The U.S. Consumer Product Safety Commission by WAnDq8iy


									 U.S. Consumer Product Safety

Office of Compliance and Field Operations
             CPSC Overview
              May 8-9, 2012
              Phoenix, AZ
 Views expressed in this presentation are those of the staff and do not necessarily represent
                               the views of the Commission.
         About the CPSC

                                    Congress enacts laws that
Independent federal agency
                                     give the Commission
     created in 1973

    Five Commissioners             Thousands of different types
 appointed by the President          of consumer products

                                      Mission: protecting the
  Excludes food, drugs,              public from unreasonable
medical devices, cars, aircraft,        risks of injury from
 boats, pesticides, alcohol,       consumer products through
          tobacco                   education, safety standards
                                    activities, and enforcement

                          Organizational Structure
   Commissioner                    Commissioner                         Chairman                       Commissioner                 Commissioner
     (Open)                        Robert Adler                      Inez Tenenbaum                     Nancy Nord                  Anne Northup

Office of Legislative         Office of the              Office of the            Office of Equal                Office of              Office of the
      Affairs               Inspector General          Executive Director          Employment                 Communications           General Counsel
                                                                                  Opportunity and
                                                                                 Minority Enterprise

                                                                                                                                     The Secretariat (also
                                                                                                                                     known as the Office
                                                                                                                                       of the Secretary)
                            Deputy Executive                                                     Deputy Executive
                                Director -                                                      Director - Operations
                            Safety Operations                                                          Support

                                                Office of Hazard                                                   Office of Financial
     Office of Compliance                                                     Office of Facilities
                                                Identification and                                                Management, Planning,
     and Field Operations                                                          Services
                                                   Reduction                                                         and Evaluation

                                            Office of Education,
       Office of Import
                                            Global Outreach, and              Office of Human                      Office of Information
       Surveillance and
                                               Small Business               Resources Management                        Technology

Estimated Annual Losses Associated
     with Consumer Products

       34,500        36 Million
       Deaths         Injuries

            $900 Billion
             in Societal

How CPSC Prevents Injuries and
  Regulations        Voluntary           monitors,
                     Standards         analyzes trends

                                        Educates on
 Conducts risk       Conducts
  assessments        research
                                         for safety

Educates on safe                          Recalls,
                   retail, Internet,
                         ports          Compliance
               How CPSC Selects Projects

                                            Does it
                                Chronic                                          Quickly
 Frequency      Probability                  Affect     Causes     Unforeseen
                              Illness and                                       and Easily
and Severity       of                       Children      of       Nature of
                                 Future                                          Can the
of Injuries?    Exposure?                    or the    Injuries?    the Risk?
                               Injuries?                                         Problem
                                                                                Be Fixed?

                    Good answers require good data                                           6
    Typical Project Approach
  Identify       Collect and            Look at
                   analyze             emerging
   hazard       incident data           hazards

  Identify                           Product design    Other effects
                                          or          (hidden hazard,
   causes       use/new use
                                     manufacturing    new technology)

  Evaluate        Evaluate            ASTM, ANSI,
                 consensus           UL, IEEE, IEC,
  standard       standards                ISO

                Assessment of the
Assess issues    addressability of
                   safety issues

Recommend          Changes to standards or
                    products; compliance;
 solution,         rulemaking; education;
accordingly             monitoring
                Data Use


Education                     Compliance
Programs                        Actions




             Surveillance Databases

    IPII              DTHS               INDP              NEISS

   Injury and                             In-depth       National Electronic
Potential Injury   Death Certificates   Investigations   Injury Surveillance
 Incident Data                             (IDI’S)             System

                 Office of Compliance
                 and Field Operations

   Defect              Regulatory           Field
Investigations        Enforcement       Investigations
   Division             Division           Division

 by Hazard             by Hazard        by City/State

      Compliance Activities

   Defect                            Import
                 of rules and
investigations                     surveillance

  Market             Field         Sanctions/
surveillance       operations       penalties


 Surveillance Activities
            • Program plan for regulated
              products; surveillance for defects
 Retail       and other risks

            • Check for conformity with
              regulations and for recalled
Internet      products

            • Investigators at key ports of
Ports and     entry
 airports   • Analysts identify most likely at-
              risk products

Field Operations

Compliance Process
                                         Hazard Priority System:
                                         Class A, B, C
  Section 15                                                                 legal
    report/                                                                 action
    Sample                                               Recall:
  PI/CA case     No                                       repair,
                action            Stop
                                  sale                   replace,
                                                          refund                 Possible
                    theory or
   by expert                                                          Recall
                   failure of a
     staff                                                          monitoring

                                         Does it have a defect?
                                         If so, does it create a
                                         substantial product
                                         hazard? (exposure to
    Collect           Risk               large number of units,
   incident        assessment            severity, and
     data                                likelihood)

               Reporting Obligations

   Report is required if a firm obtains
 information that “reasonably supports
                                              Firm must report “immediately” (i.e.,
the conclusion” that product “contains a
                                                       within 24 hours)
 defect which could create a substantial
            product hazard.”


        Reporting Under Section 15
   When to report:
       The manufacturer, importer, distributor, or retailer is
        required to report immediately upon obtaining
        information which reasonably supports the
        conclusion that a product:
          Fails to meet a rule, regulation, standard, or ban under the
           CPSA or any other statute enforced by the CPSC;
          Contains a defect which could create a substantial product
           hazard to consumers; or
          Creates an unreasonable risk of serious injury or death.

   Pattern of Defect
       Identification of defect, flaw, error, design,
        engineering, quality control, labeling, use,
        assembly, etc
   Number of Defective Products
       Distributed into commerce
   Severity of Risk
     Severity of injury
     Likelihood injury will occur
     Vulnerable population affected
      Reporting Under Section 15
           What to Provide When Reporting
Initial Report
 Details about product, stop sale date, potential defect and
   hazard, samples, and all available information

Full Report
 All information requested in 16 CFR 1115.13 with regard to
  manufacturer, product, defect, and injuries

Staff has been directed to contact a firm within 24 hours after
   submission of Initial or Full Report .
What is the Fast Track Program?
   Initiated in 1995, it eliminates “Preliminary Determination” (PD)
    of hazard for cases reported by a firm that can implement a recall
    within 20 days.

   Benefits for stakeholders:
     Firm receives no PD and it can implement a recall
     Staff expends less resources

     Public gets quicker notice

What is the Fast Track Program?
   Firm must do public notice and initiate a stop sale

   Firm can provide repair, replacement, or refund as
    corrective action.
      Staff must get opportunity to review repair or
       replacement before implementing.

   Firm must still provide a Full Report and all requested
    information for a Fast Track recall.

            Choosing a Remedy
   Refund is the fastest and easiest method for consumers.

       Must consider if product will be returned and how.

       Removal of piece that can disable product and be
        returned at lower cost.

       Pre-paid postage return provided for consumers.

       If product not returned, consider form to sign for
        refund.                                               23
             Choosing a Remedy
   Replacement must be a comparable product.
       Requires review of test reports/data by staff.

   Repair programs always need staff review of data.
     Can be done by consumer, technician, or return to
     If done by consumer, must be easy with clear
     If tools required, should provide them.

               Conducting a Recall
Ways to Reach Public About a Recall
   Hotline (toll-free)

   Posters at traditional retail locations (several locations)

   Forums, trade associations, magazines for industry, brochures,
    and catalogs

   Direct Notice is BEST (e-mail, letter, phone calls)
        Review all internal customer lists (loyalty cards, warranty, catalogues)

               Conducting a Recall
Ways to Reach Public About a Recall
   Website (initiate online registration, instructions)

   Social media (Twitter, Facebook, Google+, Blogs)
        Firms are expected to announce recalls on their social media platforms.
        CPSC has started using Twitter and is providing proposed tweet messages
         as early in the message negotiation process as possible.

   YouTube (recall message, how-to repair, step-by-step
    instructions, how to assemble)

            Conducting a Recall

   Press Releases

     Recalls are announced in press releases due to lack
      of direct notice and need for outreach.
     Can be pitched to media, can be highlighted on
      CPSC’s home page.

             Conducting a Recall
   Recall Alerts
   Still posted on CPSC website
   Requires direct contact for virtually all consumers,
    retailers, and distributors
   Very small percentage of recalls
   Providing a customer list is a requirement of qualifying
    for a Recall Alert

             CPSC Product Safety
            Information Database
   Submitters can file Reports about a harm or risk of harm related to
    the use of a consumer product or other product or substance
    within the jurisdiction of CPSC.
   Product manufacturers (including importers) and private labelers
    that are identified in a Report may submit general comments to the
    Commission through, as well as make claims
     material inaccuracy
     confidential business information
   Manufacturers should review reported incidents to determine if
    there is a trigger that suggests a substantial product hazard.

   Registered manufacturers can use as a portal
     comment    on Reports
     file Section 15(b) reports with the CPSC

What Information Am I Notified
   Receipt of complaints, incidents, injuries, deaths
   In-depth investigations (IDI’s) conducted by
   Freedom of Information Act (FOIA) requests
    for information
   Retailer Reports (Supplier Notification)

       Reports to be Published on

   Notified through business portal 6A
   Published within 10 days of notification
    Extension of five days for model/serial number
    and 5 days if a materially inaccurate information
    (MII) claim is received prior to publication
   Business comments (public) optional
   Claims for MII and confidential business
    information (CBI) not published

         Notification from CPSC
   Section 6(c) of the Consumer Product Safety
     Reports not eligible for database
     IDI’s received via postal mail

   Register on
   Comment on Reports
   Contact consumers who desire to learn more
    about the incident

                Report Criteria
                        Publication in              Notification to CPSC
Who Submits?               Consumers                     Manufacturers
                     Local, state, or federal              Importers
                            agencies                      Distributors
                    Health care professionals               Retailers
                     Child service providers
                      Public safety entities
CPSA Statute?                 6A(g)                           15(b)
  Threshold?         Injury, illness, or death    Fails to meet safety standards
                     Risk of injury, illness, or            or regulations
                                 death                 Defect could create a
                  (Reports related solely to cost         substantial hazard
                    or quality NOT a harm or      Creates an unreasonable risk
                          risk of harm)               of serious injury or death
   When?                   Voluntary               Within 24 hrs of obtaining

              CPSC Clearinghouse
               Notification Letter
   Why am I receiving them?

       CPSC provides firms with consumer complaints and
        reports of CPSC in-depth investigations (IDI)
        concerning incidents or injuries associated with their
        consumer products.

     Response to Clearinghouse
   CPSC wants you to be aware of a reported
    safety issue with your product.
   Determine if there is any goodwill you need to
    extend to the consumer.
   You need to determine if you have a reporting
    obligation under section 15 of the Consumer
    Product Safety Act (15 U.S.C. 2064 (b)).

        Reviewing Clearinghouse
          Notification Letters
   Review the incoming incident or IDI.

   Is it a unique occurrence?

   Do you have similar incidents, complaints or
    suggestions that may be a bigger issue?

 What to Review to Assist You in
Determining if You Need to Report
    consumer complaints, claims, injuries, deaths,
    returns from distribution chain
    parts orders/warranty claims
    life testing
    quality assurance/product improvement
    material changes
    retailer and distributor reports/feedback
     other incidents from CPSC Clearinghouse
            What Action To Take
   Follow the instructions in the CPSC notification with
    respect to assuring the accuracy of the information
    provided to you. Respond directly to the Clearinghouse
   Determine if you have a reporting obligation under
    section 15 of the CPSA. If so file a report at
   If after review you don’t believe a report to CPSC under
    section 15 is warranted, then no further action is
    required of you at that time.

     Retailer Reporting Program
   Why am I receiving a safety notification from a
   As part of a voluntary CPSC Retailer Reporting
    Program, 5 retailers provide a weekly submission
    of safety-related incidents to CPSC.
   As part of this program, retailers also agree to:
       Notify supplier for each safety incident included
        in the weekly CPSC report.

            What Action to Take
   Advise the retailer of the results of your
    investigation. Respond directly to them.
   If after review you don’t believe a report to
    CPSC under section 15 is warranted, then no
    further action is required of you.
   An e-mail to us with the results of your
    investigation doesn’t necessarily fulfill any future
    section 15 reporting obligations.
   If you determine that you need to report under
    section 15, file a report at:
                 CPSC Actions
   Review the weekly reports submitted by
   Follow up as appropriate with an in-depth
    investigation of the consumer complaint.
   Review any e-mail response we get from
    suppliers as a result of an investigation they
   Follow up Compliance investigation directed
    toward the supplier.

 Filing   a section 15 report

Violations/Prohibited Acts

   Playground Equipment Recall
        Product                 Problem                             Injury
Swing              T joint of top bar breaks           falls

Swing              Chain contains partially cut link   falls

Metal Slide        Failure of seam                     laceration

Swing Seat         Metal inserts wear through          laceration
Swing Set          Welds fail                          falls
Slide              Missing sidewalls                   falls
Wooden Play sets   Rotting wood                        falls
Swing S Hooks      Failure of hook                     falls

     Recently Reported Consumer
   Impalement by flag pole component
    incorporated into the play set
   Ladder on slide has no handrails
   Swing’s metal chain broke
   Legs stuck in spindles/pickets on porch of
   Wooden rung on ladder broke with child’s

     Recently Reported Consumer
   Swing seat’s weld failed – fall to the ground
   Plastic swing seat broke in half - lacerations

            Need Information?

   Recall Handbook (pdf)
     (Revised March 2012)
   Marc J. Schoem – 301.504.7520

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