7762 Federal Register / Vol. 81, No. 30 / Tuesday, February 16, 2016 / Notices 

1Public Law 111–203, 124 Stat. 1376 (2010). 

2 7 U.S.C. 1 et seq. 

3See Swap Data Repositories: Registration 

Standards, Duties and Core Principles, 76 FR 54538 

(Sept. 1, 2011). 

4Swap Data Recordkeeping and Reporting 

Requirements, 77 FR 2136 (Jan. 13, 2012). 

5See Section 21(c)(4)(A) of the CEA, 7 U.S.C. 

24a(c)(4)(A). 

6 17 CFR 49.17(b)(3). 

7See Swap Data Repositories: Registration 

Standards, Duties and Core Principles, 76 FR 54538, 

54551–52 (Sept. 1, 2011). 

8 17 CFR 170.1. 

FOR FURTHER INFORMATION CONTACT: 

Malcolm Mohead or Rosa L. Gonza ́lez, 

(301) 427–8401. 

SUPPLEMENTARY INFORMATION: On August 

13, 2014, notice was published in the 

Federal Register (79 FR 47440) that a 

modification of Permit No. 17364, 

issued March 14, 2013 (78 FR 17640), 

had been requested by the above-named 

organization. The requested 

modification has been granted under the 

authority of the Endangered Species Act 

of 1973, as amended (ESA; 16 U.S.C. 

1531 et seq.) and the regulations 

governing the taking, importing, and 

exporting of endangered and threatened 

species (50 CFR parts 222–226). 

The Permit Holder’s original 

objectives were to refine propagation 

and culture techniques of captive 

Atlantic sturgeon held in refugia at the 

USFWS’s Northeast Fisheries Center, 

providing a source of research animals 

for studies related to tagging, tracking, 

behavior, physiology, genetics, health, 

cryopreservation, and other methods to 

advance population conservation, 

recovery, or enhancement of the species 

in the wild. 

The Permit Holder is now authorized 

to conduct similar scientific research on 

captive Atlantic sturgeon at five captive 

holding facilities of Atlantic sturgeon 

located in the state of Maryland. Study 

objectives would include nutrition, 

physiology, propagation, contaminants, 

genetics, fish health, cryopreservation, 

aging, tagging techniques, and refugia. 

Additionally, studies would examine 

abiotic factors (e.g., pH, temperature, 

salinity dissolved oxygen, etc) 

influencing the distribution and 

abundance of Atlantic sturgeon in the 

wild. The modification would be valid 

until expiration of the permit on March 

13, 2018. 

Issuance of this modification, as 

required by the ESA was based on a 

finding that such permit (1) was applied 

for in good faith, (2) will not operate to 

the disadvantage of such endangered or 

threatened species, and (3) is consistent 

with the purposes and policies set forth 

in section 2 of the ESA. 

Dated: February 9, 2016. 

Perry F. Gayaldo, 

Deputy Director, Office of Protected 

Resources, National Marine Fisheries Service. 

[FR Doc. 2016–03027 Filed 2–12–16; 8:45 am] 

BILLING CODE 3510–22–P 

COMMODITY FUTURES TRADING 

COMMISSION 

Order Authorizing the National Futures 

Association as a Commission 

Designee for Direct Electronic Access 

to Data in Swap Data Repositories 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Notice and order. 

SUMMARY: The Commodity Futures 

Trading Commission (‘‘Commission’’) is 

issuing an order (‘‘Order’’) authorizing 

the National Futures Association 

(‘‘NFA’’) as a Commission designee to 

receive direct electronic access to data 

maintained in swap data repositories 

(‘‘SDRs’’) registered with the 

Commission. The Commission is 

authorized to designate persons to 

receive direct electronic access to SDR 

data pursuant to Section 21(c)(4)(A) of 

the Commodity Exchange Act (‘‘CEA’’). 

NFA is registered with the Commission 

as a registered futures association 

(‘‘RFA’’) pursuant to Section 17 of the 

CEA. Direct access to SDR data will 

facilitate NFA’s performance of 

functions delegated to NFA by the 

Commission, as well as the performance 

of other duties authorized by the CEA 

and the Commission. As a condition to 

authorizing NFA as a Commission 

designee, NFA is required to keep all 

non-public information received 

through direct electronic access to SDR 

data confidential and to refer any 

request for such data to the Commission 

for handling. 

DATES: Effective date: February 16, 2016. 

FOR FURTHER INFORMATION CONTACT: 

Eileen T. Flaherty, Director, 202–418– 

5326, eflaherty@cftc.gov, or Frank 

Fisanich, Chief Counsel, 202–418–5949, 

ffisanich@cftc.gov, Division of Swap 

Dealer and Intermediary Oversight, 

Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581. 

SUPPLEMENTARY INFORMATION: 

I. Authority and Background 

Title VII of the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act 1 amended the CEA 2 to establish a 

comprehensive new regulatory 

framework for swaps. Amendments to 

the CEA included the addition of 

provisions requiring the retention, and 

the reporting to Commission-registered 

SDRs, of data regarding swap 

transactions in order to enhance 

transparency, promote standardization, 

and reduce systemic risk. Such 

amendments also included certain core 

principles governing the operations of 

SDRs. Pursuant to these newly added 

provisions, the Commission adopted 

certain SDR registration requirements 

and provisions implementing core 

principles in part 49 of its regulations,3

and adopted rules for the reporting of 

swap transaction data to registered SDRs 

in parts 45 and 46 of its regulations.4

Section 21(c) of the CEA sets forth the 

duties of a registered SDR. Among them 

is the duty to provide direct electronic 

access to the Commission (or any 

designee of the Commission).5 ‘‘Direct 

electronic access’’ is defined in 

Commission regulation 49.17(b)(3) as 

‘‘an electronic system, platform or 

framework that provides internet or 

web-based access to real-time swap 

transaction data and also provides 

scheduled data transfers to the 

Commission’s electronic systems.’’ 6 As 

used herein, ‘‘direct electronic access to 

SDR data’’ means ‘‘an electronic system, 

platform, or framework that provides 

internet or web-based access to real-time 

swap transaction data and/or swap 

transaction data transfers.’’ 

As the Commission stated in adopting 

the SDR registration requirements, 

direct electronic access by the 

Commission is a critical function and 

responsibility of an SDR because realtime access to swap data is necessary for 

adequate oversight and surveillance of 

the swaps market.7 The Commission 

implemented the access requirements 

for Commission designees under 

Section 21(c)(4)(A) of the CEA by 

adopting Commission regulation 

49.17(c)(1). 

Pursuant to Commission regulation 

170.1, a basic purpose of an RFA is to 

regulate the practices of its members.8

In order to help NFA achieve this 

purpose and strengthen its regulatory 

oversight of its members, including 

registered swap dealers (‘‘SDs’’) and 

major swap participants (‘‘MSPs’’), NFA 

has requested direct electronic access to 

all SDRs. 

II. Use of SDR Data 

NFA is the only futures association 

registered with the Commission 

pursuant to Section 17 of the CEA and 

mstockstill on DSK4VPTVN1PROD with NOTICES

Federal Register / Vol. 81, No. 30 / Tuesday, February 16, 2016 / Notices 7763 

9 7 U.S.C. 21. 

10 7 U.S.C. 12a(10). 

11 7 U.S.C. 21(o). 

12See e.g., Performance of Registration Functions 

by National Futures Association, 49 FR 39593 (Oct. 

9, 1984); 50 FR 34885 (Aug. 28, 1985); 51 FR 34490 

(Sept. 29, 1986); Performance of Registration 

Processing Functions by National Futures 

Association With Respect to Floor Traders and 

Floor Brokers, 58 FR 19657 (Apr. 15, 1993); 

Performance of Certain Functions by National 

Futures Association With Respect to Non-U.S. 

Firms and Non-U.S. Markets, 62 FR 47792 (Sept. 11, 

1997); Performance of Certain Functions by 

National Futures Association with Respect to 

Commodity Pool Operators and Commodity 

Trading Advisors, 62 FR 52088 (Oct. 6, 1997); 

Performance of Registration Functions by National 

Futures Association With Respect to Swap Dealers 

and Major Swap Participants 77 FR 2708 (Jan. 19, 

2012). 

13See 62 FR 52088 (Oct. 6, 1997); 64 FR 29273 

(June 1, 1999). 

14See, e.g., 49 FR 39593 (Oct. 9, 1984) (regarding 

the registration records of future commission 

merchants, commodity pool operators, and 

commodity trading advisors); 66 FR 43227 (Aug. 17, 

2001) (regarding notice registration filings as futures 

commission merchants or introducing brokers); 67 

FR 77470 (Dec. 18, 2002) (regarding commodity 

pool operator annual financial reports required by 

regulation 4.22 and 4.7(b)(3)); 75 FR 55310 (Sep. 10, 

2010) (regarding the registration records of retail 

foreign exchange dealers); and 77 FR 2708 (Jan. 19, 

2012) (regarding registration records of swap 

dealers and major swap participants). 

15See, e.g., 67 FR 77470 (Dec. 18, 2002). 

16 7 U.S.C. 21(p)(2). 

17NFA’s financial requirements for its members 

are contained in the NFA Manual, available on its 

Web site: http://www.nfa.futures.org/nfamanual/

NFAManualTOC.aspx?Section=7. With respect to 

minimum financial requirements for SDs and MSPs, 

the Commission has proposed capital rules. See 

Capital Requirements of Swap Dealers and Major 

Swap Participants, 76 FR 27802 (May 12, 2011). In 

addition, the Commission has recently promulgated 

margin requirements for SDs and MSPs. See Margin 

Requirements for Uncleared Swaps for Swap 

Dealers and Major Swap Participants, 81 FR 636 

(Jan. 6, 2016). NFA will in due course establish 

minimum financial requirements for its SD and 

MSP members that are no less stringent than the 

capital and margin requirements for SDs and MSPs 

imposed by the Commission. 18 7 U.S.C. 12. 

the Commission, as detailed below, has 

over decades delegated many 

Commission functions to NFA.9

Pursuant to Section 8a(10) of the CEA,10

the Commission may authorize any 

person—including an RFA—to perform 

any of the registration functions under 

the CEA. Further, pursuant to Section 

17(o) of the CEA,11 the Commission may 

require an RFA to perform registration 

functions under the CEA with respect to 

its members. The Commission has 

previously authorized NFA to perform 

the full range of registration functions 

with regard to applicants for 

Commission registration and 

Commission registrants, including 

registration of SDs and MSPs.12

Additionally, pursuant to Sections 4p, 

8a, and 17 of the CEA, the Commission 

issued Commission regulation 170.16 

requiring each registered SD and MSP to 

become and remain a member of an 

RFA. As the only RFA, all registered 

SDs and MSPs are members of NFA. 

Other Commission functions 

delegated to NFA include: Reviewing 

disclosure documents and providing the 

Commission with related summaries 

and periodic reports; 13 and acting as the 

Commission’s official custodian of 

records.14 The Commission has found 

that NFA exercises its delegated 

authority with proficiency.15

In addition to performing functions 

delegated by the Commission, Section 

17(p)(2) of the CEA requires an RFA to 

establish minimum capital, segregation, 

and other financial requirements 

applicable to its members for which 

such requirements are imposed by the 

Commission and implement a program 

to audit and enforce compliance with 

such requirements, except that such 

requirements may not be less stringent 

than those imposed on such firms by the 

CEA or by Commission regulation.16

Pursuant to such requirement, where 

the Commission has imposed minimum 

financial requirements for its registrants, 

NFA has established minimum financial 

requirements for such registrants that 

are members of NFA that are no less 

stringent than those imposed by 

Commission regulations.17 All NFA 

rules and rule amendments are 

submitted to the Commission for review 

and approval, as required by Section 

17(j) of the CEA. 

In order for NFA to adequately 

implement a program to audit and 

enforce compliance as required under 

Section 17(p)(2) of the CEA, to regulate 

the practices of its members pursuant to 

Commission regulation 170.1, and to 

carry out the functions delegated to it by 

the Commission, the Commission has 

determined that it is necessary for NFA 

to obtain SDR data. This information, 

together with adequate financial 

reporting by its members, will better 

enable NFA to monitor compliance with 

its minimum financial and other 

requirements. 

In requesting access to SDR data, NFA 

has stated that, as a front-line regulator 

of SDs and MSPs, it may be necessary 

in certain situations (e.g., investigations) 

for NFA to obtain data directly from an 

independent source, such as an SDR, as 

opposed to relying solely on data 

submitted by member firms. 

Furthermore, NFA has stated that if it 

had access to firm level transaction data 

on a regular (e.g., monthly or quarterly) 

basis, then this information would be a 

significant addition to NFA’s SD/MSP 

risk profiling system. The Commission 

concurs with NFA’s conclusion that it is 

far more efficient and timely for NFA to 

collect swap transaction data from a few 

consolidated sources, i.e., the SDRs, 

than for NFA to make constant requests 

either through the Commission or 

separately to over 100 SDs and MSPs. 

Finally, at the request of the 

Commission, NFA has represented its 

willingness to develop, at the direction 

of the Commission, reports generated 

from analyses of the SDR data NFA 

receives pursuant to this Order that the 

Commission or its staff may find 

necessary or desirable from time to time 

in order to carry out its legal and 

statutory responsibilities under the CEA 

and Commission regulations. 

The Commission believes that NFA’s 

direct electronic access to SDR data will 

permit the Commission to carry out its 

legal and statutory responsibilities 

under the CEA, retaining its ultimate 

decision-making authority, while also 

freeing up Commission resources to be 

directed to other parts of its regulatory 

mandate. NFA may not use the SDR 

data obtained under the authority 

provided in this Order for any purpose 

other than to facilitate NFA’s 

performance of functions delegated to 

NFA by the Commission and the 

performance of NFA’s functions as an 

RFA. 

III. Confidentiality of SDR Data 

As a condition to receiving direct 

electronic access to SDR data as a 

Commission designee, NFA must keep 

all non-public information received 

through such access confidential. 

The SDR data contains information 

that is protected from disclosure by the 

Commission by Section 8 of the CEA.18

Pursuant to Section 8 of the CEA, the 

Commission is prohibited, except as 

specifically authorized by the CEA, from 

publishing data and information that 

would separately disclose the business 

transactions or market positions of any 

person and trade secrets or names of 

customers, subject to certain exceptions 

that permit disclosure to: (i) Either 

House of Congress, acting within the 

scope of its jurisdiction; (ii) a 

department, central bank and ministries, 

or agency of the Government of the 

United States, acting within the scope of 

its jurisdiction; (iii) a department, 

central bank and ministries, or agency of 

any State or any political subdivision 

thereof, acting within the scope of its 

jurisdiction; and (iv) any foreign futures 

authority, or any department, central 

bank and ministries, or agency of any 

foreign government or any political 

mstockstill on DSK4VPTVN1PROD with NOTICES

7764 Federal Register / Vol. 81, No. 30 / Tuesday, February 16, 2016 / Notices 

19See Section 8(e) of the CEA; 7 U.S.C. 12(e). 

20See supra note 14 for orders by which the 

Commission determined to authorize NFA to 

maintain and serve as the official custodian of the 

Commission’s registration records with respect to 

various Commission registrants. 

21NFA Compliance Rule 4–1(b)(1) states: ‘‘If any 

member of the public requests access to CFTC 

records, or portions thereof, and the requested 

record, or portion, is ‘‘public’’ or ‘‘publicly 

available’’ under CFTC Regulations 1.10(g) or 145.0, 

then NFA will release that record or portion to the 

requester.’’ 

subdivision thereof, acting within the 

scope of its jurisdiction.19

With respect to NFA’s obligations 

regarding public disclosure of 

information it maintains as an official 

records custodian of the Commission,20

the Commission notes that NFA 

Compliance Rule 4–1 defines such 

information as ‘‘CFTC records’’ and 

subsection (c) of such rule states that: 

Requests for access to CFTC records, or 

portions thereof, not subject to disclosure as 

public or publicly available under paragraph 

(b)(1) of this Rule 21 shall be referred or 

transmitted to the Commission for response; 

except that, NFA will disclose such records 

or portion thereof: 

(1) otherwise with the authorization of the 

Assistant Secretary of the Commission for 

FOI, Privacy, and Sunshine Act Compliance 

or his or her designee, or the General Counsel 

of the Commission or his or her designee, in 

accordance with CFTC Regulations 145.7(b), 

(h) and (i); the Freedom of Information Act, 

5 U.S.C. 552; and the Privacy Act, 5 U.S.C. 

552a; and 

(2) to any individual or firm, or person 

acting on behalf of the individual or firm, 

who seeks access to his, her or its CFTC 

records: Provided, however, that NFA 

receives proper verification of the identity 

and authority of the party requesting the 

records. 

In order to ensure compliance with 

the Commission’s obligations under 

Section 8 of the CEA, NFA has 

represented and confirmed to the 

Commission that all SDR data obtained 

by NFA through the direct electronic 

access authorized by this Order will be 

subject to more stringent obligations 

regarding public disclosure than are 

‘‘CFTC records’’ under NFA Compliance 

Rule 4–1. Thus, the Commission is 

conditioning this Order on NFA’s 

representation that it will not publicly 

disclose any information obtained by 

NFA through the direct electronic 

access to SDR data authorized by this 

Order. This Order is further conditioned 

on NFA’s undertaking that any request 

for such SDR data received by NFA will 

be referred to the Commission for 

response directly by the Commission. 

Notwithstanding the foregoing, this 

Order provides that NFA may disclose 

the SDR data of a firm to such firm upon 

request, subject to NFA receiving proper 

verification of the identity and authority 

of the person making the request on 

behalf of such firm. 

With respect to disclosing to a firm 

such firm’s own SDR data, the 

Commission notes that Commission 

regulation 49.17(f)(2) prohibits an SDR 

from disclosing to one counterparty the 

identity or the legal entity identifier (as 

such term is used in part 45 of the 

Commission’s regulations) of the other 

counterparty to a swap, or the other 

counterparty’s clearing member for the 

swap, if the swap is executed 

anonymously on a swap execution 

facility or a designated contract market 

and cleared in accordance with 

Commission regulations in 1.74, 23.610, 

and 37.12(b)(7). NFA has represented 

and confirmed that in disclosing to a 

firm such firm’s own SDR data, such 

data will not include any information 

that an SDR would be prohibited from 

disclosing pursuant to Commission 

regulation 49.17(f)(2). 

IV. Conclusion and Order 

For the reasons discussed above, and 

pursuant to its authority under Section 

21(c)(4)(A) of the CEA, the Commission 

has determined that NFA’s access to 

SDR data will assist the Commission to 

carry out its legal and statutory 

responsibilities under the CEA and its 

regulations. Thus, the Commission has 

determined to, and hereby does, 

authorize NFA as a designee of the 

Commission for purposes of receiving 

direct electronic access to SDR data, 

subject to the terms and conditions 

specified below. Accordingly, subject to 

such terms and conditions, SDRs 

registered with the Commission must 

provide NFA with direct electronic 

access to such data as the Commission’s 

designee in accordance with 

Commission regulation 49.17(c)(1). 

These determinations are based on 

NFA’s representations and 

demonstration of its willingness and 

ability to accept the SDR data 

authorized by this Order for auditing 

and enforcing compliance with NFA 

member requirements, and to safeguard 

from public disclosure any information 

contained in such SDR data. 

Accordingly, NFA’s direct electronic 

access to SDR data is specifically 

conditioned on NFA (1) safeguarding 

from public disclosure any information 

contained in such SDR data (other than 

pursuant to the limited exception 

specified below); (2) referring any 

request for such data received by NFA 

to the Commission for response directly 

by the Commission; (3) in no event 

disclosing any information regarding the 

identity of a counterparty to a swap, or 

such counterparty’s clearing member for 

such swap, that an SDR would be 

prohibited from disclosing pursuant to 

Commission regulation 49.17(f)(2); and 

(4) accessing and using the SDR data 

obtained pursuant to the authority 

provided by this Order solely to 

facilitate NFA’s performance of 

functions delegated to NFA by the 

Commission and NFA’s performance of 

its functions as an RFA. 

Notwithstanding such conditions, 

upon request of a firm, NFA may 

disclose SDR data of that firm to such 

firm (other than information an SDR 

would be prohibited from disclosing 

pursuant to Commission regulation 

49.17(f)(2)), subject to NFA receiving 

proper verification of the identity and 

authority of the person making the 

request on behalf of such firm. 

Further, the Commission hereby 

delegates to the Director of the Division 

of Swap Dealer and Intermediary 

Oversight the authority to: (1) Limit or 

otherwise condition NFA’s direct 

electronic access to certain SDR data 

that such Director may determine in 

writing is unnecessary to facilitate 

NFA’s performance of functions 

delegated to NFA by the Commission 

and the performance of NFA’s functions 

as an RFA; and (2) direct Commission 

staff to review, examine, or audit NFA’s 

access and use of the SDR data as such 

Director may determine is necessary to 

ensure NFA’s compliance with the 

conditions of this Order. Nothing herein 

shall be deemed to prohibit the 

Commission, at its election, from 

exercising the authority delegated in 

this paragraph. 

This Order does not authorize NFA to 

render ‘‘no-action’’ positions, 

exemptions, or interpretations with 

respect to applicable disclosure, 

reporting, recordkeeping, and 

registration requirements. 

The Commission retains the authority 

to condition further, modify, suspend, 

terminate, or otherwise restrict any of 

the terms of the Order provided herein, 

in its discretion, including the kind of 

SDR data accessible through direct 

electronic access. Nothing in this order 

shall prevent the Commission from 

exercising its authority to receive direct 

electronic access to SDR data or its 

authority to authorize any other person 

to be a designee of the Commission to 

receive such access. Nothing in this 

order, or in Section 8a(10) or 17(o) of 

the CEA, shall affect the Commission’s 

authority to review the performance by 

NFA of its oversight of its members, to 

adopt and enforce regulations 

applicable to SDs and MSPs as 

Commission registrants, and to conduct 

on-site examinations of the operations 

mstockstill on DSK4VPTVN1PROD with NOTICES

Federal Register / Vol. 81, No. 30 / Tuesday, February 16, 2016 / Notices 7765 

1On May 9, 2012, the Juvenile Products 

Manufacturers Association, Inc. (‘‘JPMA’’) filed a 

petition requesting CPSC initiate rulemaking under 

sections 7 and 9 of the Consumer Product Safety 

Act (‘‘CPSA’’; 15 U.S.C. 2051–2089) to create a 

performance standard for crib bumpers to 

distinguish ‘‘hazardous ‘soft’ pillow-like’’ crib 

bumpers from ‘‘traditional’’ crib bumpers. See 77 

FR 37836. On May 24, 2013, the Commission 

granted the petition, but adopted a broader 

framework than JPMA requested, directing staff to 

examine the safety benefits and risks associated 

with crib bumpers, evaluate existing standards, 

identify test methods and performance 

requirements that reduce any identified safety risks, 

and consider all regulatory options for addressing 

the risk of injury associated with crib bumpers. 

2The standard is available from Standards 

Australia Limited, GPO Box 476, Sydney, NSW 

2011 and Standards New Zealand, Private Bag 2439, 

Wellington 6140, www.standards.co.nz. 

3The standard is available from ASTM 

International at 100 Bar Harbor Drive, P.O. Box 

0700, West Conshohocken, PA 19428, http://

www.astm.org/cpsc.htm. 

and activities of SDs and MSPs as 

Commission registrants. 

Issued in Washington, DC, on February 10, 

2016, by the Commission. 

Christopher J. Kirkpatrick, 

Secretary of the Commission. 

Appendix to Order Authorizing the 

National Futures Association as a 

Commission Designee for Direct 

Electronic Access to Data in Swap Data 

Repositories—Commission Voting 

Summary 

On this matter, Chairman Massad and 

Commissioners Bowen and Giancarlo voted 

in the affirmative. No Commissioner voted in 

the negative. 

[FR Doc. 2016–03064 Filed 2–12–16; 8:45 am] 

BILLING CODE 6351–01–P 

CONSUMER PRODUCT SAFETY 

COMMISSION 

[Docket No. CPSC–2012–0034] 

Request for Information Regarding 

Crib Bumpers 

AGENCY: U.S. Consumer Product Safety 

Commission. 

ACTION: Notice. 

SUMMARY: The Consumer Product Safety 

Commission (‘‘CPSC’’ or ‘‘Commission’’) 

is seeking information regarding the 

safety benefits of crib bumpers, whether 

safety hazards are associated with crib 

bumpers, existing safety standards that 

apply to crib bumpers, and potential 

performance requirements, testing, and 

other standards that may reduce the risk 

of injury, if any, associated with crib 

bumpers. 

DATES: Submit comments by April 18, 

2016. 

ADDRESSES: You may submit comments, 

identified by Docket No. CPSC–2012– 

0034, by any of the following methods: 

Electronic Submissions: Submit 

electronic comments to the Federal 

eRulemaking Portal at: http://

www.regulations.gov. Follow the 

instructions for submitting comments. 

The Commission does not accept 

comments submitted by electronic mail 

(email), except through 

www.regulations.gov. 

Written Submissions: Submit written 

comments by mail/hand delivery/

courier to: Office of the Secretary, 

Consumer Product Safety Commission, 

Room 820, 4330 East-West Highway, 

Bethesda, MD 20814; telephone (301) 

504–7923. 

Instructions: All submissions must 

include the agency name and docket 

number for this notice. CPSC may post 

all comments, without change, to 

http://www.regulations.gov, including 

any personal identifiers, contact 

information, or other personal 

information. Do not submit confidential 

business information, trade secret 

information, or other sensitive or 

protected information that you do not 

want to be available to the public. If 

furnished at all, submit such 

information by mail/hand delivery/

courier. 

Docket: For access to the docket to 

read background documents or 

comments, go to: http://

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Timothy P. Smith, Project Manager, 

Directorate for Engineering Sciences, 

U.S. Consumer Product Safety 

Commission, 5 Research Place, 

Rockville, MD 20850; telephone: 301– 

987–2557; email: TSmith@cpsc.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

The Consumer Product Safety 

Commission (‘‘CPSC’’ or ‘‘Commission’’) 

has granted a petition to initiate 

rulemaking regarding crib bumpers.1 To 

determine the need for and appropriate 

scope of such a rulemaking, the 

Commission is investigating whether 

crib bumpers pose a safety hazard to 

infants and, if so, what performance 

standards or requirements could 

mitigate that risk. As part of this effort, 

CPSC staff has reviewed incident data to 

identify what features or characteristics 

of crib bumpers create a safety hazard, 

if any; is evaluating existing safety 

standards that apply to crib bumpers 

and similar products; and is testing 

various types of crib bumpers. In this 

Request for Information (‘‘RFI’’), CPSC 

seeks input from interested parties to 

supplement the information, standards, 

and data currently available to the 

Commission. CPSC would find specific 

data regarding the safety risks and 

benefits associated with various types of 

crib bumpers and the empirical basis 

for, and effectiveness of, existing safety 

standards particularly helpful. 

II. Information Requested 

To supplement the information 

currently available to CPSC, we request 

input relevant to the following 

questions: 

• What test data or other information 

is available to identify the specific 

features or characteristics of a crib 

bumper that might contribute to a risk 

of suffocation? 

• What objective, repeatable test 

methods, procedures or measures exist 

to assess the firmness of bedding, 

mattresses, and other possible sleep 

surfaces? To what extent, if any, can 

such tests, procedures or measures be 

used to assess whether these materials 

present a risk of suffocation by 

smothering? 

• To what extent does the test device 

specified in Australian/New Zealand 

Standard AS/NZS 8811.1:2013, Methods 

of Testing Infant Products, Method 1: 

Sleep Surfaces—Test for Firmness,2

accurately and reliably assess the 

potential risk of suffocation associated 

with a sleep surface? 

• To what extent would a test to 

accurately and reliably identify 

hazardous soft bedding or sleep surfaces 

be relevant to vertically-mounted 

surfaces, such as crib bumpers? 

• What safety benefits do crib 

bumpers offer to consumers? What data 

are available to demonstrate such 

benefits? 

• What, if any, evidence is there to 

indicate that ‘‘rebreathing’’ of carbon 

dioxide occurs with crib bumpers and 

presents a risk of suffocation? 

• The current U.S. voluntary standard 

covering crib bumpers is ASTM F1917– 

12, Standard Consumer Safety 

Performance Specification for Infant 

Bedding and Related Accessories 

(‘‘ASTM F1917–12’’).3 Are there other 

standards, aside from state or regional 

bans, that include performance 

requirements for crib bumpers? 

• ASTM F1917–12 includes a 

requirement that essentially limits the 

compressed thickness of crib bumpers 

to 2 inches. What evidence exists to 

support this requirement, and what, if 

any, association exists between this 

ASTM requirement and the risk of 

infant suffocation? 

• What alternative or additional 

requirements beyond those specified in 

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