet the 
requirements in this regulation, regardless of product type.
    The Commission's statutory mandate under section 104 of the CPSIA 
is to ensure that durable infant or toddler product standards provide 
the highest level of safety for such products that is

[[Page 33060]]

feasible. Congress specifically included five products intended for 
infant sleep in the statutory list of durable infant or toddler 
products (full-size cribs, non-full-size cribs, play yards, and 
bassinets and cradles), demonstrating intent for CPSC to regulate such 
products. Currently, multiple flat and inclined sleep products are not 
subject to a CPSC regulation, but CPSC has the authority to add 
``infant sleep products'' as a durable infant or toddler product, and 
to regulate this product category. Accordingly, the final rule 
regulates any product marketed or intended as a sleeping accommodation 
for an infant up to 5 months old, that is not already regulated by 
another CPSC sleep standard. In response to comments, the final rule 
expands the justification from the 2019 SNPR to demonstrate that the 
bassinet standard provides the minimum safe sleep characteristics for 
these infant sleep products. Finally, the scope of the final rule is 
well-defined, and allows a manufacturer to intentionally design and 
market a product as an infant sleep product, or to choose not to design 
and market a product as an infant sleep product.

VIII. Final Rule Establishing a Safety Standard for Infant Sleep 
Products

    This final rule establishes a children's product safety standard 
for infant sleep products as a type of durable infant or toddler 
product under section 104 of the CPSIA. The Mannen Study and CPSC 
staff's analysis of the incident reports, hazard patterns, and adequacy 
of the voluntary standard, demonstrate that ASTM F3118-17a is 
inadequate to address the risk of injury associated with inclined sleep 
products. ASTM F3118-17a is inadequate to address the risk of injury 
associated with inclined sleep products, because it allows products 
with a seat back angle greater than 10 degrees, and does not address 
additional hazard patterns associated with inclined sleep products, 
such as containing the infant. The Commission determines that more 
stringent requirements are necessary in the mandatory standard to 
further reduce the risk of injury associated with inclined sleep 
products. Staff's assessment in the 2019 SNPR, and section VI of this 
preamble, demonstrate that the performance requirements in the current 
voluntary standard for bassinets and cradles, ASTM F2194, which is 
incorporated into the Commission's mandatory standard, 16 CFR part 
1218, is adequate to address the risk of injury associated with infant 
inclined sleep products, and will further reduce the risk of injury 
associated with inclined sleep products.
    As proposed in the 2019 SNPR, the definition of an ``infant sleep 
product'' in the final rule also includes flat sleep products, such as 
in-bed sleepers, baby boxes, compact bassinets, and baby tents, which 
currently do not fall within the scope of any voluntary or mandatory 
standard. Staff's assessment of the incident reports and hazard 
patterns associated with flat sleep products in this final rule 
demonstrates that the risk of injury and death associated with flat 
sleep products are similar, and can be addressed by meeting the 
requirements in the current voluntary standard for bassinets and 
cradles, ASTM F2194, which is incorporated into the Commission's 
mandatory standard, 16 CFR part 1218.
    Accordingly, the final rule incorporates by reference ASTM F3118-
17a as the mandatory standard for infant sleep products, both inclined 
and flat, with the following modifications to the voluntary standard:
    <bullet> Revise the introduction of the standard, to state the 
purpose of the standard is to address infant sleep products not already 
covered by traditional sleep product standards, to reduce deaths 
associated with known sleep hazards, including but not limited to, a 
seat back or sleep surface angle that is greater than 10 degrees from 
the horizontal. This requirement is intended to broaden the purpose of 
the standard to more clearly address inclined and flat sleep products, 
including known hazards associated with infant sleep.
    <bullet> Revise the scope of the standard, to remove the term 
``inclined'' and broaden the scope to include infant sleep products, 
including inclined and flat sleep surfaces, marketed or intended to 
provide a sleeping accommodation for an infant up to 5 months old, and 
that are not already subject to a mandatory CPSC sleep standard:
    [cir] 16 CFR part 1218--Safety Standard for Bassinets and Cradles, 
incorporating by reference ASTM F2194, Standard Consumer Safety 
Specification for Bassinets and Cradles;
    [cir] 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs, 
incorporating by reference ASTM F1169, Standard Consumer Safety 
Specification for Full-Size Baby Cribs;
    [cir] 16 CFR part 1220--Safety Standard for Non-Full-Size Baby 
Cribs, incorporating by reference applicable requirements in ASTM F406, 
Standard Consumer Safety Specification for Non-Full-Size Baby Cribs/
Play Yards;
    [cir] 16 CFR part 1221--Safety Standard for Play Yards, 
incorporating by reference applicable requirements in ASTM F406, 
Standard Consumer Safety Specification for Non-Full-Size Baby Cribs/
Play Yards;
    [cir] 16 CFR part 1222--Safety Standard for Bedside Sleepers, 
incorporating by reference ASTM F2906, Standard Consumer Safety 
Specification for Bedside Sleepers.
    The purpose of this revision is to more clearly establish the scope 
of the final rule, which includes all products marketed or intended for 
infant sleep for children up to 5 months of age, so that these products 
that are currently unregulated must now meet one of the mandatory 
standards for infant sleep.
    <bullet> Revise the scope of the standard to explicitly state that 
crib mattresses that meet the requirements of ASTM F2933 do not fall 
within the scope of the standard. This exclusion clarifies that crib 
mattresses that meet the voluntary standard do not meet the definition 
of an infant sleep product, and are always used in conjunction with a 
sleep product, such as a crib or play yard, that falls within one of 
CPSC's sleep standards. The final rule also modifies referenced 
documents in the standard, to add the voluntary standard for crib 
mattresses, ASTM F2933;
    <bullet> Modify the definition of ``infant inclined sleep product'' 
to remove the term ``inclined'' and revise the definition to state that 
an ``infant sleep product'' is ``a product marketed or intended to 
provide a sleeping accommodation for an infant up to 5 months of age, 
and that is not subject to any of the following:

[cir] 16 CFR part 1218--Safety Standard for Bassinets and Cradles
[cir] 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs
[cir] 16 CFR part 1220--Safety Standard for Non-Full-Size Baby Cribs
[cir] 16 CFR part 1221--Safety Standard for Play Yards
[cir] 16 CFR part 1222--Safety Standard for Bedside Sleepers

This requirement aligns the definition of ``infant sleep product'' with 
the scope of the rule, including the intent of the rule to ensure that 
all infant sleep products, inclined and flat, are subject to a 
mandatory CPSC sleep standard, to address the risk of injury associated 
with infant sleep products.
    <bullet> Remove the definitions of accessory, compact, and newborn 
inclined sleep products because they are no longer necessary and have 
no unique requirements in the standard, because all infant sleep 
products are subsumed under the definition of ``infant sleep product.''
    <bullet> Modify seat back/sleep surface angle so the maximum 
allowable angle, as tested per the rule, must be equal to

[[Page 33061]]

or less than 10 degrees from horizontal in all positions recommended 
for sleep. Although the bassinet standard also requires a sleep surface 
equal to or less than 10 degrees, the bassinet standard does not have a 
test for the sleep surface angle. Accordingly, infant sleep products 
are required to test for the sleep surface angle, in addition to 
meeting the bassinet standard.
    <bullet> Add a new requirement that infant sleep products must meet 
16 CFR part 1218, Safety Standard for Bassinets and Cradles, including 
conforming to the definition of bassinet/cradle. As the final rule 
analysis demonstrates, conforming to the requirements in the bassinet 
standard addresses the risk of injury associated with infant sleep 
products. Requiring products to meet the definition of a bassinet/
cradle also ensures that the products meet the requirement to have a 
stand.
    <bullet> Remove all the performance requirements except for the 
above new or modified requirements.
    <bullet> Remove all test methods except for maximum seat back/sleep 
surface angle.
    The name of CPSC's final rule does not include the term 
``inclined,'' and will be codified as 16 CFR part 1236, Safety Standard 
for Infant Sleep Products. Finally, as proposed in the 2019 SNPR, 
because infant sleep products must meet the bassinet standard, infant 
sleep products must also meet the warning requirements in the bassinet 
and cradle standard, instead of those stated in ASTM F3118-17a. 84 FR 
at 60956-57. An Appendix to Tab C of Staff's Final Rule Briefing 
Package contains a redline of the final rule changes, compared to the 
requirements in ASTM F3118-17a.

IX. Amendment to 16 CFR Part 1112 To Include NOR for Infant Sleep 
Products

    The CPSA establishes certain requirements for product certification 
and testing. Products subject to a consumer product safety rule under 
the CPSA, or to a similar rule, ban, standard or regulation under any 
other act enforced by the Commission, must be certified as complying 
with all applicable CPSC-enforced requirements. 15 U.S.C. 2063(a). 
Certification of children's products subject to a children's product 
safety rule must be based on testing conducted by a CPSC-accepted third 
party conformity assessment body. Id. 2063(a)(2). The Commission must 
publish an NOR for the accreditation of third party conformity 
assessment bodies to assess conformity with a children's product safety 
rule to which a children's product is subject. Id. 2063(a)(3).
    The Commission published a final rule, Requirements Pertaining to 
Third Party Conformity Assessment Bodies, 78 FR 15836 (March 12, 2013), 
codified at 16 CFR part 1112 (``part 1112'') and effective on June 10, 
2013, which establishes requirements for accreditation of third party 
conformity assessment bodies to test for conformity with a children's 
product safety rule in accordance with section 14(a)(2) of the CPSA. 
Part 1112 also codifies all of the NORs issued previously by the 
Commission.
    All new NORs for new children's product safety rules, such as the 
infant sleep products standard, require an amendment to part 1112. 
Accordingly, the 2019 SNPR proposed to amend the existing rule that 
codifies the list of all NORs issued by the Commission, 16 CFR part 
1112, to add 16 CFR part 1236, Standard Consumer Safety Specification 
for Infant Sleep Products, to the list of children's product safety 
rules for which CPSC has issued an NOR, because a final rule would be a 
children's product safety rule that requires third party testing by a 
CPSC-accepted third party conformity assessment body. 84 FR at 60957. 
The Commission received no comment on the proposed amendment, and is 
finalizing the amendment as proposed in the SNPR.
    Test laboratories applying for acceptance as a CPSC-accepted third 
party conformity assessment body to test to the new standard for infant 
sleep products are required to meet the third party conformity 
assessment body accreditation requirements in part 1112. When a 
laboratory meets the requirements as a CPSC-accepted third party 
conformity assessment body, the laboratory can apply to CPSC to have 16 
CFR part 1236, Standard Consumer Safety Specification for Infant Sleep 
Products, included in the laboratory's scope of accreditation of CPSC 
safety rules listed for the laboratory on CPSC's website at: 
www.cpsc.gov/labsearch. Part 1236 includes one performance test to 
check for a seat back/sleep surface angle that is 10 degrees or less, 
and then requires infant sleep products to meet 16 CFR part 1218, 
Safety Standard for Bassinets and Cradles.
    The new 16 CFR part 1236 for infant sleep products should have 
sufficient testing capacity by the effective date of the final rule. 
The test to check the sleep surface angle required in part 1236 
involves use of the ``Hinged Weight Gage--Infant'' identified in F3118-
17a. Because the gage is also used for testing to the 16 CFR part 1223, 
Safety Standard for Infant Swings (incorporating by reference ASTM 
F2088), labs conducting infant swing testing will already have the 
gage. Staff advises that 33 labs are currently CPSC-accepted to test to 
the bassinet and cradle standard. Of these 33, 19 of the labs are also 
accredited to test to the infant swings standard, meaning these labs 
have all of the test equipment required to test to the new part 1236. 
These labs should be able to more easily become accredited to test to 
part 1236. Also, labs that already test to part 1218 bassinets, must 
only acquire the test gage, which staff advises is manufactured with 
readily available metal and is estimated to cost $800. Moreover, labs 
that previously tested to the current ASTM F3118-17a for the JPMA 
certification program have the gage, because F3118 contains a test to 
measure the seat back angle using the gage. Finally, the effective date 
of this final rule is 12 months from publication in the Federal 
Register. Accordingly, labs seeking to become accredited to part 1236 
have a full year to obtain the necessary test equipment, become ISO 
accredited, and have CPSC-accept their accreditation to test to part 
1236.
    The Commission certified in the 2019 SNPR that the proposed NOR for 
infant sleep products would not have a significant impact on a 
substantial number of small laboratories. 84 FR 60959. CPSC expects 
that laboratories that are already accredited to test to the bassinet 
and cradle standard will find it relatively easy to become accredited 
to test to this standard, because the primary substantive requirement 
added by this standard is the sleep surface angle. Moreover, CPSC did 
not receive any comments regarding the NOR. Therefore, for the final 
rule, the Commission continues to certify that amending part 1112 to 
include the NOR for the infant sleep products final rule will not have 
a significant impact on a substantial number of small laboratories.

X. Amendment to Definitions in Consumer Registration Rule

    The statutory definition of ``durable infant or toddler product'' 
in section 104(f) applies to all of section 104 of the CPSIA. In 
addition to requiring the Commission to issue safety standards for 
durable infant or toddler products, section 104 of the CPSIA also 
directed the Commission to issue a rule requiring that manufacturers of 
durable infant or toddler products establish a program for consumer 
registration of those products. Section 104(d) of the CPSIA.
    In 2009, the Commission issued a rule implementing the consumer 
registration requirement. 16 CFR part 1130. As the CPSIA directs, the 
consumer registration rule requires each manufacturer of a

[[Page 33062]]

durable infant or toddler product to: Provide a postage-paid consumer 
registration form with each product; keep records of consumers who 
register their products with the manufacturer; and permanently place 
the manufacturer's name and certain other identifying information on 
the product. When the Commission issued the consumer registration rule, 
the Commission identified six additional products as ``durable infant 
or toddler products'' to add to the statutory list in section 104(f)(2) 
of the CPSIA:

    [ssquf] children's folding chairs
    [ssquf] changing tables;
    [ssquf] infant bouncers;
    [ssquf] infant bathtubs;
    [ssquf] bed rails; and
    [ssquf] infant slings.

16 CFR 1130.2. The Commission stated that the specified statutory 
categories were not exclusive, but that the Commission should 
explicitly identify the product categories that are covered. The 
preamble to the 2009 final consumer registration rule states: ``Because 
the statute has a broad definition of a durable infant or toddler 
product but also includes 12 specific product categories, additional 
items can and should be included in the definition, but should also be 
specifically listed in the rule.'' 74 FR 68668, 68669 (Dec. 29, 2009).
    In the SNPR, the Commission proposed to amend the definition of 
``durable infant or toddler product'' in the consumer registration rule 
to clarify that ``infant sleep products'' fall within the term 
``durable infant or toddler product'' as a subset of bassinets and 
cradles, and must comply with the consumer registration rule and 
section 104 of the CPSIA. CPSC received a comment stating that the SNPR 
failed to discuss which product types would be considered ``durable 
infant or toddler products'' for product registration card purposes, 
and ``simply concludes in a circular fashion that infant sleep products 
are durable infant or toddler products.'' The commenter believes that a 
specific rationale is required for each product to ``independently 
qualify'' as a durable infant or toddler product. The commenter 
concludes that under the APA, the Commission must specifically define 
products that fall within an ``infant sleep product'' in another SNPR 
before it can issue a final rule.
    We disagree with the commenter and finalize the amendment to part 
1130, as proposed in the 2019 SNPR, to include ``infant sleep 
products'' as a durable infant or toddler product, as a subcategory of 
bassinets and cradles. Based on the definition of a ``durable infant or 
toddler product'' in section 104(f) of the CPSIA, and in Sec.  1130.2, 
which define the term as products ``intended for use, or that may be 
reasonably expected to be used, by children under the age of 5 years,'' 
``infant sleep products'' are a durable infant or toddler product. 
``Infant sleep products'' are defined in the final rule as a product 
marketed or intended as a sleeping accommodation for an infant up to 5 
months old. Accordingly, the products are ``intended for use,'' and 
``reasonably expected to be used,'' by children under 5 years old. 
Moreover, products intended for infant sleep are similar to products on 
the statutory list intended for infant sleep, such as cribs, bassinets 
and cradles. Moreover, ``infant sleep products'' are further defined in 
the final rule. Finally, as discussed in section V of this preamble, 
the Safety Standard for Infant Sleep Products, for both inclined and 
flat sleep products, is an outgrowth of efforts to develop a safety 
standard for bassinets and cradles, and may be considered a subcategory 
of bassinets. To provide greater clarity that inclined sleep products 
are durable infant or toddler products subject to the consumer 
registration rule, as well as third party testing and certification 
requirements for durable infant or toddler products, the Commission 
finalizes the amendment to 16 CFR 1130.2(a)(12), as proposed, to 
explicitly include ``infant sleep products'' as a subcategory of 
bassinets and cradles.

XI. Incorporation by Reference

    Section 1236.2(a) of the final rule provides that each infant sleep 
product must comply with applicable provisions of ASTM F3118-17a. The 
Office of the Federal Register (OFR) has regulations concerning 
incorporation by reference. 1 CFR part 51. For a final rule, agencies 
must discuss in the preamble to the rule the way in which materials 
that the agency incorporates by reference are reasonably available to 
interested persons, and how interested parties can obtain the 
materials. Additionally, the preamble to the rule must summarize the 
material. 1 CFR 51.5(b).
    In accordance with the OFR's requirements, sections VI.A and VIII 
of this preamble summarize the provisions of ASTM F3118-17a that the 
Commission is incorporating by reference. ASTM F3118-17a is 
copyrighted. Before the effective date of this rule, you may view a 
copy of ASTM F3118-17a at: https://www.astm.org/cpsc.htm. Once the rule 
becomes effective, ASTM F3118-17a can be viewed free of charge as a 
read-only document at: https://www.astm.org/READINGLIBRARY/. To 
download or print the standard, interested persons may purchase a copy 
of ASTM F3118-17a from ASTM, through its website (http://www.astm.org), 
or by mail from ASTM International, 100 Bar Harbor Drive, P.O. Box 
0700, West Conshohocken, PA 19428; http://www.astm.org. Alternatively, 
interested parties may inspect a copy of the standard free of charge by 
contacting Alberta E. Mills, Division of the Secretariat, U.S. Consumer 
Product Safety Commission, 4330 East-West Highway, Bethesda, MD 20814; 
telephone: 301-504-7479; email: <a href="/cdn-cgi/l/email-protection#aac9dad9c987c5d9eac9dad9c984cdc5dc"><span class="__cf_email__" data-cfemail="8eedfefdeda3e1fdceedfefdeda0e9e1f8">[email protected]</span></a>.

XII. 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. 5 U.S.C. 553(d). CPSC generally considers 6 months to be 
sufficient time for suppliers of durable infant and toddler products to 
come into compliance with a new standard under section 104 of the 
CPSIA. Six months is also the period that the Juvenile Products 
Manufacturers Association (JPMA) typically allows for products in the 
JPMA certification program to transition to a new standard once that 
standard is published.
    The 2019 SNPR proposed 12-month effective date after publication of 
the final rule, for products manufactured or imported on or after that 
date, because: (1) the Commission was proposing to incorporate by 
reference, ASTM F3118-17a, a relatively new voluntary standard that 
covers a variety of products whose manufacturers may not be aware that 
their product must comply; and (2) the Commission proposed to make 
substantial modifications to ASTM F3118-17a, and a 12-month effective 
date would allow time for infant sleep product manufacturers to bring 
their products into compliance after a final rule is issued. 84 FR 
60958. The 2019 SNPR stated that the Commission expects that most firms 
should be able to comply within the 12-month timeframe. The 2019 SNPR 
also requested comment on the proposed 12-month effective date, because 
of the hazards involved with infant inclined sleep products, and stated 
that the final rule could issue with a shorter effective date, so that 
safer products would be available sooner. Id.
    The 2019 SNPR commenters both supported and opposed the 12-month 
effective date. Some commenters supported a 6-month effective date, 
urging that additional time for the rule to become effective puts 
infants at risk.

[[Page 33063]]

Other commenters requested a longer effective date, or an indefinite 
delay of the rulemaking, until ASTM completes additional standards for 
specific products covered by the final rule.
    For the final rule, the Commission will maintain the 2019 SNPR 
proposed effective date of 12 months after the date of publication in 
the Federal Register. Accordingly, as of the effective date of the 
final rule, it is unlawful to ``sell, offer for sale, manufacture for 
sale, distribute in commerce, or import into the United States,'' any 
infant sleep product, as defined in the rule, that is not in conformity 
with the final rule. 15 U.S.C. 2068(a)(1).
    A 6-month effective date may seem reasonable because suppliers have 
had ample lead time to prepare for this rule since the SNPR was 
published in 2019, and many of the products within the scope of the 
final rule have been withdrawn from the market or redesigned, 
particularly for inclined sleep products. However, some manufacturers 
of flat sleep products that remain in the market will likely experience 
a significant economic impact as a result of this final rule. While 
some suppliers can reduce the impact of this rule by relabeling their 
products as not for infant sleep, not all manufacturers can simply 
remarket the product if the physical form of the product demonstrates 
that it is intended for sleep. For some of these products, 
manufacturers could relabel them as intended for infants older than 
five months, or, in some cases, for pets. However, the demand for 
infant sleep products for pet use is probably limited. Accordingly, 
maintaining the proposed 12-month effective date will provide 
manufacturers and importers time to spread the impact of the rule over 
a 12 month time period, to reduce the economic impact of the final 
rule.

XIII. Regulatory Flexibility Act

A. Introduction

    The Regulatory Flexibility Act (RFA), 5 U.S.C. 601-612, requires 
that agencies review a proposed rule and a final rule for the rule's 
potential economic impact on small entities, including small 
businesses. Section 604 of the RFA generally requires that agencies 
prepare a final regulatory flexibility analysis (FRFA) when 
promulgating final rules, unless the head of the agency certifies that 
the rule will not have a significant economic impact on a substantial 
number of small entities. Staff prepared a FRFA that is available at 
Tab E of Staff's Final Rule Briefing Package.
    The scope of this FRFA and the number of firms impacted is 
different from the Initial Regulatory Flexibility Analysis (IRFA) that 
accompanied the 2017 NPR, because the scope of the NPR was inclined 
sleep products, while the scope of the final rule is infant sleep 
products, defined in the final rule as products that are marketed or 
intended to provide sleeping accommodations for an infant up to 5 
months of age, and that are not already covered by a mandatory CPSC 
sleep standard: Full-size cribs, non-full-size cribs, play yards, 
bassinets and cradles, or bedside sleepers. This change in scope from 
the proposed rule was specified in the 2019 SNPR, and includes inclined 
and non-inclined (flat) infant sleep products. Some inclined sleep 
products have been recalled or otherwise voluntarily removed from the 
market since 2019, so some firms that were forecast to be impacted in 
the IRFA are not likely to be impacted by this final rule, because the 
firms have already stopped selling those products. However, a 
significant economic impact is possible for suppliers of flat sleep 
products that were not analyzed in the IRFA, as well as remaining 
suppliers of inclined products. Flat sleep products without inclined 
sleep surfaces include: Baby boxes, compact and travel bassinets that 
do not meet the bassinet standard, in-bed sleepers, baby tents marketed 
for infant sleep, baby pods, and baby nests.
    Pursuant to the final rule, firms whose infant sleep products do 
not comply with any CPSC sleep standard will need to evaluate their 
products, determine what changes would be required to meet an existing 
CPSC standard, or 16 CFR part 1218, the Safety Standard for Bassinets 
and Cradles, and decide how to proceed. Noncompliant products would 
need to be removed from the U.S. market, modified to meet the mandatory 
standard as specified in this final rule, remarketed for children older 
than 5 months, or remarketed as not intended for infant sleep. New 
infant sleep products introduced to the market would also need to 
comply with the standard, or one of the other CPSC sleep standards. The 
final rule defines an ``infant sleep product'' as a product marketed or 
intended to provide a sleeping accommodation for an infant up to 5 
months of age, and that does not already meet a mandatory CPSC sleep 
standard. CPSC interprets this definition to include products that are 
marketed for ``napping,'' ``snoozing,'' ``dreaming,'' or any other word 
that implies sleeping, or that are called a ``bed,'' and items marketed 
with a picture of a sleeping infant, to be an infant sleep product.
    Based on the staff's analysis, the Commission anticipates a 
possible significant economic impact for twelve small importers and 
nine small domestic manufacturers that supply infant sleep products to 
the U.S. market, as well as for hundreds of home-based small businesses 
that ship from the U.S. We provide a summary of the FRFA below.

B. The Market for Infant Sleep Products

    Section II of this preamble describes the infant sleep products 
within the scope of the final rule, the products excluded from the 
final rule, and a description of the market for infant sleep products, 
including a summary of retail prices for various types of infant sleep 
products.

C. Products and Small Entities to Which the Final Rule Would Apply

1. Overview of Products Covered by, and Excluded From, the Final Rule
    Section II.A and B of this preamble describe the products subject 
to, and excluded from, the final rule. This rule is intended to cover 
``infant sleep products,'' defined in the final rule as products that 
are marketed or intended to provide a sleeping accommodation for an 
infant up to 5 months of age, and that are not already covered by a 
mandatory CPSC sleep standard: Full-size cribs, non-full-size cribs, 
play yards, bassinets and cradles, or bedside sleepers. A detailed 
description of the products covered by the final rule is set forth in 
section II.C of this preamble, and includes:

<bullet> Inclined products, such as: Hard frame inclined sleepers, 
compact foam inclined sleepers, inclined play yard accessories, and 
baby hammocks; and
<bullet> Flat products, such as: Soft-sided products (baby pods and 
baby nests, soft-sided travel bassinets or travel beds, hand-held 
carriers marketed for sleep, and in-bed sleepers), rigid-sided and 
rigid-framed compact bassinets, travel bassinets, and similar products 
(baby boxes, compact, portable, or travel bassinets, or infant travel 
beds), and baby tents.

None of these products is covered by an existing CPSC sleep standard. 
CPSC considers that any items marketed for ``napping,'' ``snoozing,'' 
or ``dreaming,'' or any other word that implies sleeping, or that are 
called a ``bed,'' as well as items marketed with a picture of a 
sleeping infant, to be an infant sleep product.
    Products that are subject to another CPSC sleep standard, or to 
another durable infant or toddler product rule that is not marketed for 
sleep, such as infant bouncers or swings, are not subject to the final 
rule. Moreover, a crib

[[Page 33064]]

mattress, as defined in ASTM F2933-19, is not an infant sleep product 
covered by the final rule.
2. Suppliers to This Market
    Manufacturers of infant sleep products are categorized under many 
different North American Classification System (NAICS) categories, 
because there is not a NAICS code specifically for infant sleep 
products. These items are made by companies that have baby furniture, 
baby bedding items, mattresses, other durable baby items including 
strollers or car seats, toys, or general merchandise as their primary 
business. Businesses are generally considered small per the Small 
Business Administration (SBA) size standards if they have fewer than 
100 employees for importers or wholesalers, or fewer than 500 employees 
for most of the relevant types of manufacturers for this rule. The SBA 
size standard for mattress manufacturing is 1,000 employees. The 
relevant NAICS codes include:

314999 (All Other Miscellaneous Textile Product Mills)
337910 (Mattress Manufacturing)
339930 (Doll, Toy, and Game Manufacturing)
339999 (All Other Miscellaneous Manufacturing)
423220 (Home Furnishing Merchant Wholesalers)
424330 (Women's, Children's, and Infants' Clothing and Accessories 
Merchant Wholesalers)

    The SBA size standards for ``small'' for the relevant NAICS codes 
mean that most suppliers in this product category are considered 
``small.'' A U.S. company that has a factory employing 100 people might 
be a top 10 supplier in a particular infant sleep product category, but 
would be considered ``small'' by SBA standards. Similarly, an importer 
with a U.S. warehouse staff of 50 people would also be considered 
``small.''
    Prior to the recalls of some infant inclined sleep products, large 
domestic and foreign companies and the larger ``small'' companies by 
SBA size standards were responsible for most of the sales volume for 
the hard frame inclined sleep products and inclined play yard sleeper 
accessories. Many of the inclined sleep products were available at big 
box chain retailers, and a few were available at mattress retailers. 
The larger companies have recalled or discontinued these products, and 
most big box stores have stopped stocking them. However, inclined sleep 
products are still available from small manufacturers and importers, 
and discontinued items made by large companies are still available from 
online merchants. Small companies have always accounted for a majority 
of the suppliers of the unregulated flat-bottomed sleep products and 
infant hammock categories. A large number of suppliers exist for these 
products; the market is fragmented with many sellers. Many of the 
products covered by the final rule, particularly the soft-sided 
products and the products sold by small businesses, are only available 
online.
    The majority of the suppliers to which this final rule would apply 
are small by SBA standards. At least 60 small U.S.-based manufacturers 
and importers are in this market, as well as 5 large domestic 
companies, and dozens of foreign companies, some of which ship these 
items directly to customers in the U.S. via online marketplaces. In 
addition, more than a thousand home-based businesses supply flat sleep 
products that would be subject to the final rule, of which hundreds 
ship from the U.S. Some firms sell these items under multiple brand 
names and models, including small manufacturers that make ``store 
brands'' for larger companies. The number of importers selling flat 
sleep products is approximate because the proliferation of online 
retail makes it possible for importers to quickly change their product 
offerings based on demand for particular products. The number of 
foreign companies is approximate for the same reason. In addition to 
the foreign companies that ship from U.S. distribution sites, dozens of 
third-party sellers are on major internet retail sites that ship 
products to U.S. consumers directly from a foreign country. The 
analysis in this FRFA focuses on the impact on small U.S. manufacturers 
and importers that ship from the U.S., as well as U.S.-based home 
businesses, but the large and foreign companies will also be impacted 
by the cost of complying with this rule. The large number of companies 
in the flat sleep products market covered by this rule reflects both a 
strong market demand for these products and a competitive market with 
relatively low margins.

D. Testing and Certification

    Under section 14 of the CPSA, once the new infant sleep product 
mandatory standard become effective, all suppliers will be subject to 
the third party testing and certification requirements under the CPSA 
and the Testing and Labeling Pertaining to Product Certification rule 
(16 CFR 1107), which requires that manufacturers and importers certify 
that their products comply with the applicable children's product 
safety standards, based on third party testing, and subject their 
products to third party testing periodically. Third party testing costs 
are in addition to the costs of modifying the infant sleeper products 
to meet the standard.
    For infant sleep products, the third-party testing costs are 
expected to be about $1,500 per testing cycle per model, including both 
the costs of the testing and the costs of the samples to be tested. 
This is consistent with the IRFA in the SNPR, which estimated a cost of 
$1,100 for testing alone, not including the cost of the samples to be 
tested; we did not receive any comments on the SNPR providing a 
different estimate. Based on comments received on the bassinet and 
cradle final rule published in 2013, one-time costs of redesigning a 
product to meet the standard could be as high as $500,000 for products 
requiring major redesign. As allowed by the component part testing rule 
(16 CFR 1109), importers may rely upon third party tests obtained by 
their suppliers, which could reduce the impact on importers. In 
addition, all businesses selling products covered by this rule were 
already required to certify compliance to general children's product 
rules for lead, phthalates, and small parts with third party testing, 
so those third-party testing costs would not be considered new costs of 
compliance for this rule.

E. Impact of Final Rule by Product Category

    The impact on small businesses would vary by product category. We 
describe each product, provide information on the types of firms that 
supply the product, and describe the impacts for each product type for 
complying with this rule or taking action to exit the market sector.
1. Inclined Sleep Products
(a) Hard Frame Inclined Sleepers, Compact Foam Inclined Sleepers, and 
Play Yard Accessories
    Since the NPR was published in 2017, some inclined sleep products 
have been recalled or otherwise removed from the market. However, while 
resale of recalled products is prohibited, discontinued items that were 
not recalled are still available on the secondary market, as well as 
additional physically similar products sold by small companies that 
were not recalled. JPMA has two manufacturers that are certified as 
compliant to the current ASTM F3118 standard for inclined sleepers. 
While larger companies have removed most of their inclined products 
from the market or remarketed them as chairs or loungers, some smaller 
importers and foreign direct shippers still offer them as sleep 
products. Some play yards with inclined sleep

[[Page 33065]]

accessories are still available. To date, the lack of a CPSC mandatory 
standard means that new entrants are free to enter this market sector 
with new inclined sleep products that do not comply with the existing 
ASTM standard, ASTM F3118-17a, or any other ASTM or CPSC sleep 
standard. Many of the recalled items were still available from smaller 
internet merchants in the spring and summer of 2020. Some items that 
were not recalled, but merely discontinued by the manufacturer, are 
still available for sale from retailers, at least until the remaining 
stock is sold.
    Once the final rule is published and becomes effective, suppliers 
of inclined sleep products must either redesign existing products to 
comply with the standard and conduct third-party testing to demonstrate 
compliance, stop selling the products, or remarket the products as not 
intended for infant sleep. The impact of those options will depend upon 
how much redesign the product requires, and what portion of the 
company's sales are inclined sleep products. The impact on small 
companies that sell many different products in different categories, 
which is relatively common, especially for importers, will likely not 
be as significant as the impact on small companies that sell only a few 
types of products or that concentrate on sleep products covered by this 
rule.
    The impact of remarketing products for a different use, such as for 
an older child, a pet, or not for sleep, will depend on the extent to 
which consumers demand the product for the different use. Given the 
proliferation of floor chairs, lounger chairs, rockers, and bouncer 
seats on the market, it seems likely that consumers find value in 
physically similar products that are marketed for a different use, and 
that remarketing will not reduce demand. U.S. sales of the combined 
category of bouncer seats, rockers, and sleepers totaled more than 2 
million units and $126 million dollars in 2018.\44\
---------------------------------------------------------------------------

    \44\ Baby feeding, care, and travel accessory unit sales in the 
United States in 2018, by product type--https://www.statista.com/statistics/891908/baby-feeding-care-and-travel-accessory-unit-sales-by-product-type-us/ And Baby feeding, care, and travel accessory 
sales in the United States in 2018, by product type https://www.statista.com/statistics/891889/baby-feeding-care-and-travel-accessory-sales-by-product-type-us/.
---------------------------------------------------------------------------

    Suppliers of the hard-plastic framed rocker-type items may choose 
to redesign their items to meet the requirements of a different 
mandatory safety standard, particularly the one for infant bouncer 
seats. Most of the hard-framed products were made by large or foreign 
companies, although the market volume has shifted to smaller companies 
as the larger companies have already removed these items from the 
market or remarketed them as chairs, rockers, or chair/swing combos. 
Two small domestic companies that make inclined sleep products may 
experience a significant economic impact \45\ as these were some of 
their best-selling products, and one of them also supplied the product 
as a ``store brand'' to another company. The other sells multiple types 
of sleepers within the scope of the final rule. Redesigning, 
relabeling, or discontinuing the products could be a significant impact 
on these firms. The rest of the small domestic companies that sold this 
product and small importers will likely not be significantly impacted 
because they sell many other products that would not be subject to the 
final rule.
---------------------------------------------------------------------------

    \45\ Please note that the number of companies impacted for each 
product type sums to more than the total number of impacted 
companies for the rule as a whole, because several small companies 
sell products in multiple product categories impacted by this rule.
---------------------------------------------------------------------------

    Suppliers of inclined compact foam products will need to redesign 
their products with an incline of 10 degrees or less and meet other 
requirements of this standard, remove these products from the market, 
or relabel them as not being intended for sleep by children under 5 
months of age. Some of these products have restraining harnesses to 
keep the infant from sliding down on the slanted product, which is not 
compliant with any of the existing CPSC sleep standards. Some suppliers 
have already remarketed the products as loungers or floor chairs 
without changing the design. Several of the companies that sell these 
products sell larger wedge pillow products for adults and older 
children as ``body pillows'' or sleeping positioners, so the infant 
sleep products are not their only product line. Redesign or remarketing 
could have a significant impact for the three small domestic companies 
and one importer that have such products, as well as other products in 
the scope of this rule, as a large portion of their product line.
    Suppliers of inclined play yard accessories will need to redesign 
their products with an incline of 10 degrees or less and meet other 
requirements of this standard, remove these products from the market, 
or relabel them as not being intended for sleep by children under 5 
months of age, if appropriate. Most play yard suppliers have already 
discontinued or recalled the inclined accessory products and replaced 
them with flat products instead. The ASTM standard for non-full-size-
cribs and play yards, F406-19, already specifies that bassinet, 
changing table, or similar accessories must comply with the applicable 
requirements of ASTM standards addressing those product types. Play 
yard suppliers were already required to comply with the requirement 
that bassinet accessories meet the bassinet standard. Because the main 
product is the play yard, not the particular accessories, and suppliers 
were already required to comply with the bassinet standard for 
bassinet-type accessories, this rule should not have a significant 
impact on any of the suppliers of play yards, unless they had 
``napper'' or ``inclined sleeper'' accessories that did not meet the 
bassinet standard. The impact could be significant for one small 
domestic company that still sells inclined play yard accessories, and 
has other products in the scope of this rule.
(b) Baby Hammocks
    Suppliers of baby hammocks are unlikely to be able to redesign 
their product to meet any of the existing CPSC infant sleep standards. 
An inclined sleep angle is inherent in the design of hammocks, which 
shift shape as the infant moves. Sleeping pads in the bottom of a 
hammock would still leave the product with sides that shift shape in 
use. For hammock accessory products sold separately that attach to the 
corners of a crib or play yard, there is no standard installation that 
could be tested to meet incline, gap, side heights, or stability 
requirements: The incline would depend on the size of the crib or play 
yard and the weight of the infant, and the gaps between the hammock 
side and the side of the crib or play yard would depend on the size of 
the crib or play yard. Therefore, relabeling and remarketing baby 
hammocks as being not for sleep or as being intended only for children 
at over 5 months of age may be the only compliance option, other than 
removing the products from the market altogether.
    Since the NPR was published, some baby hammocks have been withdrawn 
from the market by small companies that make and import other types of 
baby products or adult hammocks. However, many home-based suppliers 
remain in the market, as well as several small domestic businesses, one 
of which appears to have infant crib hammocks as its only product. 
Multiple importers based in the U.S. also sell hammocks with frames 
made by foreign companies, but those companies will not be 
significantly impacted because they sell many other products that would 
not be impacted by the final rule. Several foreign companies that make 
baby hammocks will have to stop distributing

[[Page 33066]]

them in the U.S., or conspicuously label them as being for use only by 
children over 5 months of age.
    If baby hammocks are removed from the market, the impact will 
likely be significant for one small domestic company for which baby 
hammocks constitute most, if not all, of their product line, as well as 
possibly significant for several small importers that do not appear to 
have many other products. The impact will likely be significant for 
dozens of home-based manufacturers that have crib hammocks or other 
fabric hammocks without a frame as their main or only product, if they 
choose to exit the market. However, it is possible that some sellers of 
hammocks will simply relabel and remarket them for older children or as 
toy storage hammocks. The demand for these products for older children 
or toy storage uses is unknown.
2. Flat Sleep Products
(a) Flat, Soft-Sided Products
    Many of the suppliers of flat, soft-sided products would likely be 
significantly impacted by the final rule. This is because compliance 
with any of the sleep product standards, particularly the stability, 
side height, and occupant containment requirements, would be difficult 
for a product with low, soft sides. A product with low, soft sides 
cannot meet the bassinet standard by simply adding a stand, nor can it 
meet the hand-held carrier standard by simply adding handles. Also, 
adding rigid higher sides may be contrary to the intended product use 
as in-bed sleepers. Relabeling the products as being not intended for 
infant sleep might not be an option if the product is clearly intended 
for infant sleep, and is not large enough for an older child, although 
these items could be remarketed as pet beds. At least nine small 
importers and four domestic manufacturers that supply these products 
have these products as most or all of their product line. There are 
also potentially hundreds of small, home-based businesses for which 
such low, soft-sided products appear to be their major product line. 
The impact for suppliers that have these products as most of their 
product line would likely be significant. In addition, the many home-
based businesses do not currently have warning labels, instruction 
manuals, or certification to other CPSC or ASTM standards. Some 
products are already being remarketed as loungers, nappers, or ``for 
tummy time'', but will be required to comply with the final rule if 
they are marketed for sleep, including napping.
    Flat play yard accessories are already required to meet the 
bassinet or other applicable standard. The ASTM standard for non-full-
size-cribs and play yards, F406-19, already specifies that bassinet, 
changing table, or similar accessories must comply with the applicable 
requirements of ASTM standards addressing those accessories. Most flat 
play yard accessories are hard-framed, not soft-sided, and are 
discussed in the next section. Because the main product is the play 
yard, not the particular accessories, and suppliers were already 
required to comply with the bassinet standard for bassinet-type 
accessories, this rule should not have a significant impact on any of 
the suppliers of flat play yard accessories, unless they have 
``napper'' accessories that are not compliant with the bassinet 
standard. One importer has only one model of play yard with a flat mesh 
accessory as their main product; that importer could be significantly 
impacted if their product is not compliant and they cannot find another 
supplier with a compliant product.
(b) Flat, Rigid-Sided and Rigid-Framed Compact Bassinets, Travel 
Bassinets, and Similar Products
    Compact bassinets with rigid sides or rigid-framed sides but 
without a stand or legs cannot meet the stability or physical 
requirements of CPSC's bassinet and cradle standard or this standard, 
independent of whether the product has an incline. Suppliers may choose 
to offer their products with a stand to meet this standard, or add a 
handle and redesign the product to meet the hand-held carrier standard. 
In either case, the cost of redesigning the product could be 
significant. These products usually already have flat sleep surface and 
rigid sides, as required by the bassinet/cradle standard, but may not 
meet the side-height requirement of the bassinet/cradle standard. 
However, the cost to redesign could still be significant, as even a 
simple re-design could cost hundreds of thousands of dollars per model 
and require new third-party testing, and all of the product marketing, 
instructions, and packaging would have to be revised. Adding a stand 
would also increase the retail price of the product, which would likely 
reduce sales, assuming that demand is responsive to price and that 
other products like hand-held carriers are considered by consumers to 
be reasonable substitutes. Moreover, these products likely cannot be 
remarketed for another use by infants 5 months and younger, as the 
physical design suggests the product is for sleep, although they could 
be remarketed for older children or for pets, depending on whether the 
size is appropriate for those uses. For the importers, the impact is 
likely not significant, as they do not have these products as most of 
their product line and can therefore either stop selling the product or 
obtain a compliant product from a different supplier at minimal cost to 
them. For the two domestic manufacturers of these products that have 
these products as most of their product line, or sell multiple products 
covered by this rule, the cost of compliance could be significant.
    Baby boxes have similar compliance impacts to the larger category 
of compact bassinets. Some compact bassinets are marketed as suitable 
for bed-sharing, so may be considered as rigid in-bed sleepers. 
Suppliers of baby boxes and in-bed sleepers with rigid or rigid-framed 
sides may also choose to offer their products with a stand to meet the 
bassinet standard. Given that these products already have rigid sides 
and flat sleeping surfaces, the redesign may be relatively minor, but 
could still cost hundreds of thousands of dollars to implement and 
test, especially given the need to adapt them to meet stability 
requirements. These suppliers could also choose to add a handle to 
these products and make other design, instructions and labeling changes 
in order to comply with the hand-held carrier standard. Labeling these 
products as not for infant sleep is likely not an option, as these 
items are intended for sleep, and are too small to be used by older 
children. Remarketing as storage boxes is possible, but likely a much 
lower price point. The impact could be significant for two suppliers of 
baby boxes.
    Flat sleep surface play yard accessories are already required to 
meet the bassinet or other applicable standard. The ASTM standard for 
non-full-size-cribs and play yards, F406-19, already specifies that 
bassinet, changing table, or similar accessories must comply with the 
applicable requirements of ASTM standards addressing those accessories. 
Because the main product is the play yard, not the particular 
accessories, and suppliers were already required to comply with the 
bassinet standard for bassinet-type accessories, this rule should not 
have a significant impact on any of the suppliers of flat rigid-sided 
play yard accessories, with the possible exception of a few ``napper'' 
products from small importers. Those importers should be able to find a 
new compliant supplier relatively easily, or relabel the items as not 
for sleep.

[[Page 33067]]

(c) Baby Tents
    Baby tents cannot meet any of CPSC's sleep standards, due to the 
physical form of these products, which includes slanted flexible sides 
connected to the floor, sometimes with hanging cords and anchoring 
spikes. Therefore, relabeling these products as not for infant sleep or 
removing the products from the market are the only compliance options. 
We assume that most suppliers will choose to remarket their items as 
not for sleep or for older children, and that this will not reduce 
sales, because the advertised primary purpose of the product is shade 
and insect screen. Also, most suppliers in this product sector are 
importers with many other unrelated products or foreign direct 
shippers. CPSC believes it unlikely most of the suppliers in this 
category will experience a significant economic impact as a result of 
this rule. One small importer does not appear to have any other 
products that might be significantly impacted if they cannot find a 
compliant supplier.

F. Summary of Costs and the Economic Impact of the Final Rule

    Suppliers that choose to stay in the market for infant sleep 
products will need to comply with the final rule, or another CPSC sleep 
standard, and certify compliance through third party testing. Suppliers 
that choose to relabel their products as bouncer seats or swings will 
need to meet the standards for those products. Suppliers that relabel 
their products for use by children over 5 months will still need to 
meet general testing and certification requirements required for all 
children's products, such as testing for lead content and phthalates, 
as well as small parts, but they were already required to meet those 
requirements.
    Based on costs for compliance with other ASTM and CPSC standards 
for durable nursery products, the expected cost to comply with third 
party testing will be about $1,500 per model tested, including the 
costs of the samples to be tested. This is for compliance with the 
specific standard for infant sleep products only; the costs for 
complying with general requirements for children's products should not 
be new costs for any suppliers. Some of the companies that are small by 
SBA standards have up to a dozen models of different products impacted 
by this rule, each of which will have to be tested for compliance with 
this standard. This would suggest testing costs of about $18,000 per 
testing cycle.
    The suppliers of low, soft-sided products and hammocks are unlikely 
to be able to redesign their products to meet any of the sleep 
standards, so they will need to decide whether to exit the market or 
relabel their products for use by older children. The impact is likely 
to be significant for suppliers of these products if these products 
constitute a substantial portion of their product line, and they choose 
to exit the market rather than remarketing the items for older children 
or pets.
    Some manufacturers and importers, both large and small, may be able 
to minimize the impact of this rule by marketing their products as not 
for infant sleep, thus effectively putting their products out of scope 
of this rule. This may involve conspicuously labeling and marketing 
their items as not for sleep by children under 5 months. Some flat 
sleep surface rigid-sided products could demonstrate compliance with 
this standard and the bassinet standard with the addition of a stand or 
other rigid support. Some non-compliant items might be remarketed for 
pet use, which has apparently happened with some former children's 
products, but the market for such products is probably limited. 
Remarketing these products could still result in significant impact of 
suppliers if such relabeling results in a substantial reduction in 
product demand.
    While some items can be credibly remarketed as not for infant 
sleep, such as items that resemble chairs or swings, the design of 
other items suggest they are intended for infant sleep, including 
hammock crib accessories, baby boxes, and in-bed sleepers, as are most 
compact bassinets and anything marketed as a ``bed''. Some of these 
products could be marketed for children over 5 months, depending on the 
size of the product, but many are too small for a larger child. 
Suppliers of products where the design and function of the product 
communicates to the consumer that the product is intended for infant 
sleep may experience a significant economic impact if those products 
are a substantial portion of their product line.
    Most home-based manufacturers will have the choice of either 
remarketing their products as not for infant sleep or stopping the sale 
of the products. The cost of redesigning the product to comply with the 
standard could be a significant portion of revenue for home-based 
manufacturers, and redesign might not even be possible for some 
products commonly sold by home-based manufacturers, such as baby 
hammocks and low, soft-sided flat products. Additionally, even if 
redesign were possible, the testing costs alone could be sufficient to 
induce these home-based manufacturers to withdraw from the market for 
these products. The economic impact of the rule on these home-based 
manufacturers is likely to be significant. In some cases, these 
manufacturers might be able to relabel their products for older 
children, or for pet use. In the case of hammocks, the items could also 
be marketed for toy storage. However, the demand for infant sleep 
products for these types of alternative uses is likely to be limited.
    We discussed earlier the impacts for specific types of sleeper 
markets. In summary, the suppliers of inclined sleepers can redesign 
their items to meet this standard, remove them from the market, relabel 
them for use by older children, or remarket them as some type of chair. 
Some inclined items have already been remarketed as types of chairs or 
chair/swing combination products. The impact would depend on the demand 
for these products as chairs; the current remarketing suggests that 
companies have found there is indeed demand for these products as 
chairs. Suppliers of inclined play yard accessories have similar 
options; it appears that most play yard suppliers have chosen to remove 
these items from the market and replace them with flat sleep surface 
accessories instead. Because play yards were already required to comply 
with the bassinet standard if in bassinet mode, this may not be a 
significant impact. Suppliers of compact rigid-sided and rigid-framed 
products without a stand may be able to redesign their products to meet 
this standard, or remarket them for use by older children. The size of 
some of these products would be appropriate for use by older children. 
Some suppliers of soft-sided ``travel'' and ``compact'' bassinets are 
unlikely to be able to redesign their products to comply with this 
standard, but may be able to remarket them for use by older children. 
Similarly, suppliers of in-bed sleepers and baby hammocks are unlikely 
to be able to redesign their products to comply with this rule, but 
some may be able to remarket them for use by older children or pets, 
depending on the size of the products, although demand for those uses 
may be limited.
    In general, suppliers of products with limited remarketing options, 
where the size of the product is not conducive to use by older 
children, the low, soft sides cannot easily be redesigned to meet this 
standard, and the physical configuration of the product limits uses 
other than sleep, are likely to be significantly impacted. Some 
suppliers may be able to remarket their infant sleep products for 
alternative uses. However, this market is probably limited; otherwise, 
some of these suppliers would already

[[Page 33068]]

have been producing products for these alternative uses. At least nine 
small domestic companies and twelve small importers are likely to be 
significantly impacted because products in scope of this rule represent 
most or a substantial portion of their product line. Hundreds of home-
based manufacturers based in the U.S. supply baby nests, baby pods, in-
bed sleepers, hammocks, and crib hammocks are likely to be 
significantly impacted, although some may be able to relabel their 
items as not for sleep or for older children. If the products cannot be 
remarketed, many of these home-based manufacturers may eliminate infant 
sleep products from their product lines; it also possible that a 
significant proportion may go out of business.
    In summary, taking all of these factors into account, the final 
rule is likely to have a significant economic impact on a substantial 
number of small entities.

G. Other Potential Impacts of the Final Rule

    The final rule would make it illegal to sell, offer for sale, 
manufacture for sale, distribute in commerce, or import into the United 
States products not compliant with the rule 12 months after the 
publication of the rule in the Federal Register. This means that 
parents and other caregivers would not be able to purchase these items. 
The large volume of these products sold or home-made reflect that these 
products all address a demand for a compact sleep space for babies, so 
it is reasonable to assume that demand will continue for new or 
redesigned products that meet one of CPSC's sleep standards. As 
discussed earlier, products that are compliant with the current CPSC 
sleep standards are already widely available, provide compact sleep 
spaces, and are in the same general price range as the items covered by 
this rule.
    Several public commenters suggested that this rule would cause 
caregivers to resort to less safe sleep solutions, such as putting 
infants to sleep in car seats, or using pillows to position infants on 
adult beds. Caregivers may already make home-made sleep places or mis-
use other types of products, and CPSC is unaware of data to support the 
assertion that this rule would further encourage such practices. 
Directions for making home-made baby nests were widely available on the 
internet before CPSC published the 2017 NPR. The DNPES, which was done 
in 2014, found that a majority of parents were using products for sleep 
that are not marketed for sleep, such as swings, bouncer seats, and 
hand-held carriers at least once a week.\46\ In addition, many inclined 
products have already been removed from the market or relabeled as not 
for sleep since publication of the 2017 NPR. While some of the inclined 
products may be remarketed as not for infant sleep, the final rule will 
provide parents and other caregivers clearer information as to the 
manufacturer's intended safe use.
---------------------------------------------------------------------------

    \46\ The DNPES reported that in households with children under 
6, children slept in bouncer seats at least once a week in 70% of 
households that owned a bouncer seat, slept in swings at least once 
a week in 91% of households with a swing, and slept in hand-held 
carriers at least once a week in 87% of households with hand-held 
carriers.
---------------------------------------------------------------------------

    The effective date is a ``sold by'' date. This means that retailers 
will need to sell or otherwise dispose of their stock by that date. 
Given that this rule has been in progress for several years through a 
notice and comment rulemaking, and that many of the inclined products 
have already been withdrawn from the market, this should not have a 
significant impact on small retailers.
    This rule would require all infant sleep products not in the scope 
of other CPSC sleep standards to comply with this rule. This means that 
new products would have to comply with this rule, or one of the other 
sleep standards. Suppliers may introduce new products that comply with 
any of those standards, such as an innovative bassinet design that 
meets all the requirements of the bassinet standard. They may also work 
with ASTM to revise one of the ASTM sleep standards to cover their new 
product, and then CPSC could consider such revision as part of CPSC's 
procedures for accepting revisions to voluntary standards that are the 
basis for CPSC mandatory standards. Suppliers of innovative products 
may also work with ASTM to develop a separate, new sleep standard, then 
seek to have CPSC codify the new ASTM standard as a mandatory infant 
sleep standard under section 104 of the CPSIA.

H. Efforts to Minimize the Impact on Small Entities (Alternatives)

    CPSC has attempted to minimize the impact of the final rule on 
small entities by defining the scope of this rule to only include 
infant sleep products that are:
    <bullet> Not within the scope of another standard;
    <bullet> marketed or intended for infant sleep, including napping; 
and
    <bullet> marketed or intended for use by children up to 5 months 
old.
    These requirements provide small businesses the opportunity to 
remove their products from the scope of this standard by marketing them 
as not intended for sleep, or only intended for use by older children, 
or for pets. Companies can also redesign their products to meet the 
requirements of another standard, such as infant bouncer seats or hand-
held carriers. In some cases where there is another use for the 
product, the only change required to make a product subject to one of 
these other standards is to relabel or remarket the product, removing 
any references to its use for sleeping.
    CPSC also published an SNPR in 2019, which means firms have been 
aware of this rulemaking effort and have had several years to prepare 
for implementation of the final rule. Many companies that had inclined 
products that were in the scope of the 2017 NPR have removed those 
products from the market since 2019, or remarketed them as loungers, 
bouncer seats, or other products not for sleep.
    While the Commission has exempted small batch manufacturers from 
the testing requirements proposed under other rules, under Section 
14(d)(4)(C)(ii) of the CPSA, the Commission cannot ``provide any 
alternative requirements or exemption'' from third party testing for 
``durable infant or toddler products,'' as defined in section 104(f) of 
the CPSIA. Consequently, staff cannot recommend a small batch exemption 
for small baby nest and hammock home-based manufacturers absent a 
statutory change.
    The ASTM F3118 committee considered wording that would allow 
manufacturers to choose whether to comply with F3118 or another ASTM 
sleep standard, to allow innovative products to enter the market more 
easily. This final rule requires suppliers to comply with this rule or 
one of CPSC mandatory standards for full-size cribs, non-full-size 
cribs, bassinets and cradles, play yards, or bedside sleepers. The 
approach considered by ASTM to allow suppliers to choose other ASTM 
sleep product standards would allow suppliers to sell products that did 
not meet an existing CPSC sleep standard, such as a drop side crib, so 
long as that product had a sleep surface incline of less than 10 
degrees and otherwise complied with ASTM F3118. Staff did not recommend 
this approach, which would effectively allow potentially unsafe, non-
compliant sleep products to re-enter the market.
    Finally, the IRFA discussed allowing a later effective date. A 
later effective date would reduce the economic impact on firms in two 
ways. Firms would be less likely to experience a lapse in production/
importation, which could result if they are unable to comply and

[[Page 33069]]

third-party test within the required timeframe. Also, firms could 
spread costs over a longer time period, thereby reducing their annual 
costs, as well as the present value of their total costs. CPSC received 
comments both supporting and opposing a later effective date. Given 
that many of the products have already been removed from the market or 
otherwise remarketed to be out of scope of this rule, reducing the 
impact on domestic small businesses, and that companies already had 
notice that this final rule was in progress since November 2019, the 
Commission will maintain a 12-month effective date, as proposed in the 
2019 SNPR.

XIV. Environmental Considerations

    The Commission's regulations address whether the agency is required 
to prepare an environmental assessment or an environmental impact 
statement. Under these regulations, certain categories of CPSC actions 
normally have ``little or no potential for affecting the human 
environment,'' and therefore, they do not require an environmental 
assessment or an environmental impact statement. Safety standards 
providing requirements for products come under this categorical 
exclusion. 16 CFR 1021.5(c)(1). The final rule for infant sleep 
products falls within the categorical exemption.

XV. Paperwork Reduction Act

    The final rule contains information collection requirements that 
are subject to public comment and review by the Office of Management 
and Budget (OMB) under the Paperwork Reduction Act of 1995 (PRA; 44 
U.S.C. 3501-3521). Under 44 U.S.C. 3507(a)(1)(D), an agency must 
publish the following information:
    <bullet> A title for the collection of information;
    <bullet> a summary of the collection of information;
    <bullet> a brief description of the need for the information and 
the proposed use of the information;
    <bullet> a description of the likely respondents and proposed 
frequency of response to the collection of information;
    <bullet> an estimate of the burden that shall result from the 
collection of information; and
    <bullet> notice that comments may be submitted to the OMB.
    The preamble to the 2019 SNPR (84 FR 60959-61) discussed the 
information collection burden of the supplemental proposed rule and 
specifically requested comments on the accuracy of our estimates. The 
OMB assigned control number 3041-0177 for this information collection. 
We did not receive any comment regarding the information collection 
burden of the proposal in the 2019 SNPR. For the final rule, CPSC 
adjusts the number of small home-based manufacturers from 6 to 1,200, 
and the number of other suppliers from 13 to 125. In accordance with 
PRA requirements, the Commission provides the following information:
    Title: Safety Standard for Infant Sleep Products.
    Description: The final rule defines an ``infant sleep product'' as 
a product marketed or intended to provide a sleeping accommodation for 
an infant up to 5 months of age, and that is not already subject to one 
of the mandatory CPSC sleep standards: Full-size cribs, non-full-size 
cribs, play yards, bassinets, cradles, or bed-side sleepers. The infant 
sleep products covered by this rule include inclined and flat sleep 
products, such as inclined sleepers, play yard infant sleep 
accessories, baby nests and pods, in-bed sleepers, baby hammocks, 
compact or travel bassinets without a stand or legs, and baby tents. 
This final rule for infant sleep products incorporates by reference the 
voluntary standard for infant inclined sleep products issued by ASTM 
International, ASTM F3118-17a, Standard Consumer Safety Specification 
for Infant Inclined Sleep Products, with modifications to further 
reduce the risk of injury associated with infant sleep products. The 
final rule sets a safety floor for all infant sleep products sold in 
the United States, by requiring infant sleep products to have a seat 
back/sleep surface angle of 10 degrees or less from horizontal, and to 
meet the requirements of 16 CFR part 1218, Safety Standard for 
Bassinets and Cradles, including conforming to the definition of a 
bassinet/cradle. Part 1218 incorporates by reference the performance 
and labeling requirements of ASTM F2194-16[egr]1. Sections 8 and 9 of 
ASTM F2194-16[egr]1 contain requirements for marking, labeling, and 
instructional literature. These requirements fall within the definition 
of ``collection of information,'' as defined in 44 U.S.C. 3502(3).
    Description of Respondents: Persons who manufacture or import 
infant sleep products.
    Estimated Burden: We estimate the burden of this collection of 
information as follows:

                                                       Table 6--Estimated Annual Reporting Burden
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                             Number of     Frequency of    Total annual      Hours per     Total burden
                Burden type                       Type of supplier          respondents      responses       responses       response          hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
Labeling..................................  Home-based manufacturers....           1,200               1           1,200               7           8,400
                                            Other Suppliers.............             125               2             250               1             250
                                           -------------------------------------------------------------------------------------------------------------
    Labeling Total........................  ............................  ..............  ..............  ..............  ..............           8,650
Instructional literature..................  Home-based manufacturers....           1,200               1           1,200              50          60,000
                                                                         -------------------------------------------------------------------------------
    Total burden..........................  ............................  ..............  ..............  ..............  ..............          68,650
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Two groups of quantifiable entities supply infant sleep products to 
the U.S. market that will likely need to make some modifications to 
their existing warning labels to meet the requirements for warnings. 
The first group consists of very small home-based manufacturers, which 
may not currently have warning labels on their infant sleep products. 
Similar rulemakings (such as that for sling carriers) assumed that it 
would take home-based manufacturers approximately 15 hours to develop a 
new label. Given that some home-based manufacturers supply infant sleep 
products with warning labels already, we have estimated approximately 7 
hours per response for this group of suppliers. Therefore, the total 
burden hours for very small home-based manufacturers is 7 hours per 
model x 1,200 entities x 1 models per entity = 8,400 hours.
    The second group of quantifiable entities supplying infant sleep 
products to the U.S. market that will need to make some modifications 
to their existing warning labels are non-home-based manufacturers and 
importers. These firms do not operate at the low

[[Page 33070]]

production volume of the home-based firms. All of the firms in this 
second group have existing warning labels on their products, but not 
necessarily labels that are compliant with the requirements of ASTM 
F2194, as specified in 16 CFR part 1218, and would therefore, have to 
make label modifications. Given that these firms are used to working 
with warning labels, we estimate that the time required to make any 
modifications now or in the future would be about 1 hour per model. 
Based on an evaluation of supplier product lines, each entity supplies 
an average of 2 models of infant sleep products; therefore, the 
estimated burden associated with labels for this second group is 1 
hours per model x 125 entities x 2 models per entity = 250 hours.
    The total burden hours attributable to warning labels is the sum of 
the burden hours for both entity groups: Very small home-based 
manufacturers (8,400 burden hours) + non-home-based manufacturers and 
importers (250 burden hours) = 8,650 burden hours. We estimate the 
hourly compensation for the time required to create and update labels 
is $33.71 (U.S. Bureau of Labor Statistics, ``Employer Costs for 
Employee Compensation,'' December 2020, Supplementary table 1, total 
compensation for all sales and office workers in goods-producing 
private industries: https://www.bls.gov/web/ecec/ecsuptc.pdf. 
Therefore, the estimated annual cost to industry associated with the 
labeling requirements is $291,591.50 ($33.71 per hour x 8,650 hours = 
$291,591.50). No operating, maintenance, or capital costs are 
associated with the collection.
    ASTM F2194 (section 9) requires instructions to be supplied with 
the product. As already noted, the proposed Safety Standard for Infant 
Sleep Products requires infant sleep products to meet these 
requirements. Under the OMB's regulations (5 CFR 1320.3(b)(2)), the 
time, effort, and financial resources necessary to comply with a 
collection of information that would be incurred by persons in the 
``normal course of their activities'' are excluded from a burden 
estimate, where an agency demonstrates that the disclosure activities 
required to comply are ``usual and customary.''
    We are unaware of infant sleep products that generally require use 
instructions but lack such instructions. However, it is possible that 
the 1,200 home-based manufacturers of infant hammocks, baby nests, and 
in-bed sleepers may not supply instruction manuals as part of their 
``normal course of activities.'' Based on information collected for the 
infant slings rulemaking, staff tentatively estimates that each small 
entity supplying homemade infant hammocks, baby nests, or in-bed 
sleepers might require 50 hours to develop an instruction manual to 
accompany their products. These firms typically supply only one infant 
sleep product model. Therefore, the costs of designing an instruction 
manual for these firms could be as high as $2,022,600 (50 hours per 
model x 1 model per entity x 1,200 entities = $2,022,600). However, 
this cost estimate may overestimate the annual cost to industry because 
many home-based firms might not pay average U.S. domestic wage rates. 
Not all firms would incur these costs every year, but new firms that 
enter the market would incur these costs, and this is a highly 
fluctuating market. Other firms are estimated to have no burden hours 
associated with instruction manuals because any burden associated with 
supplying instructions with infant sleep products would be ``usual and 
customary'' and not within the definition of ``burden'' under the OMB's 
regulations.
    Based on this analysis, CPSC staff estimates that the final rule 
for infant sleep products would impose a burden to industry of 68,650 
hours at a cost of $2,314,191.50 annually. In compliance with the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)), we have submitted 
the information collection requirements of this final rule to the OMB.

XVI. Preemption

    Section 26(a) of the CPSA, 15 U.S.C. 2075(a), provides that when a 
consumer product safety standard is in effect and applies to a product, 
no state or political subdivision of a state may either establish or 
continue in effect a standard or regulation that prescribes 
requirements for the performance, composition, contents, design, 
finish, construction, packaging, or labeling of such product dealing 
with the same risk of injury unless the state requirement is identical 
to the federal standard. Section 26(c) of the CPSA also provides that 
states or political subdivisions of states may apply to the Commission 
for an exemption from this preemption under certain circumstances. 
Section 104(b) of the CPSIA deems rules issued under that provision 
``consumer product safety standards.'' Therefore, once this final rule 
for infant sleep products issued under section 104 of the CPSIA takes 
effect, the rule will preempt in accordance with section 26(a) of the 
CPSA.

XVII. Congressional Review Act

    The Congressional Review Act (CRA; 5 U.S.C. 801-808) states that, 
before a rule may take effect, the agency issuing the rule must submit 
the rule, and certain related information, to each House of Congress 
and the Comptroller General. 5 U.S.C. 801(a)(1). The submission must 
indicate whether the rule is a ``major rule.'' The CRA states that the 
Office of Information and Regulatory Affairs (``OIRA'') determines 
whether a rule qualifies as a ``major rule.'' Pursuant to the CRA, OIRA 
designated this rule as not a ``major rule,'' as defined in 5 U.S.C. 
Sec.  804(2). A ``major rule'' is one that the Administrator of OIRA 
finds has resulted in, or is likely to result in: (A) An annual effect 
on the economy of $100,000,000 or more; (B) a major increase in costs 
or prices for consumers, individual industries, Federal, State, or 
local government agencies, or geographic regions; or (C) a significant 
adverse effects on competition, employment, investment, productivity, 
innovation, or on the ability of United States-based enterprises to 
compete with foreign-based enterprises in domestic and export markets. 
5 U.S.C. 804(2). To comply with the CRA, CPSC will submit the required 
information to each House of Congress and the Comptroller General.

List of Subjects

16 CFR Part 1112

    Administrative practice and procedure, Audit, Consumer protection, 
Reporting and recordkeeping requirements, Third party conformity 
assessment body.

16 CFR Part 1130

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

16 CFR Part 1236

    Consumer protection, Imports, Incorporation by reference, Infants 
and children, Labeling, Law enforcement, and Toys.

    For the reasons discussed in the preamble, the Commission amends 
Title 16 of the Code of Federal Regulations as follows:

PART 1112--REQUIREMENTS PERTAINING TO THIRD PARTY CONFORMITY 
ASSESSMENT BODIES

0
1. The authority citation for part 1112 continues to read as follows:


[[Page 33071]]


    Authority: 15 U.S.C. 2063; Pub. L. 110-314, section 3, 122 Stat. 
3016, 3017 (2008).


0
2. Amend Sec.  1112.15 by adding paragraph (b)(46) to read as follows:


Sec.  1112.15  When can a third party conformity assessment body apply 
for CPSC acceptance for a particular CPSC rule and/or test method?

* * * * *
    (b) * * *
    (46) 16 CFR part 1236, Safety Standard for Infant Sleep Products.
* * * * *

0
3. The authority citation for part 1130 continues to read as follows:

    Authority: 15 U.S.C. 2056a, 2056(b).


0
4. Amend Sec.  1130.2 by revising paragraph (a)(12) to read as follows:

PART 1130--REQUIREMENTS FOR CONSUMER REGISTRATION OF DURABLE INFANT 
OR TODDLER PRODUCTS


Sec.  1130.2  Definitions.

* * * * *
    (a) * * *
    (12) Bassinets and cradles, including bedside sleepers and infant 
sleep products;
* * * * *

0
5. Add part 1236 to read as follows:

PART 1236--SAFETY STANDARD FOR INFANT SLEEP PRODUCTS

Sec.
1236.1 Scope.
1236.2 Requirements for infant sleep products.

    Authority: Sec. 104, Pub. L. 110-314, 122 Stat. 3016 (15 U.S.C. 
2056a); Sec. 3, Pub. L. 112-28, 125 Stat. 273.


Sec.  1236.1  Scope.

    This part establishes a consumer product safety standard for infant 
sleep products, including inclined and flat sleep surfaces, that 
applies to all products marketed or intended to provide a sleeping 
accommodation for an infant up to 5 months of age, and that are not 
already subject to any of the following standards:
    (a) 16 CFR part 1218 Safety Standard for Bassinets and Cradles;
    (b) 16 CFR part 1219 Safety Standard for Full-Size Baby Cribs;
    (c) 16 CFR part 1220 Safety Standard for Non-Full-Size Baby Cribs;
    (d) 16 CFR part 1221 Safety Standard for Play Yards;
    (e) 16 CFR part 1222 Safety Standard for Bedside Sleepers.


Sec.  1236.2  Requirements for infant sleep products.

    (a) Except as provided in paragraph (b) of this section, each 
infant sleep product must comply with ASTM F3118-17a, Standard Consumer 
Safety Specification for Infant Inclined Sleep Products (approved on 
September 1, 2017). The Director of the Federal Register approves this 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. You may obtain a copy from ASTM International, 100 Barr Harbor 
Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; phone: (610) 
832-9585; www.astm.org. A read-only copy of the standard is available 
for viewing on the ASTM website at https://www.astm.org/READINGLIBRARY/
. You may inspect a copy at the Division of the Secretariat, U.S. 
Consumer Product Safety Commission, Room 820, 4330 East-West Highway, 
Bethesda, MD 20814, telephone (301) 504-7479, email: <a href="/cdn-cgi/l/email-protection#47243734246a2834072437342469202831"><span class="__cf_email__" data-cfemail="95f6e5e6f6b8fae6d5f6e5e6f6bbf2fae3">[email protected]</span></a>, 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, email 
<a href="/cdn-cgi/l/email-protection#e7818283958280c98b8280868ba789869586c9808891"><span class="__cf_email__" data-cfemail="dcbab9b8aeb9bbf2b0b9bbbdb09cb2bdaebdf2bbb3aa">[email protected]</span></a>, or go to: www.archives.gov/federal-register/cfr/ibr-locations.html.
    (b) Comply with ASTM F3118-17a with the following additions or 
exclusions:
    (1) Instead of complying with Introduction of ASTM F3118-17a, 
comply with the following:
    (i) Introduction. This consumer safety specification addresses 
incidents associated with infant sleep products identified by the U.S. 
Consumer Product Safety Commission (CPSC).
    (A) In response to incident data compiled by CPSC, this consumer 
safety specification attempts to minimize the following:
    (1) Fall hazards,
    (2) Asphyxiation and suffocation, and
    (3) Obstruction of nose and mouth by bedding.
    (B) The purpose of the standard is to address infant sleep products 
not already covered by traditional sleep product standards and to 
reduce deaths associated with known infant sleep hazards, including, 
but not limited to, a seat back or sleep surface angle that is greater 
than 10 degrees from the horizontal.
    (C) This consumer safety specification is written within the 
current state-of-the-art of infant sleep product technology and will be 
updated whenever substantive information becomes available that 
necessitates additional requirements or justifies the revision of 
existing requirements.
    (ii) [Reserved]
    (2) In section 1.1 of ASTM F3118-17a, replace the term ``infant 
inclined sleep products'' with ``infant sleep products.''
    (3) In section 1.2 of ASTM F3118-17a, replace the term ``infant 
inclined sleep products'' with ``infant sleep products.''
    (4) Instead of complying with section 1.3 of ASTM F3118-17a, comply 
with the following:
    (i) 1.3 This consumer safety performance specification covers 
infant sleep products, including inclined and flat sleep surfaces, 
marketed or intended to provide a sleeping accommodation for an infant 
up to 5 months old, and that are not already subject to any of the 
following standards:
    (A) 16 CFR part 1218--Safety Standard for Bassinets and Cradles, 
incorporating by reference ASTM F2194, Standard Consumer Safety 
Specification for Bassinets and Cradles;
    (B) 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs, 
incorporating by reference ASTM F1169, Standard Consumer Safety 
Specification for Full-Size Baby Cribs;
    (C) 16 CFR part 1220--Safety Standard for Non-Full-Size Baby Cribs, 
incorporating by reference applicable requirements in ASTM F406, 
Standard Consumer Safety Specification for Non-Full-Size Baby Cribs/
Play Yards;
    (D) 16 CFR part 1221--Safety Standard for Play Yards, incorporating 
by reference applicable requirements in ASTM F406, Standard Consumer 
Safety Specification for Non-Full-Size Baby Cribs/Play Yards;
    (E) 16 CFR part 1222--Safety Standard for Bedside Sleepers, 
incorporating by reference ASTM F2906, Standard Consumer Safety 
Specification for Bedside Sleepers.
    (ii) 1.3.1 If the infant sleep product can be converted into a 
product for which a CPSC regulation exists, the product shall meet the 
applicable requirements of the CPSC regulation, when in that use mode. 
If the infant sleep product can be converted into a product for which 
no CPSC regulation exists, but another ASTM consumer safety 
specification exists, the product shall meet the applicable 
requirements of the ASTM consumer safety specification, when in that 
use mode.
    (iii) 1.3.2 Crib mattresses that meet the requirements of ASTM 
F2933 are not covered by the specifications of this standard.
    (5) In section 1.4 of ASTM F3118-17a, replace the term ``infant 
inclined sleep product'' with ``infant sleep product.''
    (6) Instead of complying with section 2.1 of ASTM F3118-17a, comply 
with the following:
    (i) F406 Standard Consumer Safety Specification for Non-Full-Size 
Baby Cribs/Play Yards;
    (ii) F1169 Standard Consumer Safety Specification for Full-Size 
Baby Cribs;

[[Page 33072]]

    (iii) F2194 Standard Consumer Safety Specification for Bassinets 
and Cradles;
    (iv) F2906 Standard Consumer Safety Specification for Bedside 
Sleepers;
    (v) F2933 Standard Consumer Safety Specification for Crib 
Mattresses.
    (7) Instead of complying with section 2.2 of ASTM F3118-17a, comply 
with the following:
    (i) 16 CFR 1218--Safety Standard for Bassinets and Cradles;
    (ii) 16 CFR 1219--Safety Standard for Full-Size Baby Cribs;
    (iii) 16 CFR 1220--Safety Standard for Non-Full-Size Baby Cribs;
    (iv) 16 CFR 1221--Safety Standard for Play Yards;
    (v) 16 CFR 1222--Safety Standard for Bedside Sleepers.
    (8) Do not comply with sections 2.3 and 2.4 of ASTM F3118-17a, 
including Figures 1 and 2.
    (9) Do not comply with sections 3.1.1 through 3.1.6 of ASTM F3118-
17a.
    (10) Instead of complying with section 3.1.7 of ASTM F3118-17a, 
comply with the following:
    (i) 3.1.7 infant sleep product, n--a product marketed or intended 
to provide a sleeping accommodation for an infant up to 5 months of 
age, and that is not subject to any of the following:
    (A) 16 CFR part 1218--Safety Standard for Bassinets and Cradles;
    (B) 16 CFR part 1219--Safety Standard for Full-Size Baby Cribs;
    (C) 16 CFR part 1220--Safety Standard for Non-Full-Size Baby Cribs;
    (D) 16 CFR part 1221- Safety Standard for Play Yards;
    (E) 16 CFR part 1222--Safety Standard for Bedside Sleepers.
    (ii) [Reserved]
    (11) Do not comply with sections 3.1.7.1 through 3.1.13 of ASTM 
F3118-17a.
    (12) Do not comply with section 3.1.15 through 3.1.16 of ASTM 
F3118-17a.
    (13) Do not comply with section 5 of ASTM F3118-17a.
    (14) Do not comply with sections 6.1 through 6.8 of ASTM F3118-17a.
    (15) Instead of complying with section 6.9 of ASTM F3118-17a, 
comply with the following:
    (i) 6.9 Maximum Seat Back/Sleep Surface Angle:
    (ii) 6.9.1 Infant Sleep Product--The angle of the seat back/sleep 
surface intended for sleep along the occupant's head to toe axis 
relative to the horizontal shall not exceed 10 degrees when tested in 
accordance with 7.11.2.
    (iii) Do not comply with 6.9.2.
    (iv) 6.9.3 Infant Sleep Products--shall meet, 16 CFR part 1218, 
Safety Standard for Bassinets and Cradles, including conforming to the 
definition of a ``bassinet/cradle.''
    (16) Do not comply with sections 6.10 through 7.10 of ASTM F3118-
17a.
    (17) Do not comply with section 7.11.1.3 of ASTM F3118-17a.
    (18) In section 7.11.2 of ASTM F3118-17a, replace ``Infant Inclined 
Sleep Product and Infant Inclined Sleep Product Accessory'' with 
``Infant Sleep Products.''
    (19) Instead of complying with section 7.11.2.1 and 7.11.2.2 of 
ASTM F3118-17a, comply with the following:
    (i) 7.11.2.1 If applicable, place the product in the manufacturer's 
recommended highest seat back/sleep surface angle position intended for 
sleep.
    (ii) 7.11.2.2 Place the hinged weight gage-infant in the product 
and position the gage with the hinge centered over the seat bight line 
and the upper plate of the gage on the seat back/sleep surface. Place a 
digital protractor on the upper torso/head area lengthwise.
    (20) Do not comply with sections 7.11.3 through 9, or the Appendix, 
of ASTM F3118-17a.
    (21) Add section 10.2 to ASTM F3118-17a:
    (i) 10.2 infant sleep product
    (ii) [Reserved]

Alberta E. Mills,
Secretary, Consumer Product Safety Commission.
[FR Doc. 2021-12723 Filed 6-22-21; 8:45 am]
BILLING CODE 6355-01-P


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