[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1999 Edition]
[From the U.S. Government Printing Office]


          49



          Transportation



[[Page i]]

          PARTS 400 TO 999

                         Revised as of October 1, 1999

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT

          AS OF OCTOBER 1, 1999
          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration

          as a Special Edition of
          the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1999



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 49:
    Subtitle B--Other Regulations Relating to Transportation--
      Continued:
          Chapter IV--Coast Guard, Department of 
          Transportation                                             5
          Chapter V--National Highway Traffic Safety 
          Administration, Department of Transportation              19
          Chapter VI--Federal Transit Administration, 
          Department of Transportation                             901
          Chapter VII--National Railroad Passenger Corporation 
          (AMTRAK)                                                1013
          Chapter VIII--National Transportation Safety Board      1029
  Finding Aids:
      Material Approved for Incorporation by Reference........    1119
      Table of CFR Titles and Chapters........................    1129
      Alphabetical List of Agencies Appearing in the CFR......    1147
      List of CFR Sections Affected...........................    1157



[[Page iv]]


      


                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  49 CFR 450.1 refers 
                       to title 49, part 450, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 1999), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules. A list of CFR titles, chapters, and parts 
and an alphabetical list of agencies publishing in the CFR are also 
included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO 
Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Weekly Compilation 
of Presidential Documents and the Privacy Act Compilation are available 
in electronic format at www.access.gpo.gov/nara (``GPO Access''). For 
more information, contact Electronic Information Dissemination Services, 
U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 
(toll-free). E-mail, gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

October 1, 1999.



[[Page ix]]



                               THIS TITLE

    Title 49--Transportation is composed of seven volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-185, parts 186-199, parts 200-399, parts 400-999, parts 1000-1199, 
part 1200 to End. The first volume (parts 1-99) contains current 
regulations issued under subtitle A--Office of the Secretary of 
Transportation; the second volume (parts 100-185) and the third volume 
(parts 186-199) contain the current regulations issued under chapter I--
Research and Special Programs Administration (DOT); the fourth volume 
(parts 200-399) contains the current regulations issued under chapter 
II--Federal Railroad Administration (DOT), and chapter III--Federal 
Highway Administration (DOT); the fifth volume (parts 400-999) contains 
the current regulations issued under chapter IV--Coast Guard (DOT), 
chapter V--National Highway Traffic Safety Administration (DOT), chapter 
VI--Federal Transit Administration (DOT), chapter VII--National Railroad 
Passenger Corporation (AMTRAK), and chapter VIII--National 
Transportation Safety Board; the sixth volume (parts 1000-1199) contains 
the current regulations issued under chapter X--Surface Transportation 
Board and the seventh volume (part 1200 to End) contains the current 
regulations issued under chapter X--Surface Transportation Board and 
chapter XI--Bureau of Transportation Statistics, Department of 
Transportation. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of October 1, 1999.

    In the volume containing parts 100-185, see Sec. 172.101 for the 
Hazardous Materials Table. The Federal Motor Vehicle Safety Standards 
appear in part 571.

    Redesignation tables for chapter X--Surface Transportation Board, 
Department of Transportation appear in the Finding Aids section of the 
sixth and seventh volumes.

    For this volume Carol Conroy was the Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

[[Page x]]





[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 400 to 999)

  --------------------------------------------------------------------
                                                                    Part

   SUBTITLE B--Other Regulations Relating To Transportation--Continued

chapter iv--Coast Guard, Department of Transportation.......         450

chapter v--National Highway Traffic Safety Administration, 
  Department of Transportation..............................         501

chapter vi--Federal Transit Administration, Department of 
  Transportation............................................         601

chapter vii--National Railroad Passenger Corporation 
  (AMTRAK)..................................................         700

chapter viii--National Transportation Safety Board..........         800

[[Page 3]]

   Subtitle B--Other Regulations Relating To Transportation--Continued

[[Page 5]]



          CHAPTER IV--COAST GUARD, DEPARTMENT OF TRANSPORTATION




  --------------------------------------------------------------------

                         SUBCHAPTER A [RESERVED]
            SUBCHAPTER B--SAFETY APPROVAL OF CARGO CONTAINERS
Part                                                                Page
450             General.....................................           7
451             Testing and approval of containers..........          10
452             Examination of containers...................          13
453             Control and enforcement.....................          15

[[Page 7]]



                         SUBCHAPTER A [RESERVED]


            SUBCHAPTER B--SAFETY APPROVAL OF CARGO CONTAINERS


PART 450--GENERAL--Table of Contents




                      Subpart A--General Provisions

Sec.
450.1  Purpose.
450.3  Definitions.
450.5  General requirements and applicability.
450.7  Marking.

      Subpart B--Procedures for Delegation to Approval Authorities

450.11  Application for delegation of authority.
450.12  Criteria for selection of Approval Authorities.
450.13  Granting of delegation.
450.14  Conditions of delegation.
450.15  Termination of delegation.
450.16  Withdrawal of delegation.

    Authority: Sec. 4, 91 Stat 1475 (46 U.S.C. 1503); 49 CFR 1.46(n).



                      Subpart A--General Provisions



Sec. 450.1  Purpose.

    This subchapter establishes requirements and procedures for safety 
approval and periodic examination of cargo containers used in 
international transport, as defined in the International Safe Container 
Act.

[45 FR 37213, June 2, 1980]



Sec. 450.3  Definitions.

    (a) In this subchapter: (1) Approval Authority means a delegate of 
the Commandant authorized to approve containers within the terms of the 
convention, the International Safe Container Act and this subchapter.
    (2) Container means an article of transport equipment:
    (i) Of a permanent character and suitable for a repeated use.
    (ii) Specially design to facilitate the transport of goods, by one 
or more modes of transport, without intermediate reloading.
    (iii) Designed to be secured and readily handled, having corner 
fittings for these purposes.
    (iv) Of a size that the area enclosed by the four outer bottom 
corners is either:
    (A) At least 14 sq.m. (150 sq.ft.), or
    (B) At least 7 sq.m. (75 sq.ft.) if it has top corner fittings. The 
term container includes neither vehicles nor packaging; however, 
containers when carried on chassis are included.
    (3) Convention means the International Convention for Safe 
Containers (CSC) done at Geneva, December 2, 1972 and ratified by the 
United States on January 3, 1978.
    (4) District Commander means the Coast Guard officer designated by 
the Commandant to command a Coast Guard District.
    (5) New Container means a container, the construction of which began 
on or after September 6, 1977.
    (6) Existing Container means a container that is not a new 
container.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.5  General requirements and applicability.

    (a) Every owner of a new or existing container used or offered for 
movement in international transport shall have the container approved in 
accordance with the procedures established by the Administration of any 
contracting party to the convention, except that existing containers 
need not be approved until September 6, 1982.
    (b) Every owner of an approved container used or offered for 
movement in international transport who:
    (1) Is domiciled in the United States and has the head office in the 
United States, or
    (2) Is domiciled in a country which is not a contracting party to 
the convention but has the principal office in the United States, shall 
have the container periodically examined in accordance with part 452 of 
this subchapter.
    (c) Every owner of an approved container used or offered for 
movement in international transport who:

[[Page 8]]

    (1) Is domiciled in the United States but has the principal office 
in the jurisdiction of another contracting party to the convention, or
    (2) Is domiciled in the jurisdiction of another contracting party to 
the convention but has the principal office in the United States, but 
elects to have the container examined in accordance with the procedures 
prescribed by the United States, shall conform to part 452 of this 
subchapter.
    (d) Every owner of an approved container used or offered for 
movement in international transport who is neither domiciled in nor has 
the principal office in the jurisdiction of a contracting party to the 
convention, but elects to have the container examined in accordance with 
procedures prescribed by the United States, shall conform to part 452 of 
this subchapter.

[45 FR 37213, June 2, 1980]



Sec. 450.7  Marking.

    (a) On each container that construction begins on or after January 
1, 1984, all maximum gross weight markings on the container must be 
consistent with the maximum gross weight information on the safety 
approval plate.
    (b) On each container that construction begins before January 1, 
1984, all maximum gross weight markings on the container must be 
consistent with the gross weight information on the safety approval 
plate no later than January 1, 1989.

(Approved by the Office of Management and Budget under OMB control 
number 2115-0094)

[49 FR 15562, Apr. 19, 1984]



       Subpart B--Procedure for Delegation to Approval Authorities



Sec. 450.11  Application for delegation of authority.

    (a) Any person or organization seeking delegation of authority to 
act as an Approval Authority may apply to the Commandant, (G-MVI), U.S. 
Coast Guard, Washington, DC 20593. Each application must be signed and 
certified by the applicant or, if the applicant is an organization, by 
an authorized officer of the organization. A list of delegated approval 
authorities may be obtained from the Commandant (G-MVI).
    (b) The application must include the following information:
    (1) Name and address, including place of incorporation, if a 
corporation.
    (2) A description of the organization, including the ownership, 
managerial structure, organizational components and directly affiliated 
agencies and their functions utilized for supporting technical services.
    (3) A listing of the basic technical services offered.
    (4) A general description of the geographic area served.
    (5) A general description of the clients being served or intended to 
be served.
    (6) A description of the types of work performed by the applicant in 
the past, noting the amount and extent of such work performed within the 
previous three years.
    (7) A description of the personnel to be utilized, indicating 
general background and qualifications, particularly for the surveyors to 
be involved in the actual witnessing of tests.
    (8) A description of its means of assuring continued competence of 
its personnel.
    (9) A detailed schedule of the fees proposed to be charged for the 
approval service.
    (10) Evidence of financial stability.
    (11) At least three business references who will furnish information 
regarding work performed by the applicant.
    (12) A statement that the Coast Guard may inspect the applicant's 
facilities and records of approvals under the convention and these 
regulations.
    (c) The application may contain any additional information the 
applicant deems to be pertinent.
    (d) The applicant must furnish any additional information to 
evaluate the applicant's qualifications, if requested by the Chief, 
Merchant Vessel Inspection Division, Office of Merchant Marine Safety, 
U.S. Coast Guard.
    (e) Applications from foreign nationals or organizations must 
contain an affidavit stating that the agency responsible for 
implementing the Convention in their country has delegated to the 
applicant an approval authority, and that it also delegates similar 
authority to United States citizens or organizations having delegations 
from

[[Page 9]]

the United States. The affidavit must also contain the name and address 
of the agency to which U.S. citizens or organizations must apply for 
delegation as an approval authority.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.12  Criteria for selection of Approval Authorities.

    (a) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard selects persons or 
organizations in accordance with the following criteria:
    (1) The person or organization is independent of manufacturers and 
owners in that:
    (i) It has sufficient breadth of interest or activity, so that the 
loss or award of a specific contract to approve containers would not be 
a substantial factor in the financial well-being of the organization.
    (ii) The employment status of the personnel of the organization is 
free from influence or control of manufacturers, owners, operators or 
lessors of containers.
    (2) The person or organization has demonstrated the ability to 
competently carry out the procedures required for approval.
    (3) The person or organization has an acceptable degree of financial 
security.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.13  Granting of delegation.

    (a) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard acts on applications for 
delegation within 60 days of receipt.
    (b) If an applicant for delegation does not provide sufficient 
information with regard to all the criteria for delegation, the Chief, 
Merchant Vessel Inspection Division, Office of Merchant Marine Safety, 
U.S. Coast Guard denies the application. A denial of an application on 
this basis is without prejudice to the submission of a new or amended 
application.
    (c) If an applicant satisfies all the criteria for delegation the 
Chief, Merchant Vessel Inspection Division, Office of Merchant Marine 
Safety, U.S. Coast Guard sends the applicant a letter of delegation, and 
assigns to the Approval Authority an alphabetic Approval Authority 
identification code.
    (d) If an applicant fails to satisfy all the criteria for 
delegation, the Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard gives the applicant written 
notice of denial of his application. The notice contains all the reasons 
for the denial. The applicant may contest the denial by submitting 
additional oral or written evidence in support of its qualifications. 
Upon review of the evidence, the Chief, Merchant Vessel Inspection 
Division, Office of Merchant Marine Safety, U.S. Coast Guard notifies 
the applicant of the final decision.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.14  Conditions of delegation.

    (a) The following conditions are part of every delegation: (1) The 
Approval Authority shall use only testing equipment that it has 
determined by inspection to be suitable for the purpose.
    (2) All approval numbers issued by the Approval Authority must 
contain the identification code, assigned to the Approval Authority by 
the Chief, Merchant Vessel Inspection Division, Office of Merchant 
Marine Safety, U.S. Coast Guard.
    (3) Each Approval Authority shall maintain the following records for 
a period of at least 15 years from the date of approval. (When the 
Approval Authority's delegation is withdrawn before such time, the 
records relating to the approvals issued within the prior 15 years must 
be turned over to the Chief, Merchant Vessel Inspection Division, Office 
of Merchant Marine Safety, U.S. Coast Guard):
    (i) Each notice of approval issued.
    (ii) A copy of the application and final approved drawings (if 
applicable) to which each approval refers.
    (iii) The manufacturer's serial numbers and the owner's 
identification numbers of all containers covered by each approval.
    (4) Each Approval Authority shall establish and make available to 
the public a schedule of fees for the approval

[[Page 10]]

services performed under these regulations. The fees must not be 
disproportionate to the costs (including transportation expense, if any) 
actually incurred.
    (5) The Approval Authority shall grant the Coast Guard the right to 
inspect records and shall cooperate in the conduct of such inspections.
    (6) The Approval Authority shall comply with any other term or 
condition stated in its letter of delegation.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.15  Termination of delegation.

    (a) An Approval Authority may voluntarily terminate its delegation 
by giving written notice of its intent to the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard. 
This notice must contain the date on which the termination is to be 
effective.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.16  Withdrawal of delegation.

    (a) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard withdraws a delegation if: (1) 
It is determined that the application for delegation contained a 
material misrepresentation.
    (2) An Approval Authority fails to comply with a condition of 
delegation.
    (3) An Approval Authority is incompetent.
    (b) When a delegation is withdrawn, the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard 
gives to the Approval Authority:
    (1) Written notice of the facts or conduct believed to warrant the 
withdrawal.
    (2) Opportunity to submit oral or written evidence.
    (3) Opportunity to demonstrate or achieve compliance with the 
applicable requirement.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



PART 451--TESTING AND APPROVAL OF CONTAINERS--Table of Contents




               Subpart A--Approval of Existing Containers

Sec.
451.1  Application for approval.
451.3  Action by Approval Authority.
451.5  Resubmission or appeal.
451.7  Alternative approval of existing containers.

                  Subpart B--Approval of New Containers

451.11  Application for approval-general.
451.12  Application for approval by design type.
451.13  Action by approval authority-approval by design type.
451.14  Alternative approval of new containers by design type.
451.15  Application for individual approval.
451.16  Action by approval authority-individual approval.
451.18  Review of denials of approval.

                    Subpart C--Safety Approval Plate

451.21  Safety approval plate required.
451.23  Plate specifications.
451.25  Required information.

    Authority: Sec. 4, 91 Stat. 1475 (46 U.S.C. 1503); 49 CFR 1.46(n).

    Source: 45 FR 37214, June 2, 1980, unless otherwise noted.



               Subpart A--Approval of Existing Containers



Sec. 451.1  Application for approval.

    (a) Any owner of an existing container may apply for approval to the 
Commandant (G-MVI), U.S. Coast Guard, Washington, DC 20593 or to any 
Approval Authority.
    (b) Each application must include the following for each container:
    (1) Date and place of manufacture.
    (2) Manufacturer's identification number, if available.
    (3) Maximum operating gross weight capacity.
    (4) Allowable stacking weight for 1.8G (1.8 x Gross weight in 
kilograms or pounds).

    Note: This value is the total load the container is designed to 
support when subjected to a vertical acceleration of 1.8G.


    (5) A statement that the owner possesses documentary evidence that:

[[Page 11]]

    (i) Container of this type has been safely used in marine or inland 
transport for a period of at least two years; or
    (ii) The container was manufactured to a design type which had been 
tested and found to comply with the technical conditions set out in 
Annex II to the convention with the exception of those technical 
conditions relating to the end-wall and side-wall strength tests; or
    (iii) The container was constructed to standards that were 
equivalent to the technical conditions set out in Annex II to the 
convention with the exception of those technical conditions relating to 
end-wall and side-wall strength tests.
    (6) A certification by the owner, or, if the owner is a corporation, 
partnership or unincorporated association, by a person authorized to 
make such statements for the organization, that the information provided 
in the application is true and correct.

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 451.3  Action by Approval Authority.

    (a) The Approval Authority (or the Chief, Merchant Vessel Inspection 
Division, Office of Merchant Marine Safety, U.S. Coast Guard, if the 
application was submitted to the Coast Guard) issues to the owner a 
notice of approval or notifies the owner in writing that approval is 
denied, setting forth the deficiencies causing denial. Notification of 
approval entitles the owner to affix a safety approval plate to each 
container after an examination of each container concerned has been 
carried out in accordance with part 452 of this subchapter. In the case 
of an application submitted to the Coast Guard, the Chief, Merchant 
Vessel Inspection Division, Office of Merchant Marine Safety, U.S. Coast 
Guard acts on the application within 30 days of receipt of the 
application.

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 451.5  Resubmission or appeal.

    (a) Upon receipt of a denial of approval for certain containers, an 
owner may correct the noted deficiencies and resubmit the application 
without prejudice.
    (b) An applicant aggrieved by a decision of an approval authority 
may obtain review of the decision by the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard. 
The decision of the Chief, Merchant Vessel Inspection Division, Office 
of Merchant Marine Safety, U.S. Coast Guard is a final agency action.

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 451.7  Alternative approval of existing containers.

    (a) Existing containers that do not qualify for approval under this 
subpart may be presented for approval under the provisions of subpart B 
of this part. For such containers, the requirements of subpart B of this 
part relating to the end and sidewall strength tests do not apply. Upon 
showing that the containers have performed satisfactorily in service, 
the applicant may omit the presentation of drawings and testing, other 
than the lifting and floor strength test, if permitted by the approval 
authority.



                  Subpart B--Approval of New Containers



Sec. 451.11  Application for approval-general.

    (a) An owner of a new container, or a manufacturer acting on behalf 
of an owner, may apply for approval to any approval authority.



Sec. 451.12  Application for approval by design type.

    (a) For approval of new containers by design type, each application 
must include the following:
    (1) Engineering drawings and plans showing platform, end framing, 
welds and hardware, connections of cross-members, top and bottom rails, 
roof bows, detailed subassemblies of major structural components and 
attachments, and any other plans and drawings required by the approval 
authority.
    (2) Design and material specifications including type and size of 
materials.

[[Page 12]]

Material specifications of the safety approval plate must also be given.
    (3) The manufacturer's identification number assigned to each 
container in the type series.
    (4) The identification code assigned to each container in the series 
by the owner, lessee, of bailee responsible for maintenance.
    (5) The written assurance from the manufacturer, that the 
manufacturer will:
    (i) Produce to the approval authority such containers as the 
approval authority may wish to examine;
    (ii) Advise the approval authority of any change in the design or 
specification and await its approval before affixing the Safety Approval 
Plate to the container;
    (iii) Affix the Safety Approval Plate to each container in the 
design type and to no others;
    (iv) Keep a record of containers manufactured to the approved design 
type containing at least the manufacturer's identification numbers, date 
of delivery, and names and addresses of customers to whom the containers 
are delivered; and
    (v) Supply to the approval authority the information contained in 
paragraphs (a)(3) and (4) of this section if not available at the time 
of original application.
    (6) A statement as to whether this design type has been examined by 
any approval authority previously and judged unacceptable. Affirmative 
statements must be documented with the name of the approving authority, 
the reason for nonacceptance, and the nature of modifications made to 
the design type.



Sec. 451.13  Action by approval authority-approval by design type.

    (a) The approval authority arranges with the manufacturer, with 
notification to the owner, to witness the prototype tests required by 
the convention, and to examine any number of containers that the 
approval authority considers appropriate. Upon witnessing successful 
completion of prototype tests and examination of several containers the 
approval authority issues to the owner, a notice of approval which 
authorizes the attachment of safety approval plates to the containers. 
Absence of individual inspections will not relieve the manufacturer of 
any responsibility to maintain proper quality control. If a prototype 
container fails to pass the tests, the approval authority may require 
testing of as many further representative containers as necessary to 
ensure the adequacy of the design.



Sec. 451.14  Alternative approval of new containers by design type.

    (a) New containers manufactured before June 16, 1978 without being 
approved under the preceding section may be approved by submission to an 
approval authority of an application corresponding to that required 
under Sec. 451.1(b) for existing containers. All new containers so 
approved must have safety approval plates affixed and receive their 
first periodic examination in accordance with the procedures prescribed 
in Sec. 452.3 by January 1, 1985.

[47 FR 50496, Nov. 8, 1982]



Sec. 451.15  Application for individual approval.

    (a) For approval of new containers by individual approval, each 
application must include the following:
    (1) The manufacturer's identification number.
    (2) The identification code of the owner, lessee, or bailee 
responsible for maintenance of the container.



Sec. 451.16  Action by approval authority-individual approval.

    (a) The approval authority arranges with the manufacturer or owner 
to witness testing in accordance with Annex II to the convention. Upon 
witnessing successful completion of the tests, the approval authority 
issues to the owner a notice of approval that authorizes the attachment 
of a safety approval plate.



Sec. 451.18  Review of denials of approval.

    (a) An applicant aggrieved by a decision of an approval authority 
may obtain review of the decision by the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard. 
The decision of the Chief, Merchant Vessel Inspection Division, Office 
of Merchant Marine

[[Page 13]]

Safety, U.S. Coast Guard is a final agency action.

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



                    Subpart C--Safety Approval Plate



Sec. 451.21  Safety approval plate required.

    (a) The safety approval plate must be supplied by the owner or 
manufacturer.



Sec. 451.23  Plate specifications.

    (a) The safety approval plate must be of the size and in the format 
specified in the appendix to Annex I to the convention.
    (b) The safety approval plate must be:
    (1) Designed to withstand and remain legible after a 15 minute 
exposure to a medium intensity fire producing a temperature of 1,000 
deg.F (540  deg.C), when mounted on the specified material of 
construction of the container.
    (2) Designed to resist the corrosive effects of its environment, 
both at sea and ashore, so as to remain legible for the working life of 
the container.
    (3) Designed to have a legible life expectancy equal to or greater 
than the life expectancy of the container to which the plate is affixed.



Sec. 451.25  Required information.

    (a) The safety approval number appearing on line 1 of the safety 
approval plate must be of the form ``USA/(approval number, which 
includes the approval authority identification code)/(year in which 
approval was granted).''
    (b) The date upon which approval was granted must be the same for 
all containers of a design-type or type-series covered by one notice of 
approval.
    (c) The safety approval number must be the same for all containers 
of a design-type or type-series covered by one notice of approval.
    (d) The owner's International Organization for Standardization (ISO) 
alpha numeric identification numbers may be used in place of the 
manufacturer's identification numbers on line 3 of the safety approval 
plate. If owner's identification numbers are used and the manufacturer's 
are available, the owner shall keep records correlating the owner's 
identification numbers used with the manufacturer's number. If a 
container marked with owner's identification numbers changes ownership, 
and the owner's identification number is changed as a result, the new 
owner must add the new owner's identification number, following the 
original owner's identification number on line 3 of the safety approval 
plate. In the event that the new owner's identification number cannot be 
legibly added to line 3 of the safety approval plate following the 
original owner's identification number, the new owner is authorized to 
put a new safety approval plate on the freight container provided that 
all the information contained on the original safety approval plate is 
retained in the owners files.



PART 452--EXAMINATION OF CONTAINERS--Table of Contents




Sec.
452.1  Periodic examination required.
452.3  Elements of periodic examinations.
452.5  Examinations made in conjunction with other inspections.
452.7  Continuous examination program.
452.9  Elements of a continuous examination program.

    Authority: Sec. 4, 91 Stat. 1475 (46 U.S.C. 1503); 49 CFR 1.46(n).



Sec. 452.1  Periodic examination required.

    (a) Except as provided for in Sec. 452.7, each owner of an approved 
container subject to this part shall examine the container or have it 
examined in accordance with the procedures prescribed in Sec. 452.3 at 
intervals of not more than 30 months, except that for containers 
approved as new containers the interval from the date of manufacture to 
the date of the first examination must not exceed five years. For 
containers approved, examined and plated as existing containers before 
January 1, 1985 and containers approved and plated as new containers 
before January 1, 1985, the subsequent examination must be carried out 
in accordance with the following schedule:

------------------------------------------------------------------------
         Date of initial plating               Subsequent examination
------------------------------------------------------------------------
Existing containers before Sept. 30, 1981  Before Jan. 1986.
 and new containers before Dec. 31, 1978.

[[Page 14]]

 
Existing containers between Oct. 1, 1981   Before May 1986.
 and Sept. 30, 1982 and new containers
 between Jan. 1, 1979 and Dec. 31, 1979.
Existing containers between Oct. 1, 1982   Before Sept. 1986.
 and Sept. 30, 1983 and new containers
 between Jan. 1, 1980 and Dec. 31, 1980.
Existing containers between Oct. 1, 1983   Before Jan. 1987.
 and Dec. 31, 1984 and new containers
 between Jan. 1, 1981 and Dec. 31, 1981.
------------------------------------------------------------------------


    Note: Containers plated under Sec. 451.14 are considered existing 
containers in the above schedule.


    (b) Upon completion of an examination required by this part, the 
owner shall mark on the safety approval plate, or on the container 
itself as close as practicable to the safety approval plate, the month 
and year before which the container must next be examined. This marking 
must be on all containers by January 1, 1987. The marking may be by a 
decal, sticker, stencil, or other means so long as it is capable of 
remaining legible for at least 24 months. Affixing such a marking to a 
container that has not been examined in accordance with Sec. 452.3 
constitutes a misrepresentation in a matter within the jurisdiction of 
an agency of the United States, and makes the owner punishable under 18 
U.S.C. 1001.
    (c) The owner of containers subject to this section shall have those 
containers examined in accordance with the program prescribed in this 
section regardless of whether the examinations are preformed within or 
outside the United States.

[45 FR 37216, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 49 
FR 15562, Apr. 19, 1984]



Sec. 452.3  Elements of periodic examinations.

    (a) Periodic examinations required by Sec. 452.1 must conform to the 
following minimum requirements:
    (1) Each examination must include a detailed visual inspection for 
defects such as cracks, failures, corrosion, missing or deteriorated 
fasteners, and any other safety related deficiency or damage which could 
place any person in danger. Any such deficiencies disclosed by the 
examination must be corrected by the owner before the container is 
continued in service.
    (2) Each examination must take into account the particular 
characteristics of various kinds (types) of containers and materials of 
construction.
    (3) Each examination must be performed by qualified personnel, 
trained and experienced in the detection of container structural damage.
    (4) The examinations must be scheduled so as to allow adequate time 
for thorough performance.
    (5) Each examination must apply owner established or industry 
accepted pass/fail criteria to determine whether a container has any 
deficiency that must be remedied before the container is returned to 
service.
    (b) Examinations must be documented, and the records retained by the 
owner, until the next examination is completed and recorded. The records 
must include in addition to identification of the container, a record of 
the date of last examination and a means of identifying the examiner. 
The records must be maintained in an office under the control of the 
owner and be made available for inspection by the Coast Guard upon 
demand. If the original records are maintained outside the United 
States, its territories or possessions, supplementary records must be 
available in written or data processing form to be produced on demand of 
the Commandant or his representative.

[45 FR 37216, June 2, 1980]



Sec. 452.5  Examinations made in conjunction with other inspections.

    (a) Periodic examinations may be made in conjunction with or as part 
of routine change-of-custody inspections, or in any other manner 
convenient to the owner so long as the examinations conform to the 
requirements of Sec. 452.3.

[45 FR 37216, June 2, 1980]



Sec. 452.7  Continuous examination program.

    (a) In lieu of a periodic examination under Sec. 452.1, each owner 
of an approved container meeting Sec. 450.5 may examine the container or 
have it examined using an approved continuous examination program. An 
owner must submit

[[Page 15]]

the continuous examination program for approval to the Commandant (G-
MVI), United States Coast Guard, 2100 Second Street, SW., Washington, DC 
20593. When submitting a continuous examination program for approval the 
owner must show the continuous examination complies with Sec. 452.9.
    (b) The owner must mark the container with the letters ``ACEP/USA/
(year continuous examination program is approved)'' to indicate the 
container is being periodically examined under an approved continuous 
examination program. This marking must be as close as practicable to the 
safety approval plate. This marking must be on all containers covered by 
a continuous examination program by January 1, 1987.
    (c) The owner of containers subject to this section shall have those 
containers examined in accordance with the program prescribed in this 
section regardless of whether the examinations are performed within or 
outside the United States.



(The information collection requirements contained in paragraphs (a) and 
(b) have been approved by the Office of Management and Budget under OMB 
control number 2115-0094)

[49 FR 15562, Apr. 19, 1984]



Sec. 452.9  Elements of a continuous examination program.

    (a) Examinations required by Sec. 452.7 must conform to the 
following minimum requirements:
    (1) A thorough examination that must include a detailed visual 
inspection for defects such as cracks, failures, corrosion, missing or 
deteriorated fasteners, and any other safety related deficiency or 
damage that could place any person in danger. Any such deficiencies 
disclosed by the examination must be corrected by the owner before the 
container is continued in service. A thorough examination must be done 
each time a container undergoes a major repair, refurbishment or on-
hire/off-hire interchange. In no case is the time period between 
thorough examinations to exceed 30 months.
    (2) Each thorough examination must be performed by qualified 
personnel, trained and experienced in the detection of container 
structural damage.
    (3) Each thorough examination must apply owner established or 
industry accepted pass/fail criteria to determine whether a container 
has any deficiency that must be remedied before the container is 
returned to service.
    (b) Thorough examinations must be documented, and the records 
retained by the owner, until the next examination is completed and 
recorded. The records must include in addition to identification of the 
container, a record of the date of last examination and a means of 
identifying the examiner. The records must be maintained in an office 
under the control of the owner and be made available for inspection by 
the Coast Guard upon demand. If the original records are maintained 
outside the United States, its territories or possessions, supplementary 
records must be available in written or data processing form to be 
produced on demand of the Commandant or his representative.



(The information collection requirements contained in paragraph (b) have 
been approved by the Office of Management and Budget under OMB control 
number 2115-0094)

[49 FR 15562, Apr. 19, 1984]



PART 453--CONTROL AND ENFORCEMENT--Table of Contents




Sec.
453.1  Unsafe and noncomplying containers subject to detention or 
          control.
453.3  Detention orders and other orders.
453.5  Termination of detention orders and other orders.
453.7  Appeal provisions.

    Authority: Sec. 4, 91 Stat. 1475 (46 U.S.C. 1503); 49 CFR 1.46(n).



Sec. 453.1  Unsafe and noncomplying containers subject to detention or control.

    (a) Any container used in or offered for movement in international 
transport which does not have a valid safety approval plate attached to 
it is subject to detention or other control by a District Commander or 
Captain of the Port. However, upon receipt of evidence that a container 
which does not have a valid safety approval plate attached to it meets 
the standards of the convention, the District Commander or

[[Page 16]]

Captain of the Port may authorize limited movement of such container 
under conditions he deems appropriate. This paragraph becomes effective 
on January 3, 1979 for new containers and on January 1, 1985 for 
existing containers.
    (b) If a District Commander or Captain of the Port finds that a 
container used in or offered for movement in international transport, 
even though it has a valid safety approval plate attached to it, is in a 
condition that creates an obvious risk to safety, he issues a detention 
order causing the container to be removed from service until it is 
restored to a safe condition. In addition to removing a container from 
transport, a detention order may require any special handling, including 
unloading prior to movement, necessary to ensure safety.
    (c) If a District Commander or Captain of the Port finds that a 
container used or offered for movement in international transport has 
not been timely examined, the District Commander or Captain of the Port 
affixes to the container, at a place on the container where it will be 
readily noticeable to anyone loading or unloading the container, a mark 
or tag indicating that the container must be examined before being 
reloaded and again used in international transport. The mark or tag 
affixed by the District Commander or Captain of the Port indicates the 
place and the date on which it was affixed, and is capable of remaining 
legible and in place for at least 12 months. Such mark or tag must not 
be removed until the container is examined in accordance with Sec. 452.3 
of this subchapter. If a District Commander or Captain of the Port finds 
that container marked or tagged as provided for in this paragraph was 
reloaded and used or offered for movement in international transport 
without having been examined, the District Commander or Captain of the 
Port issues a detention order causing the container to be removed from 
service until it is brought into compliance.

[45 FR 37217, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 453.3  Detention orders and other orders.

    (a) The terms of any detention order or other order issued under 
Sec. 453.1, to the maximum extent practicable, make provisions to avoid 
loss or damage to cargo.
    (b) Written notice of any detention order or other order issued 
under Sec. 453.1 is given immediately to the terminal operator, 
stevedore, or other person having actual control over the container 
involved. Prompt notification is also given to the owner of the 
container, or his agent. The notification identifies the container 
involved, its location, and describes the condition which gave rise to 
the order.

[45 FR 37217, June 2, 1980]



Sec. 453.5  Termination of detention orders and other orders.

    (a) When a container, which is the subject of a detention order or 
other order, is restored to a safe condition or otherwise brought into 
compliance, it must be examined in accordance with Sec. 452.3 and a new 
re-examination date marked on the container in accordance with 
Sec. 452.1(b) of this subchapter.
    (b) The owner or the owner's agent shall notify the District 
Commander or Captain of the Port who issue the order, in writing, that 
the container has been brought into compliance. Upon giving such notice, 
the owner, or his agent, may return the container to service.

[45 FR 37217, June 2, 1980]



Sec. 453.7  Appeal provisions.

    (a) The owner, his agent, or the custodian of a container subject to 
a detention order or other order may petition the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard 
to review that order.
    (b) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard requires independent surveys to 
determine the extent of deficiencies, if necessary. Upon completion of 
his review, including review of the results of any required independent 
surveys, the

[[Page 17]]

Chief, Merchant Vessel Inspection Division, Office of Merchant Marine 
Safety, U.S. Coast Guard affirms, sets aside, or modifies the order.
    (c) The owner of a container is liable for any costs incident to a 
petition for review including any independent surveys, and for any other 
costs incident to or resulting from detention or other control of a 
container.
    (d) Unless otherwise determined by the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard, 
a detention order or other order remains in effect pending the outcome 
of any petition or appeal of that order.
    (e) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard acts on all appeals within ten 
days of receipt.

[45 FR 37217, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]

[[Page 19]]



                   CHAPTER V--NATIONAL HIGHWAY TRAFFIC
                    SAFETY ADMINISTRATION, DEPARTMENT
                            OF TRANSPORTATION




  --------------------------------------------------------------------
Part                                                                Page
501             Organization and delegation of powers and 
                    duties..................................          23
509             OMB control numbers for information 
                    collection requirements.................          28
510             Information gathering powers................          29
511             Adjudicative procedures.....................          35
512             Confidential business information...........          61
520             Procedures for considering environmental 
                    impacts.................................          67
523             Vehicle classification......................          83
525             Exemptions from average fuel economy 
                    standards...............................          86
526             Petitions and plans for relief under the 
                    Automobile Fuel Efficiency Act of 1980..          90
529             Manufacturers of multistage automobiles.....          91
531             Passenger automobile average fuel economy 
                    standards...............................          95
533             Light truck fuel economy standards..........          97
535             3-year carryforward and carryback of credits 
                    for light trucks........................          99
537             Automotive fuel economy reports.............         100
538             Manufacturing incentives for alternative 
                    fuel vehicles...........................         106
541             Federal motor vehicle theft prevention 
                    standard................................         108
542             Procedures for selecting lines to be covered 
                    by the theft prevention standard........         115
543             Exemption from vehicle theft prevention 
                    standard................................         117
544             Insurer reporting requirements..............         120
551             Procedural rules............................         125
552             Petitions for rulemaking, defect, and 
                    noncompliance orders....................         127
553             Rulemaking procedures.......................         128
554             Standards enforcement and defects 
                    investigation...........................         135
555             Temporary exemption from motor vehicle 
                    safety and bumper standards.............         138

[[Page 20]]

556             Exemption for inconsequential defect or 
                    noncompliance...........................         143
557             Petitions for hearings on notification and 
                    remedy of defects.......................         145
564             Replaceable light source information........         146
565             Vehicle identification number requirements..         150
566             Manufacturer identification.................         155
567             Certification...............................         156
568             Vehicles manufactured in two or more stages.         163
569             Regrooved tires.............................         166
570             Vehicle in use inspection standards.........         167
571             Federal motor vehicle safety standards......         177
572             Anthropomorphic test devices................         693
573             Defect and noncompliance reports............         758
574             Tire identification and recordkeeping.......         763
575             Consumer information regulations............         777
576             Record retention............................         804
577             Defect and noncompliance notification.......         805
578             Civil penalties.............................         812
579             Defect and noncompliance responsibility.....         814
580             Odometer disclosure requirements............         814
581             Bumper standard.............................         824
582             Insurance cost information regulation.......         827
583             Automobile parts content labeling...........         829
585             Automatic restraint phase-in reporting 
                    requirements............................         842
586             Side impact phase-in reporting requirements.         845
587             Side impact moving deformable barrier.......         847
588             Child restraint systems recordkeeping 
                    requirements............................         849
589             Upper interior component head impact 
                    protection phase-in reporting 
                    requirements............................         850
590             Back door latch, hinge, and lock phase-in 
                    reporting requirements..................         852
591             Importation of vehicles and equipment 
                    subject to Federal safety, bumper and 
                    theft prevention standards..............         853
592             Registered importers of vehicles not 
                    originally manufactured to conform to 
                    the Federal motor vehicle safety 
                    standards...............................         863
593             Determinations that a vehicle not originally 
                    manufactured to conform to the Federal 
                    motor vehicle safety standards is 
                    eligible for importation................         869
594             Schedule of fees authorized by 49 U.S.C. 
                    30141...................................         880
595             Retrofit on-off switches for air bags.......         884
596             Child restraint anchorage system phase-in 
                    reporting requirements..................         898

[[Page 21]]


Cross Reference: See 23 CFR, chapter I, subchapter G, Federal Highway 
  Administration, Department of Transportation, for regulations on the 
  certification of vehicle size and weight enforcement and the 
  certification of speed limit enforcement.

[[Page 23]]



PART 501--ORGANIZATION AND DELEGATION OF POWERS AND DUTIES--Table of Contents




Sec.
501.1  Purpose.
501.2  General.
501.3  Organization and general responsibilities.
501.4  Succession to Administrator.
501.5  Exercise of authority.
501.6  Secretary's reservations of authority.
501.7  Administrator's reservations of authority.
501.8  Delegations.

    Authority: 49 U.S.C. secs. 105 and 322, delegation of authority at 
49 CFR 1.50.

    Source: 53 FR 26258, July 12, 1988, unless otherwise noted.



Sec. 501.1  Purpose.

    This part describes the organization of the National Highway Traffic 
Safety Administration (NHTSA) through Associate Administrator, Regional 
Administrator and Staff Office Director levels and provides for the 
performance of duties imposed on, and the exercise of powers vested in, 
the Administrator of the NHTSA (hereafter referred to as the 
``Administrator'').



Sec. 501.2  General.

    The Administrator is delegated authority by the Secretary of 
Transportation (49 CFR 1.50) to:
    (a) Carry out the following chapters or sections of Title 49 of the 
United States Code:
    (1) Chapter 301--Motor Vehicle Safety.
    (2) Chapter 303--National Driver Register.
    (3) Chapter 305--National Automobile Title Information System.
    (4) Chapter 321--General.
    (5) Chapter 323--Consumer Information.
    (6) Chapter 325--Bumper Standards.
    (7) Chapter 327--Odometers.
    (8) Chapter 329--Automobile Fuel Economy.
    (9) Chapter 331--Theft Prevention.
    (10) Section 20134(a), with respect to the laws administered by the 
National Highway Traffic Safety Administrator pertaining to highway, 
traffic and motor vehicle safety.
    (b) Carry out 23 U.S.C. chapter 4, HIGHWAY SAFETY, as amended, 
except for section 409 and activities relating to highway design, 
construction and maintenance, traffic control devices, identification 
and surveillance of accident locations, and highway-related aspects of 
pedestrian and bicycle safety.
    (c) Exercise the authority vested in the Secretary by section 210(2) 
of the Clean Air Act, as amended (42 U.S.C. 7544(2)).
    (d) Carry out the Act of July 14, 1960, as amended (23 U.S.C. 313 
note).
    (e) Administer the following sections of Title 23, United States 
Code, with the concurrence of the Federal Highway Administrator:
    (1) Section 141, as it relates to certification of the enforcement 
of speed limits.
    (2) Section 153.
    (3) Section 154(a), (b), (d), and (e).
    (4) Section 158.
    (f) Carry out the consultation functions vested in the Secretary by 
Executive Order 11912 (3 CFR, 1976 Comp., p. 114), as amended.

[60 FR 43029, Aug. 18, 1995]



Sec. 501.3  Organization and general responsibilities.

    The National Highway Traffic Safety Administration consists of a 
headquarters organization located in Washington, DC, and a unified field 
organization consisting of ten geographic regions. The organization of, 
and general spheres of responsibility within, the NHTSA are as follows:
    (a) Office of the Administrator--(1) Administrator. (i) Represents 
the Department and is the principal advisor to the Secretary in all 
matters related to chapters 301, 303, 305, 321, 323, 325, 327, 329, and 
331 of Title 49 U.S.C.; 23 U.S.C. chapter 4, except section 409; as each 
relates to highway safety, sections 141, 153, 154(a), (b), (d) and (e), 
and 158 of Title 23 U.S.C.; and such other authorities as are delegated 
by the Secretary of Transportation (49 CFR 1.50);
    (ii) Establishes NHTSA program policies, objectives, and priorities 
and directs development of action plans to accomplish the NHTSA mission;
    (iii) Directs, controls, and evaluates the organization, program 
activities,

[[Page 24]]

performance of NHTSA staff, program and field offices;
    (iv) Approves broad legislative, budgetary, fiscal and program 
proposals and plans; and
    (v) Takes management actions of major significance, such as those 
relating to changes in basic organization pattern, appointment of key 
personnel, allocation of resources, and matters of special political or 
public interest or sensitivity.
    (2) Deputy Administrator. Assists the Administrator in discharging 
responsibilities. Directs and coordinates the Administration's 
management and operational programs, and related policies and procedures 
at headquarters and in the field. Provides policy direction and 
executive direction to the Associate Administrator for State and 
Community Services.
    (3) Executive Director. As the principal advisor to the 
Administrator and Deputy Administrator, provides direction on internal 
management and mission support programs. Provides executive direction 
over the Associate Administrators, except for the Associate 
Administrator for State and Community Services.
    (4) Director of International Harmonization. Coordinates and 
develops strategies for the international harmonization of U.S. motor 
vehicle safety standards and regulations with those of foreign 
countries.
    (5) Director, Executive Secretariat. Provides a central facilitative 
staff that administers an executive correspondence program and maintains 
policy files for the Administrator and Deputy Administrator, and 
services and support to committees as designated by the Administrator.
    (6) Director, Office of Public and Consumer Affairs. As the 
principal staff advisor to the Administrator on public affairs and 
consumer programs, provides comprehensive programs for public 
information and public affairs covering all NHTSA activities.
    (7) Director, Office of Civil Rights. As principal staff advisor to 
the Administrator and Deputy Administrator on all matters pertaining to 
civil rights, acts as Director of Equal Employment Opportunity, 
Contracts Compliance Officer and Title VI (Civil Rights Act of 1964) 
Coordinator; assures Administration-wide compliance with related laws, 
Executive Orders, regulations and policies; and provides assistance to 
the Office of the Secretary in investigating and adjudicating formal 
complaints of discrimination.
    (b) Chief Counsel. As chief legal officer, provides legal services 
for the Administrator and the Administration; prepares litigation for 
the Administration; effects rulemaking actions; issues subpoenas; and 
serves as coordinator on legislative affairs.
    (c) Associate Administrators--(1) Associate Administrator for Plans 
and Policy. Acts as the principal advisor to the Administrator on all 
matters involving NHTSA policies, objectives, budget, programs, and 
plans and their effectiveness in carrying out the goals and missions of 
the Administrator.
    (2) Associate Administrator for Safety Performance Standards. As the 
principal advisor to the Administrator on the setting of motor vehicle 
standards and regulations, administers the programs of the 
Administration to develop and issue Federal standards and regulations 
dealing with motor vehicle safety, fuel economy, theft prevention, and 
consumer information and regulations dealing with the following 
characteristics of motor vehicles: damage susceptibility, 
crashworthiness, and ease of diagnosis and repair.
    (3) Associate Administrator for Safety Assurance. As the principal 
advisor to the Administrator on the enforcement of motor vehicle 
standards and regulations, directs and administers programs to ensure 
compliance with Federal laws, standards, and regulations relating to 
motor vehicle safety, fuel economy, theft prevention, damageability, 
consumer information and odometer fraud.
    (4) Associate Administrator for Traffic Safety Programs. As the 
principal advisor to the Administrator on traffic safety programs, 
develops national traffic safety programs, including the reduction of 
alcohol and drug use among drivers, the encouragement of safety belt and 
child safety seat use, and the enforcement of traffic laws; provides 
technical assistance and liaison to States (in cooperation with the 
Associate Administrator for State and

[[Page 25]]

Community Services) and other organizations in support of highway safety 
programs.
    (5) Associate Administrator for State and Community Services. As the 
principal advisor to the Administrator on all matters as they relate to 
the NHTSA Regional Offices, directs the management of the State and 
community highway safety programs and the activities of the Regional 
Administrators in the provision of leadership, technical guidance and 
assistance to the States; assures coordination of field programs with 
the Federal Highway Administration; provides guidance to promote 
effective implementation of the State and community highway safety 
programs; participates in the development, review, implementation, and 
coordination of related programs, policies, and procedures.
    (6) Associate Administrator for Research and Development. As the 
principal advisor to the Administrator on motor vehicle and highway 
safety research and development, directs and administers programs 
related to accident investigation and information collection, analysis 
and dissemination, and facilities requirements to support NHTSA research 
and development efforts.
    (7) Associate Administrator for Administration. Acts as the 
principal advisor to the Administrator on all administrative and 
managerial matters as they relate to NHTSA missions, programs, and 
objectives; organization and delegations of authority; management 
studies; personnel management; training; logistics and procurement; 
financial management; accounting and data systems design; paperwork 
management; investigations and security; audits; defense readiness; and 
administrative support services.

[53 FR 26258, July 12, 1988, as amended at 58 FR 12545, Mar. 5, 1993; 60 
FR 15504, Mar. 24, 1995; 60 FR 43029, Aug. 18, 1995]



Sec. 501.4  Succession to Administrator.

    The following officials in the order indicated, shall act in 
accordance with the requirements of 5 U.S.C. 3346-3349 as Administrator 
of the National Highway Traffic Safety Administration, in the case of 
the absence or disability or in the case of a vacancy in the office of 
the Administrator, until a successor is appointed:
    (a) Deputy Administrator;
    (b) Executive Director;
    (c) Chief Counsel;
    (d) Associate Administrator for Plans and Policy;
    (e) Associate Administrator for Safety Performance Standards;
    (f) Associate Administrator for Safety Assurance;
    (g) Associate Administrator for Traffic Safety Programs;
    (h) Associate Administrator for State and Community Services;
    (i) Associate Administrator for Research and Development; and
    (j) Associate Administrator for Administration.

[60 FR 43030, Aug. 18, 1995]



Sec. 501.5  Exercise of authority.

    (a) All authorities lawfully vested in the Administrator and 
reserved to him/her in this Regulation or other NHTSA directives may be 
exercised by the Deputy Administrator and, in the absence of both 
Officials, by the Executive Director, unless specifically prohibited.
    (b) In exercising the powers and performing the duties delegated by 
this part, officers of the NHTSA and their delegates are governed by 
applicable laws, executive orders, regulations, and other directives, 
and by policies, objectives, plans, standards, procedures, and 
limitations as may be issued from time to time by or on behalf of the 
Secretary of Transportation, the Administrator, Deputy Administrator and 
Executive Director or, with respect to matters under their 
jurisdictions, by or on behalf of the Associate Administrators, Regional 
Administrators, and Directors of Staff Offices.
    (c) Each officer to whom authority is delegated by this part may 
redelegate and authorize successive redelegations of that authority 
subject to any conditions the officer prescribes. Redelegations of 
authority shall be in written form and shall be published in the Federal 
Register when they affect the public.
    (d) Each officer to whom authority is delegated will administer and 
perform

[[Page 26]]

the functions described in the officer's respective functional 
statements.

[53 FR 26258, July 12, 1988, as amended at 58 FR 12545, Mar. 5, 1993]



Sec. 501.6  Secretary's reservations of authority.

    The authorities reserved to the Secretary of Transportation are set 
forth in subpart 1.44 of part 1 and in part 95 of the regulations of the 
Office of the Secretary of Transportation in subtitle A of this title 
(49 CFR parts 1 and 95).



Sec. 501.7  Administrator's reservations of authority.

    The delegations of authority in this part do not extend to the 
following authority which is reserved to the Administrator and, in those 
instances when the office of the Administrator is vacant due to death or 
resignation, or when the Administrator is absent as provided by 
Sec. 501.5(a), to the Deputy Administrator or Executive Director:
    (a) The authority under chapter 301--Motor Vehicle Safety--of Title 
49 of the United States Code to:
    (1) Issue, amend, or revoke final federal motor vehicle safety 
standards and regulations;
    (2) Make final decisions concerning alleged safety-related defects 
and noncompliances with Federal motor vehicle safety standards;
    (3) Grant or renew temporary exemptions from federal motor vehicle 
safety standards; and
    (4) Grant or deny appeals from determinations upon petitions for 
inconsequential defect or noncompliance.
    (b) The authority under 23 U.S.C. chapter 4, as amended, to:
    (1) Apportion authorization amounts and distribute obligation 
limitations for State and community highway safety programs under 23 
U.S.C. 402;
    (2) Approve the initial awarding of alcohol incentive grants to the 
States authorized under 23 U.S.C. 408, and drunk driving prevention 
grants to the States authorized under 23 U.S.C. 410;
    (3) Issue, amend, or revoke uniform State and community highway 
safety guidelines, and, with the concurrence of the Federal Highway 
Administrator, designate priority highway safety programs, under 23 
U.S.C. 402;
    (4) Fix the rate of compensation for non-government members of 
agency sponsored committees which are entitled to compensation.
    (c) The authority under chapters 321, 323, 325, and 329 of Title 49 
of the United States Code to:
    (1) Issue, amend, or revoke final rules and regulations, except for 
final rules issued under section 32902(d); and
    (2) Assess civil penalties and approve manufacturer fuel economy 
credit plans under chapter 329.
    (d) The authority under sections 141, 153, 154 and 158 of Title 23 
of the United States Code, with the concurrence of the Federal Highway 
Administrator, to disapprove any State certification or to impose any 
sanction or transfer on a State for violations of the National Maximum 
Speed Limit, Safety Belt and Motorcycle Helmet Use Requirements, or the 
National Minimum Drinking Age.

[60 FR 43030, Aug. 18, 1995]



Sec. 501.8  Delegations.

    (a) Deputy Administrator. The Deputy Administrator is delegated 
authority to act for the Administrator, except where specifically 
limited by law, order, regulation, or instructions of the Administrator. 
The Deputy Administrator is delegated authority to provide executive 
direction to the Associate Administrator for State and Community 
Services and the Director of International Harmonization, and assist the 
Administrator in providing executive direction to all organizational 
elements of NHTSA.
    (b) Executive Director. The Executive Director is delegated line 
authority for executive direction over the Associate Administrators, 
except for the Associate Administrator for State and Community Services.
    (c) Director, Office of Civil Rights. The Director, Office of Civil 
Rights is delegated authority to:
    (1) Act as the NHTSA Director of Equal Employment Opportunity.
    (2) Act as NHTSA Contracts Compliance Officer.
    (3) Act as NHTSA coordinator for matters under Title VI of the Civil 
Rights Act of 1964 (42 U.S.C. 2000d et seq.), Executive Order 12250 (3 
CFR,

[[Page 27]]

1980 Comp., p. 298), and regulations of the Department of Justice.
    (d) Chief Counsel. The Chief Counsel is delegated authority to:
    (1) Exercise the powers and perform the duties of the Administrator 
with respect to setting of odometer regulations authorized under 49 
U.S.C. chapter 327, and with respect to providing technical assistance 
and granting extensions of time to the states under 49 U.S.C. 32705.
    (2) Establish the legal sufficiency of all investigations conducted 
under the authority of the following chapters of Title 49 of the United 
States Code: chapter 301; chapter 323; chapter 325; chapter 327; chapter 
329; and chapter 331, and to compromise any civil penalty or monetary 
settlement in an amount of $25,000 or less resulting from a violation of 
any of these chapters.
    (3) Exercise the powers of the Administrator under 49 U.S.C. 30166 
(c), (g), (h), (i), and (k).
    (4) Issue subpoenas, after notice to the Administrator, for the 
attendance of witnesses and production of documents pursuant to chapters 
301, 323, 325, 327, 329, and 331 of Title 49 of the United States Code.
    (5) Issue authoritative interpretations of the statutes administered 
by NHTSA and the regulations issued by the agency.
    (e) Associate Administrator for Plans and Policy. The Associate 
Administrator for Plans and Policy is delegated authority to direct the 
NHTSA planning and evaluation system in conjunction with Departmental 
requirement and planning goals; to coordinate the development of the 
Administrator's plans, policies, budget, and programs, and analyses of 
their expected impact, and their evaluation in terms of the degree of 
goal achievement; and to perform independent analyses of proposed 
Administration regulatory, grant, legislative, and program activities.
    (f) Associate Administrator for Safety Performance Standards. Except 
for authority reserved to the Administrator or delegated to the 
Associate Administrator for Safety Assurance, the Associate 
Administrator for Safety Performance Standards is delegated authority to 
exercise the powers and perform the duties of the Administrator with 
respect to the setting of motor vehicle safety and theft prevention 
standards, average fuel economy standards, procedural regulations, and 
the development of consumer information and regulations authorized under 
49 U.S.C. chapter 301 (except for sections 30141 through 30147), and 
authorized under 49 U.S.C. chapters 323, 325, 329, and 331. The 
Associate Administrator for Safety Performance Standards is also 
delegated authority to:
    (1) Respond to a manufacturer's petition for exemption from 49 
U.S.C. chapter 301's notification and remedy requirements in connection 
with a defect or noncompliance concerning labelling errors;
    (2) Extend comment periods (both self-initiated and in response to a 
petition for extension of time) for noncontroversial rulemakings;
    (3) Make technical amendments or corrections to a final rule; and
    (4) Extend the effective date of a noncontroversial final rule.
    (g) Associate Administrator for Safety Assurance. Except for those 
portions that have been reserved to the Administrator or delegated to 
the Chief Counsel, the Associate Administrator for Safety Assurance is 
delegated authority to exercise the powers and perform the duties of the 
Administrator with respect to:
    (1) Administering the NHTSA enforcement program for all laws, 
standards, and regulations pertinent to vehicle safety, fuel economy, 
theft prevention, damageability, consumer information and odometer 
fraud, authorized under 49 U.S.C. chapters 301, 323, 325, 327, 329, and 
331.
    (2) Issuing regulations relating to the importation of motor 
vehicles under 49 U.S.C. 30141 through 30147.
    (3) Granting and denying petitions for import eligibility 
determinations submitted to NHTSA by motor vehicle manufacturers and 
registered importers under 49 U.S.C. 30141.
    (h) Associate Administrator for Traffic Safety Programs. Except for 
those portions that have been reserved to the Administrator or delegated 
to the Associate Administrator for State and

[[Page 28]]

Community Services, the Associate Administrator for Traffic Safety 
Programs is delegated authority to exercise the powers and perform the 
duties of the Administrator with respect to: 23 U.S.C. chapter 4, as 
amended; the authority vested by section 210(2) of the Clean Air Act, as 
amended (42 U.S.C. 7544(2)); the authority vested by 49 U.S.C. 20134(a), 
with respect to the laws administered by the Administrator pertaining to 
highway, traffic, and motor vehicle safety; the Act of July 14, 1960, as 
amended (23 U.S.C. 313 note) and 49 U.S.C. chapter 303; the authority 
vested by section 141, as it relates to certification of the enforcement 
of speed limits, and sections 153, 154(a), (b), (d), and (e) and 158 of 
Title 23 of the United States Code, with the concurrence of the Federal 
Highway Administrator; and section 209 of the Surface Transportation 
Assistance Act of 1978 (23 U.S.C. 401 note) as delegated by the 
Secretary in Sec. 501.2(i).
    (i) Associate Administrator for State and Community Services. The 
Associate Administrator for State and Community Services is delegated 
authority to exercise the powers and perform the duties of the 
Administrator with respect to State and community highway safety 
programs under 23 U.S.C. 402, including approval and disapproval of 
State highway safety plans and final vouchers, in accordance with the 
procedural requirements of the Administration; to approve the awarding 
of alcohol incentive grants to the States under 23 U.S.C. 408 and drunk 
driving prevention grants under 23 U.S.C. 410, for years subsequent to 
the initial awarding of such grants by the Administrator; as appropriate 
for activities benefiting states and communities, to implement 23 U.S.C. 
403; and to implement the requirements of 23 U.S.C. 153, jointly with 
the delegate of the Federal Highway Administrator.
    (j) Associate Administrator for Research and Development. The 
Associate Administrator for Research and Development is delegated 
authority to: develop and conduct research and development programs and 
projects necessary to support the purposes of chapters 301, 323, 325, 
327, 329, and 331 of Title 49 U.S.C., and Title 23 U.S.C. chapter 4, as 
amended, in coordination with the appropriate Associate Administrators, 
and the Chief Counsel.
    (k) Associate Administrator for Administration. The Associate 
Administrator for Administration is delegated authority to:
    (1) Exercise procurement authority with respect to NHTSA 
requirements;
    (2) Administer and conduct NHTSA's personnel management activities;
    (3) Administer NHTSA financial management programs, including 
systems of funds control and accounts of all financial transactions; and
    (4) Conduct administrative management services in support of NHTSA 
missions and programs.
    (l) Director, Office of Vehicle Safety Compliance, Enforcement. The 
Director, Office of Vehicle Safety Compliance, Enforcement, is delegated 
authority to exercise the powers and perform the duties of the 
Administrator with respect to granting and denying petitions for import 
eligibility decisions submitted to NHTSA by motor vehicle manufacturers 
and registered importers under 49 U.S.C. 30141(a)(1).

[60 FR 43030, Aug. 18, 1995, as amended at 61 FR 26469, May 28, 1996]



PART 509--OMB CONTROL NUMBERS FOR INFORMATION COLLECTION REQUIREMENTS--Table of Contents




Sec.
509.1  Purpose.
509.2  Display.

    Authority: 44 U.S.C. 3507.



Sec. 509.1  Purpose.

    This part collects and displays the control numbers assigned to 
information collection requirements of NHTSA by the Office of Management 
and Budget (OMB). NHTSA intends that this part comply with the 
requirements of 44 U.S.C. 3507(f), which mandates that agencies display 
a current control number assigned by the Director of the OMB for each 
agency information collection requirement.

[48 FR 51310, Nov. 8, 1983]

[[Page 29]]



Sec. 509.2  Display.

------------------------------------------------------------------------
  49 CFR part or section containing information collection   OMB control
                        requirement                              No.
------------------------------------------------------------------------
Part 512...................................................    2127-0025
Part 537...................................................    2127-0019
Part 538...................................................    2127-0554
Part 541...................................................    2127-0510
Part 542...................................................    2127-0539
Part 543...................................................    2127-0542
Part 544...................................................    2127-0547
Section 551.45.............................................    2127-0040
Part 552 and Part 527......................................    2127-0046
Part 556...................................................    2127-0045
Part 557...................................................    2127-0039
Part 566...................................................    2127-0043
Consolidated owners' manual requirements for vehicles and      2127-0541
 equipment (Secs.  571.126, 571.205 571.208, 571.210, and
 575.105)..................................................
Consolidatd labeling requirements for tires and rims (parts    2127-0503
 569 and 574, Secs.  571.109, 571.110, 571.117, 571,119,
 and 571.120)..............................................
Consolidated VIN and Theft Prevention Standard and Labeling    2127-0510
 Requirements (parts 541, 565, 567 and Sec.  571.115)......
Consolidated lighting requirements (part 564 and Sec.          2127-0563
 571.108)..................................................
Section 571.106............................................    2127-0052
Section 571.116............................................    2127-0521
Section 571.125............................................    2127-0506
Section 571.205............................................    2127-0038
Section 571.209............................................    2127-0512
Section 571.213............................................    2127-0511
Section 571.214............................................    2127-0558
Section 571.217............................................    2127-0505
Section 571.218............................................    2127-0518
Part 573...................................................    2127-0004
Part 574...................................................    2127-0050
Part 575 excluding UTQGS...................................    2127-0049
Section 575.104 (UTQGS)....................................    2127-0519
Part 576...................................................    2127-0042
Part 580...................................................    2127-0047
Part 585...................................................    2127-0535
Parts 591 and 592..........................................    2127-0002
------------------------------------------------------------------------


[57 FR 21215, May 19, 1992]



PART 510--INFORMATION GATHERING POWERS--Table of Contents




510.1  Scope and purpose.
510.2  Definitions.
510.3  Compulsory process, the service thereof, claims for confidential 
          treatment, and terms of compliance.
510.4  Subpoenas, generally.
510.5  Information gathering hearings.
510.6  Administrative depositions.
510.7  General or special orders.
510.8  Written requests for the production of documents and things.
510.9  Motions to modify, limit, or quash process.
510.10  Supplementation of responses to process.
510.11  Fees.
510.12  Remedies for failure to comply with compulsory process.

    Authority: Secs. 112 and 119, National Traffic and Motor Vehicle 
Safety Act 1966, as amended (15 U.S.C. 1401 and 1407); secs. 104, 204, 
414, and 505, Motor Vehicle Information and Cost Savings Act, as amended 
(15 U.S.C. 1914, 1944, 1990d, and 2005); delegation of authority (49 CFR 
1.51).

    Source: 45 FR 29042, May 1, 1980, unless otherwise noted.



Sec. 510.1  Scope and purpose.

    This rule governs the use of the information gathering powers of the 
National Highway Traffic Safety Administration contained in section 112 
of the National Traffic and Motor Vehicle Safety Act of 1966, as amended 
15 U.S.C. 1401, and sections 104, 204, 414, and 505 of the Motor Vehicle 
Information and Cost Savings Act, as amended 15 U.S.C. 1914, 1944, 
1990d, and 2005.



Sec. 510.2  Definitions.

    (a) NHTSA means the National Highway Traffic Safety Administration.
    (b) Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    (c) Chief Counsel means the Chief Counsel of the National Highway 
Traffic Safety Administration.
    (d) Deputy Administrator means the Deputy Administrator of the 
National Highway Traffic Safety Administration.
    (e) Person includes agents, officers, and employees of sole 
proprietorships, partnerships, corporations, and other entities.

[45 FR 29042, May 1, 1980; 45 FR 32001, May 15, 1980]



Sec. 510.3  Compulsory process, the service thereof, claims for confidential treatment, and terms of compliance.

    (a) NHTSA may use any of the following means to conduct 
investigations, inspections, or inquiries to obtain information to carry 
out its functions under the National Traffic and Motor Vehicle Safety 
Act of 1966, as amended, 15 U.S.C. 1381 et seq., and the Motor Vehicle 
Information and Cost Savings Act, as amended, 15 U.S.C. 1901 et seq.:
    (1) Subpoenas;
    (2) Information gathering hearings;
    (3) Administrative depositions;
    (4) General or special orders; and
    (5) Written requests for the production of documents and things.

[[Page 30]]

    (b) A person, sole proprietorship, partnership, corporation, or 
other entity served with compulsory process under this part shall be 
provided with the following information at the time of the service:
    (1) The name of the person, sole proprietorship, partnership, 
corporation, or other entity to which the process is addressed;
    (2) The statutory provision under which the compulsory process is 
issued;
    (3) The date, time, and place of return;
    (4) A brief statement of the subject matter of the investigation, 
inspection, or inquiry; and
    (5) In the case of a subpoena duces tecum or a written request for 
the production of documents and things, a reasonably specific 
description of the documents or things to be produced.
    (c) Service of the compulsory processes specified in paragraph (a) 
of this section is effected:
    (1) By personal service upon the person, agent-in-charge, or agent 
designated to receive process under 15 U.S.C. 1399(e) of the sole 
proprietorship, partnership, corporation or other entity being 
investigated, inspected, or inquired of; or
    (2) By mail (registered or certified) or delivery to the last known 
residence or business address of such person or agent.
    (d) The date of service of any compulsory process specified in 
paragraph (a) of this section is the date on which the process is mailed 
by the agency, or delivered in person, as the case may be. Whenever a 
period is prescribed for compliance with compulsory process, and the 
process is served upon the party by mail, 3 days are added to the 
period.
    (e)(1) Any person, sole proprietorship, partnership, corporation, or 
other entity submitting information or producing documents or things in 
response to any compulsory process issued under this part may request 
confidential treatment for all or part of that information or for those 
documents or things.
    (2)(i) Except as provided in paragraph (e)(2)(ii) of this section, 
requests for confidentiality shall be in writing, and addressed to the 
Chief Counsel.
    (ii) Requests for confidentiality made during an information 
gathering hearing or an administrative deposition may be made orally to 
the presiding officer. Any oral request for confidentiality shall be 
supplemented by a written request, and this written request must be 
addressed to the Chief Counsel and received by NHTSA within five days of 
the date of the oral request.
    (iii) A written request for confidentiality under paragraph (e) of 
this section shall specify the information, documents, or things which 
are to be kept confidential, specify the grounds upon which the claim is 
based, provide such information as may be necessary to permit the NHTSA 
to determine whether the claim is valid, and specify the period of time 
for which confidential treatment is requested.
    (f) The Chief Counsel, or his or her delegate, is authorized to 
negotiate and approve the terms of satisfactory compliance with any 
compulsory process issued under this part.



Sec. 510.4  Subpoenas, generally.

    NHTSA may issue to any person, sole proprietorship, partnership, 
corporation, or other entity a subpoena requiring the production of 
documents or things (subpoena duces tecum) and testimony of witnesses 
(subpoena ad testificandum), or both, relating to any matter under 
investigation or the subject of any inquiry. Subpoenas are issued by the 
Chief Counsel. When a person, sole proprietorship, partnership, 
corporation, or other entity is served with a subpoena ad testificandum 
under this part, the subpoena will describe with reasonable 
particularity the matters on which the testimony is required. In 
response to a subpoena ad testificandum, the sole proprietorship, 
partnership, corporation, or other entity so named shall designate one 
or more officers, directors, or managing agents, or other persons who 
consent to testify on its behalf, and set forth, for each person 
designated, the matters on which he or she will testify. The persons so 
designated shall testify as to matters known or reasonably available to 
the entity.

[53 FR 26261, July 12, 1988]

[[Page 31]]



Sec. 510.5  Information gathering hearings.

    (a) NHTSA may issue a subpoena to compel any person, sole 
proprietorship, partnership, corporation, or other entity to provide 
information at an information gathering hearing. The subpoenas are used 
for the purpose of obtaining testimony from a witness under oath and 
obtaining relevant documents and things. The Administrator, or a NHTSA 
employee designated by the Administrator, presides at the hearing. 
Information gathering hearings are open to the public unless the 
presiding officer rules otherwise, and the hearings are stenographically 
reported.
    (b) In addition to the presiding officer, one or more other persons 
may comprise the panel. Each member of the panel may question any 
witness at the hearing. No person who is not a member of the panel may 
ask questions of a witness. However, any person may submit to the panel, 
in writing, proposed questions to be asked of a witness. A member of the 
panel may pose these questions to the witness if that member deems the 
questions useful and appropriate. Proposed questions may be submitted to 
the panel at any time before or during the course of the hearing.
    (c) The stenographic record of each witness's testimony will be 
available to the public, unless the testimony was not given publicly and 
the witness requests confidential treatment for some or all of his or 
her testimony. When an oral request for confidential treatment is made 
during the course of a witness's testimony, the presiding officer may 
order the hearing closed to the public at that point and continue the 
questioning of the witness, or may note the request for confidentiality 
and direct the witness not to answer the question at that time, but 
require the witness to answer the question in writing within some 
specified period, or take such other action as the presiding officer 
deems appropriate. If a request for confidential treatment is made, the 
release of the record is governed by the applicable laws or regulations 
relating to the handling of allegedly confidential information. To the 
extent that some or all of a witness's testimony is not publicly 
available, that witness may procure a copy of his or her testimony as 
recorded upon payment of lawfully prescribed costs.
    (d)(1) Any person who is required by subpoena or designated by an 
entity that is required by subpoena to provide information at an 
information gathering hearing conducted under this section may be 
accompanied, represented, and advised by counsel. Any member of the bar 
of a Federal court or the courts of any State or Territory of the United 
States, the Commonwealth of Puerto Rico, or the District of Columbia, 
and any representative, official, or employee of the sole 
proprietorship, partnership, corporation or other entity under subpoena 
may act as counsel.
    (2) A witness appearing in response to subpoena may confer in 
confidence with his or her counsel or representative concerning any 
questions asked of the witness. If such witness, counsel, or 
representative objects to a question, he or she shall state the 
objection and basis therefor on the record.
    (e) The presiding officer at an information gathering hearing takes 
all necessary action to regulate the course of the hearing, to avoid 
delay, and to assure that reasonable standards of orderly and ethical 
conduct are maintained. In any case in which counsel for or a 
representative of a witness has refused to comply with the presiding 
officer's directions, or to adhere to reasonable standards of orderly 
and ethical conduct in the course of a hearing, the presiding officer 
states on the record the reasons given, if any, for the refusal and, if 
the presiding officer is someone other than the Administrator, 
immediately reports the refusal to the Administrator. The Administrator 
thereupon takes such action as the circumstances warrant.
    (f) Where appropriate, the procedures established in this subsection 
may be utilized in informal hearings conducted by NHTSA pursuant to its 
authority under sections 152 and 156 of the Safety Act (15 U.S.C. 1412, 
1416) to receive data, views and arguments concerning alleged safety-
related defects. The rights accorded to witnesses in this subsection may 
also be accorded to witnesses who appear voluntarily at such hearings.

[[Page 32]]



Sec. 510.6  Administrative depositions.

    (a) NHTSA may issue a subpoena to compel any person, sole 
proprietorship, partnership, corporation, or other entity to provide 
information as a witness at an administrative deposition. These 
depositions are for the purpose of obtaining information from the 
witness under oath and receiving documents and things relevant to an 
agency investigation. These depositions shall be taken before an officer 
authorized to administer oaths by the laws of the United States or of 
the place where the deposition is taken. Unless otherwise ordered by the 
Administrator, administrative depositions are closed to the public.
    (b) Any person who is required by subpoena or designated by an 
entity that is required by subpoena to produce documents or things or to 
give testimony as a witness at an administrative deposition conducted 
under this section may be accompanied, represented, and advised by 
counsel. Any member of the bar or a Federal court or the courts of any 
State or Territory of the United States, the Commonwealth of Puerto 
Rico, or the District of Columbia and any representative, official, or 
employee of the person, sole proprietorship, partnership, corporation, 
or other entity under subpoena may act as counsel.
    (c) During an administrative deposition:
    (1) The presiding officer before whom the deposition is to be taken 
puts the witness on oath and personally, or by someone acting under his 
or her direction and in his or her presence, records the testimony of 
the witness. The testimony is stenographically reported.
    (2) After NHTSA has examined the witness at the deposition, that 
witness' counsel or representative may examine the witness. NHTSA may 
then reexamine the witness and the witness' counsel or representative 
may reexamine the witness and so forth, as appropriate.
    (3) A witness appearing in response to a subpoena may confer in 
confidence with his or her counsel or representative concerning any 
questions asked of the witness. If such witness, counsel, or 
representative objects to a question, he or she shall state the 
objection and the basis therefor on the record.
    (4) Objections to the qualifications of the officer taking the 
deposition, or to the manner of taking it, or to the evidence presented, 
and any other objection to the proceedings shall be noted by the officer 
on the record, and shall be treated as continuing. Evidence objected to 
shall be taken subject to the objections. Errors and irregularities 
occurring at a deposition in the manner of the taking of the deposition, 
in the form of questions or answers, or in the oath or affirmation, and 
errors of any kind which might be obviated, removed, or cured if 
promptly presented shall be deemed to be waived unless reasonable 
objection is made thereto at the taking of the deposition.
    (5) If the witness refuses to answer any question or answers 
evasively, or if the witness or his or her counsel engages in conduct 
likely to delay or obstruct the administrative deposition, such refusal, 
evasive answer or conduct shall be a failure to comply with the subpoena 
issued to the witness.
    (6) Upon completion of the examination of a witness, the witness may 
clarify on the record any of his or her answers.
    (d) The transcript of the testimony of a witness who testified in 
response to a subpoena at an administrative deposition is submitted to 
the witness for signature, unless the witness waives the right to sign 
the transcript. If a witness desires to make any changes in the form or 
substance contained in the transcript, the witness shall submit, 
together with the transcript, a separate document setting forth the 
changes and stating the reasons for such changes. If the deposition is 
not signed by the witness within 30 days of its submission to the 
witness, or such other period as the NHTSA may designate, the officer 
before whom the deposition was taken or a NHTSA employee signs the 
transcript and states on the record the fact of the waiver of the right 
to sign or the fact of the witness' unavailability or inability or 
refusal to sign together with the reasons, if any, given therefor.
    (e) The transcript of the testimony of a witness will be inspected 
by NHTSA to determine if there are any errors in

[[Page 33]]

the transcription of the questions posed to the witness and the 
testimony in response to those questions. If NHTSA discovers any errors, 
it notes that fact and forwards the notation of errors together with the 
transcript to the witness, requesting the witness to stipulate that the 
transcript is in error and that the corrections made by NHTSA are 
accurate. If the witness will not make this stipulation, NHTSA may make 
a motion to the presiding officer to include its notation of error and 
its corrections in the record along with the version of the testimony 
signed by the witness.
    (f)(1) Upon payment of lawfully prescribed costs, any person who is 
required by subpoena or designated by a sole proprietorship, 
partnership, corporation, or other entity that is required by subpoena 
to appear as a witness at an administrative deposition may procure a 
copy of the deposition as recorded, except that in a nonpublic 
investigatory proceeding, the witness may, for good cause, be limited to 
an inspection of the record of the deposition.
    (2) A copy of the record of the deposition may be furnished to the 
witness without charge or at a reduced charge if the Associate 
Administrator for Administration determines that waiver of the fee is in 
the public interest because furnishing the copy can be considered as 
primarily benefitting the general public. Any witness who seeks a waiver 
of the copying charge may apply in writing to the Associate 
Administrator for Administration, and shall state the reasons justifying 
waiver of the fee in the application.
    (g) The testimony obtained in an adminstrative deposition may be 
used or considered by the NHTSA in any of its activities, and may be 
used or offered into evidence in any administrative proceeding in 
accordance with the provisions of 5 U.S.C. 554, or in any judicial 
proceeding.



Sec. 510.7  General or special orders.

    The NHTSA may require by the issuance of general or special orders 
any person, sole proprietorship, partnership, corporation, or other 
entity to file with the NHTSA, in such form as NHTSA may prescribe, 
periodic or special reports or answers in writing to specific questions. 
The responses to general or special orders will provide NHTSA with such 
information as it may require, including, but not limited to, 
information relating to the organization of that person, sole 
proprietorship, partnership, corporation, or other entity, its business, 
conduct, practices, management, and relation to any other person or 
entity. General or special orders which are required to be answered 
under oath are issued by the Chief Counsel. Any general or special order 
issued under this section contains the information specified in 
Sec. 510.3(b). Reports and answers filed in response to general or 
special orders must be made under oath, or otherwise, as NHTSA may 
prescribe.



Sec. 510.8  Written requests for the production of documents and things.

    The NHTSA may, by the issuance of a written request for the 
production of documents and things, require any person, sole 
proprietorship, partnership, corporation, or other entity to produce 
documents or things. A written request for the production of documents 
and things may be issued alone, or as a part of a general or special 
order issued under Sec. 510.7. Written requests for the production of 
documents and things are issued by the Chief Counsel. Any written 
request for the production of documents and things issued under this 
section shall contain the information specified in Sec. 510.3(b).



Sec. 510.9  Motions to modify, limit, or quash process.

    (a)(1) Any person, sole proprietorship, partnership, corporation, or 
other entity served with a subpoena issued under Sec. 510.4 may file 
with the Deputy Administrator a motion to modify, limit, or quash that 
subpoena. If there is no Deputy Administrator, or the Deputy 
Administrator is not available, such motions shall be filed with and 
decided by the Associate Administrator for Administration. A motion to 
modify, limit, or quash must be filed not later than 15 days after the 
service of the process or five days before the return date specified in 
the process, whichever is earlier, except that, if the process is served 
within five days of its return

[[Page 34]]

date, such motion may be filed at any time before the return date. Any 
motion must set forth the grounds and theories of why and how the party 
believes the process should be modified, limited, or quashed and must 
contain all facts and arguments which support those grounds and 
theories.
    (2) The Deputy Administrator may, upon receiving a motion filed 
pursuant to paragraph (a)(1) of this section:
    (i) Deny the motion;
    (ii) Modify the return date of the subpoena;
    (iii) Modify, limit or quash the subpoena;
    (iv) Condition granting the motion upon certain requirements; or
    (v) Take any other action he or she believes to be appropriate in 
the circumstances.
    (3) The Office of the Deputy Administrator serves the decision on 
the motion on the moving party or the counsel or representative of the 
moving party. This service may be made by personal service, by 
registered or certified mail, or by reading a copy of the decision to 
the moving party or the counsel or representative of the moving party.
    (4) A denial of any motion properly filed under this section shall 
be in writing, and shall contain a brief statement of the facts involved 
and the conclusions drawn from those facts by the Deputy Administrator.
    (b) The Deputy Administrator's decision on the motion to modify, 
limit, or quash, filed under paragraph (a) of this section is not 
subject to reconsideration by NHTSA.



Sec. 510.10  Supplementation of responses to process.

    (a) A person, sole proprietorship, partnership, corporation, or 
other entity which has provided NHTSA with information under this part, 
which information was complete and accurate at the time the information 
was given to NHTSA, is not required to supplement that information in 
the light of after acquired information, except:
    (1) The person or entity to whom the process is addressed shall 
supplement the response with respect to any question directly addressed 
to the identity and location of persons having knowledge of information 
obtainable under this part.
    (2) The person or entity to whom the process is addressed shall 
seasonably amend a prior response if that person or entity obtains 
information upon the basis of which the person or entity knows that the 
response was incorrect when made or the person or entity knows that the 
response, though correct when made, is no longer true and the 
circumstances are such that a failure to amend the response is in 
substance a knowing concealment.
    (b) The requirement to supplement information set forth in paragraph 
(a) of this section terminates when:
    (1) The compulsory process stated that it was issued in connection 
with a contemplated rulemaking action, and a final rule is issued on 
that subject or a notice is issued announcing that the rulemaking action 
has been suspended or terminated.
    (2) The compulsory process stated that it was issued in connection 
with an enforcement investigation, and the investigation is closed.
    (3) The compulsory process does not state that it is issued in 
connection with a specific rulemaking action or enforcement 
investigation, and 18 months have passed since the date of the original 
response.
    (c) This section in no way limits NHTSA's authority to obtain 
supplemental information by specific demands through the means specified 
in Sec. 510.3.



Sec. 510.11  Fees.

    Any person compelled to appear in person in response to a subpoena 
issued under this part at an information gathering hearing or an 
administrative deposition is paid the same attendance and mileage fees 
as are paid witnesses in the courts of the United States, in accordance 
with title 28, U.S.C., section 1821.



Sec. 510.12  Remedies for failure to comply with compulsory process.

    Any failure to comply with compulsory process authorized by law and 
issued under this part is a violation of this part. In the event of such 
failure to comply, NHTSA may take appropriate action pursuant to the 
authority

[[Page 35]]

conferred by the National Traffic and Motor Vehicle Safety Act or the 
Motor Vehicle Information and Cost Savings Act, as appropriate, 
including institution of judicial proceedings to enforce the order and 
to collect civil penalties.



PART 511--ADJUDICATIVE PROCEDURES--Table of Contents




     Subpart A--Scope of Rules; Nature of Adjudicative Proceedings, 
                               Definitions

Sec.
511.1  Scope of the rules.
511.2  Nature of adjudicative proceedings.
511.3  Definitions.

       Subpart B--Pleadings; Form; Execution; Service of Documents

511.11  Commencement of proceedings.
511.12  Answer.
511.13  Amendments and supplemental pleadings.
511.14  Form and filing of documents.
511.15  Time.
511.16  Service.
511.17  Public participation.
511.18  Joinder of proceedings.

   Subpart C--Prehearing Procedures; Motions; Interlocutory Appeals; 
                      Summary Judgment; Settlement

511.21  Prehearing conferences.
511.22  Prehearing briefs.
511.23  Motions.
511.24  Interlocutory appeals.
511.25  Summary decision and order.
511.26  Settlement.

                Subpart D--Discovery; Compulsory Process

511.31  General provisions governing discovery.
511.32  Written interrogatories to parties.
511.33  Production of documents and things.
511.34  Requests for admission.
511.35  Testimony upon oral examination.
511.36  Motions to compel discovery.
511.37  Sanctions for failure to comply with order.
511.38  Subpoenas.
511.39  Orders requiring witnesses to testify or provide other 
          information and granting immunity.

                           Subpart E--Hearings

511.41  General rules.
511.42  Powers and duties of Presiding Officer.
511.43  Evidence.
511.44  Expert witnesses.
511.45  In camera materials.
511.46  Proposed findings, conclusions, and order.
511.47  Record.
511.48  Official docket.
511.49  Fees.

                           Subpart F--Decision

511.51  Initial decision.
511.52  Adoption of initial decision.
511.53  Appeal from initial decision.
511.54  Review of initial decision in absence of appeal.
511.55  Final decision on appeal or review.
511.56  Reconsideration.
511.57  Effective date of order.

 Subpart G--Settlement Procedure in Cases of Violation of Average Fuel 
                            Economy Standards

511.61  Purpose.
511.62  Definitions.
511.63  Criteria for settlement.
511.64  Petitions for settlement; timing, contents.
511.65  Public comment.
511.66  Confidential business information.
511.67  Settlement order.

              Subpart H--Appearances; Standards of Conduct

511.71  Who may make appearances.
511.72  Authority for representation.
511.73  Written appearances.
511.74  Attorneys.
511.75  Persons not attorneys.
511.76  Qualifications and standards of conduct.
511.77  Restrictions as to former members and employees.
511.78  Prohibited communications.

Appendix I--Final Prehearing Order

    Authority: 15 U.S.C. 2002; delegation of authority at 49 CFR 1.50.

    Source: 45 FR 81578, Dec. 11, 1980, unless otherwise noted.



     Subpart A--Scope of Rules; Nature of Adjudicative Proceedings, 
                               Definitions



Sec. 511.1  Scope of the rules.

    This part establishes rules of practice and procedure for 
adjudicative proceedings conducted pursuant to section 508(a)(2) of the 
Motor Vehicle Information and Cost Savings Act (15 U.S.C. Pub. L. 94-
163, 89 Stat. 911, section 2008(a)(2)), which are required by statute to 
be determined on the record after opportunity for a public hearing.

[[Page 36]]



Sec. 511.2  Nature of adjudicative proceedings.

    Adjudicative proceedings shall be conducted in accordance with title 
5, U.S.C., sections 551 through 559 and this part. It is the policy of 
the agency that adjudicative proceedings shall be conducted 
expeditiously and with due regard to the rights and interests of all 
persons affected, and to the public interest. Therefore, the presiding 
officer and all parties shall make every effort at each stage of a 
proceeding to avoid unnecessary delay.



Sec. 511.3  Definitions.

    (a) As used in this part:
    (1) The term application means an ex parte request by a party for an 
order that may be granted or denied without opportunity for response by 
any other party.
    (2) The term NHTSA means the National Highway Traffic Safety 
Administration.
    (3) The term Administrator means the Administrator of the National 
Highway Traffic Safety Administration.
    (4) The term Complaint Counsel means prosecuting counsel for the 
NHTSA.
    (5) The term motion means a request by a party for a ruling or order 
that may be granted or denied only after opportunity for response by 
each affected party.
    (6) The term party means the NHTSA, and any person named as a 
respondent in a proceeding governed by this part.
    (7) The term person means any individual, partnership, corporation, 
association, public or private organization, or Federal, State or 
municipal governmental entity.
    (8) The term petition means a written request, made by a person or a 
party and addressed to the Presiding Officer or the Administrator, that 
the addressee take some action.
    (9) The term Presiding Officer means the person who conducts an 
adjudicative hearing under this part, who shall be an administrative law 
judge qualified under title 5, U.S.C., section 3105 and assigned by the 
Chief Administrative Law Judge, Office of Hearings, United States 
Department of Transportation.
    (10) The term Respondent means any person against whom a complaint 
has been issued.
    (11) The term Office of Hearings means the Officer of Hearings, 
Department of Transportation.
    (12) The term staff means the staff of the National Highway Traffic 
Safety Administration.
    (13) The term Chief Administrative Law Judge means the Chief 
Administrative Law Judge of the Office of Hearings, Department of 
Transportation.
    (14) The term Docket Section means the Docket Section, Office of the 
Secretary of Transportation.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]



       Subpart B--Pleadings; Form; Execution; Service of Documents



Sec. 511.11  Commencement of proceedings.

    (a) Notice of institution of an enforcement proceeding. An 
adjudicative proceeding under this part is commenced by the issuance of 
a complaint by the NHTSA.
    (b) Form and content of complaint. The complaint shall be signed by 
the Complaint Counsel and shall contain the following:
    (1) Recital of the legal authority for instituting the proceeding, 
with specific designation of the statutory provisions involved in each 
allegation.
    (2) Identification of each respondent.
    (3) A clear and concise statement of the charges, sufficient to 
inform each respondent with reasonable definiteness of the factual basis 
of the allegations of violation. A list and summary of documentary 
evidence supporting the charges shall be attached.
    (4) A statement of the civil penalty which the Complaint Counsel 
believes is in the public interest, or which is required by law. In the 
case of civil penalties assessed for violations of section 507(3) of the 
Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2007(3)), the 
amount of such penalty shall be calculated from the time of the alleged 
violation. In the case of civil penalties assessed for violations of 
section 507 (1) or (2) of that Act, any monetary credits available to 
offset those civil penalties shall be specified.

[[Page 37]]

    (5) The right of the respondent to a hearing on the alleged 
violations.
    (c) Notice to the public. Once a complaint is issued, notice of it 
shall be immediately submitted to the Federal Register for publication. 
The notice in the Federal Register shall briefly describe the nature of 
the proceeding and state that petitions to participate in the proceeding 
must be filed no later than the first prehearing conference.



Sec. 511.12  Answer.

    (a) Time for filing. A respondent shall have twenty (20) days after 
service of a complaint within which to file an answer.
    (b) Content of answer. An answer shall conform to the following:
    (1) Request for hearing. Respondent shall state whether it requests 
a full, adjudicatory hearing or whether it desires to proceed on the 
basis of written submissions. If a hearing is requested, respondent 
shall specify those issues on which a hearing is desired.
    (2) Contested allegations. An answer in which the allegations of a 
complaint are contested shall contain:
    (i) Specific admission or denial of each allegation in the 
complaint. If the respondent is without knowledge or information 
sufficient to form a belief as to the truth of an allegation, respondent 
shall so state. Such a statement shall have the effect of a denial. 
Denials shall fairly meet the substance of the allegations denied. 
Allegations not thus answered shall be deemed to have been admitted.
    (ii) A concise statement of the factual and/or legal defenses to 
each allegation of the complaint.
    (3) Admitted allegations. If the respondent admits or fails to deny 
any factual allegation, he or she shall be deemed to have waived a 
hearing as to such allegation.
    (c) Default. Failure of the respondent to file an answer within the 
time provided (or within an extended time, if provided), shall be deemed 
to constitute a waiver of the right to appear and contest the 
allegations set forth in the complaint and to authorize the Presiding 
Officer to make such findings of fact as are reasonable under the 
circumstances.



Sec. 511.13  Amendments and supplemental pleadings.

    Whenever determination of a controversy on the merits will be 
facilitated thereby, the Presiding Officer upon motion, may allow 
appropriate amendments and supplemental pleadings which do not unduly 
broaden the issues in the proceeding or cause undue delay.



Sec. 511.14  Form and filing of documents.

    (a) Filing. Except as otherwise provided, all documents submitted to 
the Administrator or a Presiding Officer shall be filed with the Docket 
Section, Office of the Secretary, Department of Transportation, Room 
4107, 400 Seventh Street, SW., Washington, DC 20590. Documents may be 
filed in person or by mail and shall be deemed filed on the day of 
filing or mailing.
    (b) Caption. Every document shall contain a caption setting forth 
the name of the action in connection with which it is filed, the docket 
number, and the title of the document.
    (c) Copies. An original and nine (9) copies of all documents shall 
be filed. Documents may be reproduced by printing or any other process, 
provided that all copies filed are clear and legible.
    (d) Signature. (1) The original of each document filed shall be 
signed by a representative of record for the party; or in the case of 
parties not represented, by the party; or by a partner, officer, or 
regular employee of any corporation, partnership, or association, who 
files an appearance on behalf of the party.
    (2) The act of signing a document constitutes a representation by 
the signer that the signer has read it; that to the best of the signer's 
knowledge, information and belief, the statements made in it are true; 
and that it is not filed for purposes of delay.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]



Sec. 511.15  Time.

    (a) Computation. In computing any period of time prescribed or 
allowed by the rules in this part, the day of the act, event, or default 
from which the designated period of time begins to run

[[Page 38]]

shall not be included. The last day of the period so computed shall be 
included, unless it is a Saturday, a Sunday, or a legal holiday, in 
which event the period runs until the end of the next day which is not a 
Saturday, a Sunday, or a legal holiday. When the period of time 
prescribed or allowed is less than 7 days, intermediate Saturdays, 
Sundays, and legal holidays shall be excluded in the computation. As 
used in this part, ``legal holiday'' includes New Year's Day, 
Washington's Birthday, Memorial Day, Independence Day, Labor Day, 
Columbus Day, Veteran's Day, Thanksgiving Day, Christmas Day, and any 
other day appointed as a holiday by the President or the Congress of the 
United States.
    (b) Additional time after service by mail. Whenever a party is 
required or permitted to do an act within a prescribed period after 
service of a document and the document is served by mail, three (3) days 
shall be added to the prescribed period.
    (c) Extensions. For good cause shown, the Presiding Officer may 
extend any time limit prescribed or allowed under this part or by order 
of the Administrator or the Presiding Officer, except those governing 
the filing of interlocutory appeals and appeals from Initial Decisions 
and those expressly requiring the Administrator's action. Except as 
otherwise provided by law, the Administrator, for good cause shown, may 
extend any time limit prescribed under this part, or by order of the 
Administrator or the Presiding Officer. A party or participant may 
petition the Presiding Officer or the Administrator, as appropriate, for 
an extension under this paragraph. Such a petition shall be filed prior 
to the occurrence of the time limit which is the subject of the 
petition.



Sec. 511.16  Service.

    (a) Mandatory service. Every document filed with the Office of 
Hearings shall be served upon all parties and participants to a 
proceeding, i.e., Complaint Counsel, respondent(s), and participants, 
and upon the Presiding Officer.
    (b) Service of complaint, ruling, order, decision, or subpoena. 
Service of a complaint, ruling, order, decision, or subpoena may be 
effected as follows:
    (1) By registered or certified mail. A copy of the document shall be 
addressed to the person, partnership, corporation or unincorporated 
association to be served at his or its residence or principal office or 
place of business; registered or certified; and mailed; or
    (2) By delivery to an individual. A copy of the document may be 
delivered to the person to be served; or to a member of the partnership 
to be served; or to the president, secretary, or other executive 
officer, or a director of the corporation or unincorporated association 
to be served; or to an agent authorized by appointment or by law to 
receive service; or
    (3) By delivery to an address. A copy of the document may be left at 
the principal office or place of business of the person, partnership, 
corporation, unincorporated association, or authorized agent with an 
officer, a managing or general agent; or it may be left with a person of 
suitable age and discretion residing therein, at the residence of the 
person or of a member of the partnership or of an executive officer, 
director, or agent of the corporation or unincorporated association to 
be served.
    (c) Service of documents with prescribed response periods. When 
service of a document starts the running of a prescribed period of time 
for the submission of a responsive document or the occurrence of an 
event, the document shall be served as provided in paragraph (b) of this 
section.
    (d) Service of other documents. All documents other than those 
specified in paragraph (c) of this section may be served as provided in 
paragraph (b) of this section, or by ordinary first-class mail, properly 
addressed, postage prepaid.
    (e) Service on a representative. When a party has appeared by an 
attorney or other representative, service upon that attorney or other 
representative shall constitute service on the party.
    (f) Certificate of service. The original of every document filed 
with the agency and required to be served upon all parties to a 
proceeding shall be accompanied by a certificate of service signed by 
the party making service, stating that such service has been made upon

[[Page 39]]

each party to the proceeding. Certificates of service may be in 
substantially the following form:

    I hereby certify that I have this day served the foregoing document 
upon all parties of record in this proceeding by mailing, postage 
prepaid (or by delivering in person) a copy to each such party.
    Dated at ____________________ this ____ day of ____________________, 
19____.

(Signature)_____________________________________________________________
For_____________________________________________________________________

    (g) Date of service. The date of service of a document shall be the 
date on which the document is deposited in the United States mail or is 
delivered in person.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.17  Public participation.

    Participant Status. Any person interested in a proceeding commenced 
pursuant to Sec. 511.11 who desires to participate in the proceeding, 
shall file with the Docket Section a notice of intention to participate 
in the proceeding and shall serve a copy of such notice on each party to 
the proceeding. A notice of intention to participate shall be filed not 
later than the commencement of the hearing. Untimely filings will not be 
accepted absent a determination by the Presiding Officer that the person 
making the request has made a substantial showing of good cause for 
failure to file on time. Any person who files a notice to participate in 
the proceeding as a nonparty shall be known as a ``participant'' and 
shall have the rights specified in Sec. 511.41(d).

[53 FR 15783, May 3, 1988]



Sec. 511.18  Joinder of proceedings.

    Two or more matters which have been scheduled for adjudicative 
proceedings, and which involve one or more common questions of law or 
fact, may be consolidated for the purpose of hearing, appeal or the 
Administrator's review. A motion for consolidation for the purpose of 
hearing may be filed with the Presiding Officer by any party to such 
proceedings not later than thirty (30) days prior to the hearing. A 
motion for consolidation for the purpose of appeal may be filed by any 
party to such proceedings within 10 days after issuance of the Initial 
Decision. A motion to consolidate shall be served upon all parties to 
all proceedings whose joinder is contemplated. The proceedings may be 
consolidated where to do so would tend to avoid unnecessary costs or 
delay. Such consolidation may also be ordered upon the initiative of the 
Presiding Officer or the Administrator, as appropriate. The Presiding 
Officer may order separate hearings on any issue where to do so would 
promote economy or convenience or would avoid prejudice to a party.



   Subpart C--Prehearing Procedures; Motions; Interlocutory Appeals; 
                      Summary Judgment; Settlement



Sec. 511.21  Prehearing conferences.

    (a) When held. (1) A prehearing conference shall be held in person 
or by conference telephone call, except in unusual circumstances, 
approximately fifty (50) days after publication in the Federal Register 
of the complaint, upon ten (10) days notice to all parties and 
participants, to consider any or all the following:
    (i) Motions for consolidation of proceedings;
    (ii) Identification, simplification and clarification of the issues;
    (iii) Necessity or desirability of amending the pleadings;
    (iv) Stipulations and admissions of fact and of the content and 
authenticity of documents;
    (v) Oppositions to notices of oral examination;
    (vi) Motions for protective orders to limit or modify discovery;
    (vii) Issuance of subpoenas to compel the appearance of witnesses 
and the production of documents;
    (viii) Limitation of the number of witnesses, particularly the 
avoidance of duplicate expert witnesses;
    (ix) Matters of which official notice will be taken and matters 
which may be resolved by reliance upon findings of other Federal 
agencies; and
    (x) Other matters which may expedite the conduct of the hearing.



Sec. 511.22  Prehearing briefs.

    Not later ten (10) days prior to the hearing, the parties shall, 
except when

[[Page 40]]

ordered otherwise by the Presiding Officer in unusual circumstances, 
simultaneously serve and file prehearing briefs, which shall set forth 
(a) a statement of the facts expected to be proved, and of the 
anticipated order of proof; (b) a statement of the issues and the legal 
argument in support of the party's contentions with respect to each 
issue; and (c) a table of authorities with a designation by asterisk of 
the principal authorities relied upon.



Sec. 511.23  Motions.

    (a) Presentations and dispositions. During the time a proceeding is 
before a Presiding Officer, all motions, whether oral or written, except 
those filed under Sec. 511.42(e), shall be addressed to the Presiding 
Officer, who shall rule upon them promptly after affording an 
opportunity for response.
    (b) Written motions. All written motions shall state the particular 
order, ruling, or action desired and the grounds therefor. If a motion 
is supported by memoranda, affidavits or other documents, they shall be 
served and filed with the motion. All motions shall contain a proposed 
order setting forth the relief sought. All written motions shall be 
filed with the Executive Secretary and served on all parties, and all 
motions addressed to the Administrator shall be in writing.
    (c) Responses. Within ten (10) days after service of any written 
motion or petition or within such longer or shorter time as may be 
designated by these Rules or by the Presiding Officer or the 
Administrator, the opposing party or parties shall file a written 
response to such motion. Where a motion would affect only a single 
party, or an identifiable group of parties, the Presiding Officer or 
Administrator may limit the response to the motion to the affected party 
or parties. Failure to respond to a written motion may, in the 
discretion of the Presiding Officer be deemed as consent to the granting 
of the relief sought in the motion. The moving party shall have no right 
to reply, except as permitted by the Presiding Officer or the 
Administrator.
    (d) Rulings on motions for dismissal. When a motion to dismiss a 
complaint or motion for other relief is granted with the result that the 
proceeding before the Presiding Officer is terminated, the Presiding 
Officer shall issue an Initial Decision and Order thereon in accordance 
with the provisions of Sec. 511.51. If such a motion is granted as to 
all issues alleged in the complaint in regard to some, but not all, of 
the respondents, or is granted as to any part of the allegations in 
regard to any or all of the respondents, the Presiding Officer shall 
enter an order on the record and consider the remaining issues in the 
Initial Decision. The Presiding Officer may elect to defer ruling on a 
motion to dismiss until the close of the case.



Sec. 511.24  Interlocutory appeals.

    (a) General. Rulings of the Presiding Officer may not be appealed to 
the Administrator prior to the Initial Decision, except as provided 
herein.
    (b) Exceptions--(1) Interlocutory appeals to Administrator. The 
Administrator may, in his or her discretion, entertain interlocutory 
appeals where a ruling of the Presiding Officer:
    (i) Requires the production or disclosure of records claimed to be 
confidential;
    (ii) Requires the testimony of a supervisory official of the agency 
other than one especially cognizant of the facts of the matter in 
adjudication;
    (iii) Excludes an attorney from participation in a proceeding 
pursuant to Sec. 511.42(b).
    (2) Procedures for interlocutory appeals. Within ten (10) days of 
issuance of a ruling, any party may petition the Administrator to 
entertain an interlocutory appeal on a ruling in the categories 
enumerated above. The petition shall not exceed fifteen (15) pages. Any 
other party may file a response to the petition within ten (10) days of 
its service. The response shall not exceed fifteen (15) pages. The 
Administrator shall thereupon act upon the petition, or the 
Administrator shall request such further briefing or oral presentation 
as he may deem necessary.
    (3) Interlocutory appeals from all other rulings--(i) Grounds. 
Interlocutory appeals from all other rulings by the Presiding Officer 
may proceed only upon motion to the Presiding Officer and a 
determination by the Presiding Officer

[[Page 41]]

in writing, with justification in support thereof, that the ruling 
involves a controlling question of law or policy as to which there is 
substantial ground for differences of opinion and that an immediate 
appeal from the ruling may materially advance the ultimate termination 
of the litigation, or that subsequent review will be an inadequate 
remedy.
    (ii) Form. If the Presiding Officer determines, in accordance with 
paragraph (b)(3)(i) of this section that an interlocutory appeal may 
proceed, a petition for interlocutory appeal may be filed with and acted 
upon by the Administrator in accordance with paragraph (b)(2) of this 
section.
    (c) Proceedings not stayed. A petition for interlocutory appeal 
under this part shall not stay the proceedings before the Presiding 
Officer unless the Presiding Officer shall so order, except that a 
ruling of the Presiding Officer requiring the production of records 
claimed to be confidential shall be automatically stayed for a period of 
(10) days following the issuance of such ruling to allow an affected 
party the opportunity to file a petition for an interlocutory appeal 
pursuant to Sec. 511.24(b)(2). The filing of such a petition shall 
automatically extend the stay of such a ruling pending the 
Administrator's action on such petition.



Sec. 511.25  Summary decision and order.

    (a) Motion. Any party may move, with a supporting memorandum, for a 
Summary Decision and Order in its favor upon all or any of the issues in 
controversy. Complaint Counsel may so move at any time after thirty (30) 
days following issuance of a complaint, and any other party may so move 
at any time after issuance of a complaint. Any such motion by any party 
shall be filed at least twenty (20) days before the date fixed for the 
adjudicatory hearing.
    (b) Response to motion. Any other party may, within ten (10) days 
after service of the motion, file a response thereto with a supporting 
memorandum.
    (c) Grounds. A Summary Decision and Order shall be granted if the 
pleadings and any testimony upon oral examination, answers to 
interrogatories, admissions, and/or affidavits show that there is no 
genuine issue as to any material fact and that the moving party is 
entitled to a Summary Decision and Order as a matter of law.
    (d) Legal effect. A Summary Decision and Order upon all the issues 
being adjudicated shall constitute the Initial Decision of the Presiding 
Officer, and may be appealed to the Administrator in accordance with 
Sec. 511.53. A Summary Decision, interlocutory in character, may be 
rendered on fewer than all issues and may not be appealed prior to 
issuance of the Initial Decision, except in accordance with Sec. 511.24.
    (e) Case not fully adjudicated on motion. A Summary Decision and 
Order that does not dispose of the whole case shall include a statement 
of those material facts as to which there is no substantial controversy, 
and of those material facts that are actually and in good faith 
controverted. The Summary Order shall direct such further proceedings as 
are just.



Sec. 511.26  Settlement.

    (a) Applicability. This section applies only to cases of alleged 
violations of section 507(3) of the Motor Vehicle Information and Cost 
Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2007(3)). 
Settlement in other cases may be made only in accordance with subpart G 
of this part.
    (b) Availability. Any party shall have the opportunity to submit an 
offer of settlement to the Presiding Officer.
    (c) Form. Offers of settlement shall be in the form of a consent 
agreement and order, shall be signed by the party submitting the offer 
or his representative, and may be signed by any other party. Each offer 
of settlement shall be accompanied by a motion to transmit to the 
Administrator the proposed agreement and order, outlining the 
substantive provisions of the agreement, and the reasons why it should 
be accepted.
    (d) Contents. The proposed consent agreement and order which 
constitute the offer of settlement shall contain the following:
    (1) An admission of all jurisdictional facts;
    (2) An express waiver of further procedural steps, and of all rights 
to seek

[[Page 42]]

judicial review or otherwise to contest the validity of the order;
    (3) A description of the alleged noncompliance, or violation;
    (4) Provisions to the effect that the allegations of the complaint 
are resolved by the proposed consent agreement and order;
    (5) A listing of the acts or practices from which the respondent 
shall refrain;
    (6) A detailed statement of the corrective action(s) which the 
respondent shall excute and the civil penalty, if any, that respondent 
shall pay.
    (e) Transmittal. The Presiding Officer shall transmit to the 
Administrator for decision all offers of settlement and accompanying 
memoranda that meet the requirements enumerated in paragraph (d) of this 
section. The Presiding Officer may, but need not, recommend acceptance 
or rejection of such offers. Any party or participant may object to a 
proposed consent agreement by filing a motion and supporting memorandum 
with the Administrator.
    (f) Stay of proceedings. When an offer of settlement has been agreed 
to by the parties and has been transmitted to the Administrator, the 
proceedings shall be stayed until the Administrator has ruled on the 
offer. When an offer of settlement has been made and transmitted to the 
Administrator but has not been agreed to by all parties, the proceedings 
shall not be stayed pending the Administrator's decision on the offer.
    (g) Administrator's ruling. The Administrator will rule upon all 
transmitted offers of settlement. If the Administrator accepts the 
offer, the Administrator shall issue an appropriate order. The order 
shall become effective upon issuance. In determining whether to accept 
an offer of settlement, the Administrator will consider the gravity of 
the alleged violation, and any good faith efforts by the respondent to 
comply with applicable requirements.
    (h) Rejection. If the Administrator rejects an offer of settlement, 
the Administrator shall give written notice of that decision and the 
reasons therefor to the parties and the Presiding Officer. Promptly 
thereafter, the Presiding Officer shall issue an order notifying the 
parties of the resumption of the proceedings, including any 
modifications to the schedule resulting from the stay of the 
proceedings.
    (i) Effect of rejected offer. Rejected offers of settlement shall 
not be admissible in evidence over the objection of any signatory, nor 
shall the fact of the proposal of the offer be admissible in evidence.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



                Subpart D--Discovery; Compulsory Process



Sec. 511.31  General provisions governing discovery.

    (a) Applicability. The discovery rules established in this subpart 
are applicable to the discovery of information among the parties to a 
proceeding. Parties seeking information from persons not parties may do 
so by subpoena in accordance with Sec. 511.38.
    (b) Discovery methods. Parties may obtain discovery by one or more 
of the following methods: (1) Written interrogatories; (2) requests for 
production of documents or things; (3) requests for admissions; or (4) 
testimony upon oral examination. Unless the Presiding Officer otherwise 
orders under paragraph (d) of this section, the frequency of use of 
these methods is not limited.
    (c) Scope of discovery. The scope of discovery is as follows:
    (1) In general. Parties may obtain discovery regarding any matter 
not privileged, which is relevant to the subject matter involved in the 
proceedings, whether it relates to the claim or defense of the party 
seeking discovery or to the claim or defense of any other party. It is 
not ground for objection that the information sought will be 
inadmissible at the hearing if the information sought appears reasonably 
calculated to lead to the discovery of admissible evidence.
    (2) Exception. Parties may not obtain discovery of documents which 
accompanied the staff's recommendation as to whether a complaint should 
issue or of documents or portions thereof which would be exempt from 
discovery under Rule 26(b)(3) of the Federal Rules of Civil Procedure.
    (3) Hearing preparation: Experts. A party may obtain discovery of 
facts

[[Page 43]]

known and opinions held by experts, regardless of whether they are 
acquired or developed in anticipation of or for litigation. Such 
discovery may be had by any of the methods provided in paragraph (b) of 
this section.
    (d) Protective orders. Upon motion by a party or person and for good 
cause shown, the Presiding Officer may make any order which justice 
requires to protect such party or person from annoyance, embarrassment, 
competitive disadvantage, oppression or undue burden or expense, 
including one or more of the following: (1) That the discovery shall not 
be had; (2) that the discovery may be had only on specified terms and 
conditions, including a designation of the time and/or place; (3) that 
the discovery shall be had only by a method of discovery other than that 
selected by the party seeking discovery; (4) that certain matters shall 
not be inquired into, or that the scope of discovery shall be limited to 
certain matters; (5) that discovery shall be conducted with no one 
present except persons designated by the Presiding Officer; (6) that a 
trade secret or other confidential research, development, or commercial 
information shall not be disclosed or shall be disclosed only in a 
designated way or only to designated parties; and (7) that responses to 
discovery shall be placed in camera in accordance with Sec. 511.45.

If a motion for a protective order is denied in whole or in part, the 
Presiding Officer may, on such terms or conditions as are just, order 
that any party provide or permit discovery.
    (e) Sequence and timing of discovery. Discovery may commence at any 
time after filing of the answer. Unless otherwise provided in these 
Rules or by order of the Presiding Officer, methods of discovery may be 
used in any sequence and the fact that a party is conducting discovery 
shall not operate to delay any other party's discovery.
    (f) Supplementation of responses. A party who has responded to a 
request for discovery shall supplement the response with information 
thereafter acquired.
    (g) Completion of discovery. All discovery shall be completed as 
soon as practical but in no case longer than one hundred fifty (150) 
days after issuance of a complaint unless otherwise ordered by the 
Presiding Officer in exceptional circumstances and for good cause shown. 
All discovery shall be served by a date which affords the party from 
whom discovery is sought the full response period provided by these 
Rules.
    (h) Service and filing of discovery. All discovery requests and 
written responses, and all notices of the taking of testimony, shall be 
filed with the Docket Section and served on all parties and the 
Presiding Officer.
    (i) Control of discovery. The use of these discovery procedures is 
subject to the control of the Presiding Officer, who may issue any just 
and appropriate order for the purpose of ensuring their timely 
completion.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.32  Written interrogatories to parties.

    (a) Availability; procedures for use. Any party may serve upon any 
other party written interrogatories to be answered by the party served 
or, if the party served is a public or private corporation or a 
partnership or association or governmental agency, by any officer or 
agent, who shall furnish such information as is available to the party. 
Interrogatories may, without leave of the Presiding Officer, be served 
upon any party after filing of the answer.
    (b) Procedures for response. Each interrogatory shall be answered 
separately and fully in writing under oath, unless it is objected to, in 
which event the reasons for objection shall be stated in lieu of an 
answer. The answers are to be signed by a responsible representative of 
the respondent and the objections signed by the representative making 
them. The party upon whom the interrogatories have been served shall 
serve a copy of the answers, and objections if any, within 30 days after 
service of the interrogatories. The Presiding Officer may allow a 
shorter or longer time for response. The party submitting the 
interrogatories may move for an order under Sec. 511.36 with respect to 
any objection to or other failure to answer an interrogatory.

[[Page 44]]

    (c) Scope of interrogatories. Interrogatories may relate to any 
matters which can be inquired into under Sec. 511.31(c)(1), and the 
answers may be used to the extent permitted under this part. An 
interrogatory otherwise proper is not objectionable merely because an 
answer to the interrogatory would involve an opinion or contention that 
relates to fact or to the application of law to fact, but the Presiding 
Officer may order that such an interrogatory need not be answered until 
a later time.
    (d) Option to produce business records. Where the answer to an 
interrogatory may be derived or ascertained from the business records of 
the party upon whom the interrogatory has been served, or from an 
examination, audit or inspection of such business records, or from a 
compilation, abstract or summary based thereon, and the burden of 
deriving the answer is substantially the same for the party serving the 
interrogatory as for the party served, it is a sufficient answer to the 
interrogatory to specify the records from which the answer may be 
derived or ascertained and to afford to the party serving the 
interrogatory reasonable opportunity to examine, audit or inspect such 
records and to make copies, complications, abstracts, or summaries.



Sec. 511.33  Production of documents and things.

    (a) Scope. Any party may serve upon any other party a request (1) to 
produce and permit the party making the request, or someone acting on 
behalf of that party, to inspect and copy any designated documents 
(including writings, drawings, graphs, charts, photographs, phono-
records, and any other data-compilation from which information can be 
obtained, translated, if necessary, by the party in possession into 
reasonably usable form), or (2) to inspect and copy, test or sample 
tangible things which constitute or contain matters within the scope of 
Sec. 511.31(c)(1) and which are in the possession, custody or control of 
the party upon whom the request is served.
    (b) Procedure for request. The request may be served at any time 
after the filing of the answer without leave of the Presiding Officer. 
The request shall set forth the items to be inspected either by 
individual item or by category, and shall describe each item or category 
with reasonable particularity. The request shall specify a reasonable 
time, place and manner for making the inspection and performing the 
related acts.
    (c) Procedure for response. The party upon whom the request is 
served shall serve a written response within twenty (20) days after 
service of the request. The Presiding Officer may allow a shorter or 
longer time for response. The response shall state, with respect to each 
item or category requested, that inspection and related activities will 
be permitted as requested, unless the request is objected to, in which 
event the reasons for objection shall be stated. If objection is made to 
only part of an item or category, that part shall be so specified. The 
party submitting the request may move for an order under Sec. 511.36 
with respect to any objection to or other failure to respond to the 
request or any part thereof, or to any failure to permit inspection as 
requested.



Sec. 511.34  Requests for admission.

    (a) Procedure for request. A party may serve upon any other party a 
written request for the admission, for the purposes of the pending 
proceeding only, of the truth of any matters within the scope of 
Sec. 511.31(c)(1) set forth in the request that relate to statements or 
opinions of fact or of the application of law to fact, including the 
genuineness of documents described in the request. Copies of documents 
shall be served with the request unless they have been, or are otherwise 
furnished or made available for inspection and copying. The request may, 
without leave of the Presiding Officer, be served upon any party after 
filing of the answer. Each matter as to which an admission is requested 
shall be separately set forth.
    (b) Procedure for response. The matter as to which an admission is 
requested is deemed admitted unless within thirty (30) days after 
service of the request, or within such shorter or longer time as the 
Presiding Officer may allow, the party to whom the request is directed 
serves upon the party requesting the

[[Page 45]]

admission a written answer or objection addressed to the matter, signed 
by the party or the party's representatives. If objection is made, the 
reasons therefore shall be stated.

The answer shall specifically admit or deny the matter or set forth in 
detail the reasons why the answering party cannot truthfully admit or 
deny the matter. A denial shall fairly meet the substance of the 
requested admission. When good faith requires that a party qualify an 
answer or deny only a part of the matter as to which an admission is 
requested, the party shall specify the portion that is true and qualify 
or deny the remainder. An answering party may not give lack of 
information or knowledge as a reason for failure to admit or deny, 
unless the party states that he or she has made reasonable inquiry and 
that the information known or readily available to him or her is 
insufficient to enable him or her to admit or deny. A party who 
considers that a matter as to which an admission has been requested 
presents a genuine issue for hearing may not, on that ground alone, 
object to the request but may deny the matter or set forth reasons why 
the party cannot admit or deny it. The party who has requested an 
admission may move to determine the sufficiency of the answer or 
objection thereto in accordance with Sec. 511.36. If the Presiding 
Officer determines that an answer does not comply with the requirements 
of this section, he or she may order that the matter be deemed admitted 
or that an amended answer be served.
    (c) Effect of admission. Any matter admitted under this section is 
conclusively established unless the Presiding Officer on motion permits 
withdrawal or amendment of such admission. The Presiding Officer may 
permit withdrawal or amendment when the presentation of the merits of 
the action will be served thereby and the party that obtained the 
admission fails to satisfy the Presiding Officer that withdrawal or 
amendment will prejudice that party in maintaining an action or defense 
on the merits.



Sec. 511.35  Testimony upon oral examination.

    (a) When testimony may be taken. At any time after the answer is 
filed under Sec. 511.12, upon leave of the Presiding Officer and under 
such terms and conditions as the Presiding Officer may prescribe, any 
party may take the testimony of any other party, including the agents, 
employees, consultants or prospective witnesses of that party at a place 
convenient to the witness. The attendance of witnesses and the 
production of documents and things at the examination may be compelled 
by subpoena as provided in Sec. 511.38.
    (b) Notice of oral examination--(1) Examination of a party. A party 
desiring to examine another party to the proceeding shall, after 
obtaining leave from the Presiding Officer, serve written notice of the 
examination on all other parties and the Presiding Officer at least ten 
(10) days before the date of the examination. The notice shall state (i) 
the time and place for making the examination; (ii) the name and address 
of each person to be examined, if known, or if the name is not known, a 
general description sufficient to identify him; and (iii) the subject 
matter of the expected testimony. If a subpoena duces tecum is to be 
served on the person to be examined, the designation of the materials to 
be produced, as set forth in the subpoena, shall be attached to or 
included in the notice of examination.
    (2) Examination of a nonparty. A party desiring to examine a person 
who is not a party to the proceeding shall make application for a 
subpoena, in accordance with Sec. 511.38, to compel the attendance, 
testimony and/or production of documents by such person who is not a 
party. The party desiring such examination shall serve written notice of 
the examination on all other parties to the proceeding, after issuance 
of the subpoena by the Presiding Officer or a designated alternate.
    (3) Opposition to notice. A person served with a notice of 
examination may, within 3 days of the date of service, oppose, in 
writing, the examination. The Presiding Officer shall rule on the notice 
and any opposition and

[[Page 46]]

may order the taking of all noticed examinations, upon a showing of good 
cause therefor. The Presiding Officer may, for good cause shown, enlarge 
or shorten the time for the taking of an examination.
    (c) Persons before whom examinations may be taken. Examinations may 
be taken before any person authorized to administer oaths by the laws of 
the United States or of the place where the examination is held. No 
examination shall be taken before a person who is a relative or employee 
or attorney or representative of any party, or who is a relative or 
employee of such attorney or representative, or who is financially 
interested in the action.
    (d) Procedure--(1) Examination. Each witness shall be duly sworn, 
and all testimony shall be duly recorded. All parties or their 
representatives may be present and participate in the examination. 
Examination and cross-examination of witnesses may proceed as permitted 
at the hearing. Questions objected to shall be answered subject to the 
objections. Objections shall be in short form, and shall state the 
grounds relied upon. The questions propounded and the answers thereto, 
together with all objections made, shall be recorded by the official 
reporter before whom the examination is made. The original or a verified 
copy of all documents and things produced for inspection during the 
examination of the witness shall, upon a request of any party present, 
be marked for identification and annexed to the record of the 
examination.
    (2) Motion to terminate or limit examination. At any time during the 
examination, upon motion of any party or of the witness, and upon 
showing that the examination is being conducted in bad faith or in such 
manner as unreasonably to annoy, embarrass or oppress the witness or 
party, the Presiding Officer may, upon motion, order the party 
conducting the examination to terminate the examination, or may limit 
the scope and manner of the examination as provided in Sec. 511.31(d).
    (3) Participation by parties not present. In lieu of attending an 
examination, any party may serve written questions in a sealed envelope 
on the party conducting the examination. That party shall transmit the 
envelope to the official reporter, who shall unseal it and propound the 
questions contained therein to the witness.
    (e) Transcription and filing of testimony--(1) Transcription. Upon 
request by any party, the testimony recorded at an examination shall be 
transcribed. When the testimony is fully transcribed, the transcript 
shall be submitted to the witness for examination and signing, and shall 
be read to or by the witness, unless such examination and signature are 
waived by the witness. Any change in form or substance which the witness 
desires to make shall be entered upon the transcript of the official 
reporter with a statement of the reasons given by the witness for making 
them. The transcript shall then be signed by the witness, unless the 
parties by stipulation waive the signing, or the witness is ill or 
cannot be found or refuses to sign. If the transcript is not signed by 
the witness within thirty (30) days of its submission to him, the 
official reporter shall sign it and state on the record the fact of the 
waiver of signature or of the illness or absence of the witness or the 
fact of the refusal to sign, together with a statement of the reasons 
therefor. The testimony may then be used as fully as though signed, in 
accordance with paragraph (i) of this section.
    (2) Certification and filing. The official reporter shall certify on 
the transcript that the witness was duly sworn and that the transcript 
is a true record of the testimony given and corrections made by the 
witness. The official reporter shall then seal the transcript in an 
envelope endorsed with the title and docket number of the action and 
marked ``Testimony of [name of witness]'' and shall promptly file the 
transcript with the Docket Section. The Presiding Officer shall notify 
all parties of the filing of the transcript and the Docket Section shall 
furnish a copy of the transcript to any party or to the witness upon 
payment of reasonable charges therefor.
    (f) Costs of examination. The party who notices the examination 
shall pay for the examination. The party who requests transcription of 
the examination shall pay for the transcription.
    (g) Failure to attend or to serve subpoena; expenses. If a party who 
notices

[[Page 47]]

an examination fails to attend and proceed therewith and another party 
attends in person or by a representative pursuant to the notice, the 
Presiding Officer may order the party who gave the notice to pay the 
attending party the reasonable expenses incurred. If a party who notices 
an examination fails to serve a subpoena upon the witness and as a 
result the witness does not attend, and if another party attends in 
person or by a representative because that party expects the examination 
to be made, the Presiding Officer may order the party who gave notice to 
pay the attending party the reasonable expenses incurred.
    (h) Examination to preserve testimony--(1) When available. By leave 
of the Presiding Officer, a party may examine a witness for the purpose 
of perpetuating the testimony of that witness. A party who wishes to 
conduct such an examination shall obtain prior leave of the Presiding 
Officer by filing a motion. The motion shall include a showing of 
substantial reason to believe that the testimony could not be presented 
at the hearing. If the Presiding Officer is satisfied that the 
perpetuation of the testimony may prevent a failure of justice or is 
otherwise reasonably necessary, he or she shall order that the 
deposition be taken.
    (2) Procedure. Notice of an examination to preserve testimony shall 
be served at least fifteen (15) days prior to the examination. The 
examination shall be taken in accordance with the provisions of 
paragraph (d) of this section. Any examination taken to preserve 
testimony shall be fully transcribed and filed in accordance with 
paragraph (e) of this section.
    (i) Use of testimony obtained under this section. At the hearing or 
upon a motion or an interlocutory proceeding, any part or all of a 
deposition, so far as admissible under the rules of evidence applied as 
though the witness were then present and testifying, may be used against 
any party who was present or represented at the taking of the deposition 
or who had reasonable notice thereof, in accordance with any of the 
following provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of the deponent as a witness.
    (2) The deposition of a party or of a person who at the time of the 
taking of his testimony was an officer, director or managing agent of a 
party may be used against that party for any purpose.
    (3) The deposition of a witness, whether or not a party, may be used 
by any party for any purpose if the Presiding Officer finds:
    (i) That the witness is dead; or
    (ii) That the witness is at a greater distance than 100 miles from 
the place of the hearing, or is out of the United States, unless it 
appears that the absence of the witness was procured by the party 
offering the deposition; or
    (iii) That the witness is unable to attend or testify because of 
age, illness, infirmity, or imprisonment; or
    (iv) That the party offering the deposition has been unable to 
procure the attendance of the witness by subpoena; or
    (v) Upon application and notice, that such exceptional circumstances 
exist as to make it desirable, in the interest of justice and with due 
regard to the importance of presenting the testimony of witnesses orally 
in open court, to allow the deposition to be used.
    (4) If only part of a deposition is offered in evidence by a party, 
an adverse party may require him to introduce any other part which ought 
in fairness to be considered with the part introduced, and any party may 
introduce any other parts.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.36  Motions to compel discovery.

    If a party fails to respond to discovery, in whole or in part, the 
party seeking discovery may move within twenty (20) days for an order 
compelling an answer, or compelling inspection or production of 
documents, or otherwise compelling discovery. For purposes of this 
subsection, an evasive or incomplete response is to be treated as a 
failure to respond. If the motion is granted, the Presiding Officer 
shall issue an order compelling discovery. If the motion is denied in 
whole or in part, the Presiding Officer may make such protective order 
as he or she

[[Page 48]]

would have been empowered to make on a motion pursuant to 
Sec. 511.31(d). When making oral examinations, the discovering party 
shall continue the examination to the extent possible with respect to 
other areas of inquiry before moving to compel discovery.



Sec. 511.37  Sanctions for failure to comply with order.

    If a party fails to obey an order to provide or permit discovery, 
the Presiding Officer may take such action as is just, including but not 
limited to the following:
    (a) Infer that the admission, testimony, document or other evidence 
would have been adverse to the party;
    (b) Order that for the purposes of the proceeding, the matters 
regarding which the order was made or any other designated facts shall 
be taken to be established in accordance with the claim of the party 
obtaining the order;
    (c) Order that the party withholding discovery not introduce into 
evidence or otherwise rely, in support of any claim or defense, upon the 
documents or other evidence withheld;
    (d) Order that the party withholding discovery not introduce into 
evidence or otherwise use at the hearing, information obtained in 
discovery;
    (e) Order that the party withholding discovery not be heard to 
object to introduction and use of secondary evidence to show what the 
withheld admission, testimony, documents, or other evidence would have 
shown;
    (f) Order that a pleading, or part of a pleading, or a motion or 
other submission by the party, concerning which the order was issued, be 
stricken, or that decision on the pleadings be rendered against the 
party, or both; and
    (g) Exclude the party or representative from proceedings, in 
accordance with Sec. 511.42(b).

Any such action may be taken by order at any point in the proceedings.



Sec. 511.38  Subpoenas.

    (a) Availability. A subpoena shall be addressed to any party or any 
person not a party for the purpose of compelling attendance, testimony 
and production of documents at a hearing or oral examination.
    (b) Form. A subpoena shall identify the action with which it is 
connected; shall specify the person to whom it is addressed and the 
date, time and place for compliance with its provisions; and shall be 
issued by order of the Presiding Officer and signed by the Chief 
Counsel, or by the Presiding Officer. A subpoena duces tecum shall 
specify the books, papers, documents, or other materials or data-
compilations to be produced.
    (c) How obtained--(1) Content of application. An application for the 
issuance of a subpoena stating reasons shall be submitted in triplicate 
to the Presiding Officer.
    (2) Procedure of application. The original and two copies of the 
subpoena, marked ``original,'' ``duplicate'' and ``triplicate,'' shall 
accompany the application. The Presiding Officer shall rule upon an 
application for a subpoena ex parte, by issuing the subpoena or by 
issuing an order denying the application.
    (d) Issuance of a subpoena. The Presiding Officer shall issue a 
subpoena by signing and dating, or ordering the Chief Counsel to sign 
and date, each copy in the lower right-hand corner of the document. The 
``duplicate'' and ``triplicate'' copies of the subpoena shall be 
transmitted to the applicant for service in accordance with these Rules; 
the ``original'' copy shall be retained by or forwarded to the Chief 
Counsel for retention in the docket of the proceeding.
    (e) Service of a subpoena. A subpoena may be served in person or by 
certified mail, return receipt requested, as provided in Sec. 511.16(b). 
Service shall be made by delivery of the signed ``duplicate'' copy to 
the person named therein.
    (f) Return of service. A person serving a subpoena shall promptly 
execute a return of service, stating the date, time, and manner of 
service. If service is effected by mail, the signed return receipt shall 
accompany the return of service. In case of failure to make service, a 
statement of the reasons for the failure shall be made. The 
``triplicate'' of the subpoena, bearing or accompanied by the return of 
service, shall be returned forthwith to the Chief Counsel after service 
has been completed.

[[Page 49]]

    (g) Motion to quash or limit subpoena. Within five (5) days of 
receipt of a subpoena, the person against whom it is directed may file 
with the Presiding Officer a motion to quash, modify, or limit the 
subpoena, setting forth the reasons why the subpoena should be withdrawn 
or why it should be modified or limited in scope. Any such motion shall 
be answered within five (5) days of service, and shall be ruled on 
immediately thereafter. The order shall specify the date, if any, for 
compliance with the specifications of the subpoena and the reasons for 
the decision.
    (h) Consequences of failure to comply. In the event of failure to 
comply with a subpoena, the Presiding Officer may take any of the 
actions enumerated in Sec. 511.37 or may order any other appropriate 
relief to compensate for the withheld testimony, documents, or other 
materials. If in the opinon of the Presiding Officer such relief is 
insufficient, the Presiding Officer shall certify to the Administrator a 
request for judicial enforcement of the subpoena.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 26261, July 12, 1988]



Sec. 511.39  Orders requiring witnesses to testify or provide other information and granting immunity.

    (a) A party who desires the issuance of an order requiring a witness 
to testify or provide other information upon being granted immunity from 
prosecution under title 18, U.S.C., section 6002, may make a motion to 
that effect. The motion shall be made and ruled on in accordance with 
Sec. 511.22, and shall include a showing:
    (1) That the testimony or other information sought from a witness or 
prospective witness may be necessary to the public interest; and
    (2) That such individual has refused or is likely to refuse to 
testify or provide such information on the basis of that individual's 
privilege against self-incrimination.
    (b) If the Presiding Officer determines that the witness' testimony 
appears necessary and that the privilege against self-incrimination may 
be invoked, he or she may certify to the Administrator a request that he 
or she obtain the approval of the Attorney General of the United States 
for the issuance of an order granting immunity.
    (c) Upon application to and approval of the Attorney General of the 
United States, and after the witness has invoked the privilege against 
self-incrimination, the Presiding Officer shall issue the order granting 
immunity unless he or she determines that the privilege was improperly 
invoked.
    (d) Failure of a witness to testify after a grant of immunity or 
after a denial of the issuance of an order granting immunity shall 
result in the imposition of appropriate sanctions as provided in 
Sec. 511.37.



                           Subpart E--Hearings



Sec. 511.41  General rules.

    (a) Public hearings. All hearings pursuant to this part shall be 
public unless otherwise ordered by the Presiding Officer. Notice of the 
time and location of the hearing shall be served on each party and 
participant, and published in the Federal Register.
    (b) Expedition. Hearings shall proceed with all reasonable speed, 
insofar as practicable and with due regard to the convenience of the 
parties and shall continue without suspension until concluded, except in 
unusual circumstances.
    (c) Rights of parties. Every party shall have the right of timely 
notice and all other rights essential to a fair hearing, including, but 
not limited to, the rights to present evidence, to conduct such cross-
examination as may be necessary in the judgment of the Presiding Officer 
for a full and complete disclosure of the facts, and to be heard by 
objection, motion, brief, and argument.
    (d) Rights of participants. Every participant shall have the right 
to make a written or oral statement of position, file proposed findings 
of fact, conclusions of law and a posthearing brief, in accordance with 
Sec. 511.17(b).
    (e) Rights of witnesses. Any person compelled to testify in a 
proceeding in response to a subpoena may be accompanied, represented, 
and advised by counsel or other representative, and may obtain a 
transcript of his or her testimony at no cost.

[[Page 50]]



Sec. 511.42  Powers and duties of Presiding Officer.

    (a) General. A Presiding Officer shall have the duty to conduct 
full, fair, and impartial hearings, to take appropriate action to avoid 
unnecessary delay in the disposition of proceedings, and to maintain 
order. He or she shall have all powers necessary to that end, including 
the following powers:
    (1) To administer oaths and affirmations;
    (2) To compel discovery and to impose appropriate sanctions for 
failure to make discovery;
    (3) To issue subpoenas;
    (4) To rule upon offers of proof and receive relevant and probative 
evidence;
    (5) To regulate the course of the hearings and the conduct of the 
parties and their representatives therein;
    (6) To hold conferences for simplification of the issues, settlement 
of the proceedings, or any other proper purposes;
    (7) To consider and rule, orally or in writing, upon all procedural 
and other motions appropriate in an adjudicative proceeding;
    (8) To issue initial decisions, rulings, and orders, as appropriate;
    (9) To certify questions to the Administrator for determination; and
    (10) To take any action authorized in this part or in conformance 
with the provisions of title 5, U.S.C., sections 551 through 559.
    (b) Exclusion of parties by Presiding Officer. A Presiding Officer 
shall have the authority, for good cause stated on the record, to 
exclude from participation in a proceeding any party, participant, and/
or representative who shall violate requirements of Sec. 511.76. Any 
party, participant and/or representative so excluded may appeal to the 
Administrator in accordance with the provisions of Sec. 511.23. If the 
representative of a party or participant is excluded, the hearing shall 
be suspended for a reasonable time so that the party or participant may 
obtain another representative.
    (c) Substitution of Presiding Officer. In the event of the 
substitution of a new Presiding Officer for the one originally 
designated, any motion predicated upon such substitution shall be made 
within five (5) days of the substitution.
    (d) Interference. In the performance of adjudicative functions, a 
Presiding Officer shall not be responsible to or subject to the 
supervision or direction of the Administrator or of any officer, 
employee, or agent engaged in the performance of investigative or 
prosecuting functions for NHTSA. All directions by the Administrator to 
a Presiding Officer concerning any adjudicative proceeding shall appear 
on and be made a part of the record.
    (e) Disqualification of Presiding Officer. (1) When a Presiding 
Officer deems himself or herself disqualified to preside in a particular 
proceeding, he or she shall withdraw by notice on the record and shall 
notify the Chief Administrative Law Judge of the withdrawal.
    (2) Whenever, for any reason, any party shall deem the Presiding 
Officer to be disqualified to preside, or to continue to preside, in a 
particular proceeding, that party may file with the Chief Administrative 
Law Judge a motion to disqualify and remove, supported by affidavit(s) 
setting forth the alleged grounds for disqualification. A copy of the 
motion and supporting affidavit(s) shall be served by the Chief 
Administrative Law Judge on the Presiding Officer whose removal is 
sought. The Presiding Officer shall have ten (10) days from service to 
reply in writing. Such motion shall not stay the proceeding unless 
otherwise ordered by the Presiding Officer or the Administrator. If the 
Presiding Officer does not disqualify himself or herself, the 
Administrator will determine the validity of the grounds alleged, either 
directly or on the report of another Presiding Officer appointed to 
conduct a hearing for that purpose, and shall in the event of 
disqualification take appropriate action, by assigning another Presiding 
Officer or requesting assignment of another Administrative Law Judge 
through the Office of Hearings.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.43  Evidence.

    (a) Applicability of Federal Rules of Evidence. The Federal Rules of 
Evidence shall apply to proceedings held

[[Page 51]]

under this part only as a general guide. The Presiding Officer may admit 
any relevent and probative evidence.
    (b) Burden of proof. (1) Complaint counsel shall have the burden of 
sustaining the allegations of any complaint.
    (2) Any party who is the proponent of a legal and/or factual 
proposition shall have the burden of sustaining the proposition.
    (c) Presumptions. A presumption imposes on the party against whom it 
is directed the burden of going forward with evidence to rebut or meet 
the presumption, but does not shift to such party the burden of proof in 
the sense of the risk of nonpersuasion, which remains throughout the 
hearing upon the party on whom it was originally cast.
    (d) Admissibility. All relevant and reliable evidence is admissible, 
but may be excluded if its probative value is substantially outweighed 
by unfair prejudice or by considerations of undue delay, waste of time, 
immateriality, or needless presentation of cumulative evidence.
    (e) Official notice--(1) Definition. Official notice means use by 
the Presiding Officer of extra-record facts and legal conclusions drawn 
from those facts. An officially noticed fact or legal conclusion must be 
one not subject to reasonable dispute in that it is either (i) generally 
known within the jurisdiction of the Presiding Officer or (ii) known by 
the Presiding Officer in areas of his or her expertise; or (iii) capable 
of accurate and ready determination by resort to sources whose accuracy 
cannot reasonably be questioned.
    (2) Method of taking official notice. The Presiding Officer may at 
any time take official notice upon motion of any party or upon its own 
initiative. The record shall reflect the facts and conclusions which 
have been officially noticed.
    (3) Opportunity to challenge. Any party may upon application in 
writing rebut officially noticed facts and conclusions by supplementing 
the record. The Presiding Officer shall determine the permissible extent 
of this challenge; that is, whether to limit the party to presentation 
of written materials, whether to allow presentation of testimony, 
whether to allow cross-examination, or whether to allow oral argument. 
The Presiding Officer shall grant or deny the application on the record.
    (f) Objections and exceptions. Objections to evidence shall be 
timely interposed, shall appear on the record, and shall contain the 
grounds upon which they are based. Rulings on all objections, and the 
bases therefore, shall appear on the record. Formal exception to an 
adverse ruling is not required to preserve the question for appeal.
    (g) Offer of proof. When an objection to proffered testimony or 
documentary evidence is sustained, the sponsoring party may make a 
specific offer, either in writing or orally, of what the party expects 
to prove by the testimony or the document. When an offer of proof is 
made, any other party may make a specific offer, either in writing or 
orally, of what the party expects to present to rebut or contradict the 
offer of proof. Written offers of proof or of rebuttal, adequately 
marked for identification, shall accompany the record and be available 
for consideration by any reviewing authority.



Sec. 511.44  Expert witnesses.

    (a) Definition. An expert witness is one who, by reason of 
education, training, experience, or profession, has peculiar knowlege 
concerning the matter of science or skill to which his or her testimony 
relates and from which he or she may draw inferences based upon 
hypothetically stated facts or from facts involving scientific or 
technical knowledge.
    (b) Method of presenting testimony of expert witness. Except as may 
be otherwise ordered by the Presiding Officer, a detailed written 
statement of the elements of the direct testimony of an expert witness 
shall be filed on the record and exchanged between the parties no later 
than 10 days preceding the commencement of the hearing. The statement 
must contain a full explanation of the methodology underlying any 
analysis, and a full disclosure of the basis of any opinion. The direct 
testimony of an expert witness shall not include points not contained in 
the written statement. A party may waive direct examination of an expert 
witness

[[Page 52]]

by indicating that the written statement be considered the testimony of 
the witness. In such a case, the written testimony shall be incorporated 
into the record and shall constitute the testimony of the witness.
    (c) Cross-examination and redirect examination of expert witness. 
Cross-examination, redirect examination, and re-cross-examination of an 
expert witness will proceed in due course based upon the written 
testimony and any amplifying oral testimony.
    (d) Failure to file and/or to exchange written statement. Failure to 
file and/or to exchange the written statement of an expert witness as 
provided in this section shall deprive the sponsoring party of the use 
of the expert witness and of the conclusions which that witness would 
have presented.



Sec. 511.45  In camera materials.

    (a) Definition. In camera materials are documents, testimony, or 
other data which by order of the Presiding Officer or the Administrator, 
as appropriate under this part, are kept confidential and excluded from 
the public record. Only materials exempt under the Freedom of 
Information Act may be kept confidential and excluded from the public 
record. Pursuant to 49 CFR part 512, the Chief Counsel of the NHTSA is 
responsible for determining whether an alleged confidential business 
record is exempt from the Freedom of Information Act. The right of the 
Presiding Officer, the Administrator and reviewing courts to order 
disclosure of in camera materials is specifically reserved.
    (b) In camera treatment of documents and testimony. The Presiding 
Officer or the Administrator, as appropriate under this part, shall have 
authority, when good cause is found on the record, to order documents or 
testimony offered in evidence, whether admitted or rejected, to be 
received and preserved in camera. The order shall specify the length of 
time for in camera treatment and shall include:
    (1) A description of the documents and/or testimony;
    (2) The reasons for granting in camera treatment for the specified 
length of time.
    (c) Access and disclosure to parties. (1) The Administrator and 
Presiding Officer, and their immediate advisory staffs shall have 
complete access to all in camera materials. All other parties shall also 
have complete access to all in camera materials, except that these 
parties may seek access only in accordance with paragraph (c)(2) of this 
section when:
    (i) The in camera materials consist of information obtained by the 
government from persons not parties to the proceeding; or
    (ii) The in camera materials consist of information provided by one 
of the parties to the proceeding which is confidential as to the other 
parties to the proceeding.
    (2) Any party desiring access to and/or disclosure of the in camera 
materials specified in paragraph (c)(1) (i) and (ii) of this section for 
the preparation and presentation of that party's case shall make a 
motion which sets forth the justification therefor. The Presiding 
Officer or the Administrator, as appropriate under this part, may grant 
such motion on the record for substantial good cause shown and shall 
enter a protective order prohibiting unnecessary disclosure and 
requiring other necessary safeguards. The Presiding Officer or the 
Administrator, as appropriate, may examine the in camera materials and 
excise portions thereof before disclosing the materials to the moving 
party.
    (d) Segregation of in camera materials. In camera materials shall be 
segregated from the public record and protected from public view.
    (e) Public release of in camera materials. In camera materials 
constitute a part of the confidential records of the NHTSA and shall not 
be released to the public until the expiration of in camera treatment.
    (f) Reference to in camera materials. In the submission of proposed 
findings, conclusions, briefs, or other documents, all parties shall 
refrain from disclosing specific details of in camera materials. Such 
refraining shall not preclude general references to such materials. To 
the extent that parties consider it necessary to include specific 
details of in camera materials, the references shall be incorporated 
into separate proposed findings, briefs, or other documents marked 
``CONFIDENTIAL,

[[Page 53]]

CONTAINS IN CAMERA MATERIAL,'' which shall be placed in camera and 
become part of the in camera record. These documents shall be served 
only on parties accorded access to the in camera materials in accordance 
with paragraph (c)(2) of this section.



Sec. 511.46  Proposed findings, conclusions, and order.

    Within a reasonable time after the closing of the record and receipt 
of the transcript, all parties and participants may, simultaneously, 
file post-hearing briefs, including proposed findings of fact, 
conclusions of law and a proposed order, together with reasons 
therefore. The Presiding Officer shall establish a date certain for the 
filing of the briefs, which shall not exceed 45 days after the close of 
the record except in unusual circumstances. The briefs shall be in 
writing, shall be served upon all parties, and shall contain adequate 
references to the record and authorities relied on. Replies shall be 
filed within fifteen (15) days of the date for the filing of briefs 
unless otherwise established by the Presiding Officer. The parties and 
participants may waive either or both submissions.



Sec. 511.47  Record.

    (a) Reporting and transcription. Hearings shall be recorded and 
transcribed under the supervision of the Presiding Officer by a reporter 
appointed by the Administrator. The original transcript shall be a part 
of the record and the official transcript. Copies of transcripts are 
available from the reporter at a cost not to exceed the maximum rates 
fixed by contract between the NHTSA and the reporter.
    (b) Corrections. Corrections of the official transcript may be made 
only when they involve errors affecting substance and then only in the 
manner herein provided. The Presiding Officer may order corrections, 
either on his or her own motion or on motion of any party. The Presiding 
Officer shall determine the corrections to be made and so order. 
Corrections shall be interlineated or otherwise inserted in the official 
transcript so as not to obliterate the original text.



Sec. 511.48  Official docket.

    (a) The official docket in adjudicatory proceedings will be 
maintained in the Docket Section, Office of the Secretary, Room 4107, 
400 Seventh Street SW., Washington, DC 20590, and will be available for 
inspection during normal working hours (9:00 a.m.-5:00 p.m.) Monday 
through Friday.
    (b) Fees for production or disclosure of records contained in the 
official docket shall be levied as prescribed in the Department of 
Transportation's regulations on Public Availability of Information (49 
CFR part 7).

[53 FR 15783, May 3, 1988]



Sec. 511.49  Fees.

    (a) Witnesses. Any person compelled to appear in person in response 
to a subpoena or notice of oral examination shall be paid at least the 
same attendance and mileage fees as are paid witnesses in the courts of 
the United States, in accordance with title 28, U.S.C., section 1821.
    (b) Responsibility. The fees and mileage referred to in this section 
shall be paid by the party at whose instance witnesses appear.



                           Subpart F--Decision



Sec. 511.51  Initial decision.

    (a) When filed. The Presiding Officer shall endeavor to file an 
Initial Decision with the Administrator within sixty (60) days of the 
close of the record, the filing of post-hearing briefs, or the filing of 
replies thereto, whichever is latest.
    (b) Content. The Initial Decision shall be based upon a 
consideration of the entire record and it shall be supported by 
reliable, probative, and substantial evidence. It shall include:
    (1) Findings and conclusions, as well as the reasons or bases 
therefor, upon the material questions of fact, material issues of law, 
or discretion presented on the record, and should, where practicable, be 
accompanied by specific page citations to the record and to legal and 
other materials relied upon.
    (2) An appropriate order.
    (c) By whom made. The Initial Decision shall be made and filed by 
the Presiding Officer who presided over the

[[Page 54]]

hearing, unless otherwise ordered by the Administrator.
    (d) Reopening of proceeding by presiding officer; termination of 
jurisdiction. (1) At any time prior to or concomitant with the filing of 
the Initial Decision, the Presiding Officer may reopen the proceedings 
for the reception of further evidence.
    (2) Except for the correction of clerical errors, the jurisdiction 
of the Presiding Officer is terminated upon the filing of the Initial 
Decision, unless and until the proceeding is remanded to the Presiding 
Officer by the Administrator.



Sec. 511.52  Adoption of initial decision.

    The Initial Decision and Order shall become the Final Decision and 
Order of the Administrator forty (40) days after issuance unless an 
appeal is noted and perfected or unless review is ordered by the 
Administrator. Upon the expiration of the fortieth day, the Executive 
Secretary shall prepare, sign and enter an order adopting the Initial 
Decision and Order.



Sec. 511.53  Appeal from initial decision.

    (a) Who may file notice of intention. Any party may appeal an 
Initial Decision to the Administrator provided that within ten (10) days 
after issuance of the Initial Decision such party files and serves a 
notice of intention to appeal.
    (b) Appeal brief. The appeal shall be in the form of a brief, filed 
within forty (40) days after service of the Initial Decision, duly 
served upon all parties and participants. The appeal brief shall 
contain, in the order indicated, the following:
    (1) A subject index of the matters in the brief, with page 
references, and a table of cases (alphabetically arranged), textbooks, 
statutes, and other material cited, with page references thereto;
    (2) A concise statement of the case;
    (3) A specification of the position urged;
    (4) The argument, presenting clearly the points of fact and law 
relied upon in support of the position on each question, with specific 
page references to the record and the legal or other material relied 
upon; and
    (5) A proposed form of order for the Administrator's consideration 
in lieu of the order contained in the Initial Decision.
    (c) Answering brief. Within thirty (30) days after service of the 
appeal brief upon all parties and participants, any party may file an 
answering brief which shall also contain a subject index, with page 
references, and a table of cases (alphabetically arranged), textbooks, 
statutes, and other material cited, with page references thereto. Such 
brief shall present clearly the points of fact and law relied upon in 
support of the position taken on each question, with specific page 
references to the record and legal or other material relied upon.
    (d) Participant's brief. Within thirty (30) days after service of 
the appeal brief upon all parties and participants, any participant may 
file an appeal brief which should contain a subject index, with page 
references, and a table of authorities being relied upon. Such brief 
shall present clearly the position taken by the participant on each 
question raised by the appellant(s).
    (e) Cross appeal. If a timely notice of appeal is filed by a party, 
any other party may file a notice of cross-appeal within ten (10) days 
of the date on which the first notice of appeal was filed. Cross-appeals 
shall be included in the answering brief and shall conform to the 
requirements for form, content and filing specified in paragraph (c) of 
this section. If an appeal is noticed but not perfected, no cross-appeal 
shall be permitted and the notice of cross-appeal shall be deemed void.
    (f) Reply brief. A reply brief shall be limited to rebuttal of 
matters in answering briefs, including matters raised in cross-appeals. 
A reply brief shall be filed and within fourteen (14) days after service 
of an answering brief, or on the day preceding the oral argument, 
whichever comes first.
    (g) Oral argument. The purpose of an oral argument is to emphasize 
and clarify the issues. Any party may request oral argument. The 
Administrator may order oral argument upon request or upon his or her 
own initiative. All oral arguments shall be reported and transcribed.

[[Page 55]]



Sec. 511.54  Review of initial decision in absence of appeal.

    The Administrator may, by order, review a case not otherwise 
appealed by a party. Thereupon the parties shall and participants may 
file briefs in accordance with Sec. 511.53(b), (c), (d), (e), and (f) 
except that the Administrator may, in his or her discretion, establish a 
different briefing schedule in his or her order. Any such order shall 
issue within forty (40) days of issuance of the Initial Decision. The 
order shall set forth the issues which the Administrator will review.



Sec. 511.55  Final decision on appeal or review.

    (a) Upon appeal from or review of an Initial Decision, the 
Administrator shall consider such parts of the record as are cited or as 
may be necessary to resolve the issues presented and, in addition, 
shall, to the extent necessary or desirable, exercise all the powers 
which he or she could have exercised if he or she had made the Initial 
Decision.
    (b) In rendering his or her decision, the Administrator shall adopt, 
modify, or set aside the findings, conclusions, and order contained in 
the Initial Decision, and shall include in his or her Final Decision a 
statement of the reasons or bases for his or her action. The 
Administrator shall issue an order reflecting his or her Final Decision.



Sec. 511.56  Reconsideration.

    Within twenty (20) days after issuance of a Final Decision and 
Order, any party may file with the Administrator a petition for 
reconsideration of such decision or order, setting forth the relief 
desired and the grounds in support thereof. Any party desiring to oppose 
such a petition shall file an answer thereto within ten (10) days after 
service of the petition. The filing of a petition for reconsideration 
shall not stay the effective date of the Decision and Order or toll the 
running of any statutory time period affecting the decision or order 
unless specifically so ordered by the Administrator.



Sec. 511.57  Effective date of order.

    (a) Consent orders. An order which has been issued following 
acceptance of an offer of settlement in accordance with Sec. 511.26 
becomes effective upon issuance.
    (b) Litigated orders. All other orders become effective upon the 
expiration of the statutory period for court review specified in section 
508(c)(1) of the Motor Vehicle Information and Cost Savings Act, title 
15, U.S.C. section 2008(c)(1), Pub. L. 94-163, 89 Stat. 911, or, if a 
petition for review has been filed, upon court affirmance of the 
Administrator's order.



 Subpart G--Settlement Procedure in Cases of Violation of Average Fuel 
                            Economy Standards



Sec. 511.61  Purpose.

    This subpart establishes the procedures and requirements necessary 
to obtain a settlement of a case of violation of section 507 (1) or (2) 
of the Motor Vehicle Information and Cost Savings Act, as amended, Pub. 
L. 94-163, 89 Stat. 911 (15 U.S.C. section 2007(1)(2)). No settlement of 
such cases may be had except as in accordance with this subpart.



Sec. 511.62  Definitions.

    Average fuel economy standard means an average fuel economy standard 
established by or pursuant to the Motor Vehicle Information and Cost 
Savings Act.
    Insolvency means the inability to meet expenses when due.
    Settlement means a compromise, modification, or remission of a civil 
penalty assessed under this part for a violation of an average fuel 
economy standard.



Sec. 511.63  Criteria for settlement.

    Settlement of a case of violation of an average fuel economy 
standard is discretionary with the Administrator. The Administrator will 
consider settlement only to the extent:
    (a) Necessary to prevent the insolvency or bankruptcy of the person 
seeking settlement, or
    (b) That the violation of the average fuel economy standard 
resulted, as shown by the person seeking settlement, from an act of God, 
a strike, or fire, or

[[Page 56]]

    (c) That modification of a civil penalty assessed under this part is 
necessary to prevent lessening of competition, as determined and as 
certified by the Federal Trade Commission under section 508(b)(4) of the 
Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 
911 (15 U.S.C. section 2008(b)(4)).



Sec. 511.64  Petitions for settlement; timing, contents.

    (a) A petition seeking settlement under this subpart must be filed 
within 30 days after the issuance of a final order assessing a civil 
penalty for a violation of an average fuel economy standard.
    (b)(1) A petition for settlement should be sufficient to allow the 
Administrator to determine that at least one of the criteria set out in 
Sec. 511.63 is satisfied, and that the public interest would be served 
by settlement.
    (2) A petition asserting that settlement is necessary to prevent 
bankruptcy or insolvency must include:
    (i) Copies of all pertinent financial records, auditor's reports, 
and documents that show that the imposition of a civil penalty would 
cause insolvency, or would cause a company to do an act of bankruptcy, 
and
    (ii) A payment schedule that would allow the petitioner to pay a 
civil penalty without resulting in insolvency or an act of bankruptcy.
    (3) A petition asserting that the violation of the average fuel 
economy standard was caused by an act of God, fire, or strike must 
describe corrective and ameliorative steps taken to mitigate the effects 
of the act of God, fire, or strike.
    (4) A petition based on a certification by the Federal Trade 
Commission that modification of the civil penalty assessed is necessary 
to prevent a substantial lessening of competition must include a 
certified copy of:
    (i) The application to the Federal Trade Commission for a 
certification under section 508(b)(4) of the Motor Vehicle Information 
and Cost Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. 
2008(b)(4)), and materials supporting the application.
    (ii) The administrative record of any Federal Trade Commission 
proceeding held in regard to the application, and
    (iii) The certification by the Federal Trade Commission.
    (c) It is the policy of the National Highway Traffic Safety 
Administration that unconditional settlements of violations of average 
fuel economy standards are not in the public interest, and absent 
special and extraordinary circumstances, will not be allowed. All 
petitions for settlement shall contain a section proposing conditions 
for settlement. Conditions for settlement can be specific acts designed 
to lead to the reduction of automotive fuel consumption, which the 
petitioner is not otherwise required to perform pursuant to any statute, 
regulation, or administrative or judicial order, such as sponsoring 
public education programs, advertising, accelerating commercial 
application of technology, accelerating technology development programs, 
or making public the results of privately performed studies, surveys, or 
research activities.



Sec. 511.65  Public comment.

    Notice and opportunity for comment are provided to the public in 
regard to settlements under this part. Subject to Sec. 511.66, notice of 
receipt of a petition for settlement is published in the Federal 
Register, and a copy of such petitions and any supporting information is 
placed in a public docket. Any settlement agreed to by the Administrator 
shall be placed in the public docket for 30 days so that interested 
persons may comment thereon. No settlement is binding until the 
completion of that thirty day period.



Sec. 511.66  Confidential business information.

    The Administrator shall have authority to segregate from the public 
docket and to protect from public view information in support of a 
petition for settlement which has been determined to be confidential 
business information. The provisions of 15 U.S.C. 2005(d) pertaining to 
discretionary release by the Administrator of and to limited disclosure 
of information determined to be confidential business information shall 
apply to this section.

[[Page 57]]



Sec. 511.67  Settlement order.

    If, in accordance with this subpart, the Administrator allows a 
settlement of a case of violation of an average fuel economy standard, 
an order of settlement shall be issued, setting out the terms of the 
settlement, and containing a brief discussion of the factors underlying 
the exercise of the Administrator's discretion in allowing the 
settlement, including a discussion of comments received under 
Sec. 511.65. If the Administrator rejects a petition for settlement, the 
Administrator shall give written notice of the rejection and the reasons 
for the rejection to the parties and the Presiding Officer.

[53 FR 15783, May 3, 1988]



              Subpart H--Appearances; Standards of Conduct



Sec. 511.71  Who may make appearances.

    A party or participant may appear in person, or by a duly authorized 
officer, partner, regular employee, or other agent of this party or 
participant, or by or with counsel or other duly qualified 
representative, in any proceeding under this part.



Sec. 511.72  Authority for representation.

    Any individual acting in a representative capacity in any 
adjudicative proceeding may be required by the Presiding Officer or the 
Administrator to show his or her authority to act in such capacity. A 
regular employee of a party who appears on behalf of the party shall be 
required by the Presiding Officer or the Administrator to show his or 
her authority to so appear.



Sec. 511.73  Written appearances.

    (a) Any person who appears in a proceeding shall file a written 
notice of appearance with the Executive Secretary or deliver a written 
notice of appearance to the reporter at the hearing, stating for whom 
the appearance is made and the name, address, and telephone number 
(including area code) of the person making the appearance and the date 
of the commencement of the appearance. The written appearance shall be 
made a part of the record.
    (b) Any person who has previously appeared in a proceeding may 
withdraw his or her appearance by filing a written notice of withdrawal 
of appearance with the Docket Section. The notice of withdrawal shall 
state the name, address, and telephone number (including area code) of 
the person withdrawing the appearance, for whom the appearance was made, 
and the effective date of the withdrawal of the appearance, and such 
notice of withdrawal shall be filed within five (5) days of the 
effective date of the withdrawal of the appearance.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.74  Attorneys.

    An attorney at law who is admitted to practice before the Federal 
courts or before the highest court of any State, the District of 
Columbia, or any territory or Commonwealth of the United States, may 
practice before the NHTSA. An attorney's own representation that he or 
she is in good standing before any of such courts shall be sufficient 
proof thereof, unless otherwise ordered by the Presiding Officer or the 
Administrator.



Sec. 511.75  Persons not attorneys.

    (a) Any person who is not an attorney at law may be admitted to 
appear in an adjudicative proceeding if that person files proof to the 
satisfaction of the Presiding Officer that he or she possesses the 
necessary legal, technical or other qualifications to render valuable 
service in the proceeding and is otherwise competent to advise and 
assist in the presentation of matters in the proceedings. An application 
by a person not an attorney at law to appear in a proceeding shall be 
submitted in writing to the Docket Section, not later than thirty (30) 
days prior to the hearing in the proceedings. The application shall set 
forth the applicant's qualifications to appear in the proceedings.
    (b) No person who is not an attorney at law and whose application 
has not been approved shall be permitted to appear in the 
Administration's proceedings. However, this provision shall not apply to 
any person who appears before the NHTSA on his or her own behalf or on 
behalf of any corporation, partnership, or association of which

[[Page 58]]

the person is a partner, officer, or regular employee.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]



Sec. 511.76  Qualifications and standards of conduct.

    (a) The NHTSA expects all persons appearing in proceedings before it 
to act with integrity, with respect, and in an ethical manner. Business 
transacted before and with the NHTSA shall be in good faith.
    (b) To maintain orderly proceedings, the Presiding Officer or the 
Administrator, as appropriate under this part, may exclude parties, 
participants, and their representatives for refusal to comply with 
directions, continued use of dilatory tactics, refusal to adhere to 
reasonable standards of orderly and ethical conduct, failure to act in 
good faith, or violation of the prohibition against certain ex parte 
communications. The Presiding Officer may, in addition to the above 
sanctions, deny access to additional in camera materials when a party or 
participant publicly releases such materials without authorization.
    (c) An excluded party, participant, or representative thereof may 
petition the Administrator to entertain an interlocutory appeal in 
accordance with Sec. 511.24. If, after such appeal, the representative 
of a party or participant, is excluded, the hearing shall, at the 
request of the party or participant, be suspended for a reasonable time 
so that the party or participant may obtain another representative.



Sec. 511.77  Restrictions as to former members and employees.

    The postemployee restrictions applicable to former Administrators 
and NHTSA employees, as set forth in 18 U.S.C. 207, shall govern the 
activities of former Administrators and NHTSA employees in matters 
connected with their former duties and responsibilities.



Sec. 511.78  Prohibited communications.

    (a) Applicability. This section is applicable during the period 
commencing with the date of issuance of a complaint and ending upon 
final NHTSA action in the matter.
    (b) Definitions. (1) ``Decision-maker'' means those NHTSA personnel 
who render decisions in adjudicative proceedings under this part, or who 
advise officials who render such decisions, including:
    (i) The Administrator,
    (ii) The Administrative Law Judges;
    (2) ``Ex parte communication'' means:
    (i) Any written communication other than a request for a status 
report on the proceeding made to a decisionmaker by any person other 
than a decisionmaker which is not served on all parties,
    (ii) Any oral communication other than a request for a status report 
on the proceeding made to a decisionmaker by any person other than a 
decisionmaker without advance notice to the parties to the proceeding 
and opportunity for them to be present.
    (c) Prohibited ex parte communications. Any oral or written ex parte 
communication relative to the merits of a proceeding under this part is 
a prohibited ex parte communication, except as provided in paragraph (d) 
of this section.
    (d) Permissible ex parte communications. The following 
communications shall not be prohibited under this section:
    (1) Ex parte communications authorized by statute or by this part.
    (2) Any staff communication concerning judicial review or judicial 
enforcement in any matter pending before or decided by the 
Administrator.
    (e) Procedures for handling prohibited ex parte communication. (1) 
Prohibited written ex parte communication. To the extent possible, a 
prohibited written ex parte communication received by any NHTSA employee 
shall be forwarded to the Docket Section rather than to a decisionmaker. 
A prohibited written ex parte communication which reaches a 
decisionmaker shall be forwarded by the decisionmaker to the Docket 
Section. If the circumstances in which a prohibited ex parte written 
communication was made are not apparent from the communication itself, a 
statement describing those circumstances shall be forwarded with the 
communication.
    (2) Prohibited oral ex parte communication. (i) If a prohibited oral 
ex

[[Page 59]]

parte communication is made to a decisionmaker, he or she shall advise 
the person making the communication that the communication is prohibited 
and shall terminate the discussion.
    (ii) In the event of a prohibited oral ex parte communication, the 
decisionmaker shall forward to the Docket Section a dated statement 
containing such of the following information as is known to him/her:
    (A) The title and docket number of the proceeding;
    (B) The name and address of the person making the communication and 
his/her relationship (if any) to the parties to the proceeding;
    (C) The date and time of the communication, its duration, and the 
circumstances (telephone call, personal interview, etc.) under which it 
was made;
    (D) A brief statement of the substance of the matters discussed;
    (E) Whether the person making the communication persisted in doing 
so after being advised that the communication was prohibited.
    (3) All communications and statements forwarded to the Docket 
Section under this section shall be placed in the public file which 
shall be associated with, but not made a part of, the record of the 
proceedings to which the communication or statement pertains.
    (4) Service on parties. The Administrator shall serve a copy of each 
communication and statement forwarded under this section on all parties 
to the proceedings. However, if the parties are numerous, or if other 
circumstances satisfy the Administrator that service of the 
communication or statement would be unduly burdensome, he or she may, in 
lieu of service, notify all parties in writing that the communication or 
statement has been made and filed and that it is available for 
inspection and copying.
    (5) Service on maker. The Administrator shall forward to the person 
who made the prohibited ex parte communication a copy of each 
communication or statement filed under this section.
    (f) Effect of ex parte communications. No prohibited ex parte 
communication shall be considered as part of the record for decision 
unless introduced into evidence by a party to the proceedings.
    (g) Sanctions. A party or participant who makes a prohibited ex 
parte communication, or who encourages or solicits another to make any 
such communication, may be subject to any appropriate sanction or 
sanctions, including, but not limited to, exclusion from the proceedings 
and adverse rulings on the issues which are the subject of the 
prohibited communication.

[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]

                   Appendix I--Final Prehearing Order

                              Case Caption

                         Final Prehearing Order

    A prehearing conference was held in this matter pursuant to Rule 21 
of the Administration's Rules of Practice for Adjudicative Proceedings, 
on the ____________________ day of ____________________, 19____, at ____ 
o'clock __ M.

    Counsel appeared as follows:

For the Administration staff:

For the Respondent(s):
Others:

    1. NATURE OF ACTION AND JURISDICTION.

               This is an action for ____________________

_______________________________________________________________________

and the jurisdiction of the Administration is involved under Section 
____ of Title --. U.S.C. The jurisdiction of the Administration is (not) 
disputed. The questions of jurisdiction was decided as follows:

    2. STIPULATIONS AND STATEMENTS.

    The following stipulations and statements were submitted, attached 
to, and made a part of this order:
    (a) A comprehensive written stipulation or statement of all 
uncontested facts;
    (b) A concise summary of the ultimate facts as claimed by each 
party. (Complaint Counsel must set forth the claimed facts, 
specifically; for example, if violation is claimed, Complaint Counsel 
must assert specifically the acts of violation complained of; each 
respondent must reply with equal clarity and detail.)
    (c) Written stipulations or statements setting forth the 
qualifications of the expert witnesses to be called by each party;
    (d) A written list or lists of the witnesses whom each party will 
call, a written list or lists of the additional witnesses whom each 
party may call, and a statement of the subject on which each witness 
will testify;

[[Page 60]]

    (e) An agreed statement of the contested issues of fact and of law, 
and/or separate statements by each party or any contested issues of fact 
and law not agreed to;
    (f) A list of all depositions to be read into evidence and 
statements of any objections thereto;
    (g) A list and brief description of any charts, graphs, models, 
schematic diagrams, and similar objects that will be used in opening 
statements or closing arguments, but will not be offered in evidence. If 
any other such objects are to be used by any party, they will be 
submitted to opposing counsel at least three days prior to hearing. If 
there is then any objection to their use, the dispute will be submitted 
to the Presiding Officer at least one day prior to hearing;
    (h) Written waivers of claims or defenses which have been abandoned 
by the parties.

The foregoing were modified at the pretrial conference as follows:

  [To be completed at the conference itself. If none, recite ``none'']

    3. COMPLAINT COUNSEL'S EVIDENCE.
    3.1  The following exhibits were offered by Complaint Counsel, 
received in evidence, and marked as follows:

      [Identification number and brief description of each exhibit]

The authenticity of these exhibits has been stipulated.
    3.2  The following exhibits were offered by the Complaint Counsel 
and marked for identification. There was reserved to the respondent(s) 
and party intervenors, if any, the right to object to their receipt in 
evidence on the grounds stated:

  [Identification number and brief description of each exhibit. State 
 briefly ground of objection, e.g., competency, relevancy, materiality]

    4. RESPONDENT'S EVIDENCE.

    4.1  The following exhibits were offered by the respondent(s), 
received in evidence, and marked as herein indicated:

      [Identification number and brief description of each exhibit]

The authenticity of these exhibits has been stipulated.

    4.2  The following exhibits were offered by the respondent(s) and 
marked for identification. There was reserved to Complaint Counsel and 
party intervenors, if any, the right to object to their receipt in 
evidence on the grounds stated:
[Identification number and brief description of each exhibit. State 
briefly ground of objection, e.g., competency, relevancy, materiality]

    5. ADDITIONAL ACTIONS.

The following additional action was taken:

[Amendments to pleadings, agreements of the parties, disposition of 
motions, separation of issues of liability and remedy, etc., if 
necessary]

    6. LIMITATIONS AND RESERVATIONS.

    6.1  Each of the parties has the right to further supplement the 
list of witnesses not later than ten (10) days prior to trial by 
furnishing opposing counsel with the name and address of the witness and 
general subject matter of his or her testimony and filing a supplement 
to this pretrial order. Thereafter additional witnesses may be added 
only after application to the Presiding Officer, for good cause shown.
    6.2  Rebuttal witnesses not listed in the exhibits to this order may 
be called only if the necessity of their testimony could not reasonably 
be foreseen ten (10) days prior to trial. If it appears to counsel at 
any time before trial that such rebuttal witnesses will be called, 
notice will immediately be given to opposing counsel and the Presiding 
Officer.
    6.3  The probable length of hearing is -- days. The hearings will be 
commenced on the ____ day of __________, 19____, at ____ o'clock __ M. 
at (location) __________.
    6.4  Prehearing briefs will be filed not later than 5:00 p.m. on 
________. (Insert date not later than ten (10) days prior to hearing.) 
All anticipated legal questions, including those relating to the 
admissibility of evidence, must be covered by prehearing briefs.
    This prehearing order has been formulated after a conference at 
which counsel for the respective parties appeared. Reasonable 
opportunity has been afforded counsel for corrections or additions prior 
to signing. It will control the course of the hearing, and it may not be 
amended except by consent of the parties and the Presiding Officer, or 
by order of the Presiding Officer to prevent manifest injustice.


_______________________________________________________________________

(Presiding Officer's Name)
(Presiding Officer's Title)

APPROVED AS TO FORM AND SUBSTANCE

Date: __________.

_______________________________________________________________________

Complaint Counsel.


_______________________________________________________________________

Attorney for Respondent(s).

    Note: Where intervenors appear pursuant to Sec. 511.17 the 
prehearing order may be suitably modified; the initial page may be 
modified to reflect the intervention.


[[Page 61]]





PART 512--CONFIDENTIAL BUSINESS INFORMATION--Table of Contents




Sec.
512.1  Purpose and scope.
512.2  Applicability.
512.3  Definitions.
512.4  Asserting a claim for confidential treatment of information.
512.5  Substantive standards for affording confidential treatment.
512.6  Determination of confidential treatment.
512.7  Petitions for reconsideration upon denial of a request for 
          confidential treatment.
512.8  Modification of confidentiality determinations.
512.9  Release of confidential business information.
512.10  Class determinations.

Appendix A to Part 512--Certificate In Support of Request for 
          Confidentiality
Appendix B to Part 512--Class Determinations
Appendix C to Part 512--OMB Clearance

    Authority: 49 U.S.C. 322; 5 U.S.C. 552; 15 U.S.C. 1401; 15 U.S.C. 
1402; 15 U.S.C. 1407; 15 U.S.C. 1418; 15 U.S.C. 1914; 15 U.S.C. 1944; 15 
U.S.C. 1990d; 15 U.S.C. 2005; 15 U.S.C. 2029; delegation of authority at 
49 CFR 1.50.

    Source: 54 FR 48895, Nov. 28, 1989, unless otherwise noted.



Sec. 512.1  Purpose and scope.

    The purpose of this part is to establish the procedure by which 
NHTSA will consider claims that information submitted to the agency, or 
which the agency otherwise obtains, is confidential business 
information, as described in 5 U.S.C. 552(b)(4).



Sec. 512.2  Applicability.

    (a) This part applies to all information which is submitted to 
NHTSA, or which NHTSA otherwise obtains, except as provided in paragraph 
(b) of this section.
    (b) Information received as part of the procurement process is 
subject to the Federal Acquisition Regulation, 48 CFR, Chapter 1, as 
well as this part. In any case of conflict between the Federal 
Acquisition Regulation and this part, the provisions of the Federal 
Acquisition Regulation prevail.



Sec. 512.3  Definitions.

    Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    Chief Counsel means the Chief Counsel of the National Highway 
Traffic Safety Administration.
    Confidential business information means information described in 5 
U.S.C. 552(b)(4).
    NHTSA means the National Highway Traffic Safety Administration.
    Substantial competitive harm encompasses ``significant competitive 
damage'' under title V of the Motor Vehicle Information and Cost Savings 
Act, 15 U.S.C. 2001 et seq.



Sec. 512.4  Asserting a claim for confidential treatment of information.

    (a) Any person submitting information to NHTSA and requesting that 
the information be withheld from public disclosure as confidential 
business information shall:
    (1) Stamp or mark ``confidential,'' or some other term which clearly 
indicates the presence of information claimed to be confidential, on the 
top of each page containing information claimed to be confidential.
    (2) On each page marked in accordance with paragraph (a)(1) of this 
section, mark each item of information which is claimed to be 
confidential with brackets``[ ]''.
    (3) If an entire page is claimed to be confidential, indicate 
clearly that the entire page is claimed to be confidential.
    (4) Submit two copies of the documents containing allegedly 
confidential information (except only one copy of blueprints) and one 
copy of the documents from which information claimed to be confidential 
has been deleted to the Office of Chief Counsel, National Highway 
Traffic Safety Administration, Room 5219, 400 Seventh Street, SW., 
Washington, DC 20590. Include the name, address, and telephone number of 
a representative for receipt of a response from the Chief Counsel under 
this part.
    (5) If a document containing information claimed to be confidential 
is submitted in connection with an investigation or proceeding, a 
rulemaking

[[Page 62]]

action, or pursuant to a reporting requirement, for which there is a 
public file or docket, simultaneously submit to the appropriate NHTSA 
official a copy of the document from which information claimed to be 
confidential has been deleted. This copy will be placed in the public 
file or docket pending the resolution of the claim for confidential 
treatment.
    (b)(1) When submitting each item of information marked confidential 
in accordance with paragraph (a) of this section, the submitter shall 
also submit to the Office of the Chief Counsel information supporting 
the claim for confidential treatment in accordance with paragraph (b)(3) 
and paragraph (e) of this section.
    (2) If submission of the supporting information is not possible at 
the time the allegedly confidential information is submitted, a request 
for an extension of time in which to submit the information, accompanied 
by an explanation describing the reason for the extension and the length 
of time needed, must be submitted. The Chief Counsel shall determine the 
length of the extension. The recipient of an extension shall submit the 
supporting information in accordance with the extension determination 
made by the Chief Counsel and paragraph (b)(3) of this section.
    (3) The supporting information must show:
    (i) That the information claimed to be confidential is a trade 
secret, or commercial or financial information that is privileged or 
confidential.
    (ii) Measures taken by the submitter of the information to ensure 
that the information has not been disclosed or otherwise made available 
to any person, company, or organization other than the submitter of the 
information.
    (iii) Insofar as is known by the submitter of the information, the 
extent to which the information has been disclosed, or otherwise become 
available, to persons other than the submitter of the information, and 
why such disclosure or availability does not compromise the confidential 
nature of the information.
    (iv) Insofar as is known by the submitter of the information, the 
extent to which the information has appeared publicly, regardless of 
whether the submitter has authorized that appearance or confirmed the 
accuracy of the information. The submitter must include citations to 
such public appearances, and an explanation of why such appearances do 
not compromise the confidential nature of the information.
    (v) Prior determinations of NHTSA or other Federal agencies or 
Federal courts relating to the confidentiality of the submitted 
information, or similar information possessed by the submitter including 
class determinations under this part. The submitter must include any 
written notice or decision connected with any such prior determination, 
or a citation to any such notice or decision, if published in the 
Federal Register.
    (vi) Whether the submitter of the information asserts that 
disclosure would be likely to result in substantial competitive harm, 
what the harmful effects of disclosure would be, why the effects should 
be viewed as substantial, and the causal relationship between the 
effects and disclosure.
    (vii) If information is voluntarily submitted, why disclosure by 
NHTSA would be likely to impair NHTSA's ability to obtain similar 
information in the future.
    (viii) Whether the submitter of the information asserts that 
disclosure would be likely to impair other protectable government 
interests, what the effect of disclosure is likely to be and why 
disclosure is likely to impair such interests.
    (ix) The period of time for which confidentiality is claimed 
(permanently or until a certain date or until the occurrence of a 
certain event) and why earlier disclosure would result in the harms set 
out in paragraph (b)(2)(vi), (vii) or (viii) of this section.
    (c) If any element of the showing to support a claim for 
confidentiality required under paragraph (b)(3) of this section is 
presumptively established by a class determination, as issued pursuant 
to Sec. 512.10, affecting the information for which confidentiality is 
claimed, the submitter of information need not establish that element 
again.
    (d) Information in support of a claim for confidentiality submitted 
to NHTSA under paragraph (b) of this section must consist of objective 
data to

[[Page 63]]

the maximum extent possible. To the extent that opinions are given in 
support of a claim for confidential treatment of information, the 
submitter of the information shall submit in writing to NHTSA the basis 
for the opinions, and the name, title and credentials showing the 
expertise of the person supplying the opinion.
    (e) The submitter of information for which confidential treatment is 
requested shall submit to NHTSA with the request a certification in the 
form set out in appendix A from the submitter or an agent of the 
submitter that a diligent inquiry has been made to determine that the 
information has not been disclosed, or otherwise appeared publicly, 
except as indicated in accordance with paragraphs (b)(3)(iii) and (iv) 
of this section.
    (f) A single submission of supporting information, in accordance 
with paragraph (b) of this section, may be used to support a claim for 
confidential treatment of more than one item of information claimed to 
be confidential. However, general or nonspecific assertions or analysis 
may be insufficient to form an adequate basis for the agency to find 
that information may be afforded confidential treatment, and may result 
in the denial of a claim for confidentiality.
    (g) Where confidentiality is claimed for information obtained by the 
submitter from a third party, such as a supplier, the submitter of the 
information is responsible for obtaining all information and a 
certification from the third party necessary to comply with paragraphs 
(b), (d) and (e) of this section.
    (h) Information received by NHTSA that is identified as confidential 
and whose claim for confidentiality is submitted in accordance with this 
section will be kept confidential until a determination of its 
confidentiality is made under section 512.6 of this part. Such 
information will not be publicly disclosed except in accordance with 
this part.
    (i) A submitter of information shall promptly amend supporting 
information provided under paragraphs (b) or (e) of this section if the 
submitter obtains information upon the basis of which the submitter 
knows that the supporting information was incorrect when provided, or 
that the supporting information, though correct when provided, is no 
longer correct and the circumstances are such that a failure to amend 
the supporting information is in substance a knowing concealment.
    (j) Noncompliance with this section may result in a denial of a 
claim for confidential treatment of information. Noncompliance with 
paragraph (i) of this section may subject a submitter of information to 
civil penalties.
    (l) If the submitter fails to comply with paragraph (a) of this 
section at the time the information is submitted to NHTSA so that the 
agency is not aware of a claim for confidentiality, or the scope of a 
claim for confidentiality, the claim for confidentiality may be waived 
unless the agency is notified of the claim before the information is 
disclosed to the public. Placing the information in a public docket or 
file is disclosure to the public within the meaning of this part, and 
any claim for confidential treatment of information disclosed to the 
public may be precluded.
    (2) If the submitter of the information does not provide all of the 
supporting information required in paragraphs (b)(3) and (e) of this 
section, or if the information is insufficient to establish that the 
information may be afforded confidential treatment under the substantive 
tests set out in Sec. 512.5, a request that such information be afforded 
confidential protection may be denied. The Chief Counsel may notify a 
submitter of information of inadequacies in the supporting information, 
and may allow the submitter additional time to supplement the showing, 
but is under no obligation to provide either notice or additional time 
to supplement the showing.



Sec. 512.5  Substantive standards for affording confidential treatment.

    Information submitted to or otherwise obtained by NHTSA may be 
afforded confidential treatment if it is a trade secret, or commercial 
or financial information that is privileged or confidential. Information 
is considered to be confidential when:
    (a) Disclosure of the information would be likely to result in 
substantial

[[Page 64]]

competitive harm to the submitter of the information; or
    (b) Failure to afford the information confidential treatment would 
impair the ability of NHTSA to obtain similar information in the future; 
or
    (c) Disclosure of the information would be likely to impair other 
protectable government interests.



Sec. 512.6  Determination of confidential treatment.

    (a) The decision as to whether an item of information shall be 
afforded confidential treatment under this part is made by the Office of 
Chief Counsel.
    (b) Copies of documents submitted to NHTSA under Sec. 512.4(a)(5), 
from which information claimed to be confidential or privileged has been 
deleted, are placed in the public file or docket pending the resolution 
of the claim for confidential treatment.
    (c) When information claimed to be confidential or privileged is 
requested under the Freedom of Information Act, the determination of 
confidentiality is made within ten working days after NHTSA receives 
such a request, or within twenty working days in unusual circumstances 
as provided under 5 U.S.C. 552(a)(6).
    (d) For information not requested pursuant to the Freedom of 
Information Act, the determination of confidentiality is made within a 
reasonable period of time at the discretion of the Chief Counsel.
    (e) The time periods prescribed in paragraph (c) of this section may 
be extended by the Chief Counsel for good cause shown on the Chief 
Counsel's own motion, or on request from any person. An extension is 
made only in accordance with 5 U.S.C. 552, and is accompanied by a 
written statement setting out the reasons for the extension.
    (f) If the Chief Counsel believes that information which a submitter 
of information asserts to be within a class of information set out in 
appendix B is not within that class, the Chief Counsel:
    (1) Notifies the submitter of the information that the information 
does not fall within the class as claimed, and briefly explains why the 
information does not fall within the class; and
    (2) Renders a determination of confidentiality in accordance with 
paragraph (g) of this section.
    (g) A person submitting information to NHTSA with a request that the 
information be withheld from public disclosure as confidential or 
privileged business information is given notice of the Chief Counsel's 
determination regarding the request as soon as the determination is 
made.
    (1) If a request for confidentiality is granted, the submitter of 
the information is notified in writing of that determination and of any 
appropriate limitations.
    (2) If a request for confidentiality is denied in whole or in part, 
the submitter of the information is notified in writing of that 
decision, and is informed that the information will be made available to 
the public not less than ten working days after the submitter of the 
information has received notice of the denial of the request for 
confidential treatment, if practicable, or some earlier date if the 
Chief Counsel determines in writing that the public interest requires 
that the information be made available to the public on such earlier 
date. The written notification of a denial specifies the reasons for 
denying the request.
    (h) There will be no release of information processed pursuant to 
this section until the Chief Counsel advises the appropriate office(s) 
of NHTSA that the confidentiality decision is final according to this 
section, Sec. 512.7 or Sec. 512.9.



Sec. 512.7  Petitions for reconsideration upon denial of a request for confidential treatment.

    (a) A submitter of information whose request for confidential 
treatment is denied may petition for reconsideration of that denial. 
Petitions for reconsideration must be addressed to and received by the 
Office of Chief Counsel prior to the date on which the information would 
otherwise be made available to the public. The determination by the 
Chief Counsel upon such petition for reconsideration shall be 
administratively final.
    (b) If the submission of a petition for reconsideration is not 
feasible by the date on which the information would otherwise be made 
available to the

[[Page 65]]

public, a request for an extension of time in which to submit a 
petition, accompanied by an explanation describing the reason for the 
request and the length of time needed, must be received by the Office of 
Chief Counsel by that date. The Chief Counsel determines whether to 
grant or deny the extension and the length of the extension.
    (c) Upon receipt of a petition or request for an extension, the 
Chief Counsel shall postpone making the information available to the 
public in order to consider the petition, unless the Chief Counsel 
determines in writing that disclosure would be in the public interest.
    (d) If a petition for reconsideration is granted, the petitioner is 
notified in writing of that determination and of any appropriate 
limitations.
    (e) If a petition for reconsideration is denied in whole or in part 
or a request for an extension for additional time to submit a petition 
for reconsideration is denied, the petitioner is notified in writing of 
that denial, and is informed that the information will be made available 
to the public not less than ten working days after the petitioner has 
received notice of the denial of the petition, if practicable, or some 
earlier date if the Chief Counsel determines in writing that the public 
interest requires that the information be made available to the public 
on such earlier date. The written notification of a denial specifies the 
reasons for denying the petition.



Sec. 512.8  Modification of confidentiality determinations.

    (a) A determination that information is confidential or privileged 
business information remains in effect in accordance with its terms, 
unless modified by a later determination based upon:
    (1) Newly discovered or changed facts,
    (2) A change in the applicable law,
    (3) A class determination under Sec. 512.10, or
    (4) A finding that the prior determination is clearly erroneous.
    (b) If NHTSA believes that an earlier determination of 
confidentiality should be modified based on one or more of the factors 
listed in paragraph (a)(1) through (a)(4) of this section, the submitter 
of the information is notified in writing that NHTSA has modified its 
earlier determination and of the reasons for that modification, and is 
informed that the information will be made available to the public in 
not less than ten working days from the date of receipt of notice under 
this paragraph. The submitter may seek reconsideration of the 
modification pursuant to Sec. 512.7.



Sec. 512.9  Release of confidential business information.

    (a) Information that has been claimed or determined to be 
confidential business information under Secs. 512.4, 512.6 or 512.7 may 
be disclosed to the public by the Administrator notwithstanding such 
determination or claim if disclosure would be in the public interest as 
follows:
    (1) Information obtained under Part A, Subchapter I of the National 
Traffic and Motor Vehicle Safety Act, relating to the establishment, 
amendment, or modification of Federal motor vehicle safety standards, 
may be disclosed when relevant to a proceeding under the part.
    (2) Information obtained under Part B, Subchapter I of the National 
Traffic and Motor Vehicle Safety Act, relating to motor vehicle safety 
defects, and failures to comply with applicable motor vehicle safety 
standards, may be disclosed if the Administrator determines that 
disclosure is necessary to carry out the purposes of the Act.
    (3) Information obtained under title I, V or VI of the Motor Vehicle 
Information and Cost Savings Act may be disclosed when that information 
is relevant to a proceeding under the title under which the information 
was obtained.
    (b) No information is disclosed under this section unless the 
submitter of the information is given written notice of the 
Administrator's intention to disclose information under this section. 
Written notice is normally given at least ten working days before the 
day of release, although the Administrator may provide shorter notice if 
the Administrator finds that such shorter notice is in the public 
interest. The notice under this paragraph includes a

[[Page 66]]

statement of the Administrator's reasons for determining to disclose the 
information, and affords the submitter of the information an opportunity 
to comment on the contemplated release of information. The Administrator 
may also give notice of the contemplated release of information to other 
persons, and may allow these persons the opportunity to comment. When a 
decision is made to release information pursuant to this section, the 
Administrator will consider ways to make the release with the least 
possible adverse effects to the submitter.
    (c) Notwithstanding any other provision of this part, information 
which has been determined or claimed to be confidential business 
information, may be released:
    (1) To Congress;
    (2) Pursuant to an order of a court with valid jurisdiction;
    (3) To the Office of the Secretary, United States Department of 
Transportation and other Executive branch offices or other Federal 
agencies in accordance with applicable laws;
    (4) With the consent of the submitter of the information;
    (5) To contractors, if necessary for the performance of a contract 
with the Administration. In such instances, the contract limits further 
release of the information to named employees of the contractor with a 
need to know and provides that unauthorized release constitutes a breach 
of the contract for which the contractor may be liable to third parties.



Sec. 512.10  Class determinations.

    (a) The Chief Counsel may issue a class determination relating to 
confidentiality under this section if the Chief Counsel determines that 
one or more characteristics common to each item of information in that 
class will in most cases necessarily result in identical treatment of 
each item of information under this part, and that it is appropriate to 
treat all such items as a class for one or more purposes under this 
part. The Chief Counsel obtains the concurrence of the Office of the 
General Counsel, United States Department of Transportation, for any 
class determination that has the effect of raising the presumption that 
all information in that class is eligible for confidential treatment. 
Class determinations are published in the Federal Register.
    (b) A class determination clearly identifies the class of 
information to which it pertains.
    (c) A class determination may state that all of the information in 
the class:
    (1) Is or is not governed by a particular section of this part, or 
by a particular set of substantive criteria under this part,
    (2) Fails to satisfy one or more of the applicable substantive 
criteria, and is therefore ineligible for confidential treatment,
    (3) Satisfies one or more of the applicable substantive criteria, 
and is therefore eligible for confidential treatment, or,
    (4) Satisfies one of the substantive criteria during a certain 
period of time, but will be ineligible for confidential treatment 
thereafter.
    (d) Class determinations will have the effect of establishing 
rebuttable presumptions, and do not conclusively determine any of the 
factors set out in paragraph (c) of this section.

     Appendix A to Part 512--Certificate in Support of Request for 
                             Confidentiality

          Certificate in Support of Request for Confidentiality

    I, __________, pursuant to the provisions of 49 CFR 512, state as 
follows:
    (1) I am (official) and I am authorized by (company) to execute 
documents on behalf of (company):
    (2) The information contained in (pertinent document[s]) is 
confidential and proprietary data and is being submitted with the claim 
that it is entitled to confidential treatment under 5 U.S.C. 
Sec. 522(b)(4) (as incorporated by reference in and modified by the 
statute under which the information is being submitted.)
    (3) I have personally inquired of the responsible (company) 
personnel who have authority in the normal course of business to release 
the information for which a claim of confidentiality has been made to 
ascertain whether such information has ever been released outside 
(company).
    (4) Based upon such inquiries, to the best of my knowledge, 
information and belief the information for which (company) has claimed 
confidential treatment has never been released or become available 
outside (company) except as hereinafter specified:

[[Page 67]]

    (5) I make no representations beyond those contained in this 
certificate and in particular, I make no representations as to whether 
this information may become available outside (company) because of 
unauthorized or inadvertent disclosure except as stated in Paragraph 4; 
and
    (6) I certify under penalty of perjury that the foregoing is true 
and correct. Executed on this the __________. (If executed outside of 
the United States of America: I certify under penalty of perjury under 
the laws of the United States of America that the foregoing is true and 
correct.)

(signature of official)/EXTRACT

              Appendix B to Part 512--Class Determinations

    The Administration has determined that the following types of 
information would presumptively be likely to result in substantial 
competitive harm if disclosed to the public:
    (1) Blueprints and engineering drawings containing process of 
production data where the subject could not be manufactured without the 
blueprints or engineering drawings except after significant reverse 
engineering;
    (2) Future specific model plans (to be protected only until the date 
on which the specific model to which the plan pertains is first offered 
for sale);
    (3) Future vehicle production or sales figures for specific models 
(to be protected only until the termination of the production period for 
the model year vehicle to which the information pertains).

                  Appendix C to Part 512--OMB Clearance

    The OMB Clearance number for this regulation is 2127-0025.



PART 520--PROCEDURES FOR CONSIDERING ENVIRONMENTAL IMPACTS--Table of Contents




                           Subpart A--General

Sec.
520.1  Purpose and scope.
520.2  Policy.
520.3  Definitions.
520.4  Applicability.
520.5  Guidelines for identifying major actions significantly affecting 
          the environment.

                          Subpart B--Procedures

520.21  Preparation of environmental reviews, negative declarations, and 
          notices of intent.
520.22  Maintenance of a list of actions.
520.23  Preparation of draft environmental impact statements.
520.24  Internal processing of draft environmental impact statements.
520.25  External review of draft environmental impact statements.
520.26  Public hearings.
520.27  Legislative actions.
520.28  Preparation of final environmental impact statements.
520.29  Internal review of final environmental impact statements.
520.30  Availability of final environmental impact statements.
520.31  Amendments or supplements.
520.32  Emergency action procedures.
520.33  Timing of proposed NHTSA actions.
520.34  Comments on environmental statements prepared by other agencies.

Attachment 1--Form and Content of Statement
Attachment 2--Areas of Environmental Impact and Federal Agencies and 
          Federal-State Agencies with Jurisdiction by Law or Special 
          Expertise to Comment Thereon [Note]
Attachment 3--Offices Within Federal Agencies and Federal-State Agencies 
          for Information Regarding the Agencies' Impact Statements for 
          Which Comments are Requested [Note]
Attachment 4--State and Local Agency Review of Impact Statements

    Authority: Secs. 102(2)(A), 102(2)(C), Pub. L. 91-190, 83 Stat. 853 
(42 U.S.C. 4332); secs. 2(b), 4(f), Pub. L. 89-670, 80 Stat. 931 (49 
U.S.C. 1651(b), 1653(f)); E.O. 11514, 35 FR 4247; 40 CFR part 1500; DOT 
Order 5610.1B, 39 FR 35234; delegations of authority at 49 CFR 1.45, 
1.51.

    Source: 40 FR 52396, Nov. 10, 1975, unless otherwise noted.



                           Subpart A--General



Sec. 520.1  Purpose and scope.

    (a) Section 102(2)(C) of the National Environmental Policy Act of 
1969 (83 Stat. 853; 42 U.S.C. 4332(2)(C)), as implemented by Executive 
Order 11514 (3 CFR, 1966-1970 Comp., p. 902) and the Council on 
Environmental Quality's Guidelines of April 23, 1971 (36 FR 7724), 
requires that all agencies of the Federal Government prepare detailed 
environmental statements on proposals for legislation and other major 
Federal actions significantly affecting the quality of the human 
environment. The purpose of the Act is to build into the agency 
decision-making process careful consideration of all environmental 
aspects of proposed actions.

[[Page 68]]

    (b) This part specifies National Highway Traffic Safety 
Administration (NHTSA) procedures for conducting environmental 
assessments and reviews, and for the preparation of environmental impact 
statements on proposals for legislation and other major agency actions 
significantly affecting the quality of the human environment.



Sec. 520.2  Policy.

    The agency will strive to carry out the full intent and purpose of 
the National Environmental Policy Act of 1969 and related orders and 
statutes, and take positive steps to avoid any action which could 
adversely affect the quality of the human environment.



Sec. 520.3  Definitions.

    (a) Environmental assessment is a written analysis describing the 
environmental impact of a proposed or ongoing agency action, submitted 
to the agency either by its grantees or contractors, or by any person 
outside the agency as part of any program or project proposal within the 
scope of activities listed in Sec. 520.4(b).
    (b) Environmental review is a formal evaluation undertaken by the 
agency, culminating in a brief document (the environmental review 
report), to determine whether a proposed or ongoing NHTSA action may 
have a significant impact on the environment. The review document will 
be included in the proposed or ongoing agency action, and either support 
a negative declaration or recommend the preparation of a draft 
environmental impact statement.
    (c) Draft environmental impact statement (DEIS) means a preliminary 
statement on the environmental impact of a proposed or ongoing NHTSA 
action which is circulated for comment and review within and outside 
NHTSA.
    (d) Final environmental impact statement (FEIS) means a detailed 
statement which, pursuant to section 102(2)(C) of the National 
Environmental Policy Act, identifies and analyzes the anticipated 
environmental impact of a proposed or ongoing NHTSA action.
    (e) Negative declaration means a statement prepared subsequent to an 
environmental review, which states that a proposed or ongoing NHTSA 
action will have no significant environmental impact and therefore does 
not require a draft or final environmental impact statement.



Sec. 520.4  Applicability.

    (a) Scope. This part applies to all elements of NHTSA, including the 
Regional Offices.
    (b) Actions covered. Except as provided in paragraph (e) of this 
section, this part applies to the following agency actions and such 
actions and proposals as may be sponsored jointly with another agency:
    (1) New and continuing programs and projects; budget proposals; 
legislative proposals by the agency; requests for appropriations; 
reports on legislation initiated elsewhere where the agency has primary 
responsibility for the subject matter involved; and any renewals or 
reapprovals of the foregoing;
    (2) Research, development, and demonstration projects; formal 
approvals of work plans; and associated contracts;
    (3) Rulemaking and regulatory actions, including Notices of Proposed 
Rulemaking (NPRM); requests for procurement (RFP); requests for grants 
(Annual Work Programs); and contracts;
    (4) All grants, loans or other financial assistance for use in State 
and Community projects;
    (5) Annual State Highway Safety Work Programs;
    (6) Construction; leases; purchases; operation of Federal 
facilities; and
    (7) Any other activity, project, or action likely to have a 
significant effect on the environment.
    (c) Continuing actions. This part applies to any action enumerated 
in paragraph (b) of this section, even though such actions arise from a 
project or program initiated prior to enactment of the National 
Environmental Policy Act on January 1, 1970.
    (d) Environmental assessments. Within the scope of activities listed 
in Sec. 520.4(b), any person outside the agency submitting a program or 
project proposal may be requested to prepare an environmental assessment 
of such proposed action to be included in his submission to the agency.
    (e) Exceptions. (1) Assistance in the form of general revenue 
sharing funds,

[[Page 69]]

distributed under the State and Local Fiscal Assistance Act of 1972, 31 
U.S.C. 1221, with no control by the NHTSA over the subsequent use of 
such funds;
    (2) Personnel actions;
    (3) Administrative procurements (e.g., general supplies) and 
contracts for personal services;
    (4) Legislative proposals originating in another agency and relating 
to matters not within NHTSA's primary areas of responsibility;
    (5) Project amendments (e.g., increases in costs) which have no 
environmental significance; and
    (6) Minor agency actions that are determined by the official 
responsible for the actions to be of such limited scope that they 
clearly will not have a significant effect on the quality of the human 
environment.
    (f) Consolidation of statements. Proposed actions (and alternatives 
thereto) having substantially similar environmental impacts may be 
covered by a single environmental review and environmental impact 
statement or negative declaration.



Sec. 520.5  Guidelines for identifying major actions significantly affecting the environment.

    (a) General guidelines. The phrase, ``major Federal actions 
significantly affecting the quality of the human environment,'' as used 
in this part, shall be construed with a view to the overall, cumulative 
impact of the actions, other Federal projects or actions in the area, 
and any further contemplated or anticipated actions. Therefore, an 
environmental impact statement should be prepared in any of the 
following situations:
    (1) Proposed actions which are localized in their impact but which 
have a potential for significantly affecting the environment;
    (2) Any proposed action which is likely to be controversial on 
environmental grounds;
    (3) Any proposed action which has unclear but potentially 
significant environmental consequences.
    (b) Specific guidelines. While a precise definition of environmental 
significance that is valid in all contexts is not possible, any of the 
following actions should ordinarily be considered as significantly 
affecting the quality of the human environment:
    (1) Any matter falling under section 4(f) of the Department of 
Transportation Act (49 U.S.C. 1653(f)) and section 138 of Federal-aid 
highway legislation (23 U.S.C. 138), requiring the use of any publicly 
owned land from a park, recreation area, or wildlife and waterfowl 
refuge of national, State, or local significance as determined by the 
Federal, State, or local officials having jurisdiction thereof, or any 
land from an historic site of national, State, or local significance;
    (2) Any matter falling under section 106 of the National Historic 
Preservation Act of 1966 (16 U.S.C. 470(f)), requiring consideration of 
the effect of the proposed action on any building included in the 
National Register of Historic Preservation and reasonable opportunity 
for the Advisory Council on Historic Preservation to comment on such 
action;
    (3) Any action that is likely to affect the preservation and 
enhancement of sites of historical, architectural, or archaeological 
significance;
    (4) Any action that is likely to be highly controversial regarding 
relocation housing;
    (5) Any action that (i) divides or disrupts an established 
community, disrupts orderly, planned development, or is inconsistent 
with plans or goals that have been adopted by the community in which the 
project is located; or (ii) causes significantly increased congestion;
    (6) Any action that (i) involves inconsistency with any Federal, 
State, or local law or administrative determination relating to the 
environment; (ii) has a significantly detrimental impact on air or water 
quality or on ambient noise levels for adjoining areas; (iii) involves a 
possibility of contamination of a public water supply system; or (iv) 
affects ground water, flooding, erosion, or sedimentation;
    (7) Any action that may directly or indirectly result in a 
significant increase in noise levels, either within a motor vehicle's 
closed environment or upon nearby areas;
    (8) Any action that may directly or indirectly result in a 
significant increase in the energy or fuel necessary

[[Page 70]]

to operate a motor vehicle, including but not limited to the following: 
(i) Actions which may directly or indirectly result in a significant 
increase in the weight of a motor vehicle; and (ii) actions which may 
directly or indirectly result in a significant adverse effect upon the 
aerodynamic drag of a motor vehicle;
    (9) Any action that may directly or indirectly result in a 
significant increase in the amount of harmful emissions resulting from 
the operation of a motor vehicle;
    (10) Any action that may directly or indirectly result in a 
significant increase in either the use of or the exposure to toxic or 
hazardous materials in the manufacture, operation, or disposal of motor 
vehicles or motor vehicle equipment;
    (11) Any action that may directly or indirectly result in a 
significant increase in the problem of solid waste, as in the disposal 
of motor vehicles or motor vehicle equipment;
    (12) Any action that may directly or indirectly result in a 
significant depletion of scarce natural resources associated with the 
manufacture or operation of motor vehicles or motor vehicle equipment; 
and
    (13) Any other action that causes significant environment impact by 
directly or indirectly affecting human beings through adverse impacts on 
the environment.
    (c) Research activities. (1) In accord-ance with DOT Order 5610.1B, 
the Assistant Secretary for Systems Development and Technology (TST) 
will prepare, with the concurrence of the NHTSA, proposed procedures for 
assessing the environmental consequences of research activities. Until 
final procedures are promulgated, the following factors are to be 
considered for periodic evaluation to determine when an environmental 
statement is required for such programs:
    (i) The magnitude of Federal investment in the program;
    (ii) The likelihood of widespread application of the technology;
    (iii) The degree of environmental impact which would occur if the 
technology were widely applied; and
    (iv) The extent to which continued investment in the new technology 
is likely to restrict future alternatives.
    (2) The statement or environmental review culminating in a negative 
declaration must be written late enough in the development process to 
contain meaningful information, but early enough so that this 
information can practically serve as an input in the decision-making 
process. Where it is anticipated that an environmental impact statement 
may ultimately be required but its preparation is still premature, the 
office shall prepare a publicly available record briefly setting forth 
the reasons for its determination that a statement is not yet necessary. 
This record shall be updated at least quarterly, or as may be necessary 
when significant new information becomes available concerning the 
potential environmental impact of the program. In any case, a statement 
or environmental review culminating in a negative declaration must be 
prepared before research activities have reached a state of investment 
or commitment to implementation likely to determine subsequent 
development or restrict later alternatives. Statements on technology 
research and development programs shall include an analysis not only of 
alternative forms of the same technology that might reduce any adverse 
environmental impacts but also of alternative technologies that would 
serve the same function as the technology under consideration. Efforts 
shall be made to involve other Federal agencies and interested groups 
with relevant expertise in the preparation of such statements because 
the impacts and alternatives to be considered are likely to be less well 
defined than in other types of statements.



                          Subpart B--Procedures



Sec. 520.21  Preparation of environmental reviews, negative declarations, and notices of intent.

    (a) General responsibilities--(1) Associate Administrators and Chief 
Counsel. Each Associate Administrator and the Chief Counsel is 
responsible for determining, in accordance with Subpart A, whether the 
projects and activities

[[Page 71]]

under his jurisdiction require an environmental review, and for 
preparing all such reviews, negative declarations, and notices of 
intent.
    (2) Regional Administrators. Each Regional Administrator, in 
consultation with the Governor's Representative, is responsible for 
determining, in accordance with Subpart A, whether proposed State 
activities in his Region, as stated in Annual Work Programs, require an 
environmental review, and for the preparing all such reviews, negative 
declarations, and notices of intent.
    (3) Associate Administrator for Planning and Evaluation. The 
Associate Administrator for Planning and Evaluation may request in 
accordance with the requirements of this order, that the appropriate 
Associate Administrator or Regional Administrator prepare an 
Environmental review or Environmental Impact Statement for any proposed 
or continuing NHTSA action, or comment on any environmental statement 
prepared by other agencies.
    (b) Coordination. Coordination with appropriate local, State and 
Federal agencies should be accomplished during the early stages by the 
responsible official to assist in identifying areas of significance and 
concern. Existing procedures, including those established under the 
Office of Management and Budget (OMB) Revised Circular A-95, should be 
used to the greatest extent practicable to accomplish this early 
coordination.
    (c) Applicants. (1) Each applicant for a grant, loan, or other 
financial assistance for use in State and community projects may be 
requested to submit, with the original application, an environmental 
assessment of the proposed project.
    (2) Under OMB Revised Circular A-95, ``Evaluation, Review, and 
Coordination of Federal Assistance Programs and Projects,'' and DOT 
4600.4B, ``Evaluation, Review and Coordination of DOT Assistance 
Programs and Projects,'' dated February 27, 1974, a grant applicant must 
notify the clearinghouse of its intention to apply for Federal program 
assistance. The notification must solicit comments on the project and 
its impacts from appropriate State and local agencies. Since it is the 
NHTSA's policy to assure that (i) interested parties and Federal, State, 
and local agencies receive early notification of the decision to prepare 
an environmental impact statement, and (ii) their comments on the 
environmental effects of the proposed Federal action are solicited at an 
early stage in the preparation of the draft impact statement, this early 
notification requirement may be met by a grant applicant by sending the 
notification to interested parties and agencies at the same time it is 
sent to the clearinghouse.
    (d) Consultants. Consultants may prepare background or preliminary 
material and assist in preparing a draft or final environmental 
statement for which the NHTSA takes responsibility. Care should be 
exercised in selecting consultants, and in reviewing their work, to 
insure complete and objective consideration of all relevant project 
impacts and alternatives, particularly if the consultant may expect 
further contracts based on the outcome of the environmental decision.
    (e) Environmental review report. The environmental review shall 
culminate in a brief written report of the same title, which shall be 
included in the proposed or ongoing agency action, and which:
    (1) Describes the proposed or ongoing NHTSA action, the environment 
affected, and the anticipated benefits;
    (2) Evaluates the potential environmental impact, including those 
adverse impacts which cannot be avoided, should the proposal be 
implemented or the action continued;
    (3) Assesses the alternatives to the proposed or ongoing action and 
their potential environmental impact;
    (4) Evaluates the cumulative and long-term environmental effects of 
the proposed or ongoing action;
    (5) Describes the irreversible and irretrievable commitments of 
resources involved in the proposal's implementation or the action's 
continuance;
    (6) Identifies any known or potential conflicts with State, 
regional, or local plans and programs;
    (7) Weighs and analyzes the anticipated benefits against the 
environmental and other costs of the proposed or ongoing action in a 
manner which reflects similar comparisons of reasonably available 
alternatives; and

[[Page 72]]

    (8) Concludes with a negative declaration or recommends the 
preparation of a DEIS.
    (f) Negative declarations. (1) If the responsible official judges 
that the environmental impact of a proposed or ongoing action under his 
jurisdiction will not significantly affect the quality of the human 
environment, the following declaration will be included in the 
environmental review report:

It is the judgment of this agency, based on available information, that 
no significant environmental impact will result from execution of this 
action.

    (2) A DEIS may be changed to a negative declaration if the public 
review process indicates that the proposal or ongoing action will not 
have a significant effect upon the environment.
    (3) An index of all negative declarations and a copy of each 
environmental review report shall be retained by the responsible 
official under whose jurisdiction it was prepared and shall be made 
available for public inspection upon request.
    (g) Notice of intent to prepare a draft environmental impact 
statement. If the responsible official under whose jurisdiction an 
environmental review is prepared determines that the proposed or ongoing 
action could have a potentially significant effect on the quality of the 
environment, he shall: coordinate with the Associate Administrator for 
Planning and Evaluation and the Chief Counsel, transmit to appropriate 
Federal, State and local agencies and have published in the Federal 
Register a notice of intent to prepare an environmental statement as 
soon as is practicable after the determination to prepare such a 
statement.



Sec. 520.22  Maintenance of a list of actions.

    (a) The Associate Administrator for Planning and Evaluation shall be 
responsible for the preparation and maintenance of a list of actions for 
which draft or final environmental impact statements have been or are to 
be prepared. This list shall be on file with the Associate Administrator 
for Planning and Evaluation and shall be available for public inspection 
in the Docket Section upon request. A copy of the initial list and its 
updatings at the end of each calendar quarter shall be transmitted by 
the Associate Administrator for Planning and Evaluation to TES and CEQ.
    (b) If a determination is made that an environmental statement is 
not necessary for a proposed action (1) which has been identified as 
normally requiring preparation of a statement, (2) which is similar to 
actions for which a significant number of statements have been prepared, 
(3) which the agency has previously announced would be the subject of a 
statement, or (4) for which the official responsible for such proposal 
has made a negative determination in response to a request from the CEQ, 
a record briefly setting forth the decision and the reasons for that 
determination shall be prepared by the responsible official. Such a 
record of negative determinations and any evaluations made pursuant to 
Sec. 520.21 which conclude that preparation of a statement is not yet 
timely shall be prepared by the responsible official, submitted to the 
Associate Administrator for Planning and Evaluation, and made available 
by the Associate Administrator for Planning and Evaluation in the same 
manner as provided in paragraph (a) of this section for lists of 
statements under preparation.



Sec. 520.23  Preparation of draft environmental impact statements.

    (a) Planning stage. (1) When a DEIS is to be prepared, the 
responsible official shall promptly initiate its preparation and develop 
a schedule in consultation with the Associate Administrator for Planning 
and Evaluation, to assure completion prior to the first significant 
point of decision in the program or project development process.
    (2) The environmental impacts of proposed activities should be 
initially assessed concurrently with the initial technical and economic 
studies.
    (3) Section 102(2)(A) of NEPA requires each Federal agency to 
utilize a ``systematic, interdisciplinary approach'' to plans and 
programs affecting the environment. To assure that all environmental 
impacts are identified and assessed, all relevant disciplines should be 
represented. If the necessary disciplines are not represented on the 
staff of the applicant or NHTSA, it is

[[Page 73]]

appropriate to use professional services available in other Federal, 
State or local agencies, universities, or consulting firms. The use of 
the interdisciplinary approach should not be limited to the 
environmental statement. This approach should also be used in the early 
planning stages to help assure a systematic evaluation of reasonable 
alternative courses of action and their potential social, economic, and 
environmental consequences.
    (b) Form and content requirements. Attachment 1 of this order 
prescribes the form and content requirements to be followed for each 
draft and final environmental impact statement. The DEIS must fulfill 
and satisfy, to the fullest extent possible at the time it is prepared, 
the requirements established for final statements.
    (c) Lead agency. CEQ guidelines provide that when more than one 
Federal agency (1) directly sponsors an action, or is directly involved 
in an action through funding, licenses, or permits, or (2) is involved 
in a group of actions directly related to each other because of their 
functional interdependence and geographical proximity, consideration 
should be given to preparing one statement for all the Federal actions 
involved. Agencies in such cases should consider the designation of a 
single ``lead agency'' to assume supervisory responsibility for 
preparation of a joint statement. Where a lead agency prepares the 
statement, the other agencies involved should provide assistance with 
respect to their areas of jurisdiction and expertise. The statement 
should contain an evaluation of the full range of Federal actions 
involved, should reflect the views of all participating agencies, and 
should be prepared before major or irreversible actions have been taken 
by any of the participating agencies. Some relevant factors in 
determining an appropriate lead agency are: The time sequence in which 
the agencies become involved, the magnitude of their respective 
involvement, and their relative expertise with respect to the project's 
environmental effects. Questions concerning ``lead agency'' decisions 
should be raised with CEQ through TES. For projects serving and 
primarily involving land owned by or under the jurisdiction of another 
Federal agency, that agency may be the appropriate lead agency.
    (d) Applicants. Where the agency requests an applicant for financial 
assistance or other agency approval to submit an environmental 
assessment, the responsible official will (1) assist the applicant by 
outlining the information required, and (2) in all cases make his own 
evaluation of the environmental issues involved and take responsibility 
for the scope and content of draft and final environmental statements.



Sec. 520.24  Internal processing of draft environmental impact statements.

    Before circulating a DEIS for external review, the official 
responsible for the DEIS shall receive the concurrence of the Associate 
Administrator for Planning and Evaluation and the Chief Counsel; and 
prepare a memorandum for approval by the Administrator which shall:
    (a) Set forth the basis on which it was determined that a 
potentially significant environmental effect exists;
    (b) Attach the DEIS;
    (c) Identify the Federal, State, and local agencies and private 
sources from which comments on the DEIS are proposed to be solicited 
(see Attachment 2); 1 and
---------------------------------------------------------------------------

    1 Filed as part of the original document.
---------------------------------------------------------------------------

    (d) Include a recommendation on whether a public hearing on the 
proposed action should be held.



Sec. 520.25  External review of draft environmental impact statements.

    (a) Requirements. The official responsible for the DEIS shall:
    (1) Transmit 5 copies of the DEIS to the CEQ and 2 copies to TES;
    (2) Solicit comments from all Federal, State, and local agencies 
which have jurisdiction by law or special expertise with respect to the 
possible environmental impact involved, and from the public (see 
Attachment 2); and
    (3) Inform the public and interested parties of the availability of 
the DEIS and provide copies as appropriate; and
    (4) Allow a comment period of not less than 45 days from the Friday 
of the week following receipt of the draft impact statement by CEQ. 
Requests for

[[Page 74]]

extensions shall be granted whenever possible, and particularly when 
warranted by the magnitude and complexity of the statement or the extent 
of citizen interest.
    (b) Procedures--(1) Federal and Federal-State agency review. (i) The 
DEIS shall be circulated for review to the Federal and Federal-State 
agencies with special expertise or jurisdiction by law with regard to 
the potential environmental impact involved. These agencies and their 
relevant areas of expertise are identified in Attachment 2.
    (ii) For actions within the jurisdiction of the Environmental 
Protection Agency (air or water quality, solid wastes, pesticides, 
radiation standards, noise), the DEIS shall be sent to EPA.
    (iii) For actions which would affect any property that is included 
in the National Register of Historic Preservation, the DEIS should be 
sent to the Advisory Council on Historic Preservation and the State 
Liaison Office for Historic Preservation.
    (2) State and local review. Where a review of the proposed action by 
State and local agencies authorized to develop and enforce environmental 
stand-ards is relevant, comments are to be solicited directly from such 
agencies with known responsibilities in environmental matters, and shall 
be obtained as follows:
    (i) Where review of direct Federal development projects, and of 
projects assisted under programs listed in Attachment D to revised OMB 
Circular A-95 (as implemented by DOT 4600.4B ``Evaluation, Review and 
Coordination of DOT Assistance Programs and Projects'', dated February 
27, 1974), takes place prior to preparation of an environmental 
statement, comments of the reviewing agencies on the environmental 
effects of the proposed project are inputs to the environmental 
statement. These comments shall be attached to the draft statement when 
it is circulated for review and copies of the draft shall be sent to 
those who commented. A-05 clearinghouses or other agencies designated by 
the Governor may also secure comments on environmental statements. In 
all cases, copies of the draft environmental statements shall be sent to 
clearinghouses and to the applicant whose project is the subject of the 
statement.
    (ii) Comments shall be directly obtained from appropriate State and 
local agencies, except where review is secured by agreement through A-95 
clearinghouses, unless the Governor of the appropriate State has 
designated some other point for obtaining his review. Instructions for 
obtaining the views of such agencies are contained in the joint OMB-CEQ 
memorandum (see Attachment 4). Comments shall be solicited from 
municipalities and counties on all projects located therein.
    (iii) State and local review of NHTSA procedures, regulations, and 
policies for administering Federal programs of assistance to State and 
local governments shall be obtained pursuant to procedures established 
by OMB Circular No. A-85.
    (iv) Generally, environmental statements on legislative and budget 
proposals may be excluded from State and local review.
    (3) General public review. (i) At the time the DEIS is circulated to 
Federal, State, and local agencies, public availability of the DEIS for 
comment and review will be announced by the CEQ in the Federal Register. 
Copies of the DEIS should be sent to known interested parties, and press 
releases should be sent to local news media advising where the DEIS is 
available and how copies may be obtained. The Office of Public Affairs 
and Consumer Services shall maintain a list of groups, including 
conservation organizations and motor vehicle manufacturers, known to be 
interested in the agency's activities, and directly notify such groups 
of the availability of the DEIS or send them a copy as soon as it has 
been prepared.
    (ii) A DEIS should be available to the public at least 30 days prior 
to the time of a public hearing on the DEIS.
    (iii) Copies of the DEIS will be made available at the NHTSA Docket 
Section, Room 5109, 400 Seventh Street, SW., Washington, DC 20590, and, 
where appropriate, NHTSA Regional Offices, at the offices of any 
applicants or grantees, at appropriate State, regional, and metropolitan 
clearing houses, and local public libraries, and

[[Page 75]]

furnished to public and private organizations and individuals with 
special expertise with respect to the potential environmental impact 
involved, and to those with an interest in the action who request an 
opportunity to comment. Copies to be made available to the public shall 
be provided without charge to the extent practicable, or at a fee which 
is not more than the actual cost of reproducing copies required to be 
sent to other Federal agencies, including the CEQ.
    (iv) A copy of the DEIS should in all cases be sent to any applicant 
whose project is the subject of the statement.
    (v) If a DEIS is changed to a negative declaration as a result of 
the public review process, all agencies and individuals that received 
copies and/or commented on the DEIS must be informed that a negative 
declaration was substituted for the DEIS and given a brief explanation 
of the reason for such substitution.
    (c) Utilization of comments. Comments received on the draft 
statement, and inputs (in summary form, if appropriate) from the 
processes for citizen participation, shall accompany the environmental 
statement through the normal internal project or program review process.



Sec. 520.26  Public hearings.

    (a) A public hearing on a proposed or ongoing action covered by a 
DEIS shall be held upon the determination by the official responsible 
for such action, in consultation with the Associate Administrator for 
Planning and Evaluation, that a public hearing would be appropriate and 
in the public interest. In deciding whether a public hearing is 
appropriate, the responsible official should consider:
    (1) The magnitude of the proposal in terms of economic costs, the 
geographic area involved, and the uniqueness or size of the commitment 
of the resources involved;
    (2) The degree of interest in the proposal, as evidenced by requests 
from the public and from Federal, State, and local authorities that a 
hearing be held;
    (3) The likelihood that information will be presented at the hearing 
which will be of assistance to the agency in fulfilling its 
responsibilities under the NEPA;
    (4) The extent to which public involvement already has been achieved 
through other means, such as earlier public hearings, meetings with 
citizen representatives, and/or written comments on the proposed action; 
and
    (5) The extent of potential environmental impact.
    (b) If it is determined that a public hearing is to be held in 
accordance with paragraph (a) of this section, the official responsible 
for the action shall both announce the hearing through newspaper 
articles, direct notification to interested parties, and clearinghouses, 
and cause a notice to be issued in the Federal Register at least 30 days 
prior to the time of such hearing:
    (1) Identifying the subject matter of the hearing;
    (2) Announcing the date, time, and place of the hearing and the 
procedures to be followed; and
    (3) Announcing the availability of the DEIS and any other 
information, as appropriate, for public inspection at one or more 
locations in the area affected by the action.



Sec. 520.27  Legislative actions.

    (a) A DEIS on both legislative proposals and reports for which NHTSA 
either develops the Departmental position or originates the legislation 
will be cleared with TES, filed with CEQ, and submitted to the Office of 
Management and Budget through the normal DOT and NHTSA legislative 
process.
    (b) The preparation, circulation, and filing of the environmental 
statement shall be in accordance with OMB Bulletin 72-6, ``Proposed 
Federal Actions Affecting the Environment.''
    (c) A DEIS and any comments that have been received should be 
available to the Congress and to the public for consideration in 
connection with the proposed legislation or report on proposed 
legislation. In cases where the scheduling of Congressional hearings on 
recommendations or reports on proposals for legislation which the 
Department has forwarded to the Congress does not allow adequate time 
for the completion of a FEIS, a DEIS may be furnished to the Congress 
and made

[[Page 76]]

available to the public pending transmittal of the comments as received 
and the final text.



Sec. 520.28  Preparation of final environmental impact statements.

    (a) If the action is to go forward and the DEIS has not been changed 
to a negative declaration, as soon as practicable after the expiration 
of the comment period and hearing process, if any, the official 
responsible for the action shall prepare a final environmental impact 
statement (FEIS), taking into account all comments received and issues 
raised during such period and process.
    (b) The FEIS shall conform to the guidelines for form and content in 
Attachment 1.
    (c) The FEIS shall then be submitted to the Chief Counsel by the 
official responsible for the action, for determination of legal 
sufficiency.



Sec. 520.29  Internal review of final environmental impact statements.

    (a) Upon completion of the review for legal sufficiency of the FEIS, 
the Chief Counsel shall transmit 2 copies of the FEIS to TES for 
concurrence. Unless other notification is provided within 2 weeks after 
receipt in TES, the statement will be considered concurred in by TES.
    (b) After concurrence by TES, the FEIS will be transmitted by the 
Chief Counsel to the Administrator for approval.
    (c) If an action requires the personal approval of the Secretary or 
Deputy Secretary pursuant to a request by them or by TES, TGC, or the 
NHTSA office originating the action, the final environmental statement 
shall be accompanied by a brief cover memorandum requesting the 
Secretary's or Deputy Secretary's approval of the action.
    (1) The memorandum shall have signature lines for the concurrence of 
the Assistant Secretary for Environment, Safety, and Consumer Affairs, 
the General Counsel, and the Deputy Secretary, and for the approval of 
the Secretary or Deputy Secretary.
    (2) TES, in conjunction with the Executive Secretary, is responsible 
for informing the Assistant Secretary for Congressional and 
Intergovernmental Affairs and the Office of Public Affairs of the 
Secretary's decisions so that they, in coordination with the operating 
administrations or other Secretarial Offices involved, may take the 
appropriate actions.



Sec. 520.30  Availability of final environmental impact statements.

    (a) Pending final approval and filing with CEQ, a proposed FEIS may 
be made available to the public and Federal, State, or local agencies if 
it carries a notation that it is not approved and filed.
    (b) After approval by the Administrator, the Associate Administrator 
for Planning and Evaluation will send 5 copies of the FEIS (together 
with comments) to the CEQ; individual copies with comments attached to 
the EPA and all Federal, State, and local agencies and members of the 
public who submitted comments on the DEIS or requested copies of the 
FEIS. If the length of the statement or the number of comments make this 
distribution requirement highly impractical, TES should be consulted to 
consider an alternative arrangement.
    (c) Copies of the FEIS will be made available in the NHTSA Docket 
Section, Room 5109, 400 Seventh Street SW., Washington, DC 20590, and, 
where appropriate, NHTSA Regional Offices, at the offices of any 
applicants or grantees, and at appropriate State, regional, and 
metropolitan clearinghouses and, where the impact is localized, public 
libraries.
    (d) The official responsible for the action shall, upon request, 
make available copies of the FEIS and substantive comments received on 
the DEIS without charge to the extent practicable, or at a fee which is 
not more than the actual cost of reproducing copies.


(Authority: Secs. 102(a)(A), 102(2)(C), Pub. L. 91-190, 83 Stat. 853 (42 
U.S.C. 4332); secs. 2(b), 4(f), Pub. L. 89-670, 80 Stat. 931 (49 U.S.C. 
1651(b), 1653(f); E. O. 11514, 35 FR 4247; 40 CFR Part 1500; DOT Order 
5610.1B, 39 FR 35234; delegations of authority at 49 CFR 1.45, 1.50 and 
501.7)

[40 FR 52396, Nov. 10, 1975, as amended at 48 FR 44081, Sept. 27, 1983]

[[Page 77]]



Sec. 520.31  Amendments or supplements.

    A draft or final environmental impact statement may be amended or 
supplemented. Supplements or amendments should be considered when 
substantial changes are made in the proposed or ongoing action that will 
introduce a new or changed environmental effect of significance to the 
quality of the environment, or significant new information becomes 
available concerning its environmental aspects. In such cases, the 
supplement or amendment shall be processed in consultation with TES with 
respect to the need for, or desirability of, recirculating the statement 
for the appropriate period. TES concurrence must be secured before 
issuance.



Sec. 520.32  Emergency action procedures.

    The CEQ Guidelines allow modification of requirements in case of a 
national emergency, a disaster or similar great urgency. The processing 
times may be reduced, or if the emergency situation warrants, 
preparation and processing of a DEIS, FEIS, or negative declaration may 
be abbreviated. Such procedural changes, however, should be requested 
only for those projects where the need for immediate action requires 
processing in other than the normal manner.



Sec. 520.33  Timing of proposed NHTSA actions.

    To the maximum extent practicable, no administrative action (i.e., 
any proposed action to be taken by the agency other than agency 
proposals for legislation to Congress, budget proposals, or agency 
reports on legislation) subject to this part and covered by an 
environmental impact statement shall be taken sooner than 90 days after 
a DEIS has been circulated for comment, furnished to the CEQ, and made 
public. Neither shall such administrative action be taken sooner than 30 
days after the FEIS (together with comments) has been filed with CEQ, 
and made available to commenting agencies and the public. If the FEIS is 
filed within 90 days after a DEIS has been circulated for comment, 
furnished to the CEQ and made public, the 30-day period and 90-day 
period may run concurrently to the extent that they overlap. The 90-day 
time period is measured from the date of publication in the Federal 
Register of the list of weekly filings of environmental impact 
statements with the CEQ, but the 30-day period is computed from the date 
of receipt by the CEQ.



Sec. 520.34  Comments on environmental statements prepared by other agencies.

    (a) All requests for NHTSA's views on a DEIS or a proposed action 
undergoing environmental review by another agency will be transmitted to 
the Associate Administrator for Planning and Evaluation for action or 
referral to TES where appropriate. Offices within NHTSA may be requested 
by the Associate Administrator for Planning and Evaluation to supply any 
pertinent information and comments for a coordinated agency response.
    (b) NHTSA's comments and the comments of any offices responding to a 
request by the Associate Administrator for Planning and Evaluation 
should be organized in a manner consistent with the structure of an 
environmental review set out in Sec. 520.21(e). NHTSA programs that are 
environmentally related to the proposed action under review should be 
identified so interrelationships may receive due consideration.
    (c) Copies of NHTSA's comments on environmental statements prepared 
by other agencies shall be distributed as follows:
    (1) The original and 1 copy to the requesting agency;
    (2) 1 copy to TES-70; and
    (3) 5 copies to CEQ.
    (d) Requests by the public for copies should be referred to the 
agency originating the statement.

               Attachment 1--Form and Content of Statement

    1. Form. a. Each statement will be headed as follows:

      department of transportation national highway traffic safety 
                             administration

    (Draft) Environmental Impact Statement Pursuant to section 
102(2)(C), Pub. L. 91-190; 83 Stat. 853; 42 U.S.C. 4332(2)(C).
    b. The heading specified above shall be modified to indicate that 
the statement also covers sections 4(f) of the DOT Act or 106 of

[[Page 78]]

the National Historic Preservation Act, when appropriate.
    c. Each statement will, as a minimum, contain sections corresponding 
to paragraph 3 herein, supplemented as necessary to cover other matters 
provided in this Attachment.
    d. The format for the summary to accompany draft and final 
environmental statements is as follows:

                                 summary

    (Check one) (  ) Draft (  ) Final; Department of Transportation, 
National Highway Traffic Safety Administration. Name, address, and 
telephone number of individual who can be contacted for additional 
information about the proposed action or the statement. (Note: DOT Order 
2100.2 prescribes procedures for reporting public contacts in 
rulemaking.)
    (1) Name of Action. (Check one) (  ) Administrative Action. (  ) 
Legislative Action.
    (2) Brief description of action indicating what States (and 
counties) are particularly affected.
    (3) Summary of environmental impact and adverse environmental 
effects.
    (4) List alternatives considered.
    (5)(a) (For draft statements) List all Federal, State, and local 
agencies from which comments have been requested.
    (b) (For final statements) List all Federal, State, and local 
agencies and other sources from which written comments have been 
received.
    (6) Dates the draft statement and the final statement if issued were 
made available to the Council on Environmental Quality and the public.
    2. Guidance as to content of statement. The following paragraphs of 
this Attachment are intended to be considered, where relevant, as 
guidance regarding the content of environmental statements. This 
guidance is expected to be supplemented by research reports, guidance on 
methodology, and other material from the literature as may be pertinent 
to evaluation of relevant environmental factors.
    3. General content. The following points are to be covered:
    a. A description of the proposed Federal action (e.g., ``The 
proposed Federal action is approval of a grant application to construct 
* * *''), a statement of its purpose, and a description of the 
environment affected, including information, summary technical data, and 
maps and diagrams where relevant, adequate to permit an assessment of 
potential environmental impact by commenting offices and the public.
    (1) Highly technical and specialized analyses and data should 
generally be avoided in the body of the draft impact statement. Such 
materials should be appropriately summarized in the body of the 
environmental statement and attached as appendices or footnoted with 
adequate bibliographic references.
    (2) The statement should succinctly describe the environment of the 
area affected as it exists prior to a proposed action, including other 
related Federal activities in the area, their interrelationships, and 
cumulative environmental impact. The amount of detail provided in such 
descriptions should be commensurate with the extent and expected impact 
of the action, and with the amount of information required at the 
particular level of decision making (planning, feasibility, design, 
etc.). In order to insure accurate descriptions and environmental 
considerations, site visits should be made where appropriate.
    (3) The statement should identify, as appropriate, population and 
growth characteristics of the affected area and any population and 
growth assumptions used to justify the project or program or to 
determine secondary population and growth impacts resulting from the 
proposed action and its alternatives (see paragraph 3c(2)). In 
discussing these population aspects, the statement should give 
consideration to using the rates of growth in the region of the project 
contained in the projection compiled for the Water Resources Council by 
the Bureau of Economic Analysis of the Department of Commerce and the 
Economic Research Service of the Department of Agriculture (the OBERS 
projection).
    (4) The sources of data used to identify, quantify, or evaluate any 
or all environmental consequences must be expressly noted.
    b. The relationship of the proposed action and how it may conform to 
or conflict with adopted or proposed land use plans, policies, controls, 
and goals and objectives as have been promulgated by affected 
communities. Where a conflict or inconsistency exists, the statement 
should describe the extent of reconciliation and the reasons for 
proceeding notwithstanding the absence of full reconciliation.
    c. The probable impact of the proposed action on the environment. 
(1) This requires assessment of the positive and negative effects of the 
proposed action is it affects both national and international human 
environment. The attention given to different environmental factors will 
vary according to the nature, scale, and location of proposed actions. 
Among factors to be considered should be the potential effect of the 
action on such aspects of the environment as those listed in Attachment 
2, and in section 520.5(b), supra. Primary attention should be given in 
the statement to discussing those factors most evidently impacted by the 
proposed action.
    (2) Secondary and other foreseeable effects, as well as primary 
consequences for the environment, should be included in the analyses. 
Secondary effects, such as the impact on fuel

[[Page 79]]

consumption, emissions, or noise levels of automobiles or in the use of 
toxic or scarce materials, may be more substantial than the primary 
effects of the original action.
    d. Alternatives to the proposed action, including, where relevant, 
those not within the existing authority of the responsible preparing 
office. Section 102(2)(D) of NEPA requires the responsible agency to 
``study, develop, and describe appropriate alternatives to recommended 
courses of action in any proposal which involves unresolved conflicts 
concerning alternative uses of available resources.'' A rigorous 
exploration and an objective evaluation of the environmental impacts of 
all reasonable alternative actions, particularly those that might 
enhance environmental quality or avoid some or all of the adverse 
environmental effects, are essential. Sufficient analysis of such 
alternatives and their environmental benefits, costs, and risks should 
accompany the proposed action through the review process in order not to 
foreclose prematurely options which might enhance environmental quality 
or have less detrimental effects. Examples of such alternatives include: 
The alternatives of not taking any action or of postponing action 
pending further study; alternatives requiring actions of a significantly 
different nature which would provide similar benefits with different 
environmental impacts, e.g., low capital intensive improvements, mass 
transit alternatives to highway construction; alternatives related to 
different locations or designs or details of the proposed action which 
would present different environmental impacts. In each case, the 
analysis should be sufficiently detailed to reveal comparative 
evaluation of the environmental benefits, costs, and risks of the 
proposed action and each reasonable alternative. Where an existing 
impact statement already contains such an analysis its treatment of 
alternatives may be incorporated, provided such treatment is current and 
relevant to the precise purpose of the proposed action.
    e. Any probable adverse environmental effacts which cannot be 
avoided (such as water or air pollution, noise, undesirable land use 
patterns, or impacts on public parks and recreation areas, wildlife and 
waterfowl refuges, or on historic sites, damage to life systems, traffic 
congestion, threats to health, or other consequences adverse to the 
environmental goals set out in section 101(b) of NEPA). This should be a 
brief section summarizing in one place those effects discussed in 
paragraph 3c that are adverse and unavoidable under the proposed action. 
Included for purposes of contrast should be a clear statement of how all 
adverse effects will be mitigated. Where mitigating steps are included 
in the statement, the responsible official shall see that they are 
carried out.
    f. The relationship between local short-term uses of man's 
environment and the maintenance and enhancement of long-term 
productivity. This section should contain a brief discussion of the 
extent to which the proposed action involves tradeoffs between short-
term environmental gains at the expense of long-term losses, or vice 
versa, and a discussion of the extent to which the proposed action 
forecloses future options.
    g. Any irreversible and irretrievable commitments of resources that 
would be involved in the proposed action should it be implemented. This 
requires identification of unavoidable impacts and the extent to which 
the action irreversibly curtails the range of potential uses of the 
environment. ``Resources'' means not only the labor and materials 
devoted to an action but also the natural and cultural resources lost or 
destroyed.
    h. An indication of what other interests and considerations of 
Federal policy are thought to offset the adverse environmental effects 
of the proposed action identified pursuant to subparagraphs (c) and (e) 
of this paragraph. The statement should also indicate the extent to 
which these stated countervailing benefits could be realized by 
following reasonable alternatives to the proposed action (as identified 
in subparagraph (d) of this paragraph) that would avoid some or all of 
the adverse environmental effects. In this connection if a cost-benefit 
analysis of the proposed action has been prepared, it, or a summary, 
should be attached to the environmental impact statement, and should 
clearly indicate the extent to which environmental costs have not been 
reflected in such analysis.
    i. A discussion of problems and objections raised by other Federal 
agencies, State and local entities, and citizens in the review process, 
and the disposition of the issues involved and the reasons therefor. 
(This section shall be added to the final environmental statement at the 
end of the review process.)
    (1) The draft and final statements should document issues raised 
through consultations with Federal, State, and local agencies with 
jurisdiction or special expertise and with citizens, of actions taken in 
response to comments, public hearings, and other citizens involvement 
proceedings.
    (2) Any unresolved environmental issues and efforts to resolve them, 
through further consultations or otherwise, should be identified in the 
final statement. For instance, where an agency comments that the 
statement has inadequate analysis or that the agency has reservations 
concerning the impacts, or believes that the impacts are too adverse for 
approval, either the issue should be resolved or the final statement 
should reflect efforts to resolve the issue and set forth any action 
that will result.

[[Page 80]]

    (3) The statement should reflect that every effort was made to 
discover and discuss all major points of view on the environmental 
effects of the proposed action and alternatives in the draft statement. 
However, where opposing professional views and responsible opinion have 
been overlooked in the draft statement and are raised through the 
commenting process, the environmental effects of the action should be 
reviewed in light of those views. A meaningful reference should be made 
in the final statement to the existence of any responsible opposing view 
not adequately discussed in the draft statement indicating responses to 
the issues raised.
    (4) All substantive comments received on the draft (or summaries of 
responses from the public which have been exceptionally voluminous) 
should be attached to the final statement, whether or not each such 
comment is thought to merit individual discussion in the text of the 
statement.
    j. Draft statement should indicate at appropriate points in the text 
any underlying studies, reports, and other information obtained and 
considered in preparing the statement, including any cost-benefit 
analyses prepared. In the case of documents not likely to be easily 
accessible (such as internal studies or reports), the statement should 
indicate how such information may be obtained. If such information is 
attached to the statement, care should be taken to insure that the 
statement remains an essentially self-contained instrument, capable of 
being understood by the reader without the need for undue cross 
reference.
    4. Publicly owned parklands, recreational areas, wildlife and 
waterfowl refuges and historic sites. The following points are to be 
covered:
    a. Description of ``any publicly owned land from a public park, 
recreational area or wildlife and waterfowl refuge'' or ``any land from 
an historic site'' affected or taken by the project. This includes its 
size, available activities, use, patronage, unique or irreplaceable 
qualities, relationship to other similarly used lands in the vicinity of 
the project, maps, plans, slides, photographs, and drawings showing a 
sufficient scale and detail the project. This also includes its impact 
on park, recreation, wildlife, or historic areas, and changes in 
vehicular or pedestrian access.
    b. Statement of the ``national, State or local significance'' of the 
entire park, recreational area, refuge, or historic site ``as determined 
by the Federal, State or local officials having jurisdiction thereof.''
    (1) In the absence of such a statement lands will be presumed to be 
significant. Any statement of ``insignificance'' by the official having 
jurisdiction is subject to review by the Department as to whether such 
statement is capricious.
    (2) Where Federal lands are administered for multiple uses, the 
Federal official having jurisdiction over the lands shall determine 
whether the subject lands are in fact being used for park, recreation, 
wildlife, waterfowl, or historic purposes.
    c. Similar data, as appropriate, for alternative designs and 
locations, including detailed cost estimates (with figures showing 
percentage differences in total project costs) and technical 
feasibility, and appropriate analysis of the alternatives, including any 
unique problems present and evidence that the cost or community 
disruptions resulting from alternative routes reach extraordinary 
magnitudes. This portion of the statement should demonstrate compliance 
with the Supreme Court's statement in the Overton Park case, as follows:
    [The] very existence of the statute indicates that protection of 
parkland was to be given paramount importance. The few green havens that 
are public parks were not to be lost unless there were truly unusual 
factors present in a particular case or the cost or community disruption 
resulting from alternative routes reached extraordinary magnitudes. If 
the statutes are to have any meaning, the Secretary cannot approve the 
destruction of parkland unless he finds that alternative routes present 
unique problems. 401 U.S. 402, 412 (1971).
    d. If there is no feasible and prudent alternative, description of 
all planning undertaken to minimize harm to the protected area and 
statement of actions taken or to be taken to implement this planning, 
including measures to maintain or enhance the natural beauty of the 
lands traversed.
    (1) Measures to minimize harm may include replacement of land and 
facilities, providing land or facilities, provision for functional 
replacement of the facility (see 49 CFR 25.267).
    (2) Design measures to minimize harm; e.g., tunneling, cut and 
cover, cut and fill, treatment of embankments, planting, screening, 
maintenance of pedestrian or bicycle paths and noise mitigation measures 
all reflecting utilization of appropriate interdisciplinary design 
personnel.
    e. Evidence of concurrence or description of efforts to obtain 
concurrence of Federal, State or local officials having jurisdiction 
over the section 4(f) property regarding the action proposed and the 
measures planned to minimize harm.
    f. If Federally-owned properties are involved in highway projects, 
the final statement shall include the action taken or an indication of 
the expected action after filing a map of the proposed use of the land 
or other appropriate documentation with the Secretary of the Department 
supervising the land (23 U.S.C. 317).
    g. If land acquired with Federal grant money (Department of Housing 
and Urban

[[Page 81]]

Development open space or Bureau of Outdoor Recreation land and water 
conservation funds) is involved, the final statement shall include 
appropriate communications with the grantor agency.
    h. TGC will determine application of section 4(f) to public 
interests in lands, such as easements, reversions, etc.
    i. A specific finding by the Administrator that there is no feasible 
and prudent alternative and that the proposal includes all possible 
planning to minimize harm to the ``4(f) area'' involved.
    5. Properties and sites of historic and cultural significance. The 
statement should document actions taken to preserve and enhance 
districts, sites, buildings, structures, and objects of historical, 
architectural, archeological, or cultural significance affected by the 
action.
    a. Draft environmental statements should include identification, 
through consulting the National Register and applying the National 
Register Criteria (36 CFR part 800), of properties that are included in 
or eligible for inclusion in the National Register of Historic Places 
that may be affected by the project. The National Register is published 
in its entirety each February in the Federal Register. Monthly additions 
and listings of eligible properties are published in the Federal 
Register the first Tuesday of each month. The Secretary of the Interior 
will advise, upon request, whether properties are eligible for the 
National Register.
    b. If application of the Advisory Council on Historic Preservation's 
(ACHP) Criteria of Effect (36 CFR part 800) indicates that the project 
will have an effect upon a property included in or eligible for 
inclusion in the National Register of Historic Places, the draft 
environmental statement should document the effect. Evaluation of the 
effect should be made in consultation with the State Historic 
Preservation Officer (SHPO) and in accordance with the ACHP's criteria 
of Adverse Effect (36 CFR part 800).
    c. Determinations of no adverse effect should be documented in the 
draft statement with evidence of the application of the ACHP's Criteria 
of Adverse Effect, the views of the appropriate State Historic 
Preservation Officer, and submission of the determination to the ACHP 
for review.
    d. If the project will have an adverse effect upon a property 
included in or eligible for inclusion in the National Register of 
Historic Places, the final environmental statement should include either 
an executed Memorandum of Agreement or comments from the Council after 
consideration of the project at a meeting of the ACHP and an account of 
actions to be taken in response to the comments of the ACHP. Procedures 
for obtaining a Memorandum of Agreement and the comments of the Council 
are found in 36 CFR part 800.
    e. To determine whether the project will have an effect on 
properties of State or local historical, architectural, archaeological, 
or cultural significance not included in or eligible for inclusion in 
the National Register, the responsible official should consult with the 
State Historic Preservation Officer, with the local official having 
jurisdiction of the property, and where appropriate, with historical 
societies, museums, or academic institutions having expertise with 
regard to the property. Use of land from historic properties of Federal, 
State and local significance as determined by the official having 
jurisdiction thereof involves section 4(f) of the DOT Act and 
documentation should include information necessary to consider a 4(f) 
determination (see paragraph 4).
    6. Impacts of the proposed action on the human environment involving 
community disruption and relocation. a. The statement should include a 
description of probable impact sufficient to enable an understanding of 
the extent of the environmental and social impact of the project 
alternatives and to consider whether relocation problems can be properly 
handled. This would include the following information obtainable by 
visual inspection of the proposed affected area and from secondary 
sources and community sources when available.
    (1) An estimate of the households to be displaced including the 
family characteristics (e.g., minorities, and income levels, tenure, the 
elderly, large families).
    (2) Impact on the human environment of an action which divides or 
disrupts an established community, including where pertinent, the effect 
of displacement on types of families and individuals affected, effect of 
streets cut off, separation of residences from community facilities, 
separation of residential areas.
    (3) Impact on the neighborhood and housing to which relocation is 
likely to take place (e.g., lack of sufficient housing for large 
families, doublings up).
    (4) An estimate of the businesses to be displaced, and the general 
effect of business dislocation on the economy of the community.
    (5) A discussion of relocation housing in the area and the ability 
to provide adequate relocation housing for the types of families to be 
displaced. If the resources are insufficient to meet the estimated 
displacement needs, a description of the actions proposed to remedy this 
situation including, if necessary, use of housing of last resort.
    (6) Results of consultation with local officials and community 
groups regarding the impacts to the community affected. Relocation 
agencies and staff and other social agencies can help to describe 
probable social impacts of this proposed action.
    (7) Where necessary, special relocation advisory services to be 
provided the elderly,

[[Page 82]]

handicapped and illiterate regarding interpretations of benefits, 
assistance in selecting replacement housing and consultation with 
respect to acquiring, leasing, and occupying replacement housing.
    b. This data should provide the preliminary basis for assurance of 
the availability of relocation housing as required by DOT 5620.1, 
Replacement Housing Policy, dated June 24, 1970, and 49 CFR 25.53.
    7. Considerations relating to pedestrians and bicyclists. Where 
appropriate, the statement should discuss impacts on and consideration 
to be given in the development of the project to pedestrian and bicycle 
access, movement and safety within the affected area, particularly in 
medium and high density commercial and residential areas.
    8. Other social impacts. The general social groups specially 
benefitted or harmed by the proposed action should be identified in the 
statement including the following:
    a. Particular effects of a proposal on the elderly, handicapped, 
non-drivers, transit dependent, or minorities should be described to the 
extent reasonably predictable.
    b. How the proposal will facilitate or inhibit their access to jobs, 
educational facilities, religious institutions, health and welfare 
services, recreational facilities, social and cultural facilities, 
pedestrian movement facilities, and public transit services.
    9. Standards as to noise, air, and water pollution. The statement 
shall reflect sufficient analysis of the effects of the proposed action 
on attainment and maintenance of any environmental standards established 
by law or administrative determination (e.g., noise, ambient air 
quality, water quality) including the following documentation:
    a. With respect to water quality, there should be consultation with 
the agency responsible for the State water pollution control program as 
to conformity with standards and regulations regarding storm sewer 
discharge sedimentation control, and other non-point source discharges.
    b. The comments or determinations of the offices charged with 
administration of the State's implementation plan for air quality as to 
the consistency of the project with State plans for the implementation 
of ambient air quality standards.
    c. Conformity to adopted noise standards, compatible, if 
appropriate, with different land uses.
    10. Energy supply and natural resources development. Where 
applicable, the statement should reflect consideration of whether the 
project or program will have any effect on either the production or 
consumption of energy and other natural resources, and discuss such 
effects if they are significant.
    11. Flood hazard evaluation. When an alternative under consideration 
encroaches on a flood plain, the statement should include evidence that 
studies have been made and evidence of consultations with agencies with 
expertise have been carried out. Necessary measures to handle flood 
hazard problems should be described. In compliance with Executive Order 
11296, and Flood Hazard Guidelines for Federal Executive Agencies, 
promulgated by the Water Resources Council, or how such requirements can 
be met during project development.
    12. Considerations relating to wetlands or coastal zones. Where 
wetlands or coastal zones are involved, the statement should include:
    a. Information on location, types, and extent of wetlands areas 
which might be affected by the proposed action.
    b. An assessment of the impacts resulting from both construction and 
operation of the project on the wetlands and associated wildlife, and 
measures to minimize adverse impacts.
    c. A statement by the local representative of the Department of the 
Interior, and any other responsible officials with special expertise, 
setting forth his views on the impacts of the project on the wetlands, 
the worth of the particular wetlands areas involved to the community and 
to the Nation, and recommendations as to whether the proposed action 
should proceed, and, if applicable, along what alternative route.
    d. Where applicable, a discussion of how the proposed project 
relates to the State coastal zone management program for the particular 
State in which the project is to take place.
    13. Construction impacts. In general, adverse impacts during 
construction will be of less importance than long-term impacts of a 
proposal. Nonetheless, statements should appropriately address such 
matters as the following identifying any special problem areas:
    a. Noise impacts from construction and any specifications setting 
maximum noise levels.
    b. Disposal of spoil and effect on borrow areas and disposal sites 
(include specifications where special problems are involved).
    c. Measures to minimize effects on traffic and pedestrians.
    14. Land use and urban growth. The statement should include, to the 
extent relevant and predictable:
    a. The effect of the project on land use, development patterns, and 
urban growth.
    b. Where significant land use and development impacts are 
anticipated, identify public facilities needed to serve the new 
development and any problems or issues which would arise in connection 
with these facilities, and the comments of agencies that would provide 
these facilities.


[[Page 83]]



  Attachment 2--Areas of Environmental Impact and Federal Agencies and 
Federal-State Agencies With Jurisdiction by Law or Special Expertise to 
                             Comment Thereon

    Editorial Note: Filed as part of the original document. For text see 
39 FR 32546, Sept. 30, 1975.

Attachment 3--Offices Within Federal Agencies and Federal-State Agencies 
  for Information Regarding the Agencies' Impact Statements for Which 
                         Comments Are Requested

    Editorial Note: Filed as part of the original document. For text see 
39 FR 35248, Sept. 30, 1975.

    Attachment 4--State and Local Agency Review of Impact Statements

    1. OBM Revised Circular No. A-95 through its system of 
clearinghouses provides a means for securing the views of State and 
local environmental agencies, which can assist in the preparation of 
impact statements. Under A-95, review of the proposed project in the 
case of federally assisted projects (Part I of A-95) generally takes 
place prior to the preparation of the impact statement. Therefore, 
comments on the environmental effects of the proposed project that are 
secured during this stage of the A-95 process represent inputs to the 
environmental impact statement.
    2. In the case of direct Federal development (Part II of A-95), 
Federal agencies are required to consult with clearinghouses at the 
earliest practicable time in the planning of the project or activity. 
Where such consultation occurs prior to completion of the draft impact 
statement, comments relating to the environmental effects of the 
proposed action would also represent inputs to the environmental impact 
statement.
    3. In either case, whatever comments are made on environmental 
effects of proposed Federal or federally assisted projects by 
clearinghouses, or by State and local environmental agencies through 
clearinghouses, in the course of the A-95 review should be attached to 
the draft impact statement when it is circulated for review. Copies of 
the statement should be sent to the agencies making such comments. 
Whether those agencies then elect to comment again on the basis of the 
draft impact statement is a matter to be left to the discretion of the 
commenting agency depending on its resources, the significance of the 
project and the extent to which its earlier comments were considered in 
preparing the draft statement.
    4. The clearinghouses may also be used, by mutual agreement, for 
securing reviews of the draft environmental impact statement. However, 
the Federal agency may wish to deal directly with appropriate State or 
local agencies in the review of impact statements because the 
clearinghouses may be unwilling or unable to handle this phase of the 
process. In some cases, the Governor may have designated a specific 
agency, other than the clearinghouse, for securing reviews of impact 
statements. In any case, the clearinghouses should be sent copies of the 
impact statement.
    5. To aid clearinghouses in coordinating State and local comments, 
draft statements should include copies of State and local agency 
comments made earlier under the A-95 process and should indicate on the 
summary sheet those other agencies from which comments have been 
requested, as specified in Attachment 1.



PART 523--VEHICLE CLASSIFICATION--Table of Contents




Sec.
523.1  Scope.
523.2  Definitions.
523.3  Automobile.
523.4  Passenger automobile.
523.5  Light truck.

    Authority: 15 U.S.C. 2002; 49 CFR 1.50.



Sec. 523.1  Scope.

    This part establishes categories of vehicles that are subject to 
title V of the Motor Vehicle Information and Cost Savings Act, 15 U.S.C. 
2001 et seq.


(Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001))

[42 FR 38362, July 28, 1977]



Sec. 523.2  Definitions.

    Approach angle means the smallest angle, in a plane side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the front tire static loaded radius arc 
and touching the underside of the automobile forward of the front tire.
    Axle clearance means the vertical distance from the level surface on 
which an automobile is standing to the lowest point on the axle 
differential of the automobile.
    Basic vehicle frontal area is used as defined in 40 CFR 86.079-2.

[[Page 84]]

    Breakover angle means the supplement of the largest angle, in the 
plan side view of an automobile, that can be formed by two lines tangent 
to the front and rear static loaded radii arcs and intersecting at a 
point on the underside of the automobile.
    Cargo-carrying volume means the luggage capacity or cargo volume 
index, as appropriate, and as those terms are defined in 40 CFR 600.315, 
in the case of automobiles to which either of those terms apply. With 
respect to automobiles to which neither of those terms apply ``cargo-
carrying volume'' means the total volume in cubic feet rounded to the 
nearest 0.1 cubic feet of either an automobile's enclosed nonseating 
space that is intended primarily for carrying cargo and is not 
accessible from the passenger compartment, or the space intended 
primarily for carrying cargo bounded in the front by a vertical plane 
that is perpendicular to the longitudinal centerline of the automobile 
and passes through the rearmost point on the rearmost seat and elsewhere 
by the automobile's interior surfaces.
    Curb weight is defined the same as vehicle curb weight in 40 CFR 
part 86.
    Departure angle means the smallest angle, in a plane side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the rear tire static loaded radius arc 
and touching the underside of the automobile rearward of the rear tire.
    Gross vehicle weight rating means the value specified by the 
manufacturer as the loaded weight of a single vehicle.
    Passenger-carrying volume means the sum of the front seat volume 
and, if any, rear seat volume, as defined in 40 CFR 600.315, in the case 
of automobiles to which that term applies. With respect to automobiles 
to which that term does not apply, ``passenger-carrying volume'' means 
the sum in cubic feet, rounded to the nearest 0.1 cubic feet, of the 
volume of a vehicle's front seat and seats to the rear of the front 
seat, as applicable, calculated as follows with the head room, shoulder 
room, and leg room dimensions determined in accordance with the 
procedures outlined in Society of Automotive Engineers Recommended 
Practice J1100a, Motor Vehicle Dimensions (Report of Human Factors 
Engineering Committee, Society of Automotive Engineers, approved 
September 1973 and last revised September 1975).
    (a) For front seat volume, divide 1,728 into the product of the 
following SAE dimensions, measured in inches to the nearest 0.1 inches, 
and round the quotient to the nearest 0.001 cubic feet.
    (1) H61-Effective head room--front.
    (2) W3-Shoulder room--front.
    (3) L34-Maximum effective leg room-accelerator.
    (b) For the volume of seats to the rear of the front seat, divide 
1,728 into the product of the following SAE dimensions, measured in 
inches to the nearest 0.1 inches, and rounded the quotient to the 
nearest 0.001 cubic feet.
    (1) H63-Effective head room--second.
    (2) W4-Shoulder room--second.
    (3) L51-Minimum effective leg room--second.
    Running clearance means the distance from the surface on which an 
automobile is standing to the lowest point on the automobile, excluding 
unsprung weight.
    Static loaded radius arc means a portion of a circle whose center is 
the center of a standard tire-rim combination of an automobile and whose 
radius is the distance from that center to the level surface on which 
the automobile is standing, measured with the automobile at curb weight, 
the wheel parallel to the vehicle's longitudinal centerline, and the 
tire inflated to the manufacturer's recommended pressure.
    Temporary living quarters means a space in the interior of an 
automobile in which people may temporarily live and which includes 
sleeping surfaces, such as beds, and household conveniences, such as a 
sink, stove, refrigerator, or toilet.


(Sec. 9, Pub. L. 89-670, 80 Stat. 981 (49 U.S.C. 1657); sec. 301, Pub. 
L. 94-163, 89 Stat. 901 (15 U.S.C. 2002); delegation of authority at 41 
FR 25015, June 22, 1976)

[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 523.3  Automobile.

    (a) An automobile is any 4-wheeled vehicle propelled by fuel which 
is manufactured primarily for use on public

[[Page 85]]

streets, roads, and highways (except any vehicle operated exclusively on 
a rail or rails), and that either--
    (1) Is rated at 6,000 pounds gross vehicle weight or less; or
    (2) Which--
    (i) Is rated more than 6,000 pounds gross vehicle weight, but less 
than 10,000 pounds gross vehicle weight,
    (ii) Is a type of vehicle for which the Administrator determines, 
under paragraph (b) of this section, average fuel economy standards are 
feasible, and
    (iii)(A) Is a type of vehicle for which the Administrator 
determines, under paragraph (b) of this section, average fuel economy 
standards will result in significant energy conservation, or
    (B) Is a type of vehicle which the Administrator determines, under 
paragraph (b) of this section, is substantially used for the same 
purposes as vehicles described in paragraph (a)(1) of this section.
    (b) The following vehicles rated at more than 6,000 pounds and less 
than 10,000 pounds gross vehicle weight are determined to be 
automobiles:
    (1) Vehicles which would satisfy the criteria in Sec. 523.4 
(relating to passenger automobiles) but for their gross vehicle weight 
rating.
    (2) Vehicles which would satisfy the criteria in Sec. 523.5 
(relating to light trucks) but for their gross vehicle weight rating, 
and which
    (i) Have a basic vehicle frontal area of 45 square feet or less,
    (ii) Have a curb weight of 6,000 pounds or less,
    (iii) Have a gross vehicle weight rating of 8,500 pounds or less, 
and
    (iv) Are manufactured during the 1980 model year or thereafter.


(Sec. 9, Pub. L. 89-670, 80 Stat. 981 (49 U.S.C. 1657); sec. 301, Pub. 
L. 94-163, 89 Stat. 901 (15 U.S.C. 2002); delegation of authority at 41 
FR 25015, June 22, 1976)

[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
44 FR 4493, Jan. 2, 1979]



Sec. 523.4  Passenger automobile.

    A passenger automobile is any automobile (other than an automobile 
capable of off-highway operation) manufactured primarily for use in the 
transportation of not more than 10 individuals.


(Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001))

[42 FR 38362, July 28, 1977]



Sec. 523.5  Light truck.

    (a) A light truck is an automobile other than a passenger automobile 
which is either designed for off-highway operation, as described in 
paragraph (b) of this section, or designed to perform at least one of 
the following functions:
    (1) Transport more than 10 persons;
    (2) Provide temporary living quarters;
    (3) Transport property on an open bed;
    (4) Provide greater cargo-carrying than passenger-carrying volume; 
or
    (5) Permit expanded use of the automobile for cargo-carrying 
purposes or other nonpassenger-carrying purposes through the removal of 
seats by means installed for that purpose by the automobile's 
manufacturer or with simple tools, such as screwdrivers and wrenches, so 
as to create a flat, floor level, surface extending from the forwardmost 
point of installation of those seats to the rear of the automobile's 
interior.
    (b) An automobile capable of off-highway operation is an 
automobile--
    (1)(i) That has 4-wheel drive; or
    (ii) Is rated at more than 6,000 pounds gross vehicle weight; and
    (2) That has at least four of the following characteristics (see 
Figure 1) calculated when the automobile is at curb weight, on a level 
surface, with the front wheels parallel to the automobile's longitudinal 
centerline, and the tires inflated to the manufacturer's recommended 
pressure--
    (i) Approach angle of not less than 28 degrees.
    (ii) Breakover angle of not less than 14 degrees.
    (iii) Departure angle of not less than 20 degrees.
    (iv) Running clearance of not less than 20 centimeters.

[[Page 86]]

    (v) Front and rear axle clearances of not less than 18 centimeters 
each.


(Sec. 9, Pub. L. 89-670, 80 Stat. 981 (49 U.S.C. 1657); sec. 301, Pub. 
L. 94-163, 89 Stat. 901 (15 U.S.C. 2002); delegation of authority at 41 
FR 25015, June 22, 1976)

[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
58 FR 18029, Apr. 7, 1993]



PART 525--EXEMPTIONS FROM AVERAGE FUEL ECONOMY STANDARDS--Table of Contents




Sec.
525.1  Scope.
525.2  Purpose.
525.3  Applicability.
525.4  Definitions.
525.5  Limitation on eligibility.
525.6  Requirements for petition.
525.7  Basis for petition.
525.8  Processing of petitions.
525.9  Duration of exemption.
525.10  Renewal of exemption.
525.11  Termination of exemption; amendment of alternative average fuel 
          economy standard.
525.12  Public inspection of information.

    Authority: 15 U.S.C. 2002; 49 CFR 1.50.

    Source: 42 FR 38376, July 28, 1977, unless otherwise noted.



Sec. 525.1  Scope.

    This part establishes procedures under section 502(c) of the Motor 
Vehicle Information and Cost Savings Act, as amended (15 U.S.C. 2002) 
for the submission and disposition of petitions filed by low volume 
manufacturers of passenger automobiles to exempt them from the average 
fuel economy standards for passenger automobiles and to establish 
alternative average fuel economy standards for those manufacturers.



Sec. 525.2  Purpose.

    The purpose of this part is to provide content and format 
requirements for low volume manufacturers of passenger automobiles which 
desire to petition the Administrator for exemption from applicable 
average fuel economy standards and for establishment of appropriate 
alternative average fuel economy standards and to give interested 
persons an opportunity to present data, views and arguments on those 
petitions.



Sec. 525.3  Applicability.

    This part applies to passenger automobile manufacturers.



Sec. 525.4  Definitions.

    (a) Statutory terms. (1) The terms fuel, manufacture, manufacturer, 
and model year, are used as defined in section 501 of the Act.
    (2) The terms average fuel economy, fuel economy, and model type are 
used as defined in 40 CFR 600.002-77.
    (3) The term automobile means a vehicle determined by the 
Administrator under 49 CFR part 523 to be an automobile.
    (4) The term passenger automobile means an automobile determined by 
the Administrator under 49 CFR part 523 to be a passenger automobile.
    (5) The term customs territory of the United States is used as 
defined in 19 U.S.C. 1202.
    (b) Other terms. (1) The term base level and vehicle configuration 
are used as defined in 40 CFR 600.002-77.
    (2) The term vehicle curb weight is used as defined in 40 CFR 
85.002.
    (3) The term interior volume index is used as defined in 40 CFR 
600.315-77.
    (4) The term frontal area is used as defined in 40 CFR 86.129-79.
    (5) The term basic engine is used as defined in 40 CFR 600.002-
77(a)(21).
    (6) The term designated seating position is defined in 49 CFR 571.3.
    (7) As used in this part, unless otherwise required by the context:
    Act means the Motor Vehicle Information and Cost Savings Act (Pub. 
L. 92-513), as amended by the Energy Policy and Conservation Act (Pub. 
L. 94-163);
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration;
    Affected model year means a model year for which an exemption and 
alternative average fuel economy standard are requested under this part;
    Production mix means the number of passenger automobiles, and their 
percentage of the petitioner's annual total production of passenger 
automobiles, in each vehicle configuration which a

[[Page 87]]

petitioner plans to manufacture in a model year; and
    Total drive ratio means the ratio of an automobile's engine 
rotational speed (in revolutions per minute) to the automobile's forward 
speed (in miles per hour).


(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976; sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))

[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979]



Sec. 525.5  Limitation on eligibility.

    Any manufacturer that manufactures (whether or not in the customs 
territory of the United States) 10,000 or more passenger automobiles in 
the second model year preceding an affected model year or in the 
affected model year is ineligible for an exemption for that affected 
model year.



Sec. 525.6  Requirements for petition.

    Each petition filed under this part must--
    (a) Identify the model year or years for which exemption is 
requested;
    (b) Be submitted not later than 24 months before the beginning of 
the affected model year, unless good cause for later submission is 
shown;
    (c) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;
    (d) Be written in the English language;
    (e) State the full name, address, and title of the official 
responsible for preparing the petition, and the name and address of the 
manufacturer;
    (f) Set forth in full data, views and arguments of the petitioner 
supporting the exemption and alternative average fuel economy standard 
requested by the petitioner, including the information and data 
specified by Sec. 525.7 and the calculations and analyses used to 
develop that information and data. No documents may be incorporated by 
reference in a petition unless the documents are submitted with the 
petition;
    (g) Specify and segregate any part of the information and data 
submitted under this part that the petitioner wishes to have withheld 
from public disclosure in accordance with part 512 of this chapter.


(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976; sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))

[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979; 
46 FR 2063, Jan. 8, 1981]



Sec. 525.7  Basis for petition.

    (a) The petitioner shall include the information specified in 
paragraphs (b) through (h) in its petition.
    (b) Whether the petitioner controls, is controlled by, or is under 
common control with another manufacturer of passenger automobiles, and 
if so, the nature of that control relationship, and the total number of 
passenger automobiles manufactured by such other manufacturer or 
manufacturers.
    (c) The total number of passenger automobiles manufactured or likely 
to be manufactured (whether or not in the customs territory of the 
United States) by the petitioner in the second model year immediately 
preceding each affected model year.
    (d) For each affected model year, the petitioner's projections of 
the most fuel efficient production mix of vehicle configurations and 
base levels of its passenger automobiles which the petitioner could sell 
in that model year, and a discussion demonstrating that these 
projections are reasonable. The discussion shall include information 
showing that the projections are consistent with--
    (1) The petitioner's annual total production and production mix of 
passenger automobiles manufactured or likely to be manufactured in each 
of the four model years immediately preceding that affected model year;
    (2) Its passenger automobile production capacity for that affected 
model year;
    (3) Its efforts to comply with that average fuel economy standard; 
and
    (4) Anticipated consumer demand in the United States for passenger 
automobiles during that affected model year.
    (e) For each affected model year, a description of the following 
features of

[[Page 88]]

each vehicle configuration of the petitioner's passenger automobiles to 
be manufactured in that affected model year;
    (1) Maximum overall body width, overall length, and overall height, 
determined in accordance with Motor Vehicle Dimensions SAE J1100a 
(report of Human Engineering Committee, approved September 1973, as 
revised September 1975);
    (2) Vehicle curb weight;
    (3) Number of designated seating positions and interior volume 
index;
    (4) Basic engine, displacement, and SAE rated net power, kilowatts;
    (5) Fuel metering system, including the number of carburetor 
barrels, if applicable;
    (6) Drive train configuration and total drive ratio;
    (7) Emission control system;
    (8) Dynamometer road load setting, determined in accordance with 40 
CFR part 86, and the method used to determine that setting, including 
information indicating whether the road load setting was adjusted to 
account for the presence of air conditioning and whether the setting was 
based on the use of radial ply tires; and
    (9) Use of synthetic lubricants, low viscosity lubricants, or 
lubricants with additives that affect friction characteristics in the 
crankcase, differential, and transmission of the vehicles tested under 
the requirements of 40 CFR parts 86 and 600. With respect to automobiles 
which will use these lubricants, indicate which one will be used and 
explain why that type was chosen. With respect to automobiles which will 
not use these lubricants, explain the reasons for not so doing.
    (f) For each affected model year, a fuel economy value for each 
vehicle configuration specified in 40 CFR 600.506(a)(2), base level, and 
model type of the petitioner's passenger automobiles to be manufactured 
in that affected model year calculated in accordance with subpart C of 
40 CFR part 600 and based on tests or analyses comparable to those 
prescribed or permitted under 40 CFR part 600 and a description of the 
test procedures or analytical methods.
    (g) For each affected model year, an average fuel economy figure for 
the petitioner's passenger automobiles to be manufactured in that 
affected model year calculated in accordance with 40 CFR 600.510(e) and 
based upon the fuel economy values provided under paragraph (f) of this 
section and upon the petitioner's production mix projected under 
paragraph (d) of this section for the affected model year.
    (h) Information demonstrating that the average fuel economy figure 
provided for each affected model year under paragraph (g) of this 
section is the maximum feasible average fuel economy achievable by the 
petitioner for that model year, including--
    (1) For each affected model year and each of the two model years 
immediately following the first affected model year, a description of 
the technological means selected by the petitioner for improving the 
average fuel economy of its automobiles to be manufactured in that model 
year.
    (2) A chronological description of the petitioner's past and planned 
efforts to implement the means described under paragraph (h)(1) of this 
section.
    (3) A description of the effect of other Federal motor vehicle 
standards on the fuel economy of the petitioner's automobiles.
    (4) For each affected model year, a discussion of the alternative 
and additional means considered but not selected by the petitioner that 
would have enabled its passenger automobiles to achieve a higher average 
fuel economy than is achievable with the means described under paragraph 
(h)(1) of this section. This discussion must include an explanation of 
the reasons the petitioner had for rejecting these additional and 
alternative means.
    (5) In the case of a petitioner which plans to increase the average 
fuel economy of its passenger automobiles to be manufactured in either 
of the two model years immediately following the first affected model 
year, an explanation of the petitioner's reasons for

[[Page 89]]

not making those increases in that affected model year.


(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976; sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))

[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979; 
58 FR 18029, Apr. 7, 1993]



Sec. 525.8  Processing of petitions.

    (a) If a petition is found not to contain the information required 
by this part, the petition is informed about the areas of insufficiency 
and advised that the petition will not receive further consideration 
until the required information is submitted.
    (b) The Administrator may request the petitioner to provide 
information in addition to that required by this part.
    (c) The Administrator publishes a proposed decision in the Federal 
Register. The proposed decision indicates the proposed grant of the 
petition and establishment of an alternative average fuel economy 
standard, or the proposed denial of the petition, specifies the reasons 
for the proposal and invites written public comment on the proposal.
    (d) Any interested person may, upon written request to the 
Administrator not later than 15 days after the publication of a notice 
under paragraph (c) of this section, meet informally with an appropriate 
official of the National Highway Traffic Safety Administration to 
discuss the petition or notice.
    (e) After the conclusion of the period for public comment on the 
proposal, the Administrator publishes a final decision in the Federal 
Register. The final decision is based on the petition, written public 
comments, and other available information. The final decision sets forth 
the grant of the exemption and establishes an alternative average fuel 
economy standard or the denial of the petition, and the reasons for the 
decision.


(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976); sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))

[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979]



Sec. 525.9  Duration of exemption.

    An exemption may be granted under this part for not more than three 
model years.



Sec. 525.10  Renewal of exemption.

    A manufacturer exempted under this part may request renewal of its 
exemption by submitting a petition meeting the requirements of 
Secs. 525.6 and 525.7.



Sec. 525.11  Termination of exemption; amendment of alternative average fuel economy standard.

    (a) Any exemption granted under this part for an affected model year 
does not apply to a manufacturer that is ineligible under Sec. 525.5 for 
an exemption in that model year.
    (b) The administrator may initiate rulemaking either on his own 
motion or on petition by an interested person to terminate an exemption 
granted under this part or to amend an alternative average fuel economy 
standard established under this part.
    (c) Any interested persons may petition the Administrator to 
terminate an exemption granted under this part or to amend an 
alternative average fuel economy standard established under this part.



Sec. 525.12  Public inspection of information.

    (a) Except as provided in paragraph (b), any person may inspect 
available information relevant to a petition under this part, including 
the petition and any supporting data, memoranda of informal meetings 
with the petitioner or any other interested persons, and the notices 
regarding the petition, in the Docket Section of the National Highway 
Traffic Safety Administration. Any person may obtain copies of the 
information available for inspection under this paragraph in accordance 
with Part 7 of the regulations of the Office of the Secretary of 
Transportation (49 CFR part 7).
    (b) Except for the release of confidential information authorized by 
section 505 of the Act and part 512 of this chapter, information made 
available for public inspection does not include information for which 
confidentiality is requested under Sec. 525.6(g) and is granted

[[Page 90]]

in accordance with Part 512 and sections 502 and 505 of the Act and 
section 552(b) of title 5 of the U.S.C.

[46 FR 2063, Jan. 8, 1981]



PART 526--PETITIONS AND PLANS FOR RELIEF UNDER THE AUTOMOBILE FUEL EFFICIENCY ACT OF 1980--Table of Contents




Sec.
526.1  General provisions.
526.2  U.S. production by foreign manufacturer.
526.3  Transfer of vehicle from non-domestic to domestic fleet.
526.4  [Reserved]
526.5  Earning offsetting monetary credits in future model years.

    Authority: 15 U.S.C. 2002 and 2003; delegation of authority at 49 
CFR 1.50.

    Source: 47 FR 7248, Feb. 18, 1982, unless otherwise noted.



Sec. 526.1  General provisions.

    (a) Applicability. These regulations apply to petitions and plans 
submitted under the Automobile Fuel Efficiency Act of 1980, Pub. L. 96-
425, as codified in Title V of the Motor Vehicle Information and Cost 
Savings Act, 15 U.S.C. 2001 et seq.
    (b) Address. Each petition and plan submitted under the applicable 
provisions of sections 502 and 503 of the Motor Vehicle Information and 
Cost Savings Act must be addressed to the Administrator, National 
Highway Traffic Safety Administration, 400 Seventh Street, SW., 
Washington DC 20590.
    (c) Authority and scope of relief. Each petition or plan must 
specify the specific provision of the Motor Vehicle Information and Cost 
Savings Act under which relief is being sought. The petition or plan 
must also specify the model years for which relief is being sought.

[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]



Sec. 526.2  U.S. production by foreign manufacturer.

    Each petition filed under section 503(b)(3) of the Motor Vehicle 
Information and Cost Savings Act must contain the following information:
    (a) For each model type (as defined by the Environmental Protection 
Agency in 40 CFR part 600) planned by the petitioner to be sold in the 
United States (regardless of place of manufacture), and for each model 
year beginning with the year before the first one for which relief is 
sought by the petition through the last year covered by the petition, 
the following information based on the petitioner's current product plan 
and the assumption that the petition will be granted:
    (1) A description of the model type, including car line designation, 
engine displacement and type, transmission type, and average fuel 
economy;
    (2) U.S. sales projected for the model type;
    (3) The average percentage of the cost to the manufacturer of the 
model type which is attributable to value added in the United States or 
Canada, determined in accordance with 40 CFR 600.511-80, and the total 
manufacturing cost per vehicle; and
    (4) In the case of model types not offered for sale in the United 
States before the first year for which relief is sought in the petition 
or other model types for which expansions in production capacity are 
planned during the years covered by the petition, information (including 
any marketing surveys) indicating from where the additional sales will 
be captured. If sales are projected to be captured from U.S. 
manufacturers, the petition must provide an estimate of the employment 
impact on those manufacturers of the lost sales and the gain in 
employment for the petitioner and its U.S. suppliers.
    (b) The total number of persons employed in the United States by the 
petitioner, excluding non-motor vehicle industry related employees, for 
each model year covered by the petition and for the model year 
immediately prior to those years.
    (c) A description of how the petitioner's responses to paragraphs 
(a) and (b) of this section would differ if the petition were denied.

[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]

[[Page 91]]



Sec. 526.3  Transfer of vehicle from non-domestic to domestic fleet.

    Each plan submitted under section 503(b)(4) of the Motor Vehicle 
Information and Cost Savings Act must contain the following information:
    (a) For each model year for which relief is sought in the plan and 
for each model type of automobile sought to be included by the submitter 
in its domestic fleet under the plan (i.e., those with at least 50 
percent but less than 75 percent U.S. or Canadian value added), provide 
the following information:
    (1) A description of the model type, including engine type and 
displacement, transmission class, car line designation, and fuel 
economy;
    (2) The projected U.S. sales of the model type;
    (3) The average total manufacturing cost per vehicle for the model 
type;
    (4) The percentage of the cost to the manufacturer attributable to 
value added in the United States or Canada for the model type:
    (b) For each year covered by the plan, a list of individual product 
actions (e.g., change from imported engine to domestically manufactured 
engine) which will increase the domestic content of the affected 
vehicles. For each action, provide the model year in which the action 
will take effect, a description of the nature of the action, and the 
percentage change in domestic content resulting from the action.

[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]



Sec. 526.4  [Reserved]



Sec. 526.5  Earning offsetting monetary credits in future model years.

    Each plan submitted under section 502(l) of the Motor Vehicle 
Information and Cost Savings Act must contain the following information:
    (a) Projected average fuel economy and production levels for the 
class of automobiles which may fail to comply with a fuel economy 
standard and for any other classes of automobiles from which credits may 
be transferred, for the current model year and for each model year 
thereafter ending with the last year covered by the plan.
    (b) A list and full description of each planned product action 
(e.g., new model, mix change) which will affect the average fuel economy 
of the class of automobiles subject to the credit earning plan, for each 
model year beginning with the current model year and ending with the 
last year covered by the credit earning plan.
    (c) The portion of the petitioner's fleet affected by each product 
action (e.g., all K-cars with 6-cylinder engines) and the number of 
affected vehicles.
    (d) The fuel economy effect of each product action specified under 
paragraph (b) of this section per affected vehicle.

[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]



PART 529--MANUFACTURERS OF MULTISTAGE AUTOMOBILES--Table of Contents




Sec.
529.1  Scope and purpose.
529.2  Applicability.
529.3  Definitions.
529.4  Requirements for incomplete automobile manufacturers.
529.5  Requirements for intermediate manufacturers.
529.6  Requirements for final-stage manufacturers.

    Authority: Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001); 
delegation of authority at 41 FR 25015, June 22, 1976.

    Source: 42 FR 38372, July 28, 1977, unless otherwise noted.



Sec. 529.1  Scope and purpose.

    This part determines, in cases where more than one person is the 
manufacturer of an automobile, which person is to be treated as the 
manufacturer for purposes of compliance with Title V of the Motor 
Vehicle Information and Cost Savings Act, as amended (15 U.S.C. 2001 et 
seq.) and rules issued thereunder.



Sec. 529.2  Applicability.

    This part applies to incomplete automobile manufacturers, 
intermediate manufacturers, and final-stage manufacturers of automobiles 
that are manufactured in two or more stages.



Sec. 529.3  Definitions.

    (a) Statutory terms. (1) The term automobile is used as defined in 
section 501

[[Page 92]]

of the Act and in accordance with the determinations in 49 CFR part 523.
    (2) The terms manufacture, manufacturer, and fuel economy are used 
as defined in section 501 of the Act.
    (b) Other terms. (1) Act means the Motor Vehicle Information and 
Cost Savings Act (Pub. L. 92-513), as amended by the Energy Policy and 
Conservation Act (Pub. L. 94-163).
    (2) Completed automobile means an automobile that requires no 
further manufacturing operations to perform its intended function, other 
than the addition of readily attachable components, such as mirrors or 
tire and rim assemblies, or minor finishing operations such as painting.
    (3) Curb weight is defined the same as vehicle curb weight in 40 CFR 
part 86.
    (4) Final-stage manufacturer means a person who performs such 
manufacturing operations on an incomplete automobile that it becomes a 
completed automobile.
    (5) Frontal area is used as defined in 40 CFR 86.079-2.
    (6) Incomplete automobile means an assemblage consisting, as a 
minimum, of frame and chassis structure, power train, steering system, 
suspension system, and braking system to the extent that those systems 
are to be part of the completed automobile, that requires further 
manufacturing operations, other than the addition of readily attachable 
components, such as mirrors or tire and rim assemblies, or minor 
finishing operations such as painting, to become a completed automobile.
    (7) Incomplete automobile manufacturer means a person who 
manufactures an incomplete automobile by assembling components none of 
which, taken separately, constitute a complete automobile.
    (8) Intermediate manufacturer means a person, other than the 
incomplete automobile manufacturer or the final-stage manufacturer, who 
performs manufacturing operations on an incomplete automobile.

[42 FR 38372, July 28, 1977, as amended at 42 FR 39983, Aug. 8, 1977]



Sec. 529.4  Requirements for incomplete automobile manufacturers.

    (a) Except as provided in paragraph (c) of this section, Secs. 529.5 
and 529.6, each incomplete automobile manufacturer is considered, with 
respect to multistage automobiles incorporating its incomplete 
automobiles, the manufacturer of the multistage automobiles for purposes 
of the requirements of Title V and rules issued thereunder.
    (b) Each incomplete automobile manufacturer shall furnish with each 
of its incomplete automobiles, when it is delivered to the subsequent 
manufacturer, (1) a document that contains the following information--
    (i) Name and mailing address of the incomplete automobile 
manufacturer.
    (ii) Month and year during which the incomplete automobile 
manufacturer performed its last manufacturing operation on the 
incomplete automobile.
    (iii) Identification of the incomplete automobile or group of 
incomplete automobiles to which the document applies. The identification 
may be by serial number or otherwise, but it must be sufficient to 
enable a subsequent manufacturer to ascertain positively that the 
document applies to a particular incomplete automobile even if the 
document is not attached to that automobile.
    (iv) Fuel economy values determined by the incomplete automobile 
manufacturer for the automobile in accordance with 40 CFR part 600 and a 
statement that a fuel economy label containing those values has been 
prepared in accordance with Environmental Protection Agency regulation 
by the manufacturer identified in the document.
    (v) Maximum curb weight that may not be exceeded by a subsequent 
manufacturer without invalidating the fuel economy values determined by 
the incomplete automobile manufacturer.
    (vi) Maximum frontal area that may not be exceeded by a subsequent 
manufacturer without invalidating the fuel economy values determined by 
the incomplete automobile manufacturer.
    (vii) Whether the fuel economy values have been computed with the 
road load horsepower set to take into account the presence of air 
conditioning.
    (2) A fuel economy label conforming with 40 CFR part 600.
    (c)(1) The incomplete automobile manufacturer shall either attach 
the document specified in paragraph (b)(1)

[[Page 93]]

of this section to the incomplete automobile in such a manner that it 
will not be inadvertently detached or send that document directly to the 
subsequent manufacturer to which that automobile is delivered.
    (2)(i) If the incomplete automobile manufacturer places the portion 
of the body including the windshield and front seat side windows on the 
incomplete automobile, that manufacturer shall attach the fuel economy 
label specified in paragaph (b)(2) of this section to that automobile in 
accordance with 40 CFR part 600. If the incomplete automobile 
manufacturer does not place that portion of the body on the incomplete 
automobile, that manufacturer shall send that label directly to the 
subsequent manufacturer to which that automobile is delivered.
    (ii) Upon request by an intermediate or final-stage manufacturer for 
a copy of a fuel economy label that is required by paragraph (b)(2) of 
this section to have been prepared by the incomplete automobile 
manufacturer for one of its incomplete automobiles, identified by the 
requesting manufacturer in the same fashion as in the document specified 
in paragraph (b)(1) of this section, the incomplete automobile 
manufacturer shall send that manufacturer a copy of the label.



Sec. 529.5  Requirements for intermediate manufacturers.

    (a) Except as provided in paragraph (d) of this section and in 
Sec. 529.6, each intermediate manufacturer whose manufacturing 
operations on an incomplete automobile cause it to exceed the maximum 
curb weight or maximum frontal area set forth in the document furnished 
it by the incomplete automobile manufacturer under Sec. 529.4(c)(1) or 
by a previous intermediate manufacturer under paragraph (b) of this 
section, as appropriate, is considered the manufacturer of the 
multistage automobile manufactured from that automobile for the purpose 
of the requirements of Title V and rules issued thereunder, other than 
that in part 537, Fuel Economy Reports.
    (b) Each intermediate manufacturer of an incomplete automobile shall 
furnish, in the manner specified in Sec. 529.4(c), to the subsequent 
manufacturer of that automobile the document required by Sec. 529.4(b) 
regarding that automobile. If any of the changes in the automobile made 
by the intermediate manufacturer affect the validity of the fuel economy 
values or other statement in the document or any addendum attached to 
the document by a previous manufacturer of the automobile, the 
intermediate manufacturer shall furnish an addendum to the document that 
contains its name and mailing address and an indication of all changes 
that should be made in the document to reflect changes that it made in 
the automobile.
    (c) Each intermediate manufacturer that is required by paragraph (b) 
of this section to furnish an addendum to a document required by 
Sec. 529.4(b) shall, within 10 days after completing its manufacturing 
operations, send a copy of the document and addendum to the 
Administrator of the Environmental Protection Agency and to the 
manufacturer previously considered under this part to be the 
manufacturer of the automobile.
    (d)(1) If the intermediate manufacturer's manufacturing operations 
on an incomplete automobile cause it to exceed the maximum curb weight 
or maximum frontal area set forth in the document furnished it by the 
incomplete automobile manufacturer under Sec. 529.4(c)(1) or a previous 
intermediate manufacturer under paragraph (b) of this section, as 
appropriate, that manufacturer shall prepare a new fuel economy label 
for that automobile in accordance with 40 CFR part 600.
    (2) If neither the intermediate manufacturer of an incomplete 
automobile nor any previous manufacturer of that automobile has placed 
the portion of the body including the windshield and front seat side 
windows on that automobile, the intermediate manufacturer shall send the 
fuel economy label furnished it by the incomplete automobile 
manufacturer under Sec. 529.4(c)(2)(i) or a previous intermediate 
manufacturer under paragraph (d)(2) of this section or prepared by it 
under paragraph (d)(1) of this section, as appropriate, directly to the 
subsequent manufacturer to which that automobile is delivered.

[[Page 94]]

    (3) If the intermediate manufacturer places the portion of the body 
including the windshield and front seat side windows on the incomplete 
automobile, that manufacturer shall attach the fuel economy label 
furnished it under Sec. 529.4(c)(i) or paragraph (d)(2) of this section 
or the fuel economy label prepared by it under paragraph (d)(1) of this 
section, as appropriate, to that automobile in accordance with 40 CFR 
part 600.
    (4) The intermediate manufacturer shall attach to the incomplete 
automobile in accordance with 40 CFR part 600 a fuel economy label 
identical to the label that is required under this part to have been 
prepared by the manufacturer considered under this part to be the 
manufacturer of that automobile if:
    (i) The portion of the body including the windshield and front seat 
side windows was added to the incomplete automobile by a previous 
manufacturer;
    (ii) The intermediate manufacturer's manufacturing operations do not 
cause that automobile to exceed either of the maxima specified in 
paragraph (d)(1) of this section; and
    (iii) That label is not on that automobile when received by the 
intermediate manufacturer or is removed from that automobile while it is 
in the possession of that manufacturer.
    (5) Upon request by a subsequent intermediate manufacturer or by a 
final-stage manufacturer for a copy of a fuel economy label prepared by 
the intermediate manufacturer under paragraph (d)(1) of this section for 
one of its incomplete automobiles, identified by the requesting 
manufacturer in the same fashion as in the document specified in 
Sec. 529.4(b)(1), the intermediate manufacturer shall send that 
manufacturer a copy of that label.



Sec. 529.6  Requirements for final-stage manufacturers.

    (a) Except as provided in paragraph (c) of this section, each final-
stage manufacturer whose manufacturing operations on an incomplete 
automobile cause the completed automobile to exceed the maximum curb 
weight or maximum frontal area set forth in the document specified in 
Sec. 529.4(b) and furnished it by the incomplete automobile manufacturer 
under Sec. 529.4(c)(1) or by the last intermediate manufacturer under 
Sec. 529.5(b), as appropriate, is considered the manufacturer of the 
completed automobile for the purpose of the requirements of Title V and 
rules issued thereunder, other than those in part 537, Fuel Economy 
Reports.
    (b) Each final-stage manufacturer that becomes the manufacturer of a 
multistage automobile under paragraph (a) of this section shall, within 
10 days after completing its manufacturing operations on that 
automobile, send written notification of its exceeding the curb weight 
or frontal area maximum to the Administrator of the Environmental 
Protection Agency and to the manufacturer previously considered under 
this part to be the manufacturer of the automobile.
    (c)(1) If the final-stage manufacturer becomes the manufacturer of a 
multistage automobile under paragraph (a)(1) of this section, that 
manufacturer shall prepare a new fuel economy label for that automobile 
in accordance with 40 CFR part 600.
    (2) If the final-stage manufacturer places the portion of the body 
including the windshield and front seat side windows on the incomplete 
automobile, that manufacturer shall attach the fuel economy label 
furnished by the incomplete automobile manufacturer under 
Sec. 529.4(c)(2) or by the last intermediate manufacturer under 
Sec. 529.5(d)(2) or the fuel economy label prepared by the final-stage 
manufacturer under paragraph (c)(1) of this section, as appropriate, to 
that automobile in accordance with 40 CFR part 600.
    (3) The final-stage manufacturer shall attach to the completed 
automobile in accordance with 40 CFR part 600 a fuel economy label 
identical to the label that is required under this part to have been 
prepared by the manufacturer considered under this part to be the 
manufacturer of that automobile if:
    (i) The portion of the body including the windshield and front seat 
side windows was added to the completed automobile by a previous 
manufacturer;
    (ii) The final-stage manufacturer's manufacturing operations do not 
cause that automobile to exceed either of the

[[Page 95]]

maxima specified in paragraph (c)(1) of this section; and
    (iii) That fuel economy label is not on that automobile when 
received by that manufacturer or is removed from that automobile while 
it is in the possession of that manufacturer.



PART 531--PASSENGER AUTOMOBILE AVERAGE FUEL ECONOMY STANDARDS--Table of Contents




Sec.
531.1  Scope.
531.2  Purpose.
531.3  Applicability.
531.4  Definitions.
531.5  Fuel economy standards.
531.6  Measurement and calculation procedures.

    Authority: 49 U.S.C. 32902, 49 U.S.C. 32904; Delegation of authority 
at 49 CFR 1.50.

    Source: 42 FR 33552, June 30, 1977, unless otherwise noted.



Sec. 531.1  Scope.

    This part establishes average fuel economy standards pursuant to 
section 502 (a) and (c) of the Motor Vehicle Information and Cost 
Savings Act, as amended, for passenger automobiles.

[43 FR 28204, June 29, 1978]



Sec. 531.2  Purpose.

    The purpose of this part is to increase the fuel economy of 
passenger automobiles by establishing minimum levels of average fuel 
economy for those vehicles.



Sec. 531.3  Applicability.

    This part applies to manufacturers of passenger automobiles.



Sec. 531.4  Definitions.

    (a) Statutory terms. (1) The terms average fuel economy, 
manufacture, manufacturer, and model year are used as defined in section 
501 of the Act.
    (2) The terms automobile and passenger automobile are used as 
defined in section 501 of the Act and in accordance with the 
determination in part 523 of this chapter.
    (b) Other terms. As used in this part, unless otherwise required by 
the context--
    (1) Act means the Motor Vehicle Information and Cost Savings Act, as 
amended by Pub. L. 94-163.



Sec. 531.5  Fuel economy standards.

    (a) Except as provided in paragraph (b) of this section, each 
manufacturer of passenger automobiles shall comply with the following 
standards in the model years specified:

------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
1978........................................................        18.0
1979........................................................        19.0
1980........................................................        20.0
1981........................................................        22.0
1982........................................................        24.0
1983........................................................        26.0
1984........................................................        27.0
1985........................................................        27.5
1986........................................................        26.0
1987........................................................        26.0
1988........................................................        26.0
1989........................................................        26.5
1990 and thereafter.........................................        27.5
------------------------------------------------------------------------

    (b) The following manufacturers shall comply with the standards 
indicated below for the specified model years:
    (1) Avanti Motor Corporation.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                               Miles per
                         Model year                             gallon
------------------------------------------------------------------------
1978........................................................        16.1
1979........................................................        14.5
1980........................................................        15.8
1981........................................................        18.2
1982........................................................        18.2
1983........................................................        16.9
1984........................................................        16.9
1985........................................................        16.9
------------------------------------------------------------------------

    (2) Rolls-Royce Motors, Inc.

------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
1978........................................................        10.7
1979........................................................        10.8
1980........................................................        11.1
1981........................................................        10.7
1982........................................................        10.6
1983........................................................         9.9
1984........................................................        10.0
1985........................................................        10.0
1986........................................................        11.0
1987........................................................        11.2
1988........................................................        11.2
1989........................................................        11.2
1990........................................................        12.7
1991........................................................        12.7
1992........................................................        13.8

[[Page 96]]

 
1993........................................................        13.8
1994........................................................        13.8
1995........................................................        14.6
1996........................................................        14.6
1997........................................................        15.1
1998........................................................        16.3
1999........................................................        16.3
------------------------------------------------------------------------


    (3) Checker Motors Corporation.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                               Miles per
                         Model year                             gallon
------------------------------------------------------------------------
1978........................................................        17.6
1979........................................................        16.5
1980........................................................        18.5
1981........................................................        18.3
1982........................................................        18.4
------------------------------------------------------------------------

    (4) Aston Martin Lagonda, Inc.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                               Miles per
                         Model year                             gallon
------------------------------------------------------------------------
1979........................................................        11.5
1980........................................................        12.1
1981........................................................        12.2
1982........................................................        12.2
1983........................................................        11.3
1984........................................................        11.3
1985........................................................        11.4
------------------------------------------------------------------------

    (5) Excalibur Automobile Corporation.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                               Miles per
                         Model year                             gallon
------------------------------------------------------------------------
1978........................................................        11.5
1979........................................................        11.5
1980........................................................        16.2
1981........................................................        17.9
1982........................................................        17.9
1983........................................................        16.6
1984........................................................        16.6
1985........................................................        16.6
------------------------------------------------------------------------

    (6) Lotus Cars Ltd.

------------------------------------------------------------------------
                                                               Average
                                                                 fuel
                                                               economy
                         Model year                            standard
                                                              (miles per
                                                               gallon)
------------------------------------------------------------------------
1994.......................................................         24.2
1995.......................................................         23.3
------------------------------------------------------------------------


    (7) Officine Alfieri Maserati, S.p.A.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                               Miles per
                         Model year                             gallon
------------------------------------------------------------------------
1978........................................................        12.5
1979........................................................        12.5
1980........................................................         9.5
1984........................................................        17.9
1985........................................................        16.8
------------------------------------------------------------------------

    (8) Lamborghini of North America.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                               Miles per
                         Model year                             gallon
------------------------------------------------------------------------
1983........................................................        13.7
1984........................................................        13.7
------------------------------------------------------------------------

    (9) LondonCoach Co., Inc.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                               Miles per
                         Model year                             gallon
------------------------------------------------------------------------
1985........................................................        21.0
1986........................................................        21.0
1987........................................................        21.0
------------------------------------------------------------------------

    (10) Automobili Lamborghini S.p.A./Vector Aeromotive Corporation.

------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
1995........................................................        12.8
1996........................................................        12.6
1997........................................................        12.5
------------------------------------------------------------------------

    (11) Dutcher Motors, Inc.

------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
1986........................................................        16.0
1987........................................................        16.0
1988........................................................        16.0
1992........................................................        17.0
1993........................................................        17.0
1994........................................................        17.0
1995........................................................        17.0
------------------------------------------------------------------------

    (12) MedNet, Inc.

------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
1996........................................................        17.0
1997........................................................        17.0
1998........................................................        17.0
------------------------------------------------------------------------

    (13) Vector Aeromotive Corporation.

[[Page 97]]



------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
1998........................................................        12.1
------------------------------------------------------------------------


[43 FR 28204, June 29, 1978, as amended at 46 FR 18721, Mar. 26, 1981; 
47 FR 55685, Dec. 13, 1982; 51 FR 35620, Oct. 6, 1986; 53 FR 39302, Oct. 
6, 1988; 55 FR 12486, Apr. 4, 1990; 55 FR 34018, Aug. 21, 1990; 56 FR 
37479, Aug. 7, 1991; 60 FR 47878, Sept. 15, 1995; 61 FR 4370, Feb. 6, 
1996; 61 FR 67492, Dec. 23, 1996; 62 FR 17101, Apr. 9, 1997; 62 FR 
37154, July 11, 1997; 64 FR 12092, Mar. 11, 1999]



Sec. 531.6  Measurement and calculation procedures.

    (a) The average fuel economy of all passenger automobiles that are 
manufactured by a manufacturer in a model year shall be determined in 
accordance with procedures established by the Administrator of the 
Environmental Protection Agency under section 502(a)(1) of the Act and 
set forth in 40 CFR part 600.
    (b) A manufacturer that is eligible to elect a model year in which 
to include value added in Mexico as domestic value, under subparagraphs 
(B)(i) and (B)(iii) of 49 U.S.C. 32904(b)(3), shall notify the 
Administrators of the Environmental Protection Agency and the National 
Highway Traffic Safety Administration of its election not later than 60 
days before it begins production of automobiles for the model year. If 
an eligible manufacturer does not elect a model year before January 1, 
2004, any value added in Mexico will be considered domestic value for 
automobiles manufactured in the next model year beginning after January 
1, 2004, and in subsequent model years.

[42 FR 33552, June 30, 1977, as amended at 64 FR 27203, May 19, 1999]



PART 533--LIGHT TRUCK FUEL ECONOMY STANDARDS--Table of Contents




Sec.
533.1  Scope.
533.2  Purpose.
533.3  Applicability.
533.4  Definitions.
533.5  Requirements.
533.6  Measurement and calculation procedures.

    Authority: 49 U.S.C. 32902; delegation of authority at 49 CFR 1.50.



Sec. 533.1  Scope.

    This part establishes average fuel economy standards pursuant to 
section 502(b) of the Motor Vehicle Information and Cost Savings Act, as 
amended, for light trucks.

[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 533.2  Purpose.

    The purpose of this part is to increase the fuel economy of light 
trucks by establishing minimum levels of average fuel economy for those 
vehicles.

[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 533.3  Applicability.

    This part applies to manufacturers of light trucks.

[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 533.4  Definitions.

    (a) Statutory terms. (1) The terms average fuel economy, average 
fuel economy standard, fuel economy, import, manufacture, manufacturer, 
and model year are used as defined in section 501 of the Act.
    (2) The term automobile is used as defined in section 501 of the Act 
and in accordance with the determinations in part 523 of this chapter.
    (3) The term domestically manufactured is used as defined in section 
503(b)(2)(E) of the Act.
    (b) Other terms. As used in this part, unless otherwise required by 
the context--
    (1) Act means the Motor Vehicle Information Cost Savings Act, as 
amended by Pub. L. 94-163.
    (2) Light truck is used in accordance with the determinations in 
part 523 of this chapter.
    Captive import means with respect to a light truck, one which is not 
domestically manufactured but which is imported in the 1980 model year 
or thereafter by a manufacturer whose principal place of business is in 
the United States.
    4-wheel drive, general utility vehicle means a 4-wheel drive, 
general purpose

[[Page 98]]

automobile capable of off-highway operation that has a wheelbase of not 
more than 280 centimeters, and that has a body shape similar to 1977 
Jeep CJ-5 or CJ-7, or the 1977 Toyota Land Cruiser.
    Basic engine means a unique combination of manufacturer, engine 
displacement, number of cylinders, fuel system (as distinguished by 
number of carburetor barrels or use of fuel injection), and catalyst 
usage.
    Limited product line light truck means a light truck manufactured by 
a manufacturer whose light truck fleet is powered exclusively by basic 
engines which are not also used in passenger automobiles.

[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
43 FR 46547, Oct. 10, 1978; 58 FR 18029, Apr. 7, 1993]



Sec. 533.5  Requirements.

    (a) Each manufacturer of light trucks shall comply with the 
following average fuel economy standards, expressed in miles per gallon, 
in the model year specified as applicable:

                                                     Table I
----------------------------------------------------------------------------------------------------------------
                                                                       2-wheel drive     4-wheel drive   Limited
                                                                       light trucks      light trucks    product
                             Model year                             ------------------------------------   line
                                                                     Captive           Captive            light
                                                                     imports   Other   imports   Other    trucks
----------------------------------------------------------------------------------------------------------------
1979...............................................................  .......     17.2  .......     15.8  .......
1980...............................................................     16.0     16.0     14.0     14.0     14.0
1981...............................................................     16.7     16.7     15.0     15.0     14.5
----------------------------------------------------------------------------------------------------------------


                                                    Table II
----------------------------------------------------------------------------------------------------------------
                                                                   Combined      2-wheel drive    4-wheel drive
                                                                   standard       light trucks     light trucks
                          Model year                          --------------------------------------------------
                                                               Captive          Captive          Captive
                                                               imports  Others  imports  Others  imports  Others
----------------------------------------------------------------------------------------------------------------
1982.........................................................     17.5    17.5     18.0    18.0     16.0    16.0
1983.........................................................     19.0    19.0     19.5    19.5     17.5    17.5
1984.........................................................     20.0    20.0     20.3    20.3     18.5    18.5
1985.........................................................     19.5    19.5     19.7    19.7     18.9    18.9
1986.........................................................     20.0    20.0     20.5    20.5     19.5    19.5
1987.........................................................     20.5    20.5     21.0    21.0     19.5    19.5
1988.........................................................     20.5    20.5     21.0    21.0     19.5    19.5
1989.........................................................     20.5    20.5     21.5    21.5     19.0    19.0
1990.........................................................     20.0    20.0     20.5    20.5     19.0    19.0
1991.........................................................     20.2    20.2     20.7    20.7     19.1    19.1
----------------------------------------------------------------------------------------------------------------


                                Table III
------------------------------------------------------------------------
                                                       Combined standard
                                                     -------------------
                     Model Year                        Captive
                                                       imports    Other
------------------------------------------------------------------------
1992................................................       20.2     20.2
1993................................................       20.4     20.4
1994................................................       20.5     20.5
1995................................................       20.6     20.6
------------------------------------------------------------------------


                                Table IV
------------------------------------------------------------------------
                          Model year                            Standard
------------------------------------------------------------------------
1996.........................................................       20.7
1997.........................................................       20.7
1998.........................................................       20.7
1999.........................................................       20.7
2000.........................................................       20.7
2001.........................................................       20.7
------------------------------------------------------------------------

    (b)(1) For model year 1979, each manufacturer may:
    (i) Combine its 2- and 4-wheel drive light trucks and comply with 
the average fuel economy standard in paragraph (a) of this section for 
2-wheel drive light trucks; or
    (ii) Comply separately with the two standards specified in paragraph 
(a) of this section.
    (2) For model year 1979, the standard specified in paragraph (a) of 
this section for 4-wheel drive light trucks applies only to 4-wheel 
drive general utility vehicles. All other 4-wheel drive light trucks in 
that model year shall be included in the 2-wheel drive category for 
compliance purposes.
    (c) For model years 1980 and 1981, manufacturers of limited product 
line light trucks may:
    (1) Comply with the separate standard for limited product line light 
trucks, or
    (2) Comply with the other standards specified in Sec. 533.5(a), as 
applicable.
    (d) For model years 1982-91, each manufacture may:
    (1) Combine its 2- and 4-wheel drive light trucks (segregating 
captive import and other light trucks) and comply with the combined 
average fuel economy standard specified in paragraph (a) of this 
section; or
    (2) Comply separately with the 2-wheel drive standards and the 4-
wheel drive standards (segregating captive import and other light 
trucks) specified in paragraph (a) of this section.

[[Page 99]]

    (e) For model year 1992, each manufacturer shall comply with the 
average fuel economy standard specified in paragraph (a) of this section 
(segregating captive import and other light trucks).
    (f) For model year 1996 and thereafter, each manufacturer shall 
combine its captive imports with its other light trucks and comply with 
the average fuel economy standard in paragraph (a) of this section.

[43 FR 12014, Mar. 23, 1978, as amended at 45 FR 20878, Mar. 31, 1980; 
47 FR 7250, Feb. 18, 1982; 47 FR 32721, July 29, 1982; 53 FR 11090, Apr. 
5, 1988; 55 FR 12497, Apr. 4, 1990; 56 FR 13784, Apr. 4, 1991; 58 FR 
18029, Apr. 7, 1993; 59 FR 16323, Apr. 6, 1994; 61 FR 14682, Apr. 3, 
1996; 62 FR 15860, Apr. 3, 1997; 63 FR 16701, Apr. 6, 1998; 64 FR 16862, 
Apr. 7, 1999]



Sec. 533.6  Measurement and calculation procedures.

    (a) Any reference to a class of light trucks manufactured by a 
manufacturer shall be deemed--
    (1) To include all light trucks in that class manufactured by 
persons who control, are controlled by, or are under common control 
with, such manufacturer; and
    (2) To exclude all light trucks in that class manufactured (within 
the meaning of paragraph (a)(1) of this section) during a model year by 
such manufacturer which are exported prior to the expiration of 30 days 
following the end of such model year.
    (b) The average fuel economy of all nonpassenger automobiles that 
are manufactured by a manufacturer and are subject to Sec. 533.5(b) or 
to Sec. 533.5(c) shall be determined in accordance with procedures 
established by the Administrator of the Environmental Protection Agency 
under section 503(a)(2) of the Act.

[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



PART 535--3-YEAR CARRYFOR- WARD AND CARRYBACK OF CREDITS FOR LIGHT TRUCKS--Table of Contents




Sec.
535.1  Scope.
535.2  Applicability.
535.3  Definitions.
535.4  3-year carryforward and carryback of credits.

    Authority: Sec. 9, Pub. L. 89-670, 80 Stat. 931 (49 U.S.C. 1657); 
sec. 301, Pub. L. 94-163, 89 Stat. 901 (15 U.S.C. 2001); sec. 6, Pub. L. 
96-425, 94 Stat. 1821 (15 U.S.C. 2002); delegation of authority at 49 
CFR 1.50.

    Source: 45 FR 83235, Dec. 19, 1980, unless otherwise noted.



Sec. 535.1  Scope.

    This part establishes regulations governing 3-year carryforward and 
carryback of credits for manufacturers of light trucks.



Sec. 535.2  Applicability.

    This part applies to manufacturers of light trucks.



Sec. 535.3  Definitions.

    (a) Statutory terms. The terms average fuel economy, average fuel 
economy standard, fuel economy, manufacture, manufacturer, and model 
year are used as defined in section 501 of the Act.
    (b) Other terms. (1) Act means the Motor Vehicle Information and 
Cost Savings Act, as amended by Pub. L. 94-163 and 96-425.
    (2) Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    (3) The term light truck is used in accordance with the 
determinations in parts 523 and 533 of this chapter.
    (4) The term class of light trucks is used in accordance with the 
determinations in part 533 of this chapter.



Sec. 535.4  3-year carryforward and carryback of credits

    (a) For purposes of this part, credits under this section shall be 
considered to be available to any manufacturer upon the completion of 
the model year in which such credits are earned under paragraph (b) of 
this section unless under paragraph (c) of this section the credits are 
made available for use at a time prior to the model year in which 
earned.
    (b) Whenever the average fuel economy for a class of light trucks 
manufactured by a manufacturer in a particular model year exceeds an 
applicable average fuel economy standard established in part 533 of this 
chapter, such manufacturer shall be entitled to

[[Page 100]]

credit, calculated under paragraph (c) of this section, which--
    (1) Shall be available to be taken into account with respect to the 
average fuel economy for the same class of light trucks of that 
manufacturer for any of the three consecutive model years immediately 
prior to the model year in which such manufacturer exceeds such 
applicable average fuel economy standard, and
    (2) To the extent that such credit is not so taken into account 
pursuant to paragraph (b)(1) of this section, shall be available to be 
taken into account with respect to the average fuel economy for the same 
class of light trucks of that manufacturer for any of the three 
consecutive model years immediately following the model year in which 
such manufacturer exceeds such applicable average fuel economy standard.
    (c)(1) At any time prior to the end of any model year, a 
manufacturer which has reason to believe that its average fuel economy 
for a class of light trucks will be below such applicable standard for 
that model year may submit a plan demonstrating that such manufacturer 
will earn sufficient credits under paragraph (b) of this section within 
the next 3 model years which when taken into account would allow the 
manufacturer to meet that standard for the model year involved.
    (2) Such credits shall be available for the model year involved 
subject to--
    (i) The Administrator approving such plan; and
    (ii) The manufacturer earning credits in accordance with such plan.
    (3) The Administrator approves any such plan unless the 
Administrator finds that it is unlikely that the plan will result in the 
manufacturer earning sufficient credits to allow the manufacturer to 
meet the standard for the model year involved.
    (4) The Administrator provides notice to any manufacturer in any 
case in which the average fuel economy of that manufacturer is below the 
applicable standard under part 533 of this chapter, after taking into 
account credits available under paragraph (b)(1) of this section, and 
affords the manufacturer a reasonable period (of not less than 60 days) 
in which to submit a plan under this paragraph.
    (d) The amount of credit to which a manufacturer is entitled under 
this section shall be equal to--
    (1) The number of tenths of a mile per gallon by which the average 
fuel economy for a class of light trucks manufactured by such 
manufacturer in the model year in which the credit is earned pursuant to 
this section exceeds the applicable average fuel economy standard 
established in part 533 of this chapter, multiplied by
    (2) The total number of light trucks in that class manufactured by 
such manufacturer during such model year.
    (e) The Administrator takes credits into account for any model year 
on the basis of the number of tenths of a mile per gallon by which the 
manufacturer involved was below an applicable average fuel economy 
standard for a class of light trucks for that model year and the volume 
of that class of light trucks manufactured that model year by the 
manufacturer. Credits may not be applied between class of light trucks, 
except as determined by the Administrator to account for changes made in 
the definitions of classes between model years. Credits once taken into 
account for any model year shall not thereafter be available for any 
other model year. Prior to taking any credit into account, the 
Administrator provides the manufacturer involved with written notice and 
reasonable opportunity to comment thereon.



PART 537--AUTOMOTIVE FUEL ECONOMY REPORTS--Table of Contents




Sec.
537.1  Scope.
537.2  Purpose.
537.3  Applicability.
537.4  Definitions.
537.5  General requirements for reports.
537.6  General content of reports.
537.7  Pre-model year and mid-model year reports.
537.8  Supplementary reports.
537.9  Determination of fuel economy values and average fuel economy.
537.10  Incorporation by reference.
537.11  Public inspection of information.
537.12  Confidential information.

    Authority: 15 U.S.C. 2005; 49 CFR 1.50.

    Source: 47 FR 34986, Aug. 12, 1982, unless otherwise noted.

[[Page 101]]



Sec. 537.1  Scope.

    This part establishes requirements for automobile manufacturers to 
submit reports to the National Highway Traffic Safety Administration 
regarding their efforts to improve automotive fuel economy.



Sec. 537.2  Purpose.

    The purpose of this part is to obtain information to aid the 
National Highway Traffic Safety Administration in valuating automobile 
manufacturers' plans for complying with average fuel economy standards 
and in preparing an annual review of the average fuel economy standards.



Sec. 537.3  Applicability.

    This part applies to automobile manufacturers, except for 
manufacturers subject to an alternate fuel economy standard under 
section 502(c) of the Act.



Sec. 537.4  Definitions.

    (a) Statutory terms. (1) The terms average fuel economy standard, 
fuel, manufacture, and model year are used as defined in section 501 of 
the Act.
    (2) The term manufacturer is used as defined in section 501 of the 
Act and in accordance with part 529 of this chapter.
    (3) The terms average fuel economy, fuel economy, and model type are 
used as defined in subpart A of 40 CFR part 600.
    (4) The terms automobile, automobile capable of off-highway 
operation, and passenger automobile are used as defined in section 501 
of the Act and in accordance with the determinations in part 523 of this 
chapter.
    (b) Other terms. (1) The term loaded vehicle weight is used as 
defined in subpart A of 40 CFR part 86.
    (2) The terms axle ratio, base level, body style, car line, combined 
fuel economy, engine code, equivalent test weight, gross vehicle weight, 
inertia weight, transmission class, and vehicle configuration are used 
as defined in subpart A of 40 CFR part 600.
    (3) The term light truck is used as defined in part 523 of this 
chapter and in accordance with determinations in that part.
    (4) The terms approach angle, axle clearance, brakeover angle, cargo 
carrying volume, departure angle, passenger carrying volume, running 
clearance, and temporary living quarters are used as defined in part 523 
of this chapter.
    (5) The term incomplete automobile manufacturer is used as defined 
in part 529 of this chapter.
    (6) As used in this part, unless otherwise required by the context:
    (i) Act means the Motor Vehicle Information and Cost Savings Act 
(Pub. L. 92-513), as amended by the Energy Policy and Conservation Act 
(Pub. L. 94-163).
    (ii) Administrator means the Administrator of the National Highway 
Traffic Safety Administration or the Administrator's delegate.
    (iii) Current model year means:
    (A) In the case of a pre-model year report, the full model year 
immediately following the period during which that report is required by 
Sec. 537.5(b) to be submitted.
    (B) In the case of a mid-model year report, the model year during 
which that report is required by Sec. 537.5(b) to be submitted.
    (iv) Average means a production-weighted harmonic average.
    (v) Total drive ratio means the ratio of an automobile's engine 
rotational speed (in revolutions per minute) to the automobile's forward 
speed (in miles per hour).



Sec. 537.5  General requirements for reports.

    (a) For each current model year, each manufacturer shall submit a 
pre-model year report, a mid-model year report, and, as required by 
Sec. 537.8, supplementary reports.
    (b)(1) The pre-model year report required by this part for each 
current model year must be submitted during the month of December (e.g., 
the pre-model year report for the 1983 model year must be submitted 
during December, 1982).
    (2) The mid-model year report required by this part for each current 
model year must be submitted during the month of July (e.g., the mid-
model year report for the 1983 model year must be submitted during July 
1983).

[[Page 102]]

    (3) Each supplementary report must be submitted in accordance with 
Sec. 537.8(c).
    (c) Each report required by this part must:
    (1) Identify the report as a pre-model year report, mid-model year 
report, or supplementary report as appropriate;
    (2) Identify the manufacturer submitting the report;
    (3) State the full name, title, and address of the official 
responsible for preparing the report;
    (4) Be submitted in 10 copies to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590;
    (5) Identify the current model year;
    (6) Be written in the English language; and
    (7)(i) Specify any part of the information or data in the report 
that the manufacturer believes should be withheld from public disclosure 
as trade secret or other confidential business information.
    (ii) With respect to each item of information or data requested by 
the manufacturer to be withheld under 5 U.S.C. 552(b)(4) and 15 U.S.C. 
2005(d)(1), the manufacturer shall:
    (A) Show that the item is within the scope of sections 552(b)(4) and 
2005(d)(1);
    (B) Show that disclosure of the item would result in significant 
competitive damage;
    (C) Specify the period during which the item must be withheld to 
avoid that damage; and
    (D) Show that earlier disclosure would result in that damage.
    (d) Each report required by this part must be based upon all 
information and data available to the manufacturer 30 days before the 
report is submitted to the Administrator.



Sec. 537.6  General content of reports.

    (a) Pre-model year and mid-model year reports. Except as provided in 
paragraph (c) of this section, each pre-model year report and the mid-
model year report for each model year must contain the information 
required by Sec. 537.7(a).
    (b) Supplementary report. Each supplementary report must contain the 
information required by Sec. 537.8(b) (1), (2), or (3), as appropriate.
    (c) Exceptions. (1) The pre-model year report is not required to 
contain the information specified in Sec. 537.7 (b), (c) (1) and (2), or 
(c)(4) (xiv) and (xx) if that report is required to be submitted before 
the fifth day after the date by which the manufacturer must submit the 
preliminary determination of its average fuel economy for the current 
model year to the Environmental Protection Agency under 40 CFR 600.506, 
when such determination is required. Each manufacturer that does not 
include information under the exception in the immediately preceding 
sentence shall indicate in its report the date by which it must submit 
that preliminary determination.
    (2) The pre-model year report and the mid-model year report 
submitted by an incomplete automobile manufacturer for any model year 
are not required to contain the information specified in Sec. 537.7 
(c)(4) (xv) through (xviii) and (c)(5). The information provided by the 
incomplete automobile manufacturer under Sec. 537.7(c) shall be 
according to base level instead of model type or carline.



Sec. 537.7  Pre-model year and mid-model year reports.

    (a)(1) Provide the information required by paragraphs (b) and (c) of 
this section for the manufacturer's passenger automobiles for the 
current model year.
    (2) After providing the information required by paragraph (a)(1) of 
this section provide the information required by paragraphs (b) and (c) 
for this section of each class, as specified in part 533 of this 
chapter, of the manufacturer's light trucks for the current model year.
    (b) Projected average fuel economy. (1) State the projected average 
fuel economy for the manufacturer's automobiles determined in accordance 
with Sec. 537.9 and based upon the fuel economy values and projected 
sales figures provided under paragraph (c)(2) of this section.
    (2) State the projected final average fuel economy that the 
manufacturer anticipates having if changes implemented during the model 
year will cause that average to be different from

[[Page 103]]

the average fuel economy projected under paragraph (b)(1) of this 
section.
    (3) State whether the manufacturer believes that the projection it 
provides under paragraph (b)(2) of this section, or if it does not 
provide an average under that paragraph, the projection it provides 
under paragraph (b)(1) of this section sufficiently represents the 
manufacturer's average fuel economy for the current model year for the 
purposes of the Act. In the case of a manufacturer that believes that 
the projection is not sufficiently representative for those purposes, 
state the specific nature of any reason for the insufficiency and the 
specific additional testing or derivation of fuel economy values by 
analytical methods believed by the manufacturer necessary to eliminate 
the insufficiency and any plans of the manufacturer to undertake that 
testing or derivation voluntarily and submit the resulting data to the 
Environmental Protection Agency under 40 CFR 600.509.
    (c) Model type and configuration fuel economy and technical 
information. (1) For each model type of the manufacturer's automobiles, 
provide the information specified in paragraph (c)(2) of this section in 
tabular form. List the model types in order of increasing average 
inertia weight from top to bottom down the left side of the table and 
list the information categories in the order specified in paragraph 
(c)(2) of this section from left to right across the top of the table.
    (2)(i) Combined fuel economy; and
    (ii) Projected sales for the current model year and total sales of 
all model types.
    (3) (Pre-model year report only.) For each vehicle configuration 
whose fuel economy was used to calculate the fuel economy values for a 
model type under paragraph (c)(2) of this section, provide the 
information specified in paragraph (c)(4) of this section either in 
tabular form or as a fixed format computer tape. If a tabular form is 
used then list the vehicle configurations, by model type in the order 
listed under paragraph (c)(2) of this section, from top to bottom down 
the left of the table and list the information categories across the top 
of the table from left to right in the order specified in paragraph 
(c)(4) of this section. Other formats (such as copies of EPA reports) 
which contain all the required information in a readily identifiable 
form are also acceptable. If a computer tape is used, any NHTSA approved 
fixed format structure may be used, but each vehicle configuration 
record should identify the manufacturer, model type, and for light 
trucks the drive wheel code, e.g., 2 or 4 wheel drive. At least the 
information categories specified here and in paragraph (c)(4) of this 
section must be provided, but if preferred the tape may contain any 
additional categories. Each computer tape record must contain all the 
required categories of information to enable direct reading and 
interpretation in the fixed format that was approved. There should be no 
titles, column headings, page numbers, or attachment numbers on the 
tape. It must be possible to directly calculate and produce the tables 
specified in paragraph (c)(1) of this section from the records on this 
tape.
    (4)(i) Loaded vehicle weight;
    (ii) Equivalent test weight;
    (iii) Engine displacement, liters;
    (iv) SAE net rated power, kilowatts;
    (v) SAE net horsepower;
    (vi) Engine code;
    (vii) Fuel system (number of carburetor barrels or, if fuel 
injection is used, so indicate);
    (viii) Emission control system;
    (ix) Transmission class;
    (x) Number of forward speeds;
    (xi) Existence of overdrive (indicate yes or no);
    (xii) Total drive ratio (N/V);
    (xiii) Axle ratio;
    (xiv) Combined fuel economy;
    (xv) Projected sales for the current model year;
    (xvi)(A) In the case of passenger automobiles:
    (1) Interior volume index, determined in accordance with subpart D 
of 40 CFR part 600, and
    (2) Body style;
    (B) In the case of light trucks:
    (1) Passenger-carrying volume, and
    (2) Cargo-carrying volume;
    (xvii) Performance of the function described in Sec. 523.5(a)(5) of 
this chapter (indicate yes or no);
    (xviii) Existence of temporary living quarters (indicate yes or no);

[[Page 104]]

    (xix) Frontal area;
    (xx) Road load power at 50 miles per hour, if determined by the 
manufacturer for purposes other than compliance with this part to differ 
from the road load setting prescribed in 40 CFR 86.177-11(d);
    (xxi) Optional equipment which the manufacturer is required under 40 
CFR parts 86 and 600 to have actually installed on the vehicle 
configuration, or the weight of which must be included in the curb 
weight computation for the vehicle configuration, for fuel economy 
testing purposes.
    (5) For each model type of automobile which is classified as an 
automobile capable of off-highway operation under part 523 of this 
chapter, provide the following data:
    (i) Approach angle;
    (ii) Departure angle;
    (iii) Breakover angle;
    (iv) Axle clearance;
    (v) Minimum running clearance; and
    (vi) Existence of 4-wheel drive (indicate yes or no).
    (6) The fuel economy values provided under paragraphs (c) (2) and 
(4) of this section shall be determined in accordance with Sec. 537.9.

[47 FR 34986, Aug. 12, 1982, as amended at 58 FR 18029, Apr. 7, 1993]



Sec. 537.8  Supplementary reports.

    (a)(1) Except as provided in paragraph (d) of this section, each 
manufacturer whose most recently submitted semiannual report contained 
an average fuel economy projection under Sec. 537.7(b)(2) or, if no 
average fuel economy was projected under that section, under 
Sec. 537.7(b)(1), that was not less than the applicable average fuel 
economy standard and who now projects an average fuel economy which is 
less than the applicable standard shall file a supplementary report 
containing the information specified in paragraph (b)(1) of this 
section.
    (2) Except as provided in paragraph (d) of this section, each 
manufacturer that determines that its average fuel economy for the 
current model year as projected under Sec. 537.7(b)(2) or, if no average 
fuel economy was projected under that section, as projected under 
Sec. 537.7(b)(1), is less representative than the manufacturer 
previously reported it to be under Sec. 537.7(b)(3), this section, or 
both, shall file a supplementary report containing the information 
specified in paragraph (b)(2) of this section.
    (3) Each manufacturer whose pre-model year report omits any of the 
information specified in Sec. 537.7 (b), (c) (1) and (2), or (c)(4) 
(xvi) and (xxiv) shall file supplementary report containing the 
information specified in paragraph (b)(3) of this section.
    (b)(1) The supplementary report required by paragraph (a)(1) of this 
section must contain:
    (i) Such revisions of and additions to the information previously 
submitted by the manufacturer under this part regarding the automobiles 
whose projected average fuel economy has decreased as specified in 
paragraph (a)(1) of this section as are necessary--
    (A) To reflect the decrease and its cause;
    (B) To indicate a new projected average fuel economy based upon 
these additional measures.
    (ii) An explanation of the cause of the decrease in average fuel 
economy that led to the manufacturer's having to submit the 
supplementary report required by paragraph (a)(1) of this section.
    (2) The supplementary report required by paragraph (a)(2) of this 
section must contain:
    (i) A statement of the specific nature of and reason for the 
insufficiency in the representativeness of the projected average fuel 
economy;
    (ii) A statement of specific additional testing or derivation of 
fuel economy values by analytical methods believed by the manufacturer 
necessary to eliminate the insufficiency; and
    (iii) A description of any plans of the manufacturer to undertake 
that testing or derivation voluntarily and submit the resulting data to 
the Environmental Protection Agency under 40 CFR 600.509.
    (3) The supplementary report required by paragraph (a)(3) of this 
section must contain:
    (i) All of the information omitted from the pre-model year report 
under Sec. 537.6(c)(2); and
    (ii) Such revisions of and additions to the information submitted by 
the manufacturer in its pre-model year report

[[Page 105]]

regarding the automobiles produced during the current model year as are 
necessary to reflect the information provided under paragraph (b)(3)(i) 
of this section.
    (c)(1) Each report required by paragraph (a) (1) or (2) of this 
section must be submitted in accordance with Sec. 537.5(c) not more than 
45 days after the date on which the manufacturer determined, or could 
have, with reasonable diligence, determined that a report is required 
under paragraph (a) (1) or (2) of this section.
    (2) Each report required by paragraph (a)(3) of this section must be 
submitted in accordance with Sec. 537.5(c) not later than five days 
after the day by which the manufacturer is required to submit a 
preliminary calculation of its average fuel economy for the current 
model year to the Environmental Protection Agency under 40 CFR 600.506.
    (d) A supplementary report is not required to be submitted by the 
manufacturer under paragraph (a) (1) or (2) of this section:
    (1) With respect to information submitted under this part before the 
most recent semiannual report submitted by the manufacturer under this 
part, or
    (2) When the date specified in paragraph (c) of this section occurs:
    (i) During the 60-day period immediately preceding the day by which 
the mid-model year report for the current model year must be submitted 
by the manufacturer under this part, or
    (ii) After the day by which the pre-model year report for the model 
year immediately following the current model year must be submitted by 
the manufacturer under this part.



Sec. 537.9  Determination of fuel economy values and average fuel economy.

    (a) Vehicle configuration fuel economy values. (1) For each vehicle 
configuration for which a fuel economy value is required under paragraph 
(c) of this section and has been determined and approved under 40 CFR 
part 600, the manufacturer shall submit that fuel economy value.
    (2) For each vehicle configuration specified in paragraph (a)(1) of 
this section for which a fuel economy value approved under 40 CFR part 
600, does not exist, but for which a fuel economy value determined under 
that part exists, the manufacturer shall submit that fuel economy value.
    (3) For each vehicle configuration specified in paragraph (a)(1) of 
this section for which a fuel economy value has been neither determined 
nor approved under 40 CFR part 600, the manufacturer shall submit a fuel 
economy value based on tests or analyses comparable to those prescribed 
or permitted under 40 CFR part 600 and a description of the test 
procedures or analytical methods used.
    (b) Base level and model type fuel economy values. For each base 
level and model type, the manufacturer shall submit a fuel economy value 
based on the values submitted under paragraph (a) of this section and 
calculated in the same manner as base level and model type fuel economy 
values are calculated for use under subpart F of 40 CFR part 600.
    (c) Average fuel economy. Average fuel economy must be based upon 
fuel economy values calculated under paragraph (b) of this section for 
each model type and must be calculated in accordance with 40 CFR 
600.506, using the configurations specified in 40 CFR 600.506(a)(2), 
except that fuel economy values for running changes and for new base 
levels are required only for those changes made or base levels added 
before the average fuel economy is required to be submitted under this 
part.



Sec. 537.10  Incorporation by reference.

    (a) A manufacturer may incorporate by reference in a report required 
by this part any document other than a report, petition, or application, 
or portion thereof submitted to any Federal department or agency more 
than two model years before the current model year.
    (b) A manufacturer that incorporates by references a document not 
previously submitted to the National Highway Traffic Safety 
Administration shall append that document to the report.
    (c) A manufacturer that incorporates by reference a document shall 
clearly identify the document and, in the case of a document previously 
submitted to the National Highway Traffic Safety Administration, 
indicate the date on

[[Page 106]]

which and the person by whom the document was submitted to this agency.



Sec. 537.11  Public inspection of information.

    Except as provided in Sec. 537.12, any person may inspect the 
information and data submitted by a manufacturer under this part in the 
docket section of the National Highway Traffic Safety Administration. 
Any person may obtain copies of the information available for inspection 
under this section in accordance with the regulations of the Secretary 
of Transportation in part 7 of this title.



Sec. 537.12  Confidential information.

    (a) Information made available under Sec. 537.11 for public 
inspection does not include information for which confidentiality is 
requested under Sec. 537.5(c)(7), is granted in accordance with section 
505 of the Act and section 552(b) of Title 5 of the United States Code 
and is not subsequently released under paragraph (c) of this section in 
accordance with section 505 of the Act.
    (b) Denial of confidential treatment. When the Administrator denies 
a manufacturer's request under Sec. 537.5(c)(7) for confidential 
treatment of information, the Administrator gives the manufacturer 
written notice of the denial and reasons for it. Public disclosure of 
the information is not made until after the ten-day period immediately 
following the giving of the notice.
    (c) Release of confidential information. After giving written notice 
to a manufacturer and allowing ten days, when feasible, for the 
manufacturer to respond, the Administrator may make available for public 
inspection any information submitted under this part that is relevant to 
a proceeding under the Act, including information that was granted 
confidential treatment by the Administrator pursuant to a request by the 
manufacturer under Sec. 537.5(c)(7).



PART 538--MANUFACTURING INCENTIVES FOR ALTERNATIVE FUEL VEHICLES--Table of Contents




Sec.
538.1  Scope.
538.2  Purpose.
538.3  Applicability.
538.4  Definitions.
538.5  Minimum driving range.
538.6  Measurement of driving range.
538.7  Petitions for reduction of minimum driving range.
538.8  Gallon Equivalents for Gaseous Fuels.

    Authority: 49 U.S.C. 32901, 32905, and 32906; delegation of 
authority at 49 CFR 1.50.

    Source: 61 FR 14511, Apr. 2, 1996, unless otherwise noted.



Sec. 538.1  Scope.

    This part establishes minimum driving range criteria to aid in 
identifying passenger automobiles that are dual fueled automobiles. It 
also establishes gallon equivalent measurements for gaseous fuels other 
than natural gas.



Sec. 538.2  Purpose.

    The purpose of this part is to specify one of the criteria in 49 
U.S.C. chapter 329 ``Automobile Fuel Economy'' for identifying dual 
fueled passenger automobiles that are manufactured in model years 1993 
through 2004. The fuel economy of a qualifying vehicle is calculated in 
a special manner so as to encourage its production as a way of 
facilitating a manufacturer's compliance with the Corporate Average Fuel 
Economy Standards set forth in part 531 of this chapter. The purpose is 
also to establish gallon equivalent measurements for gaseous fuels other 
than natural gas.



Sec. 538.3  Applicability.

    This part applies to manufacturers of automobiles.



Sec. 538.4  Definitions.

    (a) Statutory terms. (1) The terms alternative fuel, alternative 
fueled automobile, and dual fueled automobile, are used as defined in 49 
U.S.C. 32901(a).
    (2) The terms automobile and passenger automobile, are used as 
defined in 49 U.S.C. 32901(a), and in accordance with the determinations 
in part 523 of this chapter.
    (3) The term manufacturer is used as defined in 49 U.S.C. 
32901(a)(13), and in accordance with part 529 of this chapter.
    (4) The term model year is used as defined in 49 U.S.C. 
32901(a)(15).

[[Page 107]]

    (b)(1) Other terms. The terms average fuel economy, fuel economy, 
and model type are used as defined in subpart A of 40 CFR part 600.
    (2) The term EPA means the U.S. Environmental Protection Agency.



Sec. 538.5  Minimum driving range.

    (a) The minimum driving range that a passenger automobile must have 
in order to be treated as a dual fueled automobile pursuant to 49 U.S.C. 
32901(c) is 200 miles when operating on its nominal useable fuel tank 
capacity of the alternative fuel, except when the alternative fuel is 
electricity.
    (b) The minimum driving range that a passenger automobile using 
electricity as an alternative fuel must have in order to be treated as a 
dual fueled automobile pursuant to 49 U.S.C. 32901(c) is 7.5 miles on 
its nominal storage capacity of electricity when operated on the EPA 
urban test cycle and 10.2 miles on its nominal storage capacity of 
electricity when operated on the EPA highway test cycle.

[61 FR 14511, Apr. 2, 1996, as amended at 63 FR 66068, Dec. 1, 1998]



Sec. 538.6  Measurement of driving range.

    The driving range of a passenger automobile model type not using 
electricity as an alternative fuel is determined by multiplying the 
combined EPA urban/highway fuel economy rating when operating on the 
alternative fuel, by the nominal usable fuel tank capacity (in gallons), 
of the fuel tank containing the alternative fuel. The combined EPA 
urban/highway fuel economy rating is the value determined by the 
procedures established by the Administrator of the EPA under 49 U.S.C. 
32904 and set forth in 40 CFR part 600. The driving range of a passenger 
automobile model type using electricity as an alternative fuel is 
determined by operating the vehicle in the electric-only mode of 
operation through the EPA urban cycle on its nominal storage capacity of 
electricity and the EPA highway cycle on its nominal storage capacity of 
electricity. Passenger automobile types using electricity as an 
alternative fuel that have completed the EPA urban cycle after 
recharging and the EPA highway cycle after recharging shall be deemed to 
have met the minimum range requirement.

[63 FR 66069, Dec. 1, 1998]



Sec. 538.7  Petitions for reduction of minimum driving range.

    (a) A manufacturer of a model type of passenger automobile capable 
of operating on both electricity and either gasoline or diesel fuel may 
petition for a reduced minimum driving range for that model type in 
accordance with paragraphs (b) and (c) of this section.
    (b) Each petition shall:
    (1) Be addressed to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street SW, Washington, DC 20590.
    (2) Be submitted not later than the beginning of the first model 
year in which the petitioner seeks to have the model type treated as an 
electric dual fueled automobile.
    (3) Be written in the English language.
    (4) State the full name, address, and title of the official 
responsible for preparing the petition, and the name and address of the 
petitioner.
    (5) Set forth in full data, views, and arguments of the petitioner, 
including the information and data specified in paragraph (c) of this 
section, and the calculations and analyses used to develop that 
information and data. No documents may be incorporated by reference in a 
petition unless the documents are submitted with the petition.
    (6) Specify and segregate any part of the information and data 
submitted under this section that the petitioner wishes to have withheld 
from public disclosure in accordance with part 512 of this chapter.
    (c) Each petitioner shall include the following information in its 
petition:
    (1) Identification of the model type or types for which a lower 
driving range is sought under this section.
    (2) For each model type identified in accordance with paragraph 
(c)(1) of this section:
    (i) The driving range sought for that model type.
    (ii) The number of years for which that driving range is sought.
    (iii) A description of the model type, including car line 
designation, engine displacement and type, electric storage

[[Page 108]]

capacity, transmission type, and average fuel economy when operating on:
    (A) Electricity; and
    (B) Gasoline or diesel fuel.
    (iv) An explanation of why the petitioner cannot modify the model 
type so as to meet the generally applicable minimum range, including the 
steps taken by the petitioner to improve the minimum range of the 
vehicle, as well as additional steps that are technologically feasible, 
but have not been taken. The costs to the petitioner of taking these 
additional steps shall be included.
    (3) A discussion of why granting the petition would be consistent 
with the following factors:
    (i) The purposes of 49 U.S.C. chapter 329, including encouraging the 
development and widespread use of electricity as a transportation fuel 
by consumers, and the production of passenger automobiles capable of 
being operated on both electricity and gasoline/diesel fuel;
    (ii) Consumer acceptability;
    (iii) Economic practicability;
    (iv) Technology;
    (v) Environmental impact;
    (vi) Safety;
    (vii) Driveability; and
    (viii) Performance.
    (d) If a petition is found not to contain the information required 
by this section, the petitioner is informed about the areas of 
insufficiency and advised that the petition will not receive further 
consideration until the required information is received.
    (e) The Administrator may request the petitioner to provide 
information in addition to that required by this section.
    (f) The Administrator publishes in the Federal Register a notice of 
receipt for each petition containing the information required by this 
section. Any interested person may submit written comments regarding the 
petition.
    (g) In reaching a determination on a petition submitted under this 
section, the Administrator takes into account:
    (1) The purposes of 49 U.S.C. chapter 329, including encouraging the 
development and widespread use of alternative fuels as transportation 
fuels by consumers, and the production of alternative fuel powered motor 
vehicles;
    (2) Consumer acceptability;
    (3) Economic practicability;
    (4) Technology;
    (5) Environmental impact;
    (6) Safety;
    (7) Driveability; and
    (8) Performance.
    (h) If the Administrator grants the petition, the petitioner is 
notified in writing, specifying the reduced minimum driving range, and 
specifying the model years for which the reduced driving range applies. 
The Administrator also publishes a notice of the grant of the petition 
in the Federal Register and the reasons for the grant.
    (i) If the Administrator denies the petition, the petitioner is 
notified in writing. The Administrator also publishes a notice of the 
denial of the petition in the Federal Register and the reasons for the 
denial.

[63 FR 66069, Dec. 1, 1998]



Sec. 538.8  Gallon Equivalents for Gaseous Fuels.

    The gallon equivalent of gaseous fuels, for purposes of calculations 
made under 49 U.S.C. 32905, are listed in Table I:

    Table I--Gallon Equivalent Measurements for Gaseous Fuels per 100
                           Standard Cubic Feet
------------------------------------------------------------------------
                                                             Gallon
                         Fuel                              equivalent
                                                           measurement
------------------------------------------------------------------------
Compressed Natural Gas................................         0.823
Liquefied Natural Gas.................................         0.823
Liquefied Petroleum Gas (Grade HD-5)*.................         0.726
Hydrogen..............................................         0.259
Hythane (Hy5).........................................         0.741
------------------------------------------------------------------------
* Per gallon unit of measure.



PART 541--FEDERAL MOTOR VEHICLE THEFT PREVENTION STANDARD--Table of Contents




Sec.
541.1  Scope.
541.2  Purpose.
541.3  Application.
541.4  Definitions.
541.5  Requirements for passenger motor vehicles.
541.6  Requirements for replacement parts.

Appendix A to Part 541--Lines Subject to the Requirements of This 
          Standard

[[Page 109]]

Appendix A-I to Part 541--High-Theft Lines With Antitheft Devices Which 
          Are Exempted From the Parts-Marking Requirements of This 
          Standard Pursuant to 49 CFR Part 543
Appendix A-II to Part 541--High-Theft Lines With Antitheft Devices Which 
          Are Exempted in Part From the Parts-Marking Requirements of 
          This Standard Pursuant to 49 CFR Part 543
Appendix B to Part 541--Passenger Motor Vehicle Lines (Except Light-Duty 
          Trucks) With Theft Rates Below the 1990/91 Median Theft Rate, 
          Subject to the Requirements of This Standard
Appendix C to Part 541--Criteria for Selecting Lines Likely to Have High 
          Theft Rates

    Authority: 49 U.S.C. 33101, 33102, 33103, 33105; delegation of 
authority at 49 CFR 1.50.

    Source: 50 FR 43190, Oct. 24, 1985, unless otherwise noted.

    Editorial Note: The information collection requirements contained in 
this part 541 will be submitted to the Office of Management and Budget 
for its approval. A notice will be published in the Federal Register 
when OMB approval has been obtained.



Sec. 541.1  Scope.

    This standard specifies performance requirements for identifying 
numbers or symbols to be placed on major parts of certain passenger 
motor vehicles.



Sec. 541.2  Purpose.

    The purpose of this standard is to reduce the incidence of motor 
vehicle thefts by facilitating the tracing and recovery of parts from 
stolen vehicles.



Sec. 541.3.  Application.

    This standard applies to the following:
    (a) Passenger motor vehicle parts identified in Sec. 541.5(a) that 
are present:
    (1) In the passenger motor vehicle lines listed in appendix A of 
this part;
    (2) Beginning with model year 1997, in passenger motor vehicle lines 
which NHTSA has finally determined, pursuant to 49 CFR part 542, to be 
high theft based on the 1990/91 median theft rate; and
    (3) Beginning with model year 1997, in passenger motor vehicle lines 
listed in appendix B of this part.
    (b) Replacement parts for passenger motor vehicle lines described in 
Sec. 541.3(a) (1) and (2), if the part is identified in Sec. 541.5(a).

[59 FR 64168, Dec. 13, 1994]



Sec. 541.4  Definitions.

    (a) Statutory terms. All terms defined in 49 U.S.C. chapter 331 are 
used in accordance with their statutory meanings unless otherwise 
defined in paragraph (b) of this section.
    (b) Other definitions. (1) Interior surface means, with respect to a 
vehicle part, a surface that is not directly exposed to sun and 
precipitation.
    (2) Light-duty truck (LDT) means a motor vehicle, with motive power, 
except a trailer, designed primarily for the transportation of property 
or special purpose equipment, that is rated at 6,000 pounds gross 
vehicle weight or less.
    (3) Line means a name which a manufacturer applies to a group of 
motor vehicles of the same make which have the same body or chassis, or 
otherwise are similar in construction or design. A ``line'' may, for 
example, include 2-door, 4-door, station wagon, and hatchback vehicles 
of the same make.
    (4) 1990/91 median theft rate means 3.5826 thefts per thousand 
vehicles produced.
    (5) Multipurpose passenger vehicle (MPV) means a passenger motor 
vehicle which is constructed either on a truck chassis or with special 
features for occasional off-road operation and which is rated at 6,000 
pounds gross vehicle weight or less.
    (6) Passenger car is used as defined in Sec. 571.3 of this chapter.
    (7) VIN means the vehicle identification number required by part 565 
of this chapter.

[59 FR 64168, Dec. 13, 1994, as amended at 61 FR 29033, June 7, 1996]



Sec. 541.5  Requirements for passenger motor vehicles.

    (a) Each passenger motor vehicle subject to this standard must have 
an identifying number affixed or inscribed on each of the parts 
specified in paragraphs (a)(1) through (a)(18) inclusive, if the part is 
present on the passenger motor vehicle. In the case of passenger motor 
vehicles not originally manufactured to comply with applicable U.S.

[[Page 110]]

vehicle safety and bumper standards, each such motor vehicle subject to 
this standard must have an identifying number inscribed in a manner 
which conforms to paragraph (d)(2) of this section, on each of the parts 
specified in paragraphs (a)(1) through (a)(18), inclusive, if the part 
is present on the motor vehicle.

(1) Engine.
(2) Transmission.
(3) Right front fender.
(4) Left front fender.
(5) Hood.
(6) Right front door.
(7) Left front door.
(8) Right rear door.
(9) Left rear door.
(10) Sliding or cargo door(s).
(11) Front bumper.
(12) Rear bumper.
(13) Right rear quarter panel (passenger cars).
(14) Left rear quarter panel (passenger cars).
(15) Right-side assembly (MPVs).
(16) Left-side assembly (MPVs).
(17) Pickup box, and/or cargo box (LDTs).
(18) Rear door(s) (both doors in case of double doors), decklid, 
    tailgate, or hatchback (whichever is present).

    (b)(1) Except as provided in paragraphs (b)(2) and (b)(3) of this 
section, the number required to be inscribed or affixed by paragraph (a) 
shall be the VIN of the passenger motor vehicle.
    (2) In place of the VIN, manufacturers who were marking engines and/
or transmissions with a VIN derivative consisting of at least the last 
eight characters of the VIN on October 24, 1984, may continue to mark 
engines and/or transmissions with such VIN derivative.
    (3) In the case of passenger motor vehicles not originally 
manufactured to comply with U.S. vehicle safety and bumper standards, 
the number required to be inscribed by paragraph (a) of this section 
shall be the original vehicle identification number assigned to the 
motor vehicle by its original manufacturer in the country where the 
motor vehicle was originally produced or assembled.
    (c) The characteristics of the number required to be affixed or 
inscribed by paragraph (a) of this section shall satisfy the size and 
style requirements set forth for vehicle certification labels in 
Sec. 567.4(g) of this chapter.
    (d) The number required by paragraph (a) of this section must be 
affixed by means that comply with paragraph (d)(1) of this section or 
inscribed by means that comply with paragraph (d)(2) of this section.
    (1) Labels. (i) The number must be printed indelibly on a label, and 
the label must be permanently affixed to the passenger motor vehicle's 
part.
    (ii) The number must be placed on each part specified in paragraph 
(a) of this section in a location such that the number is, if 
practicable, on an interior surface of the part as installed on the 
vehicle and in a location where it:
    (A) Will not be damaged by the use of any tools necessary to 
install, adjust, or remove the part and any adjoining parts, or any 
portions thereof;
    (B) Is on a portion of the part not likely to be damaged in a 
collision; and
    (C) Will not be damaged or obscured during normal dealer preparation 
operations (including rustproofing and undercoating).
    (iii) The number must be placed on each part specified in paragraph 
(a) of this section in a location that is visible without further 
disassembly once the part has been removed from the vehicle.
    (iv) The number must be placed entirely within the target area 
specified by the original manufacturer for that part, pursuant to 
paragraph (e) of this section, on each part specified in paragraph (a) 
of this section.
    (v) Removal of the label must--
    (A) Cause the label to self-destruct by tearing or rendering the 
number on the label illegible, and
    (B) Discernibly alter the appearance of that area of the part where 
the label was affixed by leaving residual parts of the label or adhesive 
in that area, so that investigators will have evidence that a label was 
originally present.
    (vi) Alteration of the number on the label must leave traces of the 
original number or otherwise visibly alter the appearance of the label 
material.
    (vii) The label and the number shall be resistant to counterfeiting.
    (viii) The logo or some other unique identifier of the vehicle 
manufacturer

[[Page 111]]

must be placed in the material of the label in a manner such that 
alteration or removal of the logo visibly alters the appearance of the 
label.
    (2) Other means of identification. (i) Removal or alteration of any 
portion of the number must visibly alter the appearance of the section 
of the vehicle part on which the identification is marked.
    (ii) The number must be placed on each part specified in paragraph 
(a) of this section in a location that is visible without further 
disassembly once the part has been removed from the vehicle.
    (iii) The number must be placed entirely within the target area 
specified by the original manufacturer for that part, pursuant to 
paragraph (e) of this section, on each part specified in paragraph (a) 
of this section.
    (e) Target areas. (1) Each manufacturer that is the original 
producer who installs or assembles the covered major parts on a line 
shall designate a target area for the identifying numbers to be marked 
on each part specified in paragraph (a) of this section for each of its 
lines subject to this standard. The target area shall not exceed 50 
percent of the surface area on the surface of the part on which the 
target area is located.
    (2) Each manufacturer subject to paragraph (e)(1) of this section 
shall, not later than 30 days before the line is introduced into 
commerce, inform NHTSA in writing of the target areas designated for 
each line listed in appendix A. The information should be submitted to: 
Administrator, National Highway Traffic Safety Administration, 400 
Seventh Street, SW, Washington, DC 20590.
    (3) The target areas designated by the original vehicle manufacturer 
for a part on a line shall be maintained for the duration of the 
production of such line, unless a restyling of the part makes it no 
longer practicable to mark the part within the original target area. If 
there is such a restyling, the original vehicle manufacturer shall 
inform NHTSA of that fact and the new target area, in accordance with 
the requirements of paragraph (e)(2) of this section.

[59 FR 64168, Dec. 13, 1994]



Sec. 541.6  Requirements for replacement parts.

    (a) Each replacement part for a part specified in Sec. 541.5(a) must 
have the registered trademark of the manufacturer of the replacement 
part, or some other unique identifier if the manufacturer does not have 
a registered trademark, and the letter ``R'' affixed or inscribed on 
such replacement part by means that comply with Sec. 541.5(d), except as 
provided in paragraph (d) of this section. In the case of replacement 
parts subject to the marking requirements of this section, which were 
not originally manufactured for sale in the United States, the importer 
of the part shall inscribe its registered trademark, or some other 
unique identifier if the importer does not have a registered trademark, 
and the letter ``R'' on the part by means that comply with 
Sec. 541.5(d)(2), except as provided in paragraph (d) of this section.
    (b) A replacement part subject to paragraph (a) of this section 
shall not be marked pursuant to Sec. 541.5.
    (c) The trademark and the letter ``R'' required by paragraph (a) of 
this section must be at least one centimeter high.
    (d) The trademark and the letter ``R'' required by paragraph (a) of 
this section must be placed entirely within the target area specified by 
the vehicle manufacturer, pursuant to paragraph (e) of this section.
    (e) Target areas. (1) Each manufacturer that is the original 
producer or assembler of the vehicle for which the replacement part is 
designed shall designate a target area for the identifying symbols to be 
marked on each replacement part subject to the requirements of paragraph 
(a) of this section. Such target areas shall not exceed 25 percent of 
the surface area of the surface on which the replacement part marking 
will appear.
    (2) The boundaries of the target area designated under paragraph 
(e)(1) of this section shall be at least 10 centimeters at all points 
from the nearest boundaries of the target area designated for that part 
under Sec. 541.5(e) of this part.
    (3) Each manufacturer subject to paragraph (e)(1) of this section 
shall inform NHTSA in writing of the target

[[Page 112]]

areas designated for each replacement part subject to paragraph (a) of 
this section, at the same time as it informs the agency of the target 
area designated for the original equipment parts of the line, pursuant 
to Sec. 541.5(e)(2) of this part. The information should be submitted 
to: Administrator, National Highway Traffic Safety Administration, 400 
Seventh Street, SW., Washington, DC 20590.
    (4) The target area designated by the original vehicle manufacturer 
for the parts subject to the requirements of paragraph (a) of this 
section shall be maintained for the duration of the production of such 
replacement part, unless a restyling of the part makes it no longer 
practicable to mark the part within the original target area. If there 
is such a restyling, the original vehicle manufacturer shall inform 
NHTSA of that fact and the new target area, in accordance with the 
requirements of paragraph (e)(3) of this section.
    (f) Each replacement part must bear the symbol ``DOT'' in letters at 
least one centimeter high within 5 centimeters of the trademark and of 
the letter ``R'', and entirely within the target area specified under 
paragraph (d) of this section. The symbol ``DOT'' constitutes the 
manufacturer's certification that the replacement part conforms to the 
applicable theft prevention standard, and shall be inscribed or affixed 
by means that comply with paragraph (a) of this section. In the case of 
replacement parts subject to the requirements of paragraph (a) of this 
section, which were not originally manufactured for sale in the United 
States, the importer shall inscribe the ``DOT'' symbol before the part 
is imported into the United States.

   Appendix A to Part 541--Lines Subject to the Requirements of This 
                                Standard

------------------------------------------------------------------------
               Manufacturer                         Subject lines
------------------------------------------------------------------------
ALFA ROMEO................................  Milano 161
                                            164
BMW.......................................  Z3
                                            6 Car Line
CHRYSLER..................................  Chrysler Cirrus
                                            Chrysler Fifth Avenue/
                                             Newport
                                            Chrysler Laser
                                            Chrysler LeBaron/Town &
                                             Country
                                            Chrysler LeBaron GTS
                                            Chrysler's TC
                                            Chrysler New Yorker Fifth
                                             Avenue
                                            Chrysler Sebring
                                            Chrysler Town & Country
                                            Dodge 600
                                            Dodge Aries
                                            Dodge Avenger
                                            Dodge Colt
                                            Dodge Daytona
                                            Dodge Diplomat
                                            Dodge Lancer
                                            Dodge Neon
                                            Dodge Shadow
                                            Dodge Stratus
                                            Dodge Stealth
                                            Eagle Summit
                                            Eagle Talon
                                            Jeep Cherokee (MPV)
                                            Jeep Grand Cherokee (MPV)
                                            Jeep Wrangler (MPV)
                                            Plymouth Caravelle
                                            Plymouth Colt
                                            Plymouth Laser
                                            Plymouth Gran Fury
                                            Plymouth Neon
                                            Plymouth Reliant
                                            Plymouth Sundance
                                            Plymouth Breeze
CONSULIER.................................  Consulier GTP
DAEWOO....................................  Korando (MPV)\1\
                                            Nubira\1\
FERRARI...................................  Mondial 8
                                            328
FORD......................................  Ford Aspire
                                            Ford Escort
                                            Ford Probe
                                            Ford Thunderbird
                                            Lincoln Continental
                                            Lincoln Mark
                                            Lincoln Town Car
                                            Mercury Capri
                                            Mercury Cougar
                                            Merkur Scorpio
                                            Merkur XR4Ti
GENERAL MOTORS............................  Buick Electra
                                            Buick Reatta
                                            Buick Skylark
                                            Chevrolet Malibu
                                            Chevrolet Nova
                                            Chevrolet Blazer (MPV)
                                            Chevrolet Prizm
                                            Chevrolet Venture (MPV)\2\
                                            Chevrolet S-10 Pickup
                                            Geo Storm
                                            Chevrolet Tracker (MPV)
                                            GMC Jimmy (MPV)
                                            GMC Safari (MPV)
                                            GMC Sonoma Pickup
                                            Oldsmobile Achieva (MYs 1997-
                                             1998)\3\
                                            Oldsmobile Bravada
                                            Oldsmobile Cutlass
                                            Oldsmobile Cutlass Supreme
                                             (MYs 1988-1997)\4\
                                            Oldsmobile Intrigue
                                            Pontiac Fiero
                                            Pontiac Grand Prix
                                            Saturn Sports Coupe

[[Page 113]]

 
HONDA.....................................  Accord
                                            CRV (MPV)
                                            Odyssey (MPV)
                                            Passport
                                            Prelude
                                            S2000\1\
                                            Acura Integra
HYUNDAI...................................  Accent
                                            Sonata
                                            Tiburon
ISUZU.....................................  Amigo
                                            Impulse
                                            Rodeo
                                            Stylus
                                            Trooper/Trooper II
                                            VehiCross (MPV)\5\
JAGUAR....................................  XJ
KIA MOTORS................................  S-II
LOTUS.....................................  Elan
MASERATI..................................  Biturbo
                                            Quattroporte 228
MAZDA.....................................  626
                                            MX-3
                                            MX-5 Miata
                                            MX-6
MERCEDES-BENZ.............................  190 D
                                            190 E
                                            260E (1987-1989)
                                            300 SE (1988-1990)
                                            300 TD (1987)
                                            300 SDL (1987)
                                            300 SEL 420 SEL
                                            (1987-1990)
                                            560 SEL (1987-1990)
                                            560 SEC (1987-1990)
                                            560 SL
MITSUBISHI................................  Cordia
                                            Eclipse
                                            Mirage
                                            Montero (MPV)
                                            Montero Sport (MPV)
                                            Tredia
                                            3000GT
NISSAN....................................  240SX
                                            Pathfinder
                                            Sentra/200SX
                                            Xterra\1\
PEUGEOT...................................  405
PORSCHE...................................  924S
SUBARU....................................  XT
                                            SVX
                                            Forester
                                            Legacy
SUZUKI....................................  X90
                                            Sidekick (MYs 1997-1998)\6\
                                            Vitara (MPV)
TOYOTA....................................  Toyota 4-Runner (MPV)
                                            Toyota Avalon
                                            Toyota Camry
                                            Toyota Celica
                                            Toyota Corolla/Corolla Sport
                                            Toyota Echo\1\
                                            Toyota MR2
                                            Toyota RAV4 (MPV)
                                            Toyota Sienna (MPV)
                                            Toyota Tercel
                                            Lexus RX300 (MPV)
VOLKSWAGEN................................  Audi Quattro
                                            Volkswagen Scirocco
------------------------------------------------------------------------
\1\ Lines added for MY 2000
\2\ Replaced the Chevrolet Lumina Minivan nameplate beginning with MY
  1997
\3\ Renamed the Oldsmobile Alero beginning with MY 1999
\4\ Renamed the Oldsmobile Intrigue beginning with MY 1998
\5\ Line added for MY 1999
\6\ Renamed the Suzuki Vitara beginning with MY 1999 (includes Vitara
  and Grand Vitara models).


[64 FR 28112, May 25, 1999]

Appendix A-I--High-Theft Lines With Antitheft Devices Which Are Exempted 
From the Parts-Marking Requirements of This Standard Pursuant to 49 CFR 
                                Part 543

------------------------------------------------------------------------
               Manufacturer                         Subject lines
------------------------------------------------------------------------
AUSTIN ROVER..............................  Sterling
BMW.......................................  3 Car Line
                                            5 Car Line
                                            7 Car Line
                                            8 Car Line
CHRYSLER..................................  Chrysler Conquest
                                            Chrysler Imperial
FORD......................................  Mustang\1\
                                            Taurus\2\
GENERAL MOTORS............................  Buick LeSabre
                                            Buick Park Avenue
                                            Buick Regal/Century
                                            Buick Riviera
                                            Cadillac Allante
                                            Cadillac Deville
                                            Cadillac Seville
                                            Chevrolet Cavalier
                                            Chevrolet Corvette
                                            Chevrolet Lumina/Monte Carlo
                                             (MYs 1996-1999)\3\
                                            Oldsmobile Alero
                                            Oldsmobile Aurora
                                            Oldsmobile Toronado
                                            Pontiac Bonneville
                                            Pontiac Grand Am\2\
                                            Pontiac Sunfire
HONDA.....................................  Acura CL
                                            Acura Legend (MYs 1991-
                                             1996)\4\
                                            Acura NSX
                                            Acura RL
                                            Acura SLX
                                            Acura TL
                                            Acura Vigor (MYs 1992-1995)
ISUZU.....................................  Impulse (MYs 1987-1991)
JAGUAR....................................  XK8
MAZDA.....................................  929
                                            RX-7
                                            Millenia
MERCEDES-BENZ.............................  124 Car Line (the models
                                             within this line are):
                                            260E
                                            300D
                                            300E
                                            300CE
                                            300TE
                                            400E
                                            500E
                                            129 Car Line (the models
                                             within this line are):
                                            300SL
                                            500SL\5\
                                            600SL\6\
                                            SL320
                                            SL500
                                            SL600

[[Page 114]]

 
                                            202 Car Line (the models
                                             within this line are):
                                            C220
                                            C230
                                            C280
                                            C36
                                            C43
MITSUBISHI................................  Galant
                                            Starion
                                            Diamante
NISSAN....................................  Nissan Altima\2\
                                            Nissan Maxima
                                            Nissan 300ZX
                                            Infiniti I30
                                            Infiniti J30
                                            Infiniti M30
                                            Infiniti QX4
                                            Infiniti Q45
PORSCHE...................................  911
                                            928
                                            968
                                            Boxster
SAAB......................................  900
                                            9000
TOYOTA....................................  Toyota Supra
                                            Toyota Cressida
                                            Lexus ES
                                            Lexus GS
                                            Lexus LS
                                            Lexus SC
VOLKSWAGEN................................  Audi 5000S
                                            Audi 100/A6
                                            Audi 200/S4/S6
                                            Audi Cabriolet
                                            Volkswagen Cabrio
                                            Volkswagen Corrado
                                            Volkswagen Golf/GTI
                                            Volkswagen Jetta/Jetta III
                                            Volkswagen Passat
------------------------------------------------------------------------
\1\ Exempted in full beginning with MY1999
\2\ Exempted in full beginning with MY 2000
\3\ Renamed Chevrolet Impala/Monte Carlo beginning with MY 2000
\4\ Renamed the Acura RL beginning with MY 1997
\5\ Renamed the SL500 beginning with MY 1994
\6\ Renamed the SL600 beginning with MY 1994.


[64 FR 28113, May 25, 1999]

Appendix A-II to Part 541--High-Theft Lines With Antitheft Devices Which 
    Are Exempted In-Part From the Parts-Marking Requirements of This 
                  Standard Pursuant to 49 CFR Part 543

------------------------------------------------------------------------
          Manufacturers              Subject lines    Parts to be marked
------------------------------------------------------------------------
GENERAL MOTORS..................  Cadillac Eldorado.  Engine,
                                  Cadillac Sixty       Transmission
                                   Special \1\.       Engine,
                                  Oldsmobile Ninety-   Transmission
                                   Eight.             Engine,
                                  Pontiac Firebird..   Transmission
                                  Chevrolet Camaro..  Engine,
                                  Oldsmobile Eighty-   Transmission
                                   Eight.             Engine,
                                                       Transmission
                                                      Engine,
                                                       Transmission
------------------------------------------------------------------------
\1\ Renamed the Cadillac Concours beginning with MY 1994.


[64 FR 28114, May 25, 1999]

  Appendix B--Passenger Motor Vehicle Lines (Except Light-Duty Trucks) 
  With Theft Rates Below the 1990/91 Median Theft Rate, Subject to the 
                      Requirements of This Standard

------------------------------------------------------------------------
               Manufacturer                         Subject lines
------------------------------------------------------------------------
Ford......................................  Crown Victoria
                                            Mercury Grand Marquis
                                            Mercury Sable
General Motors............................  Chevrolet Astro (MPV)
                                            GMC Safari (MPV)
Honda.....................................  Civic.
------------------------------------------------------------------------


[64 FR 28114, May 25, 1999]

Appendix C to Part 541--Criteria for Selecting Lines Likely To Have High 
                               Theft Rates

                                  Scope

    These criteria specify the factors the Administrator will take into 
account in determining whether a new line is likely to have a high theft 
rate, and, therefore, whether such line will be subject to the 
requirements of this theft prevention standard.

                                 Purpose

    The purpose of these criteria is to enable the Administrator to 
select, by agreement with the manufacturer, if possible, those new lines 
which are likely to have high theft rates.

                               Application

    These criteria apply to lines of passenger motor vehicles initially 
introduced into commerce on or after January 1, 1983.

                               Methodology

    These criteria will be applied to each line initially introduced 
into commerce on or after January 1, 1983. The likely theft rate for 
such lines will be determined in relation to the national median theft 
rate for 1983 and 1984. If the line is determined to be likely to have a 
theft rate above the national median, the Administrator will select such 
line for coverage under this theft prevention standard.

                                Criteria

    1. Retail price of the vehicle line.
    2. Vehicle image or marketing strategy.
    3. Vehicle lines with which the new line is intended to compete, and 
the theft rates of such lines.
    4. Vehicle line(s), if any, which the new line is intended to 
replace, and the theft rate(s) of such line(s).
    5. Presence or absence of any new theft prevention devices or 
systems.

[[Page 115]]

    6. Preliminary theft rate for the line, if it can be determined on 
the basis of currently available data.



PART 542--PROCEDURES FOR SELECTING LINES TO BE COVERED BY THE THEFT PREVENTION STANDARD--Table of Contents




Sec.
542.1  Procedures for selecting new lines that are likely to have high 
          or low theft rates.
542.2  Procedures for selecting low theft new lines with a majority of 
          major parts interchangeable with those of a high theft line.

    Authority: 15 U.S.C. 2021, 2022, and 2023; delegation of authority 
at 49 CFR 1.50.

    Source: 59 FR 21672, Apr. 26, 1994, unless otherwise noted.



Sec. 542.1  Procedures for selecting new lines that are likely to have high or low theft rates.

    (a) Scope. This section sets forth the procedures for motor vehicle 
manufacturers and NHTSA to follow in the determination of whether any 
new vehicle line is likely to have a theft rate above or below the 
median theft rate.
    (b) Application. These procedures apply to each manufacturer that 
plans to introduce a new line into commerce in the United States on or 
after April 24, 1986, and to each of those new lines.
    (c) Procedures. (1)(i) For each new line introduced before the 1997 
model year, each manufacturer uses the criteria in appendix C of part 
541 of this chapter to evaluate each new line and to conclude whether 
the new line is likely to have a theft rate above or below the median 
theft rate established for calendar years 1990 and 1991.
    (ii) For each new line to be introduced for the 1997 or subsequent 
model years, each manufacturer shall use the criteria in appendix C of 
part 541 of this chapter to evaluate each new line and to conclude 
whether the new line is likely to have a theft rate above or below the 
median theft rate.
    (2)(i) For each new line to be introduced before the 1997 model 
year, the manufacturer submits its evaluations and conclusions made 
under paragraph (c)(1)(i) of this section, together with the underlying 
factual information, to NHTSA not less than 18 months before the date of 
introduction. The manufacturer may request a meeting with the agency to 
further explain the bases for its evaluations and conclusions.
    (ii) For each new line to be introduced for the 1997 or subsequent 
model years, the manufacturer shall submit its evaluations and 
conclusions made under paragraph (c)(1)(ii) of this section, together 
with the underlying factual information, to NHTSA not less than 15 
months before the date of introduction. The manufacturer may request a 
meeting with the agency during this period to further explain the bases 
for its evaluations and conclusions.
    (3) Within 90 days after its receipt of the manufacturer's 
submission under paragraph (c)(2) of this section, the agency 
independently evaluates the new line using the criteria in appendix C of 
part 541 of this chapter and, on a preliminary basis, determines whether 
the new line should or should not be subject to Sec. 541.2 of this 
chapter. NHTSA informs the manufacturer by letter of the agency's 
evaluations and determinations, together with the factual information 
considered by the agency in making them.
    (4) The manufacturer may request the agency to reconsider any of its 
preliminary determinations made under paragraph (c)(3) of this section. 
The manufacturer shall submit its request to the agency within 30 days 
of its receipt of the letter under paragraph (c)(3) of this section. The 
request shall include the facts and arguments underlying the 
manufacturer's objections to the agency's preliminary determinations. 
During this 30-day period, the manufacturer may also request a meeting 
with the agency to discuss those objections.
    (5) Each of the agency's preliminary determinations under paragraph 
(c)(3) of this section shall become final 45 days after the agency sends 
the letter specified in paragraph (c)(3) of this section unless a 
request for reconsideration has been received in accordance with 
paragraph (c)(4) of this section. If such a request has been received, 
the agency makes its final determinations within 60 days of its receipt 
of the request. NHTSA informs the manufacturer by letter of those 
determinations

[[Page 116]]

and its response to the request for reconsideration.



Sec. 542.2  Procedures for selecting low theft new lines with a majority of major parts interchangeable with those of a high theft line.

    (a) Scope. This section sets forth the procedures for motor vehicle 
manufacturers and NHTSA to follow in the determination of whether any 
new lines that will be likely to have a low theft rate have major parts 
interchangeable with a majority of the covered major parts of a line 
having or likely to have a high theft rate.
    (b) Application. These procedures apply to:
    (1) Each manufacturer that produces--
    (i) At least one passenger motor vehicle line that has been or will 
be introduced into commerce in the United States and that has been 
listed in appendix A of part 541 of this chapter or that has been 
identified by the manufacturer or preliminarily or finally determined by 
NHTSA to be a high-theft line under Sec. 542.1, and
    (ii) At least one passenger motor vehicle line that will be 
introduced into commerce in the United States on or after April 24, 1986 
and that the manufacturer identifies as likely to have a theft rate 
below the median theft rate; and
    (2) Each of those likely submedian theft rate lines.
    (c) Procedures. (1)(i) For each new line that is to be introduced 
before the 1997 model year and that a manufacturer identifies under 
appendix C of part 541 of this chapter as likely to have a theft rate 
below the median rate, the manufacturer identifies how many and which of 
the major parts of that line will be interchangeable with the covered 
major parts of any other of its lines that has been listed in appendix A 
of part 541 of this chapter or identified by the manufacturer or 
preliminarily or finally determined by the agency to be a high theft 
line under Sec. 542.1.
    (ii) For each new line that is to be introduced in the 1997 or 
subsequent model years and that a manufacturer identifies under appendix 
C of part 541 of this chapter as likely to have a theft rate below the 
median rate, the manufacturer shall identify how many and which of the 
major parts of that line will be interchangeable with the covered major 
parts of any other of its lines that has been listed in appendix A of 
part 541 of this chapter or identified by the manufacturer or 
preliminarily or finally determined by the agency to be a high-theft 
line under Sec. 542.1.
    (2)(i) If the manufacturer concludes that a new line that is to be 
introduced before the 1997 model year has a likely submedian theft rate 
and will have major parts that are interchangeable with a majority of 
the covered major parts of a high theft line, the manufacturer 
determines whether all the vehicles of those lines with likely submedian 
theft rates and interchangeable parts will account for more than 90 
percent of the total annual production of all of the manufacturer's 
lines with those interchangeable parts.
    (ii) If the manufacturer concludes that a new line that is to be 
introduced for the 1997 or subsequent model years has a likely submedian 
theft rate and will have major parts that are interchangeable with a 
majority of the covered major parts of a high theft line, the 
manufacturer shall determine whether all the vehicles of those lines 
with likely submedian theft rates and interchangeable parts will account 
for more than 90 percent of the total annual production of all of the 
manufacturer's lines with those interchangeable parts.
    (3)(i) For new lines to be introduced before the 1997 model year, 
the manufacturer submits its evaluations and identifications made under 
paragraphs (c)(1)(i) and (2)(i) of this section, together with the 
underlying factual information, to NHTSA not less than 18 months before 
the date of introduction. During this period, the manufacturer may 
request a meeting with the agency to further explain the bases for its 
evaluations and conclusions.
    (ii) For new lines to be introduced for the 1997 and subsequent 
model years, the manufacturer shall submit its evaluations and 
conclusions made under paragraphs (c)(1)(ii) and (2)(ii) of this 
section, together with the underlying factual information, to NHTSA not 
less than 15 months before the date of introduction. During this period, 
the

[[Page 117]]

manufacturer may request a meeting with the agency to further explain 
the bases for its evaluations and conclusions.
    (4) Within 90 days after its receipt of the manufacturer's 
submission under paragraph (c)(3) of this section, the agency considers 
that submission, if any, and independently makes, on a preliminary 
basis, the determinations of those lines with likely submedian theft 
rates which should or should not be subject to Sec. 541.5 of this 
chapter. NHTSA informs the manufacturer by letter of the agency's 
preliminary determinations, together with the factual information 
considered by the agency in making them.
    (5) The manufacturer may request the agency to reconsider any of its 
preliminary determinations made under paragraph (c)(4) of this section. 
The manufacturer must submit its request to the agency within 30 days of 
its receipt of the letter under paragraph (c)(4) of this section 
informing it of the agency's evaluations and preliminary determinations. 
The request must include the facts and arguments underlying the 
manufacturer's objections to the agency's preliminary determinations. 
During this 30-day period, the manufacturer may also request a meeting 
with the agency to discuss those objections.
    (6) Each of the agency's preliminary determinations made under 
paragraph (c)(4) of this section becomes final 45 days after the agency 
sends the letter specified in that paragraph unless a request for 
reconsideration has been received in accordance with paragraph (c)(5) of 
this section. If such a request has been received, the agency makes its 
final determinations within 60 days of its receipt of the request. NHTSA 
informs the manufacturer by letter of those determinations and its 
response to the request for reconsideration.



PART 543--EXEMPTION FROM VEHICLE THEFT PREVENTION STANDARD--Table of Contents




Sec.
543.1  Scope.
543.2  Purpose.
543.3  Application.
543.4  Definitions.
543.5  Petition: General requirements.
543.6  Petition: Specific content requirements.
543.7  Processing an exemption petition.
543.8  Duration of exemption.
543.9  Terminating or modifying an exemption.

    Authority: 15 U.S.C. 2025, delegation of authority at 49 CFR 1.50.

    Source: 52 FR 33829, Sept. 8, 1987, unless otherwise noted.



Sec. 543.1  Scope.

    This part establishes procedures under section 605 of the Motor 
Vehicle Information and Cost Savings Act (15 U.S.C. 2025) for filing and 
processing petitions to exempt lines of passenger motor vehicles from 
part 541 of this chapter, and procedures for terminating or modifying an 
exemption.



Sec. 543.2  Purpose.

    The purpose of this part is to specify the content and format of 
petitions which may be filed by manufacturers of passenger motor 
vehicles to obtain an exemption from the parts-marking requirements of 
the vehicle theft prevention standard for passenger motor vehicle lines 
which include, as standard equipment, an antitheft device if the agency 
concludes that the device is likely to be as effective in reducing and 
deterring motor vehicle theft as compliance with the parts-marking 
requirements. This part also provides the procedures that the agency 
will follow in processing those petitions and in terminating or 
modifying exemptions.



Sec. 543.3  Application.

    This part applies to manufacturers of high-theft passenger motor 
vehicles; and to any interested person who seeks to have NHTSA terminate 
an exemption.



Sec. 543.4  Definitions.

    (a) Statutory terms. All terms defined in sections 2, 601, and 605 
of the Motor Vehicle Information and Cost Savings Act are used in 
accordance with their statutory meanings unless otherwise defined in 
paragraph (b) of this section.
    (b) Other definitions.
    Line or car line means a name which a manufacturer applies to a 
group of motor vehicles of the same make which

[[Page 118]]

have the same body or chassis, or otherwise are similar in construction 
or design. A ``line'' may, for example, include 2-door, 4-door, station 
wagon, and hatchback vehicles of the same make.
    NHTSA means the National Highway Traffic Safety Administration.



Sec. 543.5  Petition: General requirements.

    (a) For each model year through model year 1996, a manufacturer may 
petition NHTSA to grant exemptions for up to two additional lines of its 
passenger motor vehicles from the requirements of part 541 of this 
chapter. For each of model years 1997 through 2000, a manufacturer may 
petition NHTSA to grant an exemption for one additional line of its 
passenger motor vehicles from the requirements of part 541 of this 
chapter.
    (b) Each petition filed under this part for an exemption must--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 
20590;
    (3) State the full name and address of the petitioner, the nature of 
its organization (individual, partnership, corporation, etc.), and the 
name of the State or country under the laws of which it is organized;
    (4) Be submitted at least 8 months before the commencement of 
production of the lines specified under paragraph (5) of Sec. 543.5(b) 
for the first model year in which the petitioner wishes those lines to 
be exempted, and identify that model year;
    (5) Identify the passenger motor vehicle line or lines for which 
exemption is sought;
    (6) Set forth in full the data, views, and arguments of the 
petitioner supporting the exemption, including the information specified 
in Sec. 543.6; and
    (7) Specify and segregate any part of the information and data 
submitted which the petitioner requests be withheld from public 
disclosure in accordance with part 512, Confidential Business 
Information, of this chapter.

[52 FR 33829, Sept. 8, 1987, as amended at 59 FR 10758, Mar. 8, 1994]



Sec. 543.6  Petition: Specific content requirements.

    (a) Each petition for exemption filed under this part must include:
    (1) A statement that an antitheft device will be installed as 
standard equipment on all vehicles in the line for which an exemption is 
sought;
    (2) A list naming each component in the antitheft system, and a 
diagram showing the location of each of those components within the 
vehicle;
    (3) A discussion that explains the means and process by which the 
device is activated and functions, including any aspect of the device 
designed to--
    (i) Facilitate or encourage its activation by motorists,
    (ii) Attract attention to the efforts of an unauthorized person to 
enter or move a vehicle by means other than a key,
    (iii) Prevent defeating or circumventing the device by an 
unauthorized person attempting to enter a vehicle by means other than a 
key,
    (iv) Prevent the operation of a vehicle which an unauthorized person 
has entered using means other than a key, and
    (v) Ensure the reliability and durability of the device;
    (4) The reasons for the petitioner's belief that the antitheft 
device will be effective in reducing and deterring motor vehicle theft, 
including any theft data and other data that are available to the 
petitioner and form a basis for that belief;
    (5) The reasons for the petitioner's belief that the agency should 
determine that the antitheft device is likely to be as effective as 
compliance with the parts-marking requirements of part 541 in reducing 
and deterring motor vehicle theft, including any statistical data that 
are available to the petitioner and form a basis for petitioner's belief 
that a line of passenger motor vehicles equipped with the antitheft 
device is likely to have a theft rate equal to or less than that of 
passenger motor vehicles of the same, or a similar, line which have 
parts marked in compliance with part 541.
    (b) Any petitioner submitting data under paragraph (a) (4) or (5) of 
this section shall submit an explanation of its belief that the data are 
sufficiently

[[Page 119]]

representative and reliable to warrant NHTSA's reliance upon them.

[52 FR 33829, Sept. 8, 1987, as amended at 59 FR 10758, Mar. 8, 1994]



Sec. 543.7  Processing an exemption petition.

    (a) NHTSA processes any complete petition. If a manufacturer submits 
a petition that does not contain all the information required by this 
part, NHTSA informs the manufacturer of the areas of insufficiency and 
advises the manufacturer that the agency does not process the petition 
until it receives the required information.
    (b) The agency grants a petition for an exemption from the parts-
marking requirements of part 541 either in whole or in part, if it 
determines that, based upon substantial evidence, the standard equipment 
antitheft device is likely to be as effective in reducing and deterring 
motor vehicle theft as compliance with the parts-marking requirements of 
part 541.
    (c) The agency issues its decision either to grant or deny an 
exemption petition not later than 120 days after the date on which a 
complete petition is filed.
    (d) Any exemption granted under this part applies only to the 
vehicle line or lines that are the subject of the grant, and are 
equipped with the antitheft device on which the line's exemption was 
based.
    (e) An exemption granted under this part is effective for the model 
year beginning after the model year in which NHTSA issue the notice of 
exemption, unless the notice of exemption specifies a later model year.
    (f) NHTSA publishes a notice of its decision to grant or deny an 
exemption petition in the Federal Register, and notifies the petitioner 
in writing of the agency's decision.



Sec. 543.8  Duration of exemption.

    Each exemption under this part continues in effect unless it is 
modified or terminated under Sec. 543.9, or the manufacturer ceases 
production of the exempted line.



Sec. 543.9  Terminating or modifying an exemption.

    (a) On its own initiative or in response to a petition, NHTSA may 
commence a proceeding to terminate or modify any exemption granted under 
this part.
    (b) Any interested person may petition the agency to commence a 
proceeding to terminate or modify an exemption.
    (c)(1) In a petition to terminate an exemption, the petitioner must:
    (i) Identify the vehicle line or lines that are the subject of the 
exemption;
    (ii) State the reasons for petitioner's belief that the standard 
equipment antitheft device installed under the exemption is not as 
effective as compliance with the parts-marking requirements of part 541 
in reducing and deterring motor vehicle theft;
    (iii) Comply with Sec. 543.5, paragraphs (b) (1) through (3) and 
(7).
    (2) In a petition to modify an exemption, the petitioner must:
    (i) Identify the vehicle line or lines that are the subject of the 
exemption;
    (ii) Request permission to use an antitheft device similar to, but 
different from the standard equipment antitheft device which is 
installed under the exemption;
    (iii) Comply with Sec. 543.5, paragraphs (b) (1) through (3) and 
(7); and
    (iv) Provide the same information for the modified device that is 
required under Sec. 543.6 for a new device, except that the information 
specified by Sec. 543.6(a)(3) need by provided only to the extent that 
the modified device differs from the standard equipment antitheft device 
installed under the exemption.
    (d) NHTSA processes any complete petition. If a person submits a 
petition under this section that does not contain all the information 
required by it, NHTSA informs the manufacturer of the areas of 
insufficiency and advises the manufacturer that the agency does not 
process the petition until it receives the required information.
    (e) If NHTSA denies a petition requesting a proceeding to terminate 
or modify an exemption, the agency notifies the petitioner by letter.
    (f) If NHTSA commences a termination proceeding on its own 
initiative

[[Page 120]]

or in response to a petition, the agency provides the manufacturer of 
the exempted line with a copy of the petition, if any, a written 
statement of NHTSA's reasons for commencing the proceeding, and an 
opportunity to present its written views.
    (g)(1) The agency terminates an exemption if it determines that the 
antitheft device installed under the exemption has not been as effective 
as parts-marking in reducing and deterring motor vehicle theft.
    (2) Except as provided in paragraph (g)(3) of this section, a 
decision to terminate an exemption under this section takes effect on 
the later of the following dates:
    (i) The last day of the model year in which NHTSA issues the 
termination decision, or
    (ii) Six months after the manufacturer receives written notice of 
the termination.
    (3) If a manufacturer shows good cause why terminating its exemption 
effective on a date later than the one specified in paragraph (g)(2) of 
this section is consistent with the public interest and the purposes of 
the Act, the agency may set such later date.
    (h)(1) The agency modifies an exemption if it detemines, based on 
substantial evidence, that the modified antitheft device described in 
the petition is likely to be as effective in reducing and deterring 
motor vehicle theft as compliance with the parts-marking requirements of 
part 541.
    (2)(i) Except as provided in paragraph (h)(2)(ii) of this section, a 
decision to modify an exemption under this section takes effect on the 
first day of the model year following the model year in which NHTSA 
issued the modification decision.
    (ii) If a manufacturer shows good cause why modifying its exemption 
effective on a date earlier than the one specified in paragraph 
(h)(2)(i) of this section is consistent with the public interest and the 
purposes of the Act, the agency may set such earlier date.
    (i) [Reserved]
    (j) NHTSA publishes notice in the Federal Register of any agency 
decision terminating or modifying an exemption, and notifies the 
affected manufacturer in writing.



PART 544--INSURER REPORTING REQUIREMENTS--Table of Contents




Sec.
544.1  Scope.
544.2  Purpose.
544.3  Application.
544.4  Definitions.
544.5  General requirements for reports.
544.6  Contents of insurer reports.
544.7  Incorporating previously filed documents.

Appendix A to Part 544--Insurers of Motor Vehicle Insurance Policies 
          Subject to the Reporting Requirements in Each State in Which 
          They Do Business
Appendix B to Part 544--Issuers of Motor Vehicle Insurance Policies 
          Subject to the Reporting Requirements Only in Designated 
          States
Appendix C to Part 544--Motor Vehicle Rental and Leasing Companies 
          (Including Licensees and Franchisees) Subject to the Reporting 
          Requirements of Part 544

    Authority: 49 U.S.C. 33112; delegation of authority at 49 CFR 1.50.

    Source: 52 FR 76, Jan. 2, 1987, unless otherwise noted.



Sec. 544.1  Scope.

    This part sets forth requirements for insurers to report to the 
National Highway Traffic Safety Administration information about motor 
vehicle thefts and recoveries, the effects of the Federal motor vehicle 
theft prevention standard on those thefts and recoveries, and related 
insurance practices.



Sec. 544.2  Purpose.

    The purpose of these reporting requirements in this part is to aid 
in implementing and evaluating the provisions of 49 U.S.C. Chapter 331 
Theft Prevention to prevent or discourage the theft of motor vehicles, 
to prevent or discourage the sale or distribution in interstate commerce 
of used parts removed from stolen motor vehicles, and to help reduce the 
cost to consumers of comprehensive insurance coverage for motor 
vehicles.

[62 FR 33756, June 23, 1997]



Sec. 544.3  Application.

    This part applies to the motor vehicle insurance policy issuers 
listed in

[[Page 121]]

appendices A or B, and to the motor vehicle rental and leasing companies 
listed in appendix C.

[55 FR 25609, June 22, 1990]



Sec. 544.4  Definitions.

    (a) Statutory terms. All terms defined in 49 U.S.C. 33101 and 33112 
are used in accordance with their statutory meanings unless otherwise 
defined in paragraph (b) of this section.
    (b) Other definitions. (1) Comprehensive insurance coverage means 
the indemnification of motor vehicle owners by an insurer against losses 
due to fire, theft, robbery, pilferage, malicious mischief and 
vandalism, and damage resulting from floods, water, tornadoes, cyclones, 
or windstorms.
    (2) Gross vehicle weight rating is used as defined at Sec. 571.3 of 
this chapter.
    (3) Heavy truck means a truck with a gross vehicle weight rating of 
more than 10,000 pounds.
    (4) Light truck means a truck with a gross vehicle weight rating of 
10,000 pounds or less.
    (5) Major part means--
    (i) In the case of passenger motor vehicles, any part listed in 
Sec. 541.5(a) (1) through (14) of this chapter;
    (ii) In the case of light trucks, any part listed in Sec. 541.4(a) 
(1) through (14) of this chapter, or the cargo bed or transfer case;
    (iii) In the case of heavy trucks, any part listed in Sec. 541.5(a) 
(1) through (14) of this chapter, or the cargo bed, drive axle assembly, 
fifth wheel, sleeper, or the transfer case;
    (iv) In the case of multipurpose passenger vehicles, any part listed 
in Sec. 541.5(a) (1) through (14) of this chapter, or the cargo bed or 
transfer case; and
    (v) In the case of motorcycles, the crankcase, engine, frame, front 
fork, or transmission.
    (6) Motorcycle is used as defined at Sec. 571.3 of this chapter.
    (7) Motorcycle vehicle means a passenger motor vehicle, multipurpose 
passenger vehicle, truck, or motorcycle.
    (8) Multipurpose passenger vehicle is used as defined at Sec. 571.3 
of this chapter.
    (9) Recovery means regaining physical possession of a motor vehicle 
or a major portion of the superstructure of a motor vehicle with one or 
more major parts still attached to the superstructure, after that 
vehicle has been stolen.
    (10) Recovery-in-part means a recovery in which one or more of the 
recovered vehicle's major parts is missing at the time of recovery.
    (11) Recovery intact means a recovery with none of the recovered 
vehicle's major parts missing at the time of recovery, and with no 
apparent damage to any part of the motor vehicle other than those parts 
damaged in order to enter, start, and operate the vehicle, but with 
additional mileage and ordinary wear and tear.
    (12) Recovery-in-whole means a recovery with none of the recovered 
vehicle's major parts missing at the time of recovery, but with apparent 
damage to some part or parts of the vehicle in addition to those parts 
damaged in order to enter, start, and operate the vehicle.
    (13) Reporting period means the calendar year covered by a report 
submitted under this part.
    (14) Truck is used as defined at Sec. 571.3 of this chapter.
    (15)(i) In the case of insurers that issue motor vehicle insurance 
policies, vehicle theft means an actual physical removal of a motor 
vehicle without the permission of its owner, but does not include the 
removal of component parts, accessories, or personal belongings from a 
motor vehicle which is not moved.
    (ii) In the case of an insurer which has a fleet of 20 or more 
vehicles (other than a governmental entity) used primarily for rental or 
lease and not covered by theft insurance policies issued by insurers of 
motor vehicles, ``vehicle theft'' means an actual physical removal of a 
motor vehicle without the permission of its owner, or keeping possession 
of the motor vehicle without permission of its owner for a sufficient 
period of time so that the vehicle could have been reported as stolen to 
the State police in the State in which the vehicle was to have been 
returned. However, vehicle theft does not include

[[Page 122]]

the removal of component parts, accessories, or personal belongings from 
a motor vehicle which is not moved.

[52 FR 76, Jan. 2, 1987, as amended at 60 FR 33148, June 27, 1995; 61 FR 
41987, Aug. 13, 1996; 62 FR 33756, June 23, 1997]



Sec. 544.5  General requirements for reports.

    (a) Each insurer to which this part applies shall submit a report 
annually not later than October 25, beginning on October 25, 1986. This 
report shall contain the information required by Sec. 544.6 of this part 
for the calendar year three years previous to the year in which the 
report is filed.
    (b) Each report required by this part must:
    (1) Have a heading preceding its text that includes the words 
``Insurer Report'';
    (2) Identify the insurer, including all subsidiary companies, on 
whose behalf the report is submitted, and the designated agent, if any, 
submitting the report or that will submit further documents to complete 
the report;
    (3) Identify the State or States in which the insurer did business 
during the reporting period;
    (4) State the full name and title of the official responsible for 
preparing the report, and the address of the insurer;
    (5) Identify the reporting period covered by the report;
    (6) Be written in the English language;
    (7) Include a glossary defining all acronyms and terms of art used 
in the report, unless those acronyms and terms of art are defined 
immediately after they first appear in the report;
    (8) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 
20590; and
    (9) If the insurer wishes to submit certain information under a 
claim of confidentiality, be submitted in accordance with part 512 of 
this chapter.

[52 FR 76, Jan. 2, 1987, 60 FR 33149, June 27, 1995, as amended at 61 FR 
41987, Aug. 13, 1996; 62 FR 33756, June 23, 1997; 63 FR 70053, Dec. 18, 
1998]



Sec. 544.6  Contents of insurer reports.

    (a)(1) In the case of insurers that issue motor vehicle insurance 
policies, provide the information specified in paragraphs (b) through 
(g) of this section for each State in which the insurer, including any 
subsidiary, did business during the reporting period if the insurer is 
listed in appendix A, or for each State listed after the insurer's name 
if the insurer is listed in appendix B.
    (2) In the case of a motor vehicle rental or leasing company listed 
in appendix C, provide the information specified in paragraphs (c), 
(d)(2)(iv), and (g) of this section for each vehicle type listed in 
paragraph (b) of this section, for each State in which the company, 
including any licensee, franchisee, or subsidiary, did business during 
the reporting period. The information for each listed company shall 
include all relevant information from any licensee, franchisee, or 
subsidiary.
    (b) For each of the following vehicle types, provide the information 
specified in paragraphs (c) through (g) of this section for all vehicles 
of that type insured by the insurer during the reporting period--
    (1) Passenger cars.
    (2) Multipurpose passenger vehicles.
    (3) Light trucks.
    (4) Heavy trucks.
    (5) Motorcycles.
    (c)(1) List the total number of vehicle thefts for vehicles 
manufactured in the 1983 or subsequent model years, subdivided into 
model year, model, make, and line, for this type of motor vehicle.
    (2) List the total number of recoveries for vehicles manufactured in 
the 1983 or subsequent model years, subdivided into model year, model, 
make, and line, for this type of motor vehicle. Beginning with the 
report due not later than October 25, 1987, for each of these subdivided 
number of recoveries, indicate how many were:
    (i) Recoveries intact;
    (ii) Recoveries-in-whole; and
    (iii) Recoveries-in-part.
    (3) Explain how the theft and recovery data set forth in response to 
paragraphs (c) (1) and (2) of this section were obtained by the insurer, 
and the steps taken by the insurer to ensure

[[Page 123]]

that these data are accurate and timely.
    (4) Explain the use made by the insurer of the information set forth 
in response to paragraphs (c) (1) and (2) of this section, including the 
extent to which such information is reported to national, public, and 
private entities (e.g., the Federal Bureau of Investigation and State 
and local police). If such reports are made, state the frequency and 
timing of the reporting.
    (d)(1) Provide the rating characteristics used by the insurer to 
establish the premiums it charges for comprehensive insurance coverage 
for this type of motor vehicle and the premium penalties for vehicles of 
this type considered by the insurer as more likely to be stolen. This 
requirement may be satisfied by furnishing the pertinent sections of the 
insurer's rate manual(s).
    (2) Provide the loss data used by the insurer to establish the 
premiums it charges for comprehensive insurance coverage for this type 
of motor vehicle and the premium penalties it charges for vehicles of 
this type it considers as more likely to be stolen. This requirement may 
be satisfied by providing the following:
    (i) The total number of comprehensive insurance claims paid by the 
insurer during the reporting period;
    (ii)(A) The total number of claims listed in (d)(2)(i) of this 
section that arose from a theft;
    (B) The insurer's best estimate of the percentage of the number 
listed in paragraph (d)(2)(ii)(A) of this section that arose from 
vehicle thefts, and an explanation of the basis for the estimate;
    (iii) The total amount (in dollars) paid out by the insurer during 
the reporting period in response to all the comprehensive claims filed 
by its policyholders;
    (iv)(A) In the case of insurers listed in appendix A or B, provide--
    (1) The total amount (in dollars) listed under paragraph (d)(2)(iii) 
of this section paid out by the insurer as a result of theft; and
    (2) The insurer's best estimate of the percentage of the dollar 
total listed in paragraph (d)(2)(iv)(A)(1) of this section that arose 
from vehicle thefts, and an explanation of the basis for the estimate;
    (B) In the case of other insurers subject to this part, the net 
losses suffered by the insurer (in dollars) as a result of vehicle 
theft;
    (v)(A) The total amount (in dollars) recovered by the insurer from 
the sale of recovered vehicles, major parts recovered not attached to 
the vehicle superstructure, or other recovered parts, after the insurer 
had made a payment listed under paragraph (d)(2)(iv) of this section.
    (B) The insurer's best estimate of the percentage of the dollar 
total listed in paragraph (d)(2)(v)(A) of this section that arose from 
vehicle thefts, and an explanation of the basis for the estimate;
    (vi) An identification of the vehicles for which the insurer charges 
comprehensive insurance premium penalties, because the insurer considers 
such vehicles as more likely to be stolen;
    (vii) The total number of comprehensive insurance claims paid by the 
insurer for each vehicle risk grouping identified in paragraph 
(d)(2)(vi) of this section during the reporting period, and the total 
amount (in dollars) paid out by the insurer in response to each of the 
listed claims totals; and
    (viii) The maximum premium adjustments (as a percentage of the basic 
comprehensive insurance premium) made for each vehicle risk grouping 
identified in paragraph (d)(2)(vi) of this section during the reporting 
period, as a result of the insurer's determination that such vehicles 
are more likely to be stolen.
    (3) Identify any other rating rules and plans used by the insurer to 
establish its comprehensive insurance premiums and premium penalties for 
motor vehicles it considers as more likely to be stolen, and explain how 
such rating rules and plans are used to establish the premiums and 
premium penalties.
    (4) Explain the basis for the insurer's comprehensive insurance 
premiums and the premium penalties charged for motor vehicles it 
considers as more likely to be stolen. This requirement may be satisfied 
by providing the pertinent sections of materials filed with

[[Page 124]]

State insurance regulatory officials and clearly indicating which 
information in those sections is being submitted in compliance with this 
paragraph.
    (e) List each action taken by the insurer to reduce the premiums it 
charges for comprehensive insurance coverage because of a reduction in 
thefts of this type of motor vehicle. For each action:
    (1) State the conditions that must be satisfied to receive such a 
reduction (e.g., installation of antitheft device, marking of vehicle in 
accordance with theft prevention standard, etc.);
    (2) State the number of the insurer's policyholders and the total 
number of vehicles insured by the insurer that received this reduction; 
and
    (3) State the difference in average comprehensive insurance premiums 
for those policyholders that received this reduction versus those 
policyholders that did not receive the reduction.
    (f) In the case of an insurer that offered a reduction in its 
comprehensive insurance premiums for vehicles equipped with antitheft 
devices, provide:
    (1) The specific criteria used by the insurer to determine whether a 
vehicle is eligible for the reduction (original equipment antitheft 
device, passive antitheft device, etc.);
    (2) The total number of vehicle thefts for vehicles manufactured in 
the 1983 or subsequent model years that received a reduction under each 
listed criterion; and
    (3) The total number of recoveries of vehicles manufactured in the 
1983 or subsequent model years that received a reduction under each 
listed criterion. Beginning with the report due not later than October 
25, 1987, indicate how many of the total number of recoveries were--
    (i) Recoveries intact;
    (ii) Recoveries-in-whole; and
    (iii) Recoveries-in-part.
    (g)(1) List each action taken by the insurer to assist in deterring 
or reducing thefts of motor vehicles. For each action, describe the 
action and explain why the insurer believed it would be effective in 
deterring or reducing motor vehicle thefts.
    (2)(i) State the insurer's policy regarding the use of used parts to 
effect repairs paid for by the insurer on vehicles it insures. Indicate 
whether the insurer required, promoted, allowed, or forbade the use of 
used parts in those repairs.
    (ii) In the case of insurers requiring, promoting, or allowing the 
use of used parts to make repairs paid for by the insurer on vehicles it 
insures, indicate the precautions taken by or on behalf of the insurer 
to identify the origin of those used parts.

[52 FR 76, Jan. 2, 1987, as amended at 55 FR 25610, June 22, 1990]



Sec. 544.7  Incorporating previously filed documents.

    (a) In any report required by this part, an insurer may incorporate 
by reference any document or portion thereof previously filed with any 
Federal or State agency or department within the past four years.
    (b) An insurer that incorporates by reference a document not 
previously submitted to the National Highway Traffic Safety 
Administration shall append that document or the pertinent sections of 
that document to its report, and clearly indicate on the cover or first 
page of the document or pertinent section the regulatory requirement in 
response to which the document is being submitted.
    (c) An insurer that incorporates by reference a document shall 
clearly identify the document and the specific portions thereof sought 
to be incorporated, and, in the case of a document previously submitted 
to the National Highway Traffic Safety Administration, indicate the date 
on which the document was submitted to the agency and the person whose 
signature appeared on the document.

Appendix A--Insurers of Motor Vehicle Insurance Policies Subject to the 
     Reporting Requirements in Each State in Which They Do Business

Aetna Life & Casualty Group
Allstate Insurance Group
American Family Group
American Financial Group \1\
American International Group
California State Auto Association

[[Page 125]]

CNA Insurance Group
Erie Insurance Group \1\
Farmers Insurance Group
GEICO Corporation Group
ITT Hartford Insurance Group
Liberty Mutual Group
Nationwide Group
Progressive Group
Prudential of America Group
Safeco Insurance Companies
State Farm Group
Travelers Insurance Group
USAA Group
Zurich Insurance Group-U.S.\1\
---------------------------------------------------------------------------

    \1\ Indicates a newly listed company which must file a report no 
later than 30 days from the publication of this notice in the Federal 
Register.

[63 FR 70053, Dec. 18, 1998]

 Appendix B--Issuers of Motor Vehicle Insurance Policies Subject to the 
            Reporting Requirements Only in Designated States

Alfa Insurance Group (Alabama)
Allmerica P & C Companies (Michigan) \1\
Arbella Mutual Insurance (Massachusetts)
Auto Club of Michigan Group (Michigan)
Commerce Group, Inc. (Massachusetts)
Commercial Union Insurance Companies (Maine)
Concord Group Insurance Companies (Vermont)
Island Insurance Group (Hawaii) \1\
Kentucky Farm Bureau Group (Kentucky)
Nodak Mutual Insurance Company (North Dakota)
Southern Farm Bureau Group (Arkansas, Mississippi)
Tennessee Farmers Companies (Tennessee)

[63 FR 70053, Dec. 18, 1998]

   Appendix C--Motor Vehicle Rental and Leasing Companies (Including 
Licensees and Franchisees) Subject to the Reporting Requirements of Part 
                                   544

Alamo Rent-A-Car, Inc.
ARI (Automotive Rentals, Inc.)
Associates Leasing Inc.\1\
A T & T Automotive Services, Inc.
Avis, Inc.
Budget Rent-A-Car Corporation
Citicorp Bankers Leasing Corporation
Dollar Rent-A-Car Systems, Inc.
Donlen Corporation
Enterprise Rent-A-Car \1\
GE Capital Fleet Services \1\
Hertz Rent-A-Car Division (subsidiary of Hertz Corporation)
Lease Plan USA, Inc.
National Car Rental System, Inc.
Penske Truck Leasing Company
PHH Vehicle Management Services \1\
Ryder System, Inc. (Both rental and leasing operations)
U-Haul International, Inc. (Subsidiary of AMERCO)
USL Capital Fleet Services
Wheels Inc.\1\

[63 FR 70053, Dec. 18, 1998]



PART 551--PROCEDURAL RULES--Table of Contents




                           Subpart A--General

Sec.
551.1  Scope.

Subpart B [Reserved]

                    Subpart C--Submittals in Writing

551.31  Form of communications.
551.33  Address of communications.
551.35  Subscription of communications.
551.37  Language of communications.

                  Subpart D--Service of Process; Agents

551.45  Service of process on foreign manufacturers and importers.

    Authority: Secs. 110(e), 119, 80 Stat. 719, 728 (15 U.S.C. 1399, 
1407); 23 U.S.C. 315, 401-404; delegation of authority, 31 FR 13952, 32 
FR 5606.

    Source: 33 FR 19700, Dec. 25, 1968, unless otherwise noted. 
Redesignated at 35 FR 5118, Mar. 26, 1970.



                           Subpart A--General



Sec. 551.1  Scope.

    This part contains rules of procedure generally applicable to the 
transaction of official business under the National Traffic and Motor 
Vehicle Safety Act of 1966, the Motor Vehicle Information and Cost 
Savings Act, and the Highway Safety Act of 1966. These rules apply in 
addition to the rules governing specific proceedings. In case of 
inconsistency with these general rules, the specific rules prevail.

[33 FR 19700, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970, 
and amended at 38 FR 20086, July 27, 1973]

Subpart B [Reserved]

[[Page 126]]



                    Subpart C--Submittals in Writing



Sec. 551.31  Form of communications.

    Any communication in writing relating to official business 
(including formal documents) shall be on opaque and durable paper not 
larger than 9 by 14 inches in size. Tables, charts, or originals of 
other documents that are attached to communications shall be folded to 
this size, if possible. The left margin of communications shall be at 
least 1\1/2\ inches wide, and if a communication is bound, it shall be 
bound on the left side. All copies submitted shall be legible.



Sec. 551.33  Address of communications.

    Unless otherwise specified, communications shall be addressed to the 
Administrator, National Highway Traffic Safety Administration, U.S. 
Department of Transportation, 400 Seventh Street SW., Washington, DC 
20590. Communications may not be addressed to a staff member's private 
address.

[36 FR 1147, Jan. 23, 1971; 38 FR 20086, July 27, 1973]



Sec. 551.35  Subscription of communications.

    Each communication shall be signed in ink and shall disclose the 
full legal name and the address of the person signing it and, if he is 
an agent, of his principal.



Sec. 551.37  Language of communications.

    Communications and attachments thereto shall be in English. Any 
matter written in a foreign language will be considered only if 
accompanied by a translation into English. A translation shall bear a 
certificate by the translator certifying that he is qualified to make 
the translation; that the translation is complete except as otherwise 
clearly indicated; and that it is accurate to the best of the 
translator's knowledge and belief. The translator shall sign the 
certificate in ink and state his full legal name, occupation, and 
address.



                  Subpart D--Service of Process; Agents



Sec. 551.45  Service of process on foreign manufacturers and importers.

    (a) Designation of agent for service. Any manufacturer, assembler, 
or importer of motor vehicles or motor vehicle equipment (hereinafter 
called manufacturer) before offering a motor vehicle or item of motor 
vehicle equipment for importation into the United States, shall 
designate a permanent resident of the United States as his agent upon 
whom service of all processes, notices, orders, decisions, and 
requirements may be made for him and on his behalf as provided in 
section 110(e) of the National Traffic and Motor Vehicle Safety Act of 
1966 (80 Stat. 718) and in this section. The agent may be an individual, 
a firm, or a domestic corporation. Any number of manufacturers may 
designate the same person as agent.
    (b) Form and contents of designation. The designation shall be 
addressed to the Administrator, National Highway Traffic Safety 
Administration, U.S. Department of Transportation, 400 Seventh Street 
SW., Washington, DC 20590. It shall be in writing and dated; all 
signatures shall be in ink. The designation shall be made in legal form 
required to make it valid, and binding on the manufacturer, under the 
laws, corporate bylaws, or other requirements governing the making of 
the designation by the manufacturer at the place and time where it is 
made, and the person or persons signing the designation shall certify 
that it is so made. The designation shall disclose the full legal name, 
principal place of business, and mailing address of the manufacturer. If 
any of the products of the manufacturer do not bear his legal name, the 
marks, trade names, or other designations of origin which these products 
bear shall be stated in the designation. The designation of agent shall 
provide that it remains in effect until withdrawn or replaced by the 
manufacturer. The designation shall bear a declaration of acceptance 
duly signed by the designated agent. The full legal

[[Page 127]]

name and mailing address of the agent shall be stated. Designations are 
binding on the manufacturer even when not in compliance with all the 
requirements of this section, until rejected by the Administrator. The 
designated agent may not assign performance of his functions under the 
designation to another person.
    (c) Method of service. Service of any process, notice, order, 
requirement, or decision specified in section 110(e) of the National 
Traffic and Motor Vehicle Safety Act of 1966 may be made by registered 
or certified mail addressed to the agent, with return receipt requested, 
or in any other manner authorized by law. If service cannot be effected 
because the agent has died (or, if a firm or a corporation ceased to 
exist) or moved, or otherwise does not receive correctly addressed mail, 
service may be made by posting as provided in section 110(e).

[33 FR 19700, Dec. 25, 1968. Redesignated and amended at 35 FR 5118, 
Mar. 26, 1970; 36 FR 1147, Jan. 23, 1971; 48 FR 44081, Sept. 27, 1983]



PART 552--PETITIONS FOR RULEMAKING, DEFECT, AND NONCOMPLIANCE ORDERS--Table of Contents




Sec.
552.1  Scope.
552.2  Purpose.
552.3  General.
552.4  Requirements for petition.
552.5  Improperly filed petitions.
552.6  Technical review.
552.7  Public meeting.
552.8  Notification of agency action on the petition.
552.9  Grant of petition.
552.10  Denial of petition.

    Authority: 49 U.S.C. 30111, 30118, 30162; delegation of authority at 
49 CFR 1.50.

    Source: 40 FR 42014, Sept. 10, 1975, unless otherwise noted.



Sec. 552.1  Scope.

    This part establishes procedures for the submission and disposition 
of petitions filed by interested persons pursuant to 49 U.S.C. Chapters 
301, 305, 321, 323, 325, 327, 329 and 331 to initiate rulemaking or to 
make a decision that a motor vehicle or item of replacement equipment 
does not comply with an applicable Federal motor vehicle safety standard 
or contains a defect which relates to motor vehicle safety.


[60 FR 17267, Apr. 5, 1995]



Sec. 552.2  Purpose.

    The purpose of this part is to enable the National Highway Traffic 
Safety Administration to identify and respond on a timely basis to 
petitions for rulemaking or defect or noncompliance decisions, and to 
inform the public of the procedures following in response to such 
petitions.


[60 FR 17267, Apr. 5, 1995]



Sec. 552.3  General.

    Any interested person may file with the Administrator a petition 
requesting him:
    (a) To commence a proceeding respecting the issuance, amendment or 
revocation of a motor vehicle safety standard, or
    (b) To commence a proceeding to decide whether to issue an order 
concerning the notification and remedy of a failure of a motor vehicle 
or item of replacement equipment to comply with an applicable motor 
vehicle safety standard or a defect in such vehicle or equipment that 
relates to motor vehicle safety.


[60 FR 17267, Apr. 5, 1995]



Sec. 552.4  Requirements for petition.

    A petition filed under this part should be addressed and submitted 
to: Administrator, National Highway Traffic Safety Administration, 400 
Seventh Street, S.W., Washington, DC 20590. Each petition filed under 
this part must:
    (a) Be written in the English language;
    (b) Have, preceding its text, a heading that includes the word 
``Petition'';
    (c) Set forth facts which it is claimed establish that an order is 
necessary;
    (d) Set forth a brief description of the substance of the order 
which it is claimed should be issued; and
    (e) Contain the name and address of the petitioner.

[[Page 128]]



Sec. 552.5  Improperly filed petitions.

    (a) A petition that is not addressed as specified in Sec. 552.4, but 
that meets the other requirements of that section, will be treated as a 
properly filed petition, received as of the time it is discovered and 
identified.
    (b) A document that fails to conform to one or more of the 
requirements of Sec. 552.4(a) through (e) will not be treated as a 
petition under this part. Such a document will be treated according to 
the existing correspondence or other appropriate procedures of the 
NHTSA, and any suggestions contained in it will be considered at the 
discretion of the Administrator or his delegate.



Sec. 552.6  Technical review.

    The appropriate Associate Administrator conducts a technical review 
of the petition. The technical review may consist of an analysis of the 
material submitted, together with information already in the possession 
of the agency. It may also include the collection of additional 
information, or a public meeting in accordance with Sec. 552.7.


[60 FR 17267, Apr. 5, 1995]



Sec. 552.7  Public meeting.

    If the Associate Administrator decides that a public meeting on the 
subject of the petition would contribute to the determination whether to 
commence a proceeding, he issues a notice of public meeting for 
publication in the Federal Register to advise interested persons of the 
time, place, and subject matter of the public meeting and invite their 
participation. Interested persons may submit their views and evidence 
through oral or written presentations, or both. There is no cross 
examination of witnesses. A transcript of the meeting is kept and 
exhibits may be accepted as part of the transcript. Sections 556 and 557 
of title 5, U.S.C., do not apply to meetings held under this part. The 
Chief Counsel designates a member of his staff to serve as legal officer 
at the meeting.



Sec. 552.8  Notification of agency action on the petition.

    After considering the technical review conducted under Sec. 552.6, 
and taking into account appropriate factors, which may include, among 
others, allocation of agency resources, agency priorities and the 
likelihood of success in litigation which might arise from the order, 
the Administrator will grant or deny the petition. NHTSA will notify the 
petitioner of the decision to grant or deny the petition within 120 days 
after its receipt of the petition.


[60 FR 17267, Apr. 5, 1995]



Sec. 552.9  Grant of petition.

    (a) If a petition for rulemaking with respect to a motor vehicle 
safety standard is granted, a rulemaking proceeding is promptly 
commenced in accordance with applicable NHTSA and statutory procedures. 
The granting of such a petition and the commencement of a rulemaking 
proceeding does not signify, however, that the rule in question will be 
issued. A decision as to the issuance of the rule is made on the basis 
of all available information developed in the course of the rulemaking 
proceeding, in accordance with statutory criteria.
    (b) If a petition with respect to a noncompliance or a defect is 
granted, a proceeding to determine the existence of the noncompliance or 
defect is promptly commenced by the initiation of an investigation by 
the Office of Standards Enforcement or the Office of Defects 
Investigation, as appropriate.



Sec. 552.10  Denial of petition.

    If a petition is denied, a Federal Register notice of the denial is 
issued within 45 days of the denial, setting forth the reasons for 
denial of the petition.



PART 553--RULEMAKING PROCEDURES--Table of Contents




                           Subpart A--General

Sec.
553.1  Applicability.
553.3  Definitions.
553.5  Regulatory docket.
553.7  Records.

               Subpart B--Procedures for Adoption of Rules

553.11  Initiation of rulemaking.
553.13  Notice of proposed rulemaking.

[[Page 129]]

553.15  Contents of notices of proposed rulemaking.
553.17  Participation of interested persons.
553.19  Petitions for extension of time to comment.
553.21  Contents of written comments.
553.23  Consideration of comments received.
553.25  Additional rulemaking proceedings.
553.27  Hearings.
553.29  Adoption of final rules.
553.31-553.33  [Reserved]
553.35  Petitions for reconsideration.
553.37  Proceedings on petitions for reconsideration.
553.39  Effect of petition for reconsideration on time for seeking 
          judicial review.

  Appendix A to Part 553--Statement of Policy: Action on Petitions for 
                             Reconsideration

 Appendix B to Part 553--Statement of Policy: Rulemakings Involving The 
      Assessment of The Functional Equivalence of Safety Standards

    Authority: 49 U.S.C. 322, 1657, 30103, 30122, 30124, 30125, 30127, 
30146, 30162, 32303, 32502, 32504, 32505, 32705, 32901, 32902, 33102, 
33103, and 33107; delegation of authority at 49 CFR 1.50.

    Source: 60 FR 62222, Dec. 5, 1995, unless otherwise noted.



                           Subpart A--General



Sec. 553.1  Applicability.

    This part prescribes rulemaking procedures that apply to the 
issuance, amendment, and revocation of rules pursuant to Title 49, 
Subtitle VI of the United States Code (49 U.S.C. 30101, et seq.).



Sec. 553.3  Definitions.

    Administrator means the Administrator of the National Highway 
Traffic Safety Administration or a person to whom he has delegated final 
authority in the matter concerned.
    Rule includes any order, regulation, or Federal motor vehicle safety 
standard issued under Title 49.
    Title 49 means 49 U.S.C. 30101, et seq.



Sec. 553.5  Regulatory docket.

    (a) Information and data deemed relevant by the Administrator 
relating to rulemaking actions, including notices of proposed 
rulemaking; comments received in response to notices; petitions for 
rulemaking and reconsideration; denials of petitions for rulemaking and 
reconsideration; records of additional rulemaking proceedings under 
Sec. 553.25; and final rules are maintained in the Docket Room, National 
Highway Traffic Safety Administration, 400 Seventh Street SW., 
Washington, DC 20590.
    (b) Any person may examine any docketed material at the Docket Room 
at any time during regular business hours after the docket is 
established, except material ordered withheld from the public under 
applicable provisions of Title 49 and section 552(b) of title 5 of the 
U.S.C., and may obtain a copy of it upon payment of a fee.



Sec. 553.7  Records.

    Records of the National Highway Traffic Safety Administration 
relating to rulemaking proceedings are available for inspection as 
provided in section 552(b) of title 5 of the U.S.C. and Part 7 of the 
regulations of the Secretary of Transportation (Part 7 of this title).



               Subpart B--Procedures for Adoption of Rules



Sec. 553.11  Initiation of rulemaking.

    The Administrator may initiate rulemaking either on his own motion 
or on petition by any interested person after a determination in 
accordance with Part 552 of this title that grant of the petition is 
advisable. The Administrator may, in his discretion, also consider the 
recommendations of other agencies of the United States.



Sec. 553.13  Notice of proposed rulemaking.

    Unless the Administrator, for good cause, finds that notice is 
impracticable, unnecessary, or contrary to the public interest, and 
incorporates that finding and a brief statement of the reasons for it in 
the rule, a notice of proposed rulemaking is issued and interested 
persons are invited to participate in the rulemaking proceedings under 
applicable provisions of Title 49.



Sec. 553.15  Contents of notices of proposed rulemaking.

    (a) Each notice of proposed rulemaking is published in the Federal 
Register, unless all persons subject to

[[Page 130]]

it are named and are personally served with a copy of it.
    (b) Each notice, whether published in the Federal Register or 
personally served, includes
    (1) A statement of the time, place, and nature of the proposed 
rulemaking proceeding;
    (2) A reference to the authority under which it is issued;
    (3) A description of the subjects and issues involved or the 
substance and terms of the proposed rule;
    (4) A statement of the time within which written comments must be 
submitted; and
    (5) A statement of how and to what extent interested persons may 
participate in the proceedings.



Sec. 553.17  Participation of interested persons.

    (a) Any interested person may participate in rulemaking proceeding 
by submitting comments in writing containing information, views or 
arguments.
    (b) In his discretion, the Administrator may invite any interested 
person to participate in the rulemaking procedures described in 
Sec. 553.25.



Sec. 553.19  Petitions for extension of time to comment.

    A petition for extension of the time to submit comments must be 
received not later than 15 days before expiration of the time stated in 
the notice. The petitions must be submitted to: Administrator, National 
Highway Traffic Safety Administration, U.S. Department of 
Transportation, 400 Seventh Street SW, Washington, DC, 20590. It is 
requested, but not required, that 10 copies be submitted. The filing of 
the petition does not automatically extend the time for petitioner's 
comments. Such a petition is granted only if the petitioner shows good 
cause for the extension, and if the extension is consistent with the 
public interest. If an extension is granted, it is granted to all 
persons, and it is published in the Federal Register.



Sec. 553.21  Contents of written comments.

    All written comments shall be in English. Unless otherwise specified 
in a notice requesting comments, comments may not exceed 15 pages in 
length, but necessary attachments may be appended to the submission 
without regard to the 15-page limit. Any interested person shall submit 
as a part of his written comments all material that he considers 
relevant to any statement of fact made by him. Incorporation by 
reference should be avoided. However, if incorporation by reference is 
necessary, the incorporated material shall be identified with respect to 
document and page. It is requested, but not required, that 10 copies and 
attachments, if any, be submitted.



Sec. 553.23  Consideration of comments received.

    All timely comments are considered before final action is taken on a 
rulemaking proposal. Late filed comments may be considered as far as 
practicable.



Sec. 553.25  Additional rulemaking proceedings.

    The Administrator may initiate any further rulemaking proceedings 
that he finds necessary or desirable. For example, interested persons 
may be invited to make oral arguments, to participate in conferences 
between the Administrator or his representative and interested persons 
at which minutes of the conference are kept, to appear at informal 
hearings presided over by officials designated by the Administrator, at 
which a transcript or minutes are kept, or participate in any other 
proceeding to assure informed administrative action and to protect the 
public interest.



Sec. 553.27  Hearings.

    (a) Sections 556 and 557 of title 5, United States Code, do not 
apply to hearings held under this part. Unless otherwise specified, 
hearings held under this part are informal, nonadversary, fact-finding 
proceedings, at which there are no formal pleadings or adverse parties. 
Any rule issued in a case in which an informal hearing is held is not 
necessarily based exclusively on the record of the hearing.
    (b) The Administrator designates a representative to conduct any 
hearing held under this part. The Chief Counsel designates a member of 
his staff to serve as legal officer at the hearing.

[[Page 131]]



Sec. 553.29  Adoption of final rules.

    Final rules are prepared by representatives of the office concerned 
and the Office of the Chief Counsel. The rule is then submitted to the 
Administrator for its consideration. If the Administrator adopts the 
rule, it is published in the Federal Register, unless all persons 
subject to it are named and are personally served with a copy of it.



Sec. 553.31-553.33  [Reserved]



Sec. 553.35  Petitions for reconsideration.

    (a) Any interested person may petition the Administrator for 
reconsideration of any rule issued under this part. The petition shall 
be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW, Washington, DC, 20590. It is 
requested, but not required, that 10 copies be submitted. The petition 
must be received not later than 45 days after publication of the rule in 
the Federal Register. Petitions filed after that time will be considered 
as petitions filed under Part 552 of this chapter. The petition must 
contain a brief statement of the complaint and an explanation as to why 
compliance with the rule is not practicable, is unreasonable, or is not 
in the public interest. Unless otherwise specified in the final rule, 
the statement and explanation together may not exceed 15 pages in 
length, but necessary attachments may be appended to the submission 
without regard to the 15-page limit.
    (b) If the petitioner requests the consideration of additional 
facts, he must state the reason they were not presented to the 
Administrator within the prescribed time.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator otherwise provides, the filing of a 
petition under this section does not stay the effectiveness of the rule.



Sec. 553.37  Proceedings on petitions for reconsideration.

    The Administrator may grant or deny, in whole or in part, any 
petition for reconsideration without further proceedings. In the event 
he determines to reconsider any rule, he may issue a final decision on 
reconsideration without further proceedings, or he may provide such 
opportunity to submit comment or information and data as he deems 
appropriate. Whenever the Administrator determines that a petition 
should be granted or denied, he prepares a notice of the grant or denial 
of a petition for reconsideration, for issuance to the petitioner, and 
issues it to the petitioner. The Administrator may consolidate petitions 
relating to the same rule.



Sec. 553.39  Effect of petition for reconsideration on time for seeking judicial review.

    The filing of a timely petition for reconsideration of any rule 
issued under this part postpones the expiration of the statutory period 
in which to seek judicial review of that rule only as to the petitioner, 
and not as to other interested persons. For the petitioner, the period 
for seeking judicial review will commence at the time the agency takes 
final action upon the petition for reconsideration.

[60 FR 63651, Dec. 12, 1995]

  Appendix A to Part 553--Statement of Policy: Action on Petitions for 
                             Reconsideration

    It is the policy of the National Highway Traffic Safety 
Administration to issue notice of the action taken on a petition for 
reconsideration within 90 days after the closing date for receipt of 
such petitions, unless it is found impracticable to take action within 
that time. In cases where it is so found and the delay beyond that 
period is expected to be substantial, notice of that fact, and the date 
by which it is expected that action will be taken, will be published in 
the Federal Register.

 Appendix B To Part 553--Statement of Policy: Rulemakings Involving The 
      Assessment of The Functional Equivalence of Safety Standards

    (a) Based on a comparison of the performance of vehicles or 
equipment, the National Highway Traffic Safety Administration (NHTSA) 
may tentatively determine that a foreign motor vehicle safety standard 
is better than or at least functionally equivalent to a Federal Motor 
Vehicle Safety Standard (FMVSS), either on its own motion or in 
connection with a petition for rulemaking by

[[Page 132]]

any interested party under 49 CFR Part 552. Such determinations will be 
made in accordance with the process described in the flowchart in Figure 
1 of this Appendix.
    (b) Under the process, if NHTSA decides that there is reason to 
believe that a foreign standard is better than or at least functionally 
equivalent to a FMVSS in accordance with the process, it will commence a 
rulemaking proceeding that may lead to the issuance of a proposal to add 
the foreign standard as an alternative compliance option to the FMVSS, 
to harmonize the FMVSS with the foreign standard or to upgrade the FMVSS 
to the level of the foreign standard, as appropriate. Such a proposal 
will request comment on the agency's tentative determination regarding 
relative benefits and functional equivalence as well as the proposed 
amendment. Final determinations regarding these matters will also be 
made in accordance with the analytical criteria in the flowchart.
    (c) As used in this appendix, the term ``standard'' refers to 
mandatory requirements and thus has the same meaning given the term 
``technical regulation'' in Annex 1 to the World Trade Organization 
Technical Barriers to Trade Agreement.

[[Page 133]]

[GRAPHIC] [TIFF OMITTED] TR13MY98.017


[[Page 134]]



                        EXPLANATION OF FLOWCHART

                            A. ULTIMATE GOAL

    The ultimate goal in comparing standards is to assess the real world 
safety performance of the covered vehicles or equipment. Particularly in 
the case of crashworthiness standards, the most reliable basis for 
making that assessment is fatality and injury data directly drawn from 
actual crashes. Accordingly, NHTSA will make appropriate efforts to 
ensure the availability of such data regarding crashes in the U.S.

                          B. GUIDING PRINCIPLES

                             Best Practices

    NHTSA pursues a ``best practices'' policy in comparing U.S. and 
foreign safety standards, i.e., NHTSA will propose to upgrade its 
standards if it tentatively concludes that a Country B standard offers 
greater benefits than the counterpart FMVSS, and if upgrading appears 
appropriate, considering the incremental costs and benefits and 
applicable statutory criteria. (For a discussion of another type of 
rulemaking proposal that may be considered in these circumstances, see 
the paragraph below on comparisons that indicate that a foreign 
standard's safety benefits are greater than those of the counterpart 
FMVSS.)

                              Conservatism

    1. NHTSA places priority on preserving the safety benefits of the 
FMVSSs.
    2. NHTSA can best preserve those benefits by being conservative in 
reaching any conclusion that a Country B standard is better than or at 
least functionally equivalent to the counterpart FMVSS. One reason for 
conservatism is that differences from vehicle model to vehicle model and 
manufacturer to manufacturer in margins of compliance may confound 
efforts to assess the relative benefits of two standards. Further, there 
may be circumstantial differences, such as special environmental 
conditions, driver demographics, driver behavior, occupant behavior 
(e.g., level of safety belt use), road conditions, size distribution of 
vehicle fleet (e.g., proportion of big versus small vehicles and 
disparity between extremes), that could influence real world safety 
benefits. These differences may result in a particular standard having a 
safety record in a foreign country that would not necessarily be 
repeated in the United States.

                         Best Available Evidence

    1. NHTSA will base its comparison of standards on the best available 
evidence. If available, estimates of real world safety benefits based on 
fatality and injury data directly drawn from actual crashes are the best 
evidence. If such data are not available, then estimates based on other 
information, such as compliance test data, may be used, although 
increased caution needs to be exercised in making judgment based on 
those estimates. If sufficient crash data regarding real world safety 
benefits are available, and a comparison of those benefits shows that 
the Country B standard is less beneficial than the counterpart Federal 
Motor Vehicle Safety Standard (FMVSS), NHTSA would avoid wasting 
resources making comparisons on the basis of less probative types of 
evidence.
    2. The types of benefits examined in comparing two standards might 
differ depending on whether the standards are crash avoidance standards 
or crashworthiness standards. Translating differences in performance (an 
input measure) into numbers of crashes or numbers of deaths and injuries 
(output measures) is more difficult in the case of crash avoidance 
standards. As a result, while the relative benefits of two 
crashworthiness standards would typically be assessed in terms of their 
impacts on deaths and injuries in crashes, the relative merits of two 
different crash avoidance standards might well be assessed in terms of 
their impact on vehicle or equipment performance.

                         Sufficiency of Evidence

    1. Many types of data are available for a comparison of two 
standards. Often there is an abundance of one type of data and little or 
no data from other sources. If insufficient data are available, and such 
data either cannot be generated through engineering analysis (e.g., real 
world safety benefits estimates), or conducting additional research and 
development is not cost effective, then NHTSA will stop consideration of 
such data and consider the other available data instead.
    2. The essentially horizontal, left-to-right path through the 
flowchart is intended to illustrate the sources of data that will be 
considered and provide a rough idea of the priority they will receive. 
Each step branches independently to the tentative determination of 
relative benefits and functional equivalency by its ``yes'' path. This 
may seem to preclude later steps once any ``yes'' path is encountered. 
In practice, however, all data sources will be considered to the extent 
that they are available before a final determination regarding these 
matters is made.

                               Reciprocity

    1. NHTSA will take steps to encourage reciprocity by other countries 
in the making of functional equivalence determinations.
    2. When NHTSA's comparison of standards indicates that one of the 
FMVSSs has benefits equal to or greater than the counterpart Country B 
standard, NHTSA may forward the results of that comparison to Country B

[[Page 135]]

and request that consideration be given by Country B to determining that 
the FMVSS is better than or at least functionally equivalent to the 
counterpart Country B standard, and to subsequently amending its 
standard accordingly.

             C. AGENCY DECISIONS IN WHICH FLOWCHART IS USED

    This flowchart guides agency decisions in connection with a 
rulemaking proceeding that involves the issue of relative benefits and 
functional equivalence.
    1. Decision whether to grant a rulemaking petition. If the agency 
receives a petition for rulemaking based on a claim that one of Country 
B's standards is better than or at least functionally equivalent to one 
of the Federal Motor Vehicle Safety Standards (FMVSSs), the agency will 
consider the merits of the petition in accordance with 49 CFR Part 552, 
Petitions for rulemaking, defect, and noncompliance orders, and with the 
functional equivalence process set forth in the flowchart. If it appears 
that there is reason to believe that Country B's standard provides 
safety benefits are greater than or at least equal to those of the 
FMVSS, the agency will likely grant the petition and commence a 
rulemaking proceeding.
    The agency emphasizes that its priority with respect to 
international harmonization is identifying and adopting those foreign 
safety standards that represent best practices. Accordingly, if resource 
limitations make it necessary to choose between competing petitions in 
granting or processing them, the agency would give priority to petitions 
asking the agency to upgrade one of its standards to the level of a 
superior foreign standard over petitions simply asking the agency to add 
a compliance alternative.
    2. Decision whether to issue a notice of proposed rulemaking. If 
NHTSA grants the petition, it will proceed, as in any other rulemaking 
regarding the FMVSSs, to determine whether amending an FMVSS would be 
appropriate under the applicable statutory criteria in chapter 301 of 
title 49, U.S.C. Following the process set forth in the flowchart, the 
agency will use data submitted by the petitioner, supplemented by data 
from other sources, to compare performance and tentatively determine 
whether Country B's standard specified in the petition is better than or 
at least functionally equivalent to the FMVSS specified in the petition.
    This comparison could have a variety of possible outcomes:

    a. The comparison may indicate that the foreign standard's safety 
benefits are less than those of the counterpart FMVSS. If NHTSA 
determines that the foreign standard results in fewer safety benefits 
than the counterpart FMVSS, it will terminate the rulemaking proceeding.
    b. The comparison may indicate that the foreign standard's safety 
benefits are approximately equal to those of the counterpart FMVSS. If 
the agency tentatively determines that the safety benefits of a foreign 
standard are approximately equal to those of a FMVSS, it will take one 
of two steps in most instances. One possibility is that it will develop 
a notice of proposed rulemaking (NPRM) proposing to amend the FMVSS by 
adding the foreign standard as an alternative to the existing 
requirements of the FMVSS. The other possibility is that the agency will 
develop an NPRM proposing to harmonize the FMVSS with the foreign 
standard. This second approach would enable NHTSA to maintain a single 
set of requirements and test procedures in its standard, thereby 
minimizing any drain on its enforcement resources. An additional 
possibility that might be considered in some instances would be 
``qualified functional equivalence.'' Under this third approach, the 
agency would regard Country B's standard to be functionally equivalent 
if it is supplemented by a specified requirement in the counterpart 
FMVSS.
    c. The comparison may indicate that the foreign standard's safety 
benefits are greater than those of the counterpart FMVSS. If NHTSA 
tentatively determines that the foreign standard results in greater 
safety benefits than the counterpart FMVSS, and if upgrading is 
appropriate, based on the incremental benefits and costs and applicable 
statutory criteria, the agency issues an NPRM proposing to upgrade the 
FMVSS to the level of Country B's std. If upgrading is not appropriate, 
NHTSA considers issuing an NPRM proposing to add the requirements of 
Country B's std to the FMVSS as an alternative compliance option. The 
proposal to add the compliance option would set forth the basis for the 
agency's conclusion that upgrading the FMVSS is inappropriate.
If NHTSA issues an NPRM, it would request comment on the tentative 
determination and the proposed amendment.
    3. Decision whether to issue a final rule. Any final decision to 
make a determination regarding relative benefits and functional 
equivalency and to amend the FMVSS will be made in accordance with the 
process in the flowchart and applicable law and only after careful 
consideration and analysis of the public comments.

[63 FR 26514, May 13, 1998]



PART 554--STANDARDS ENFORCEMENT AND DEFECTS INVESTIGATION--Table of Contents




Sec.
554.1  Scope.
554.2  Purpose.
554.3  Application.

[[Page 136]]

554.4  Office of Vehicle Safety Compliance.
554.5  Office of Defects Investigation.
554.6  Opening an investigation.
554.7  Investigation priorities.
554.8  Monthly reports.
554.9  Availability of files.
554.10  Initial determinations and public meetings.
554.11  Final decisions.

    Authority: 49 U.S.C. 30102-103, 30111-112, 30117-121, 30162, 30165-
67; delegation of authority at 49 CFR 1.50.

    Source: 45 FR 10797, Feb. 19, 1980, unless otherwise noted.



Sec. 554.1  Scope.

    This part establishes procedures for enforcing Federal motor vehicle 
safety standards and associated regulations, investigating possible 
safety-related defects, and making non-compliance and defect 
determinations.



Sec. 554.2  Purpose.

    The purpose of this part is to inform interested persons of the 
procedures followed by the National Highway Traffic Safety 
Administration in order more fairly and effectively to implement 49 
U.S.C. Chapter 301.

[60 FR 17267, Apr. 5, 1995]



Sec. 554.3  Application.

    This part applies to actions, investigations, and defect and 
noncompliance decisions of the National Highway traffic Safety 
Administration under 49 U.S.C. 30116, 30117, 30118, 30120 and 30165.

[60 FR 17267, Apr. 5, 1995]



Sec. 554.4  Office of Vehicle Safety Compliance.

    The Office of Vehicle Safety Compliance, investigates compliance 
with Federal motor vehicle safety standards and associated regulations, 
and to this end may:
    (a) Verify that manufacturers certify compliance with all applicable 
safety standards;
    (b) Collect field reports from all sources;
    (c) Inspect manufacturers' certification test data and other 
supporting evidence, including dealer communications;
    (d) Inspect vehicles and equipment already in use or new vehicles 
and equipment at any stage of the manufacturing, distribution and sales 
chain;
    (e) Conduct selective compliance tests; and
    (f) Utilize other means necessary to conduct investigations.



Sec. 554.5  Office of Defects Investigation.

    The Office of Defects Investigation conducts investigations to 
implement the provisions of the Act concerning the identification and 
correction of safety-related defects in motor vehicles and motor vehicle 
equipment. It elicits from every available source and evaluates on a 
continuing basis any information suggesting the existence of a safety-
related defect.



Sec. 554.6  Opening an investigation.

    (a) A compliance or defect investigation is opened either on the 
motion of the Administrator or his delegate or on the granting of a 
petition of an interested party under part 552 of this chapter.
    (b) A manufacturer is notified immediately by telephone of any 
compliance test failure in order to enable the manufacturer to begin his 
own investigation. Notification is sent by mail at the beginning of any 
defect or noncompliance investigation.



Sec. 554.7  Investigation priorities.

    (a) Compliance investigation priorities are reviewed annually and 
are set according to the following criteria:
    (1) Prior compliance test data;
    (2) Accident data;
    (3) Engineering analysis of vehicle and equipment designs;
    (4) Consumer complaints; and
    (5) Market share.
    (b) Defects inputs are reviewed periodically by an appropriate panel 
of engineers in consultation with the Office of Chief Counsel to 
determine whether a formal investigation should be opened by the Office 
of Defects Investigation.



Sec. 554.8  Monthly reports.

    (a) Compliance. A monthly compliance report is issued which lists 
investigations opened, closed, and pending

[[Page 137]]

during that month, identifies compliance test reports accepted, and 
indicates how individual reports may be obtained.
    (b) Defects. A monthly defects report is issued which lists 
investigations opened, closed, pending, and suspended during that month. 
An investigation may be designated ``suspended'' where the information 
available is insufficient to warrant further investigation. Suspended 
cases are automatically closed 60 days after appearing in a monthly 
report unless new information is received which justifies a different 
disposition.



Sec. 554.9  Availability of files.

    All files of closed or suspended investigations are available for 
public inspection in the NHTSA Technical Reference Library. 
Communications between the agency and a manufacturer with respect to 
ongoing investigations are also available. Such files and communications 
may contain material which is considered confidential but has been 
determined to be necessary to the subject proceeding. Material which is 
considered confidential but has not been determined to be necessary to 
the subject proceeding will not be disclosed. Reproduction of entire 
public files or of individual documents can be arranged.



Sec. 554.10  Initial determinations and public meetings.

    (a) An initial decision of failure to comply with safety standards 
or of a safety-related defect is made by the Administrator or his 
delegate based on the completed investigative file compiled by the 
appropriate office.
    (b) The decision is communicated to the manufacturer in a letter 
which makes available all information on which the decision is based. 
The letter advises the manufacturer of his right to present information, 
views, and arguments to establish that there is no defect or failure to 
comply or that the alleged defect does not affect motor vehicle safety. 
The letter also specifies the time and place of a public meeting for the 
presentation of arguments or sets a date by which written comments must 
be submitted. Submission of all information, whether at a public meeting 
or in written form, is normally scheduled about 30 days after the 
initial decision. The deadline for submission of information can be 
extended for good cause shown.
    (c) Public notice of an initial decision is made in a Federal 
Register notice that--
    (1) Identifies the motor vehicle or item of equipment and its 
manufacturer;
    (2) Summarizes the information on which the decision is based.
    (3) Gives the location of all information available for public 
examination; and
    (4) States the time and place of a public meeting or the deadline 
for written submission in which the manufacturer and interested persons 
may present information, views, and arguments respecting the decision.
    (d) A transcript of the public meeting is kept and exhibits may be 
offered. There is no cross-examination of witnesses.

[45 FR 10797, Feb. 19, 1980, as amended at 60 FR 17267, Apr. 5, 1995]



Sec. 554.11  Final decisions.

    (a) The Administrator bases his final decision on the completed 
investigative file and on information, views, and arguments submitted at 
the public meeting.
    (b) If the Administrator decides that a failure to comply or a 
safety-related defect exists, he orders the manufacturer to furnish the 
notification specified in 49 U.S.C. 30118 and 30119 and to remedy the 
defect or failure to comply.
    (c) If the Administrator closes an investigation following an 
initial determination, without making a final determination that a 
failure to comply or a safety-related defect exists, he or she will so 
notify the manufacturer and publish a notice of that closing in the 
Federal Register.
    (d) A statement of the Administrator's final decision and the 
reasons for it appears in each completed public file.

[60 FR 17268, Apr. 5, 1995]

[[Page 138]]



PART 555--TEMPORARY EXEMPTION FROM MOTOR VEHICLE SAFETY AND BUMPER STANDARDS--Table of Contents




Sec.
555.1  Scope.
555.2  Purpose.
555.3  Application.
555.4  Definitions.
555.5  Application for exemption.
555.6  Basis for application.
555.7  Processing of applications.
555.8  Termination of temporary exemptions.
555.9  Temporary exemption labels.
555.10  Availability for public inspection.

    Authority: 49 U.S.C. 30113, 32502, Pub. L. 105-277; delegation of 
authority at 49 CFR 1.50.

    Source: 38 FR 2694, Jan. 29, 1973, unless otherwise noted.



Sec. 555.1  Scope.

    This part establishes requirements for the temporary exemption by 
the National Highway Traffic Safety Administration (NHTSA) of certain 
motor vehicles from compliance with one or more Federal motor vehicle 
safety standards in accordance with 49 U.S.C. 30113, and of certain 
passenger motor vehicles from compliance with all or part of a Federal 
bumper standard in accordance with 49 U.S.C. 32502.

[64 FR 2861, Jan. 19, 1999]



Sec. 555.2  Purpose.

    (a) The purpose of this part is to provide a means by which 
manufacturers of motor vehicles may obtain temporary exemptions from 
Federal motor vehicle safety standards on the basis of substantial 
economic hardship, facilitation of the development of new motor vehicle 
safety or low-emission engine features, or existence of an equivalent 
overall level of motor vehicle safety.
    (b) The purpose of this part is also to provide a means by which 
manufacturers of passenger motor vehicles may obtain a temporary 
exemption from compliance with all or part of a Federal bumper standard 
issued under part 581 of this chapter on a basis similar to that 
provided for exemptions from the Federal motor vehicle safety standards.

[38 FR 2694, Jan. 29, 1973, as amended at 64 FR 2861, Jan. 19, 1999]



Sec. 555.3  Application.

    This part applies to manufacturers of motor vehicles and passenger 
motor vehicles.

[64 FR 2861, Jan. 19, 1999]



Sec. 555.4  Definitions.

    Administrator means the National Highway Traffic Safety 
Administrator or his delegate.
    Passenger motor vehicle means a motor vehicle with motive power 
designed to carry not more than 12 individuals, but does not include a 
truck not designed primarily to carry its operator or passengers, or a 
motorcycle.
    United States means the several States, the District of Columbia, 
the Commonwealth of Puerto Rico, Guam, the Virgin Islands, the Canal 
Zone, and American Samoa.

[38 FR 2694, Jan. 29, 1973, as amended at 64 FR 2861, Jan. 19, 1999]



Sec. 555.5  Application for exemption.

    (a) A manufacturer of motor vehicles or passenger motor vehicles may 
apply to NHTSA for a temporary exemption from any Federal motor vehicle 
safety or bumper standard or for a renewal of any exemption on the bases 
of substantial economic hardship, making easier the development or field 
evaluation of new motor vehicle safety or impact protection, or low-
emission vehicle features, or that compliance with a standard would 
prevent it from selling a vehicle with an overall level of safety or 
impact protection at least equal to that of nonexempted vehicles.
    (b) Each application filed under this part for an exemption or its 
renewal must--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;
    (3) State the full name and address of the applicant, the nature of 
its organization (individual, partnership, corporation, etc.) and the 
name of the

[[Page 139]]

State or country under the laws of which it is organized;
    (4) State the number and title, and the text or substance of the 
standard or portion thereof from which the temporary exemption is 
sought, and the length of time desired for such exemption;
    (5) Set forth the basis for the application and the information 
required by Sec. 555.6(a), (b), (c), or (d) as appropriate.
    (6) Specify any part of the information and data submitted which 
petitioner requests be withheld from public disclosure in accordance 
with part 512 of this chapter.
    (i) The information and data which petitioner requests be withheld 
from public disclosure must be submitted in accordance with Sec. 512.4 
Asserting a claim for confidential information of this chapter.
    (ii) The petitioner's request for withholding from public disclosure 
must be accompanied by a certification in support as set forth in 
appendix A to part 512 of this chapter.
    (7) Set forth the reasons why the granting of the exemption would be 
in the public interest, and, as applicable, consistent with the 
objectives of 49 U.S.C. Chapter 301 or Chapter 325.
    (c) The knowing and willful submission of false, fictitious or 
fraudulent information will subject the petitioner to the civil and 
criminal penalties of 18 U.S.C. 1001.

[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 5489, Feb. 13, 1974; 46 
FR 2063, Jan. 8, 1981; 63 FR 44173, Aug. 18, 1998; 64 FR 2861, Jan. 19, 
1999]



Sec. 555.6  Basis for application.

    (a) If the basis of the application is that compliance with the 
standard would cause substantial economic hardship to a manufacturer 
that has tried to comply with the standard in good faith, the applicant 
shall provide the following information:
    (1) Engineering and financial information demonstrating in detail 
how compliance or failure to obtain an exemption would cause substantial 
economic hardship, including--
    (i) A list or description of each item of motor vehicle equipment 
that would have to be modified in order to achieve compliance;
    (ii) The itemized estimated cost to modify each such item of motor 
vehicle equipment if compliance were to be achieved--
    (A) As soon as possible,
    (B) At the end of a 1-year exemption period (if the petition is for 
1 year or more),
    (C) At the end of a 2-year exemption period (if the petition is for 
2 years or more),
    (D) At the end of a 3-year exemption period (if the petition is for 
3 years),
    (iii) The estimated price increase per vehicle to balance the total 
costs incurred pursuant to paragraph (a)(1)(ii) of this section and a 
statement of the anticipated effect of each such price increase;
    (iv) Corporate balance sheets and income statements for the three 
fiscal years immediately preceding the filing of the application;
    (v) Projected balance sheet and income statement for the fiscal year 
following a denial of the application; and
    (vi) A discussion of any other hardships (e.g., loss of market, 
difficulty of obtaining goods and services for compliance) that the 
petitioner desires the agency to consider.
    (2) A description of its efforts to comply with the standards, 
including--
    (i) A chronological analysis of such efforts showing its 
relationship to the rule making history of the standard from which 
exemption is sought;
    (ii) A discussion of alternate means of compliance considered and 
the reasons for rejection of each;
    (iii) A discussion of any other factors (e.g., the resources 
available to the petitioner, inability to procure goods and services 
necessary for compliance following a timely request) that the petitioner 
desires the NHTSA to consider in deciding whether the petitioner tried 
in good faith to comply with the standard;
    (iv) A description of the steps to be taken, while the exemption is 
in effect, and the estimated date by which full compliance will be 
achieved either by design changes or termination of production of 
nonconforming vehicles; and
    (v) The total number of motor vehicles produced by or on behalf of 
the petitioner in the 12-month period prior to filing the petition, and 
the inclusive

[[Page 140]]

dates of the period. (49 U.S.C. 30113(d) limits eligibility for 
exemption on the basis of economic hardship to manufacturers whose total 
motor vehicle production in the year preceding the filing of their 
applications does not exceed 10,000.)
    (b) If the basis of the application is that the exemption would make 
easier the development or field evaluation of a new motor vehicle safety 
or impact protection features providing a safety or impact protection 
level at least equal to that of the standard, the applicant shall 
provide the following information:
    (1) A description of the safety or impact protection features, and 
research, development, and testing documentation establishing the 
innovational nature of such features.
    (2) An analysis establishing that the level of safety or impact 
protection of the feature is equivalent to or exceeds the level of 
safety or impact protection established in the standard from which 
exemption is sought, including--
    (i) A detailed description of how a vehicle equipped with the safety 
or impact protection feature differs from one that complies with the 
standard;
    (ii) If applicant is presently manufacturing a vehicle conforming to 
the standard, the results of tests conducted to substantiate 
certification to the standard; and
    (iii) The results of tests conducted on the safety or impact 
protection features that demonstrates performance which meets or exceeds 
the requirements of the standard.
    (3) Substantiation that a temporary exemption would facilitate the 
development or field evaluation of the vehicle.
    (4) A statement whether, at the end of the exemption period, the 
manufacturer intends to conform to the standard, apply for a further 
exemption, or petition for rulemaking to amend the standard to 
incorporate the safety or impact protection features.
    (5) A statement that not more than 2,500 exempted vehicles will be 
sold in the United States in any 12-month period for which an exemption 
may be granted pursuant to this paragraph. An application for renewal of 
such an exemption shall also include the total number of exempted 
vehicles sold in the United States under the existing exemption.
    (c) If the basis of the application is that the exemption would make 
the development or field evaluation of a low-emission vehicle easier and 
would not unreasonably lower the safety or impact protection level of 
that vehicle, the applicant shall provide--
    (1) Substantiation that the vehicle is a low-emission vehicle as 
defined by 49 U.S.C. 30113(a).
    (2) Research, development, and testing documentation establishing 
that a temporary exemption would not unreasonably degrade the safety or 
impact protection of the vehicle, including--
    (i) A detailed description of how the motor vehicle equipped with 
the low-emission engine would, if exempted, differ from one that 
complies with the standard;
    (ii) If the applicant is presently manufacturing a vehicle 
conforming to the standard, the results of tests conducted to 
substantiate certification to the standard;
    (iii) The results of any tests conducted on the vehicle that 
demonstrate its failure to meet the standard, expressed as comparative 
performance levels; and
    (iv) Reasons why the failure to meet the standard does not 
unreasonably degrade the safety or impact protection of the vehicle.
    (3) Substantiation that a temporary exemption would facilitate the 
development or field evaluation of the vehicle.
    (4) A statement whether, at the end of the exemption period, the 
manufacturer intends to conform with the standard.
    (5) A statement that not more than 2,500 exempted vehicles will be 
sold in the United States in any 12-month period for which an exemption 
may be granted pursuant to this paragraph. An application for renewal of 
an exemption shall also include the total number of exempted vehicles 
sold in the United States under the existing exemption.
    (d) If the basis of the application is that the applicant is 
otherwise unable to sell a vehicle whose overall level of safety or 
impact protection is at least

[[Page 141]]

equal to that of a nonexempted vehicle, the applicant shall provide--
    (1) A detailed analysis of how the vehicle provides the overall 
level of safety or impact protection at least equal to that of 
nonexempted vehicles, including--
    (i) A detailed description of how the motor vehicle, if exempted, 
differs from one that conforms to the standard;
    (ii) A detailed description of any safety or impact protection 
features that the vehicle offers as standard equipment that are not 
required by the Federal motor vehicle safety or bumper standards;
    (iii) The results of any tests conducted on the vehicle 
demonstrating that it fails to meet the standard, expressed as 
comparative performance levels;
    (iv) The results of any tests conducted on the vehicle demonstrating 
that its overall level of safety or impact protection exceeds that which 
is achieved by conformity to the standards.
    (v) Other arguments that the overall level of safety or impact 
protection of the vehicle is at least equal to that of nonexempted 
vehicles.
    (2) Substantiation that compliance would prevent the sale of the 
vehicle.
    (3) A statement whether, at the end of the exemption period, the 
manufacturer intends to comply with the standard.
    (4) A statement that not more than 2,500 exempted vehicles will be 
sold in the United States in any 12-month period for which an exemption 
may be granted pursuant to this paragraph. An application for renewal of 
any exemption shall also include the total number of exempted vehicles 
sold in the United States under the existing exemption.

[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 5489, Feb. 13, 1974; 63 
FR 44173, Aug. 18, 1998; 64 FR 2861, Jan. 19, 1999]



Sec. 555.7  Processing of applications.

    (a) The NHTSA publishes in the Federal Register, affording 
opportunity for comment, a notice of each application containing the 
information required by this part. However, if the NHTSA finds that an 
application does not contain the information required by this part, it 
so informs the applicant, pointing out the areas of insufficiency and 
stating that the application will not receive further consideration 
until the required information is submitted.
    (b) No public hearing, argument, or other formal proceeding is held 
directly on an application filed under this part before its disposition 
under this section.
    (c) Any interested person may, upon written request, appear 
informally before an appropriate official of the NHTSA to discuss an 
application for exemption or the action taken in response to a petition.
    (d) If the Administrator determines that the application does not 
contain adequate justification, he denies it and notifies the petitioner 
in writing. He also publishes in the Federal Register a notice of the 
denial and the reasons for it.
    (e) If the Administrator determines that the application contains 
adequate justification, he grants it, and notifies the petitioner in 
writing. He also publishes in the Federal Register a notice of the grant 
and the reasons for it.
    (f) Unless a later effective date is specified in the notice of the 
grant, a temporary exemption is effective upon publication of the notice 
in the Federal Register and exempts vehicles manufactured on and after 
the effective date.

[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 5489, Feb. 13, 1974; 39 
FR 37988, Oct. 25, 1974; 64 FR 2861, 2862, Jan. 19, 1999]



Sec. 555.8  Termination of temporary exemptions.

    (a) A temporary exemption from a standard granted on the basis of 
substantial economic hardship terminates according to its terms but not 
later than 3 years after the date of issuance unless terminated sooner 
pursuant to paragraph (d) of this section.
    (b) A temporary exemption from a standard granted on a basis other 
than substantial economic hardship terminates according to its terms but 
not later than 2 years after the date of issuance unless terminated 
sooner pursuant to paragraph (d) of this section.

[[Page 142]]

    (c) Any interested person may petition for the termination or 
modification of an exemption granted under this part. The petition will 
be processed in accordance with the procedures of part 552 of this 
chapter.
    (d) The Administrator terminates or modifies a temporary exemption 
if he determines that--
    (1) The temporary exemption is no longer consistent with the public 
interest and the objectives of the Act; or
    (2) The temporary exemption was granted on the basis of false, 
fraudulent, or misleading representations or information.
    (e) If an application for renewal of a temporary exemption that 
meets the requirements of Sec. 555.5 has been filed not later than 60 
days before the termination date of an exemption, the exemption does not 
terminate until the Administrator grants or denies the application for 
renewal.
    (f) The Administrator publishes in the Federal Register a notice of:
    (1) An application for termination or modification of an exemption 
and the action taken in response to it; and
    (2) Any termination or modification of an exemption pursuant to the 
Administrator's own motion.

[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 37989, Oct. 25, 1974; 40 
FR 42015, Sept. 10, 1975; 64 FR 2861, Jan. 19, 1999]



Sec. 555.9  Temporary exemption labels.

    A manufacturer of an exempted vehicle shall--
    (a) Submit to the Administrator, within 30 days after receiving 
notification of the grant of an exemption, a sample of the certification 
label required by part 567 of this chapter and paragraph (c) of this 
section;
    (b) Affix securely to the windshield or side window of each exempted 
vehicle a label in the English language containing the statement 
required by paragraph (c)(1) or (2) of this section, and with the words 
``Shown above'' omitted.
    (c) Meet all applicable requirements of part 567 of this chapter, 
except that--
    (1) The statement required by Sec. 567.4(g)(5) of this chapter shall 
end with the phrase ``except for Standards Nos. [listing the standards 
by number and title for which an exemption has been granted] exempted 
pursuant to NHTSA Exemption No. ________________.''
    (2) Instead of the statement required by Sec. 567.5(c)(7)(iii), the 
following statement shall appear:

    THIS VEHICLE CONFORMS TO ALL APPLICABLE FEDERAL MOTOR VEHICLE SAFETY 
(AND BUMPER) STANDARDS IN EFFECT IN [Month, Year] EXCEPT FOR STANDARD 
NOS. [Listing the standards by number and title for which an exemption 
has been granted] EXEMPTED PURSUANT TO NHTSA EXEMPTION NO. ____________.


(Secs. 114, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1403, 1408); 
sec. 3, Pub. L. 92-548, 86 Stat. 1159 (15 U.S.C. 1410); secs. 102, 105, 
Pub. L. 92-513, 86 Stat. 947 (15 U.S.C. 1912, 1915); delegations of 
authority at 49 CFR 1.50 and 501.8)

[38 FR 2694, Jan. 29, 1973, as amended at 50 FR 10772, Mar. 18, 1985; 60 
FR 1750, Jan. 5, 1995]



Sec. 555.10  Availability for public inspection.

    (a) Information relevant to an application under this part, 
including the application and supporting data, memoranda of informal 
meetings with the applicant or any other interested person, and the 
grant or denial of the application, is available for public inspection, 
except as specified in paragraph (b) of this section, in Room PL-401 
(Docket Management), 400 Seventh Street, SW., Washington, DC 20590. 
Copies of available information may be obtained, as provided in Part 7 
of the regulations of the Office of the Secretary of Transportation (49 
CFR part 7).
    (b) Except for the release of confidential information authorized by 
part 512 of this chapter, information made available for inspection 
under paragraph (a) shall not include materials not relevant to the 
petition for which confidentiality is requested and granted in 
accordance with 49 U.S.C. 30166 and 30167 and section 552(b) of title 5 
of the U.S.C.).

[38 FR 2694, Jan. 29, 1973, as amended at 46 FR 2064, Jan. 8, 1981; 48 
FR 44081, Sept. 27, 1983; 63 FR 44173, Aug. 18, 1998; 64 FR 2862, Jan. 
19, 1999]

[[Page 143]]



PART 556--EXEMPTION FOR INCONSEQUENTIAL DEFECT OR NONCOMPLIANCE--Table of Contents




Sec.
556.1  Scope.
556.2  Purpose.
556.3  Application.
556.4  Petition for exemption.
556.5  Processing of petition.
556.6  Meetings.
556.7  Disposition of petition.
556.8  Rescission of decision.
556.9  Public inspection of relevant information.

    Authority: Sec. 157, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1417); 
delegation of authority at 49 CFR 1.50.

    Source: 42 FR 7145, Feb. 7, 1977, unless otherwise noted.



Sec. 556.1  Scope.

    This part sets forth procedures, pursuant to section 157 of the Act, 
for exempting manufacturers of motor vehicles and replacement equipment 
from the Act's notice and remedy requirements when a defect or 
noncompliance is determined to be inconsequential as it relates to motor 
vehicle safety.



Sec. 556.2  Purpose.

    The purpose of this part is to enable manufacturers of motor 
vehicles and replacement equipment to petition the NHTSA for exemption 
from the notification and remedy requirements of the Act due to the 
inconsequentiality of the defect or noncompliance as it relates to motor 
vehicle safety, and to give all interested persons an opportunity for 
presentation of data, views, and arguments on the issues of 
inconsequentiality.



Sec. 556.3  Application.

    This part applies to manufacturers of motor vehicles and replacement 
equipment.



Sec. 556.4  Petition for exemption.

    (a) A manufacturer who has determined the existence, in a motor 
vehicle or item of replacement equipment that he produces, of a defect 
related to motor vehicle safety or a noncompliance with an applicable 
Federal motor vehicle safety standard, or who has received notice of an 
initial determination by the NHTSA of the existence of a defect related 
to motor vehicle safety or a noncompliance, may petition for exemption 
from the Act's notification and remedy requirements on the grounds that 
the defect or noncompliance is inconsequential as it relates to motor 
vehicle safety.
    (b) Each petition submitted under this part shall--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;
    (3) State the full name and address of the applicant, the nature of 
its organization (e.g., individual, partnership, or corporation) and the 
name of the State or country under the laws of which it is organized.
    (4) Describe the motor vehicle or item of replacement equipment, 
including the number involved and the period of production, and the 
defect or noncompliance concerning which an exemption is sought; and
    (5) Set forth all data, views, and arguments of the petitioner 
supporting his petition.
    (6) Be accompanied by three copies of the report the manufacturer 
has submitted, or is submitting, to NHTSA in accordance with part 573 of 
this chapter, relating to its determination of the existence of safety 
related defect or noncompliance with an applicable safety standard that 
is the subject of the petition.
    (c) In the case of defects related to motor vehicle safety or 
noncompliances determined to exist by a manufacturer, petitions under 
this part must be submitted not later than 30 days after such 
determination. In the case of defects related to motor vehicle safety or 
noncompliances initially determined to exist by the NHTSA, petitions 
must be submitted not later than 30 days after notification of the 
determination has been received by the manufacturer. Such a petition 
will not constitute a concession by the manufacturer of, nor will it be 
considered relevant to, the existence of a defect

[[Page 144]]

related to motor vehicle safety or a nonconformity.

[42 FR 7145, Feb. 7, 1977, as amended at 56 FR 66376, Dec. 23, 1991]



Sec. 556.5  Processing of petition.

    (a) The NHTSA publishes a notice of each petition in the Federal 
Register. Such notice includes:
    (1) A brief summary of the petition;
    (2) A statement of the availability of the petition and other 
relevant information for public inspection; and
    (3)(i) In the case of a defect related to motor vehicle safety or a 
noncompliance determined to exist by the manufacturer, an invitation to 
interested persons to submit written data, views, and arguments 
concerning the petition, and, upon request by the petitioner or 
interested persons, a statement of the time and place of a public 
meeting at which such materials may be presented orally if any person so 
desires.
    (ii) In the case of a defect related to motor vehicle safety or a 
noncompliance initially determined to exist by the NHTSA, an invitation 
to interested persons to submit written data, views, and arguments 
concerning the petition or to submit such data, views, and arguments 
orally at the meeting held pursuant to section 152(a) of the Act 
following the initial determination, or at a separate meeting if deemed 
appropriate by the agency.



Sec. 556.6  Meetings.

    (a) At a meeting held under this part, any interested person may 
make oral (as well as written) presentations of data, views, and 
arguments on the question whether the defect or noncompliance described 
in the Federal Register notice is inconsequential as it relates to motor 
vehicle safety.
    (b) Sections 556 and 557 of Title 5, U.S.C., do not apply to any 
meeting held under this part. Unless otherwise specified, any meeting 
held under this part is an informal, nonadversary, fact-finding 
proceeding, at which there are no formal pleadings or adverse parties. A 
decision to grant or deny a petition, after a meeting on such petition, 
is not necessarily based exclusively on the record of the meeting.
    (c) The Administrator designates a representative to conduct any 
meeting held under this part. The Chief Counsel designates a member of 
his staff to serve as legal officer at the meeting. A transcript of the 
proceeding is kept and exhibits may be kept as part of the transcript.



Sec. 556.7  Disposition of petition.

    Notice of either a grant or denial of a petition for exemption from 
the notice and remedy requirements of the Act based upon the 
inconsequentiality of a defect or noncompliance is issued to the 
petitioner and published in the Federal Register. The effect of a grant 
of a petition is to relieve the manufacturer from any further 
responsibility to provide notice and remedy of the defect or 
noncompliance. The effect of a denial is to continue in force, as 
against a manufacturer, all duties contained in the Act relating to 
notice and remedy of the defect or noncompliance. Any interested person 
may appeal the grant or denial of a petition by submitting written data, 
views, or arguments to the Administrator.



Sec. 556.8  Rescission of decision.

    The Administrator may rescind a grant or denial of an exemption 
issued under this part any time after the receipt of new data and notice 
and opportunity for comment thereon, in accordance with Secs. 556.5 and 
556.7.



Sec. 556.9  Public inspection of relevant information.

    Information relevant to a petition under this part, including the 
petition and supporting data, memoranda of informal meetings with the 
petitioner or any other interested person concerning the petition, and 
the notice granting or denying the petition, are available for public 
inspection in the Docket Section, Room 5109, National Highway Traffic 
Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. 
Copies of available information may be obtained in accordance with Part 
7 of the regulations of the Office of the Secretary of Transportation 
(49 CFR part 7).


(Authority: Sec. 104, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1417))

[42 FR 7145, Feb. 7, 1977, as amended at 48 FR 44081, Sept. 27, 1983]

[[Page 145]]



PART 557--PETITIONS FOR HEARINGS ON NOTIFICATION AND REMEDY OF DEFECTS--Table of Contents




Sec.
557.1  Scope.
557.2  Purpose.
557.3  General.
557.4  Requirements for petition.
557.5  Improperly filed petitions.
557.6  Determination whether to hold a public hearing.
557.7  Public hearing.
557.8  Determination of manufacturer's obligation.

    Authority: Sec. 9, Pub. L. 89-670, 80 Stat. 931 (49 U.S.C. 1657); 
sec. 103, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 1407); sec. 
156, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C 1416); delegation of 
authority at 49 CFR 1.50).

    Source: 41 FR 56812, Dec. 30, 1976, unless otherwise noted.



Sec. 557.1  Scope.

    This part establishes procedures under section 156 of the National 
Traffic and Motor Vehicle Safety Act of 1966, as amended (88 Stat. 1470, 
15 U.S.C. 1416), for the submission and disposition of petitions filed 
by interested persons for hearings on the question of whether a 
manufacturer has reasonably met his obligation to notify owners, 
purchasers, and dealers of a safety-related defect or failure to comply 
with a Federal motor vehicle safety standard, or to remedy such defect 
or failure to comply. This part also establishes procedures for holding 
a hearing on these questions.



Sec. 557.2  Purpose.

    The purpose of this part is to enable the National Highway Traffic 
Safety Administration to identify and respond on a timely basis to 
petitions for hearings on whether a manufacturer has reasonably met his 
obligation to notify or remedy, and to establish the procedures for such 
hearings.



Sec. 557.3  General.

    Any interested person may file with the Administrator a petition 
requesting him to hold a hearing on--
    (a) Whether a manufacturer has reasonably met his obligation to 
notify owners, purchasers, and dealers of a safety-related defect in any 
motor vehicle or item of replacement equipment manufactured by him;
    (b) Whether a manufacturer has reasonably met his obligation to 
notify owners, purchasers, and dealers of a failure to comply with an 
applicable Federal motor vehicle safety standard in any motor vehicle or 
item of replacement equipment manufactured by him;
    (c) Whether the manufacturer has reasonably met his obligation to 
remedy a safety-related defect in any motor vehicle or item of 
replacement equipment manufactured by him; or
    (d) Whether the manufacturer has reasonably met his obligation to 
remedy a failure to comply with an applicable Federal motor vehicle 
safety standard in any motor vehicle or item of replacement equipment 
manufactured by him.



Sec. 557.4  Requirements for petition.

    A petition filed under this part should be addressed and submitted 
to: Administrator, National Highway Traffic Safety Administration, 400 
Seventh Street, SW., Washington, DC 20590. Each petition filed under 
this part must--
    (a) Be written in the English or Spanish language;
    (b) Have, preceding its text, the word ``Petition'';
    (c) Contain a brief statement concerning the alleged failure of a 
manufacturer to meet reasonably his obligation to notify or remedy;
    (d) Contain a brief summary of the data, views, or arguments that 
the petitioner wishes to present in a hearing on whether or not a 
manufacturer has reasonably met his obligations to notify or remedy;
    (e) Specifically request a hearing.



Sec. 557.5  Improperly filed petitions.

    (a) A petition that is not addressed as specified in Sec. 557.4, but 
that meets the other requirements of that section, will be treated as a 
properly filed petition, received as of the time it is discovered and 
identified.
    (b) A document that fails to conform to one or more of the 
requirements of Sec. 557.4(a) (1) through (5) will not be treated as a 
petition under this part.

[[Page 146]]

Such a document will be treated according to the existing correspondence 
and other procedures of the NHTSA, and any information contained in it 
will be considered at the discretion of the Administrator.



Sec. 557.6  Determination whether to hold a public hearing.

    (a) The Administrator considers the following factors in determining 
whether to hold a hearing:
    (1) The nature of the complaint;
    (2) The seriousness of the alleged breach of obligation to remedy;
    (3) The existence of similar complaints;
    (4) The ability of the NHTSA to resolve the problem without holding 
a hearing; and
    (5) Other pertinent matters.
    (b) If, after considering the above factors, the Administrator 
determines that a hearing should be held, the petition is granted. If it 
is determined that a hearing should not be held, the petition is denied. 
In either case, the petitioner is notified of the grant or denial not 
more than 60 days after receipt of the petition by the NHTSA.
    (c) If a petition submitted under this part is denied, a Federal 
Register notice of the denial is issued within 45 days of the denial, 
setting forth the reasons for it.
    (d) The Administrator may conduct a hearing under this part on his 
own motion.



Sec. 557.7  Public hearing.

    If the Administrator decides that a public hearing under this part 
is necessary, he issues a notice of public hearing in the Federal 
Register, to advise interested persons of the time, place, and subject 
matter of the public hearing and invite their participation. Interested 
persons may submit their views through oral or written presentation, or 
both. There is no cross-examination of witnesses. A transcript of the 
hearing is kept and exhibits may be accepted as part of the transcript. 
Sections 556 and 557 of title 5, U.S.C., do not apply to hearings held 
under this part. When appropriate, the Chief Counsel designates a member 
of his staff to serve as legal officer at the hearing.



Sec. 557.8  Determination of manufacturer's obligation.

    If the Administrator determines, on the basis of the information 
presented at a hearing or any other information that is available to 
him, that the manufacturer has not reasonably met his obligation to 
notify owners, dealers, and purchasers of a safety-related defect or 
failure to comply with a Federal motor vehicle safety standard or to 
remedy such defect or failure to comply, he orders the manufacturer to 
take specified action to comply with his obligation, consistent with the 
authority granted the Administrator by the Act.



PART 564--REPLACEABLE LIGHT SOURCE INFORMATION--Table of Contents




Sec.
564.1  Scope.
564.2  Purposes.
564.3  Applicability.
564.4  Definitions.
564.5  Information filing; agency processing of filings.

Appendix A to Part 564--Information To Be Submitted for Replaceable 
          Light Sources
Appendix B to Part 564--Information to be Submitted for Long Life 
          Replaceable Light Sources of Limited Definition

    Authority: 49 U.S.C. 322, 30111, 30115, 30117, 30166; delegation of 
authority at 49 CFR 1.50.

    Source: 58 FR 3860, Jan. 12, 1993, unless otherwise noted.



Sec. 564.1  Scope.

    This part requires the submission of dimensional, electrical 
specification, and marking/designation information, as specified in 
Appendix A and Appendix B of this part, for original equipment 
replaceable light sources used in motor vehicle headlighting systems.

[61 FR 20500, May 7, 1996]



Sec. 564.2  Purposes.

    The purposes of this part are achieved through its Appendices:
    (a) The purposes of Appendix A of this part are to ensure
    (1) The availability to replacement light source manufacturers of 
the manufacturing specifications of original

[[Page 147]]

equipment light sources so that replacement light sources are 
interchangeable with original equipment light sources and provide 
equivalent performance, and
    (2) That redesigned or newly developed light sources are designated 
as distinct, different, and noninterchangeable with previously existing 
light sources.
    (b) The purposes of Appendix B of this part are to ensure
    (1) That original equipment light sources are replaceable and that 
replacement light sources provide equivalent performance, and
    (2) That redesignated or newly developed light sources are 
designated as distinct, different, and noninterchangeable with 
previously existing light sources.

[61 FR 20500, May 7, 1996]



Sec. 564.3  Applicability.

    This part applies to replaceable light sources used as original 
equipment in motor vehicle headlighting systems.

[60 FR 14228, Mar. 16, 1995]



Sec. 564.4  Definitions.

    All terms defined in the Act and the regulations and standards 
issued under its authority are used as defined therein.



Sec. 564.5  Information filing; agency processing of filings.

    (a) Each manufacturer of a motor vehicle, original equipment 
headlamp, or original equipment headlamp replaceable light source, which 
intends to manufacture a replaceable light source as original equipment 
or to incorporate a replaceable light source in its headlamps or motor 
vehicles, shall furnish the information specified in Appendix A. If the 
rated laboratory life of the light source is not less than 2,000 hours, 
the manufacturer shall furnish the information specified in either 
Appendix A or Appendix B of this part. Information shall be furnished 
to: Associate Administrator for Safety Performance Standards, National 
Highway Traffic Safety Administration, 400 Seventh Street SW, 
Washington, D.C. 20590. Attention: Part 564--Replaceable Light Source 
Information (unless the agency has already filed such information in 
Docket No. NHTSA 98-3397).
    (b) The manufacturer shall submit such information not later than 60 
days before it intends to begin the manufacture of the replaceable light 
source to which the information applies, or to incorporate the light 
source into a headlamp or motor vehicle of its manufacture. Each 
submission shall consist of one original set of information and 10 
legible reproduced copies, all on 8\1/2\ by 11-inch paper.
    (c) The Associate Administrator promptly reviews each submission and 
informs the manufacturer not later than 30 days after its receipt 
whether the submission has been accepted. Upon acceptance, the Associate 
Administrator files the information in Docket No. NHTSA 98-3397. The 
Associate Administrator does not accept any submission that does not 
contain all the information specified in Appendix A or Appendix B of 
this part, or whose accompanying information indicates that any new 
light source which is the subject of a submission is interchangeable 
with any replaceable light source for which the agency has previously 
filed information in Docket No. NHTSA 98-3397.
    (d) A manufacturer may request modification of a light source for 
which information has previously been filed in Docket No. NHTSA 98-3397, 
and the submission shall be processed in the manner provided by 
Sec. 564.5(c). A request for modification shall contain the following:
    (1) All the information specified in Appendix A or Appendix B of 
this part that is relevant to the modification requested,
    (2) The reason for the requested modification,
    (3) A statement that use of the light source as modified will not 
create a noncompliance with any requirement of Motor Vehicle Safety 
Standard No. 108 (49 CFR 571.108) when used to replace an unmodified 
light source in a headlamp certified by its manufacturer as conforming 
to all applicable Federal motor vehicle safety standards, together with 
reasons in support of the statement; and
    (4) Information demonstrating that the modification would not 
adversely

[[Page 148]]

affect interchangeability with the original light source.
    After review of the request for modification, the Associate 
Administrator may seek further information either from the manufacturer 
or through a notice published in the Federal Register requesting comment 
on whether a modified light source incorporating the changes requested 
will create a noncompliance with Motor Vehicle Safety Standard No. 108 
when substituted for an unmodified light source. If the Associate 
Administrator seeks comment public comment on a submission, (s)he shall 
publish a further notice stating whether (s)he has accepted or rejected 
the submission. If a submission is accepted, the Associate Administrator 
files the information in Docket No. NHTSA 98-3397. If a submission is 
rejected, a manufacturer may submit information with respect to it, as 
provided in paragraph 564.5(a), for consideration as a new light source 
after such changes as will ensure that it is not interchangeable with 
the light source for which modification was originally requested.
    (e) Information submitted under this section is made available by 
NHTSA for public inspection as soon as practicable after its receipt, 
but not later than the date on which a vehicle equipped with a new or 
revised replaceable light source is offered for sale.

[60 FR 14228, Mar. 16, 1995, as amended at 61 FR 20500, May 7, 1996; 63 
FR 42587, Aug. 10, 1998]

  Appendix A to Part 564--Information To Be Submitted for Replaceable 
                              Light Sources

 I. Filament or Discharge Arc Position Dimensions and Tolerances Using 
    Either Direct Filament or Discharge Arc Dimensions or the Three 
          Dimensional Filament or Discharge Arc Tolerance Box.

    A. Lower beam filament dimensions or filament tolerance box 
dimensions and relation of these to the bulb base reference plane and 
centerline.
    1. Axial location of the filament centerline or the filament 
tolerance box relative to the bulb base reference plane.
    2. Vertical location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    3. Transverse location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    4. Filament tolerance box dimensions, if used.
    B. Upper beam filament dimensions or the filament tolerance box 
dimensions, and relation of these to the bulb base reference plane and 
centerline.
    1. Axial location of the filament centerline or the filament 
tolerance box relative to the bulb base reference plane.
    2. Vertical location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    3. Transverse location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    4. Filament tolerance box dimensions, if used.
    C. If the replaceable light source has both a lower beam and an 
upper beam filament, the dimensional relationship between the two 
filament centerlines or the filament tolerance boxes may be provided 
instead of referencing the upper beam filament centerline or filament 
tolerance box to the bulb base centerline or reference plane.
    D. For a light source using excited gas mixtures as a filament, 
necessary fiducial information and specifications including electrode 
position dimensions and tolerance information that provide similar 
location and characteristics information required by paragraphs A, B, 
and C of this section I for light sources using a resistive type 
filament.

   II. Dimensions Pertaining to Filament Capsule and Capsule Supports

    A. Maximum length from bulb base reference plane to tip of filament 
capsule.
    B. Maximum radial distances from bulb base centerline to periphery 
of filament capsule and/or supports.
    C. Location of black cap relative to low beam filament centerline, 
filament tolerance box or other to-be-specified reference.
    D. Size, length, shape, or other pertinent features and dimensions 
for providing undistorted walls for the filament capsule.

       III. Bulb Base Interchangeability Dimensions and Tolerance

    A. Angular locations, diameters, key/keyway sizes, and any other 
interchangeability dimensions for indexing the bulb base in the bulb 
holder.
    B. Diameter, width, depth, and surface finish of seal groove, 
surface, or other pertinent sealing features.
    C. Diameter of the bulb base at the interface of the base and its 
perpendicular reference surface.
    D. Dimensions of features related to retention of the bulb base in 
the bulb holder such as tabs, keys, keyways, surfaces, etc.

[[Page 149]]

       IV. Bulb Holder Interchangeability Dimensions and Tolerance

    A. Mating angular locations, diameters, key/keyway sizes, and any 
other interchangeability dimensions for indexing the bulb base in the 
bulb holder.
    B. Mating diameter, width, depth, and surface finish of seal groove, 
surface, or other pertinent sealing features.
    C. Mating diameter of the bulb holder at the interface of the bulb 
base aperture and its perpendicular reference surface.
    D. Mating dimensions of features related to retention of the bulb 
base in the bulb holder such as tabs, keys, keyways, surfaces, etc.

 V. Wiring Harness Connector to Bulb Base Interchangeability Dimensions 
                             and Tolerances

    A. Maximum depth of harness connector insertion into bulb base.
    B. Location of electrical pins in bulb base.
    C. Dimensions of electrical pins in bulb base--length, diameter, 
width, thickness and etc.
    D. Fit of harness connector into bulb base providing all necessary 
dimensions, key/keyway controls, and dimensions, tapers etc.
    E. Dimensions and location of locking features for wiring harness 
connector to bulb base.
    F. Identification of upper beam, lower beam, and common terminals.

 VI. Seal Specifications (if replaceable light source is intended to be 
                        of a sealed base design)

    A. Type.
    B. Material.
    C. Dimensions.

     VII. Electrical Specifications for Each Filament at 12.8 Volts

    A. Maximum power (in watts).
    B. Luminous Flux with tolerance (in lumens) with black cap if so 
equipped, measured in accordance with the document: Illuminating 
Engineering Society of North America, LM-45; IES Approved Method for 
Electrical and Photometric Measurements of General Service Incandescent 
Filament Lamps (April 1980).

     VIII. Bulb Markings/Designation-- ANSI Number, ECE Identifier, 
     Manufacturer's Part Number, Individually or in Any Combination

  IX. All other information, dimensions or performance specifications 
    necessary for interchangeability, replaceability, or system test 
purposes not listed in sections I through VIII. If a ballast is required 
  for operation, a complete listing of the requirements and parameters 
between the light source and ballast, and ballast and the vehicle shall 
                            also be provided.

[58 FR 3860, Jan. 12, 1993, as amended at 61 FR 20500, 20501, May 7, 
1996]

   Appendix B to Part 564--Information to be Submitted for Long Life 
             Replaceable Light Sources of Limited Definition

 I. Filament or Discharge Arc Position Dimensions and Tolerances Using 
    Either Direct Filament or Discharge Arc Dimensions or the Three 
            Dimensional Filament Discharge Arc Tolerance Box.

    A. Lower beam filament or discharge arc dimensions or filament or 
discharge arc tolerance box dimensions and relation of these to the bulb 
base reference plane and centerline.
    1. Axial location of the filament or discharge arc centerline or the 
filament or discharge arc tolerance box relative to the bulb base 
reference plane.
    2. Vertical location of the filament or discharge arc centerline or 
the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    3. Transverse location of the filament or discharge arc centerline 
or the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    4. Filament or discharge arc tolerance box dimensions, if used.
    B. Upper beam filament or discharge arc dimensions or the filament 
or discharge arc tolerance box dimensions and relation of these to the 
bulb base reference plane and centerline.
    1. Axial location of the filament or discharge arc centerline or the 
filament or discharge arc tolerance box relative to the bulb base 
reference plane.
    2. Vertical location of the filament or discharge arc centerline or 
the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    3. Transverse location of the filament or discharge arc centerline 
or the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    4. Filament or discharge arc tolerance box dimensions, if used.

[[Page 150]]

    C. If the replaceable light source has both a lower beam and upper 
beam filament or discharge arc, the dimensional relationship between the 
two filament or discharge arc centerlines or the filament or discharge 
arc tolerance boxes may be provided instead of referencing the upper 
beam filament or discharge arc centerline or filament or discharge arc 
tolerance box to the bulb base centerline or reference plane.
    D. For a light source using excited gas mixtures as a filament, 
necessary fiducial information and specifications including electrode 
position dimensions, and tolerance information that provide similar 
location and characteristics information required by paragraphs A, B, 
and C of this section I for light sources using a resistive type 
filament.

       II. Bulb Base Interchangeability Dimensions and Tolerance.

    A. Angular locations, diameters, key/keyway sizes, and any other 
interchangeability dimensions for indexing the bulb base in the bulb 
holder.
    B. Diameter, width, depth, and surface finish of seal groove, 
surface, or other pertinent sealing features.
    C. Diameter of the bulb base at the interface of the base and its 
perpendicular reference surface.
    D. Dimensions of features related to retention of the bulb base in 
the bulb holder such as tabs, keys, keyways, surface, etc.

     III. Bulb Holder Interchangeability Dimensions and Tolerances.

    A. Mating angular locations, diameters, key/keyway sizes, any other 
interchangeability dimensions for indexing the bulb base in the bulb 
holder.
    B. Mating diameter, width, depth, and surface, or other pertinent 
sealing features.
    C. Mating diameter of the bulb holder at the interface of the bulb 
base aperture and its perpendicular reference surface.
    D. Mating dimensions of features related to retention of the bulb 
base in the bulb holder such as tabs, keys, keyways, surface, or any 
other characteristics necessary for mating dimensions.

IV. Electrical Specifications for Each Light Source that Operates With a 
     Ballast and Rated Life of the Light Source/Ballast Combination.

    A. Maximum power (in watts).
    B. Luminous Flux (in lumens).
    C. Rated laboratory life of the light source/ballast combination 
(not less than 2,000 hours).

V. Applicable to Light Sources that Operate With a Source Voltage Other 
 Than 12.8 Volts Direct Current, and When a Proprietary Ballast Must Be 
                       Used With the Light Source.

    A. Manufacturer's part number for the ballast.
    B. Any other characteristics necessary for system operation.

      VI. Bulb Markings/Designation-- ANSI Number, ECE Identifier, 
      Manufacturer's Part Number, Individual or in Any Combination.

VII. All other identification, dimensions or performance specifications 
 necessary for replaceability or systems test not listed in sections I 
                               through VI.

[61 FR 20500, May 7, 1996]



PART 565--VEHICLE IDENTIFICATION NUMBER REQUIREMENTS--Table of Contents




Sec.
565.1  Purpose and scope.
565.2  Applicability.
565.3  Definitions.
565.4  General requirements.
565.5  Motor vehicles imported into the United States.
565.6  Content requirements.
565.7  Reporting requirements.

    Authority: 49 U.S.C. 322, 30111, 30115, 30117, 30141, 30146, 30166, 
and 30168; delegation of authority at 49 CFR 1.50.

[61 FR 29033, June 7, 1996]



Sec. 565.1  Purpose and scope.

    This part specifies the format, content and physical requirements 
for a vehicle identification number (VIN) system and its installation to 
simplify vehicle identification information retrieval and to increase 
the accuracy and efficiency of vehicle recall campaigns.



Sec. 565.2  Applicability.

    This part applies to passenger cars, multipurpose passenger 
vehicles, trucks, buses, trailers (including trailer kits), incomplete 
vehicles, and motorcycles. Vehicles imported into the United States 
under 49 CFR 591.5(f), other than by the corporation responsible for the 
assembly of that vehicle or a subsidiary of such a corporation, are 
excluded from requirements of Sec. 565.4(b), Sec. 565.4(c), 
Sec. 565.4(g), Sec. 565.4(h), Sec. 565.5 and Sec. 565.6.

[[Page 151]]



Sec. 565.3  Definitions.

    (a) Federal Motor Vehicle Safety Standards Definitions. Unless 
otherwise indicated, all terms used in this part that are defined in 49 
CFR 571.3 are used as defined in 49 CFR 571.3.
    (b) Body type means the general configuration or shape of a vehicle 
distinguished by such characteristics as the number of doors or windows, 
cargo-carrying features and the roofline (e.g., sedan, fastback, 
hatchback).
    (c) Check digit means a single number or the letter X used to verify 
the accuracy of the transcription of the vehicle identification number.
    (d) Engine type means a power source with defined characteristics 
such as fuel utilized, number of cylinders, displacement, and net brake 
horsepower. The specific manufacturer and make shall be represented if 
the engine powers a passenger car or a multipurpose passenger vehicle, 
or truck with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or 
less.
    (e) Incomplete vehicle means an assemblage consisting, as a minimum, 
of frame and chassis structure, power train, steering system, suspension 
system and braking system, to the extent that those systems are to be 
part of the completed vehicle, that requires further manufacturing 
operations, other than the addition of readily attachable components, 
such as mirrors or tire and rim assemblies, or minor finishing 
operations such as painting, to become a completed vehicle.
    (f) Line means a name that a manufacturer applies to a family of 
vehicles within a make which have a degree of commonality in 
construction, such as body, chassis or cab type.
    (g) Make means a name that a manufacturer applies to a group of 
vehicles or engines.
    (h) Manufacturer means a person--
    (1) Manufacturing or assembling motor vehicles or motor vehicle 
equipment; or
    (2) Importing motor vehicles or motor vehicle equipment for resale.
    (i) Model means a name that a manufacturer applies to a family of 
vehicles of the same type, make, line, series and body type.
    (j) Model Year means the year used to designate a discrete vehicle 
model, irrespective of the calendar year in which the vehicle was 
actually produced, so long as the actual period is less than two 
calendar years.
    (k) Plant of manufacture means the plant where the manufacturer 
affixes the VIN.
    (l) Series means a name that a manufacturer applies to a subdivision 
of a ``line'' denoting price, size or weight identification and that is 
used by the manufacturer for marketing purposes.
    (m) Trailer kit means a trailer that is fabricated and delivered in 
complete but unassembled form and that is designed to be assembled 
without special machinery or tools.
    (n) Type means a class of vehicle distinguished by common traits, 
including design and purpose. Passenger cars, multipurpose passenger 
vehicles, trucks, buses, trailers, incomplete vehicles and motorcycles 
are separate types.
    (o) VIN means a series of Arabic numbers and Roman letters that is 
assigned to a motor vehicle for identification purposes.



Sec. 565.4  General requirements.

    (a) Each vehicle manufactured in one stage shall have a VIN that is 
assigned by the manufacturer. Each vehicle manufactured in more than one 
stage shall have a VIN assigned by the incomplete vehicle manufacturer. 
Vehicle alterers, as specified in 49 CFR 567.7, shall utilize the VIN 
assigned by the original manufacturer of the vehicle.
    (b) Each VIN shall consist of seventeen (17) characters.
    (c) A check digit shall be part of each VIN. The check digit shall 
appear in position nine (9) of the VIN, on the vehicle and on any 
transfer documents containing the VIN prepared by the manufacturer to be 
given to the first owner for purposes other than resale.
    (d) The VINs of any two vehicles manufactured within a 30-year 
period shall not be identical.
    (e) The VIN of each vehicle shall appear clearly and indelibly upon 
either a part of the vehicle, other than the glazing, that is not 
designed to be removed except for repair or upon a separate plate or 
label that is permanently affixed to such a part.

[[Page 152]]

    (f) The VIN for passenger cars, multipurpose passenger vehicles and 
trucks of 4536 kg or less GVWR shall be located inside the passenger 
compartment. It shall be readable, without moving any part of the 
vehicle, through the vehicle glazing under daylight lighting conditions 
by an observer having 20/20 vision (Snellen) whose eye-point is located 
outside the vehicle adjacent to the left windshield pillar. Each 
character in the VIN subject to this paragraph shall have a minimum 
height of 4 mm.
    (g) Each character in each VIN shall be one of the letters in the 
set: [ABCDEFGHJKLMNPRSTUVWXYZ] or a numeral in the set: [0123456789] 
assigned according to the method given in Sec. 565.5.
    (h) All spaces provided for in the VIN must be occupied by a 
character specified in paragraph (g) of this section.
    (i) The type face utilized for each VIN shall consist of capital, 
sanserif characters.



Sec. 565.5  Motor vehicles imported into the United States.

    (a) Importers shall utilize the VIN assigned by the original 
manufacturer of the motor vehicle.
    (b) A passenger car certified by a Registered Importer under 49 CFR 
part 592 shall have a plate or label that contains the following 
statement, in characters with a minimum height of 4 mm, with the 
identification number assigned by the original manufacturer provided in 
the blank: SUBSTITUTE FOR U.S. VIN: ____________ SEE PART 565. The plate 
or label shall conform to Sec. 565.4 (h) and (i). The plate or label 
shall be permanently affixed inside the passenger compartment. The plate 
or label shall be readable, without moving any part of the vehicle, 
through the vehicle glazing under daylight lighting conditions by an 
observer having 20/20 vision (Snellen) whose eye-point is located 
outside the vehicle adjacent to the left windshield pillar. It shall be 
located in such a manner as not to cover, obscure, or overlay any part 
of any identification number affixed by the original manufacturer. 
Passenger cars conforming to Canadian Motor Vehicle Safety Standard 115 
are exempt from this paragraph.



Sec. 565.6  Content requirements.

    The VIN shall consist of four sections of characters which shall be 
grouped accordingly:
    (a) The first section shall consist of three characters that occupy 
positions one through three (1-3) in the VIN. This section shall 
uniquely identify the manufacturer, make and type of the motor vehicle 
if its manufacturer produces 500 or more motor vehicles of its type 
annually. If the manufacturer produces less than 500 motor vehicles of 
its type annually, these characters along with the third, fourth and 
fifth characters of the fourth section shall uniquely identify the 
manufacturer, make and type of the motor vehicle. These characters are 
assigned in accordance with Sec. 565.7(a).
    (b) The second section shall consist of five characters, which 
occupy positions four through eight (4-8) in the VIN. This section shall 
uniquely identify the attributes of the vehicle as specified in Table I. 
For passenger cars, and for multipurpose passenger vehicles and trucks 
with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less, 
the first and second characters shall be alphabetic and the third and 
fourth characters shall be numeric. The fifth character may be either 
alphabetic or numeric. The characters utilized and their placement 
within the section may be determined by the manufacturer, but the 
specified attributes must be decipherable with information supplied by 
the manufacturer in accordance with Sec. 565.7(c). In submitting the 
required information to NHTSA relating to gross vehicle weight rating, 
the designations in Table II shall be used. The use of these 
designations within the VIN itself is not required. Tables I and II 
follow:

          Table I--Type of Vehicle and Information Decipherable

Passenger car: Line, series, body type, engine type and restraint system 
type.
Multipurpose passenger vehicle: Line, series, body type, engine type, 
gross vehicle weight rating.

[[Page 153]]

Truck: Model or line, series, chassis, cab type, engine type, brake 
system and gross vehicle weight rating.
Bus: Model or line, series, body type, engine type, and brake system
Trailer, including trailer kits and incomplete trailer: Type of trailer, 
body type, length and axle configuration.
Motorcycle: Type of motorcycle, line, engine type, and net brake 
horsepower.
Incomplete Vehicle other than a trailer: Model or line, series, cab 
type, engine type and brake system.

Note to Table I: Engine net brake horsepower when encoded in the VIN 
shall differ by no more than 10 percent from the actual net brake 
horsepower; shall in the case of motorcycle with an actual net brake 
horsepower of 2 or less, be not more than 2; and shall be greater than 2 
in the case of a motorcycle with an actual brake horsepower greater than 
2.

              Table II--Gross Vehicle Weight Rating Classes

    Class A--Not greater than 1360 kg. (3,000 lbs.)
    Class B--Greater than 1360 kg. to 1814 kg. (3,001-4,000 lbs.)
    Class C--Greater than 1814 kg. to 2268 kg. (4,001-5,000 lbs.)
    Class D--Greater than 2268 kg. to 2722 kg. (5,001-6,000 lbs.)
    Class E--Greater than 2722 kg. to 3175 kg. (6,001-7,000 lbs.)
    Class F--Greater than 3175 kg. to 3629 kg. (7,001-8,000 lbs.)
    Class G--Greater than 3629 kg. to 4082 kg. (8,001-9,000 lbs.)
    Class H--Greater than 4082 kg. to 4536 kg. (9,001-10,000 lbs.)
    Class 3--Greater than 4536 kg. to 6350 kg. (10,001-14,000 lbs.)
    Class 4--Greater than 6350 kg. to 7257 kg. (14,001-16,000 lbs.)
    Class 5--Greater than 7257 kg. to 8845 kg. (16,001-19,500 lbs.)
    Class 6--Greater than 8845 kg. to 11793 kg. (19,501-26,000 lbs.)
    Class 7--Greater than 11793 kg. to 14968 kg.(26,001-33,000 lbs.)
    Class 8--Greater than 14968 kg. (33,001 lbs. and over)

    (c) The third section shall consist of one character, which occupies 
position nine (9) in the VIN. This section shall be the check digit 
whose purpose is to provide a means for verifying the accuracy of any 
VIN transcription. After all other characters in VIN have been 
determined by the manufacturer, the check digit shall be calculated by 
carrying out the mathematical computation specified in paragraphs (c) 
(1) through (4) of this section.
    (1) Assign to each number in the VIN its actual mathematical value 
and assign to each letter the value specified for it in Table III, as 
follows:

                       Table III--Assigned Values

A = 1
B = 2
C = 3
D = 4
E = 5
F = 6
G = 7
H = 8
J = 1
K = 2
L = 3
M = 4
N = 5
P = 7
R = 9
S = 2
T = 3
U = 4
V = 5
W = 6
X = 7
Y = 8
Z = 9

    (2) Multiply the assigned value for each character in the VIN by the 
position weight factor specified in Table IV, as follows:

                Table IV--VIN Position and Weight Factor

  1st..................................................................8
  2d...................................................................7
  3d...................................................................6
  4th..................................................................5
  5th..................................................................4
  6th..................................................................3
  7th..................................................................2
  8th.................................................................10
  9th......................................................(check digit)
10th...................................................................9
11th...................................................................8
12th...................................................................7
13th...................................................................6
14th...................................................................5
15th...................................................................4
16th...................................................................3
17th...................................................................2

    (3) Add the resulting products and divide the total by 11.
    (4) The numerical remainder is the check digit. If the remainder is 
10 the

[[Page 154]]

letter ``X'' shall be used to designate the check digit. The correct 
numeric remainder, zero through nine (0-9) or the letter ``X,'' shall 
appear in VIN position nine (9).
    (5) A sample check digit calculation is shown in Table V as follows:

                                      Table V--Calculation of a Check Digit
VIN Position................................   1   2   3   4   5   6   7   8   9  10  11  12  13  14  15  16  17
Sample VIN..................................   1   G   4   A   H   5   9   H  ..   5   G   1   1   8   3   4   1
                                                                               .
Assigned Value..............................   1   7   4   1   8   5   9   8  ..   5   7   1   1   8   3   4   1
                                                                               .
Weight Factor...............................   8   7   6   5   4   3   2  10   0   9   8   7   6   5   4   3   2
Multiply Assigned value times weight factor.   8  49  24   5  32  15  18  80   0  45  56   7   6  40  12  12  2
 
Add products: 8+49+24+5+32+15+18+80+0+45+56+7+6+40+12+12+2 = 411
Divide by 11: 411/11 = 37 4/11
The remainder is 4; this is the check digit to be inserted in position nine (9) of the VIN

    (d) The fourth section shall consist of eight characters, which 
occupy positions ten through seventeen (10-17) of the VIN. The last five 
(5) characters of this section shall be numeric for passenger cars and 
for multipurpose passenger vehicles and trucks with a gross vehicle 
weight rating of 4536 kg. (10,000 lbs.) or less, and the last four (4) 
characters shall be numeric for all other vehicles.
    (1) The first character of the fourth section shall represent the 
vehicle model year. The year shall be designated as indicated in Table 
VI as follows:

                      Table VI--Year Codes for VIN
------------------------------------------------------------------------
                           Year                                 Code
------------------------------------------------------------------------
1980......................................................            A
1981......................................................            B
1982......................................................             C
1983......................................................            D
1984......................................................            E
1985......................................................            F
1986......................................................            G
1987......................................................            H
1988......................................................            J
1989......................................................            K
1990......................................................            L
1991......................................................            M
1992......................................................            N
1993......................................................            P
1994......................................................            R
1995......................................................            S
1996......................................................            T
1997......................................................            V
1998......................................................            W
1999......................................................            X
2000......................................................            Y
2001......................................................            1
2002......................................................            2
2003......................................................            3
2004......................................................            4
2005......................................................            5
2006......................................................            6
2007......................................................            7
2008......................................................            8
2009......................................................            9
2010......................................................            A
2011......................................................            B
2012......................................................             C
2013......................................................            D
------------------------------------------------------------------------

    (2) The second character of the fourth section shall represent the 
plant of manufacture.
    (3) The third through the eighth characters of the fourth section 
shall represent the number sequentially assigned by the manufacturer in 
the production process if the manufacturer produces 500 or more vehicles 
of its type annually. If the manufacturer produces less than 500 motor 
vehicles of its type annually, the third, fourth and fifth characters of 
the fourth section, combined with the three characters of the first 
section, shall uniquely identify the manufacturer, make and type of the 
motor vehicle and the sixth, seventh, and eighth characters of the 
fourth section shall represent the number sequentially assigned by the 
manufacturer in the production process.



Sec. 565.7  Reporting requirements.

    The information collection requirements contained in this part have 
been approved by the Office of Management and Budget under the 
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.) and 
have been assigned OMB Control Number 2127-0510.
    (a) The National Highway Traffic Safety Administration (NHTSA) has 
contracted with the Society of Automotive Engineers (SAE) to coordinate 
the assignment of manufacturer identifiers. Manufacturer identifiers 
will be supplied by SAE at no charge. All requests for assignments of 
manufacturer identifiers should be forwarded directly to: Society of 
Automotive Engineers,

[[Page 155]]

400 Commonwealth Avenue, Warrendale, Pennsylvania 15096, Attention: WMI 
Coordinator. Any requests for identifiers submitted to NHTSA will be 
forwarded to SAE. Manufacturers may request a specific identifier or may 
request only assignment of an identifier(s). SAE will review requests 
for specific identifiers to determine that they do not conflict with an 
identifier already assigned or block of identifiers already reserved. 
SAE will confirm the assignments in writing to the requester. Once 
confirmed by SAE, the identifier need not be resubmitted to NHTSA.
    (b) Manufacturers of vehicles subject to this part shall submit, 
either directly or through an agent, the unique identifier for each make 
and type of vehicle it manufactures at least 60 days before affixing the 
first VIN using the identifier. Manufacturers whose unique identifier 
appears in the fourth section of the VIN shall also submit the three 
characters of the first section that constitutes a part of their 
identifier.
    (c) Manufacturers of vehicles subject to the requirements of this 
part shall submit to NHTSA the information necessary to decipher the 
characters contained in its VINs. Amendments to this information shall 
be submitted to the agency for VINs containing an amended coding. The 
agency will not routinely provide written approvals of these 
submissions, but will contact the manufacturer should any corrections to 
these submissions be necessary.
    (d) The information required under paragraph (c) of this section 
shall be submitted at least 60 days prior to offering for sale the first 
vehicle identified by a VIN containing that information, or if 
information concerning vehicle characteristics sufficient to specify the 
VIN code is unavailable to the manufacturer by that date, then within 
one week after that information first becomes available. The information 
shall be addressed to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590, 
Attention: VIN Coordinator.



PART 566--MANUFACTURER IDENTIFICATION--Table of Contents




Sec.
566.1  Scope.
566.2  Purpose.
566.3  Application.
566.4  Definitions.
566.5  Requirements.
566.6  Submittal of information.

    Authority: Secs. 112 and 119, National Traffic and Motor Vehicle 
Safety Act (15 U.S.C. 1401 and 1407); delegation of authority at 49 CFR 
1.50.



Sec. 566.1  Scope.

    This part requires manufacturers of motor vehicles, and of motor 
vehicle equipment to which a motor vehicle safety standard applies, to 
submit identifying information and a description of the items they 
produce.

[36 FR 20978, Nov. 2, 1971]



Sec. 566.2  Purpose.

    The purpose of this part is to facilitate the regulation of 
manufacturers under the National Traffic and Motor Vehicle Safety Act, 
and to aid in establishing a code numbering system for all regulated 
manufacturers.

[36 FR 20978, Nov. 2, 1971]



Sec. 566.3  Application.

    This part applies to all manufacturers of motor vehicles, and to 
manufacturers of motor vehicle equipment, other than tires, to which a 
motor vehicle safety standard applies (hereafter referred to as 
``covered equipment'').

[36 FR 22063, Nov. 19, 1971]



Sec. 566.4  Definitions.

    All terms defined in the Act and the rules and standards issued 
under its authority are used as defined therein. Specifically, 
incomplete vehicle, intermediate manufacturer, and final-stage 
manufacturer are used as defined in Part 568--Vehicles Manufactured in 
Two or More Stages.


(Authority: 15 U.S.C. 1392, 1397)

[37 FR 1364, Jan. 28, 1972]

[[Page 156]]



Sec. 566.5  Requirements.

    Each manufacturer of motor vehicles, and each manufacturer of 
covered equipment, shall furnish the information specified in paragraphs 
(a) through (c) of this section to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590.
    (a) Full individual, partnership, or corporate name of the 
manufacturer.
    (b) Residence address of the manufacturer and State of incorporation 
if applicable.
    (c) Description of each type of motor vehicle or of covered 
equipment manufactured by the manufacturer, including, for motor 
vehicles, the approximate ranges of gross vehicle weight ratings for 
each type.
    (1) Except as noted below, the description may be of general types, 
such as ``passenger cars'' or ``brake fluid.''
    (2) In the case of multipurpose passenger vehicles, trucks, and 
trailers, the description shall be specific enough also to indicate the 
types of use for which the vehicles are intended, such as ``tank 
trailer,'' ``motor home,'' or ``cargo van.''
    (3) In the case of motor vehicles produced in two or more stages, if 
the manufacturer is an incomplete vehicle manufacturer, the description 
shall so state and include a description indicating the stage of 
completion of the vehicle and, where known, the types of use for which 
the vehicle is intended.

    Example: ``Incomplete vehicle manufacturer--Chassis-cab intended for 
completion as van-type truck.''


If the manufacturer is an intermediate manufacturer, or a final stage 
manufacturer, the description shall so state and include a brief 
description of the work performed.

    Example: ``Multipurpose passenger vehicles: Motor homes with GVWR 
from 8,000 to 12,000 pounds. Final-stage manufacturer--add body to bare 
chassis.''

(15 U.S.C. 1392, 1397)

[36 FR 20978, Nov. 2, 1971, as amended at 37 FR 1364, Jan. 28, 1972]



Sec. 566.6  Submittal of information.

    Each manufacturer required to submit information under Sec. 566.5 
shall submit the information not later than February 1, 1972. After that 
date, each person who begins to manufacture a type of motor vehicle or 
covered equipment for which he has not submitted the required 
information shall submit the information specified in paragraphs (a) 
through (c) of Sec. 566.5 not later than 30 days after he begins 
manufacture. Each manufacturer who has submitted required information 
shall keep his entry current, accurate and complete by submitting 
revised information not later than 30 days after the relevant changes in 
his business occur.

[36 FR 20978, Nov. 2, 1971, as amended at 53 FR 20119, June 2, 1988]



PART 567--CERTIFICATION--Table of Contents




Sec.
567.1  Purpose.
567.2  Application.
567.3  Definitions.
567.4  Requirements for manufacturers of motor vehicles.
567.5  Requirements for manufacturers of vehicles manufactured in two or 
          more stages.
567.6  Requirements for persons who do not alter certified vehicles or 
          do so with readily attachable components.
567.7  Requirements for persons who alter certified vehicles.

    Authority: 49 U.S.C. 322, 30111, 30115, 30117, 30166, 32502, 32504, 
33101-33104, 33108, and 33109; delegation of authority at 49 CFR 1.50

    Editorial Note: For a ruling concerning unavailable weight ratings, 
see 36 FR 25013, Dec. 28, 1971.



Sec. 567.1  Purpose.

    The purpose of this part is to specify the content and location of, 
and other requirements for, the certification label or tag to be affixed 
to motor vehicles as required by section 114 of the National Traffic and 
Motor Vehicle Safety Act of 1966 (15 U.S.C. 1403) (the Safety Act) and 
by sections 105(c)(1) and 606(c) of the Motor Vehicle Information and 
Cost Savings Act (15 U.S.C. 1915(c) and 2026(c)) (the Cost Savings Act), 
and to provide the consumer with information to assist him or her in 
determining which of the Federal Motor Vehicle Safety Standards (part 
571 of this chapter) and Federal Theft Prevention Standards (part 541 of 
this

[[Page 157]]

chapter) (standards) are applicable to the vehicle.

[50 FR 43192, Oct. 24, 1985]



Sec. 567.2  Application.

    (a) This part applies to manufacturers and distributors of motor 
vehicles to which one or more standards are applicable.
    (b) In the case of imported motor vehicles, the requirement of 
affixing a label or tag applies to Registered Importers of vehicles 
admitted to the United States under 49 CFR 591.5(f) to which the 
required label or tag is not affixed.

[36 FR 7056, Apr. 14, 1971, as amended at 48 FR 46995, Oct. 17, 1983; 56 
FR 22356, May 15, 1991]



Sec. 567.3  Definitions.

    All terms that are defined in the Act and the rules and standards 
issued under its authority are used as defined therein. The term bumper 
has the meaning assigned to it in Title I of the Cost Savings Act and 
the rules and standards issued under its authority.
    Chassis-cab means an incomplete vehicle, with a completed occupant 
compartment, that requires only the addition of cargo-carrying, work-
performing, or load-bearing components to perform its intended 
functions.

[36 FR 7056, Apr. 14, 1971, as amended at 42 FR 37817, July 25, 1977; 43 
FR 21891, May 22, 1978]



Sec. 567.4  Requirements for manufacturers of motor vehicles.

    (a) Each manufacturer of motor vehicles (except vehicles 
manufactured in two or more stages) shall affix to each vehicle a label, 
of the type and in the manner described below, containing the statements 
specified in paragraph (g) of this section.
    (b) The label shall, unless riveted, be permanently affixed in such 
a manner that it cannot be removed without destroying or defacing it.
    (c) Except for trailers and motorcycles, the label shall be affixed 
to either the hinge pillar, door-latch post, or the door edge that meets 
the door-latch post, next to the driver's seating position, or if none 
of these locations is practicable, to the left side of the instrument 
panel. If that location is also not practicable, the label shall be 
affixed to the inward-facing surface of the door next to the driver's 
seating position. If none of the preceding locations is practicable, 
notification of that fact, together with drawings or photographs showing 
a suggested alternate location in the same general area, shall be 
submitted for approval to the Administrator, National Highway Traffic 
Safety Administration, Washington, DC 20590. The location of the label 
shall be such that it is easily readable without moving any part of the 
vehicle except an outer door.
    (d) The label for trailers shall be affixed to a location on the 
forward half of the left side, such that it is easily readable from 
outside the vehicle without moving any part of the vehicle.
    (e) The label for motorcycles shall be affixed to a permanent member 
of the vehicle as close as is practicable to the intersection of the 
steering post with the handle bars, in a location such that it is easily 
readable without moving any part of the vehicle except the steering 
system.
    (f) The lettering on the label shall be of a color that contrasts 
with the background of the label.
    (g) The label shall contain the following statements, in the English 
language, lettered in block capitals and numerals not less than three 
thirty-seconds of an inch high, in the order shown:
    (1) Name of manufacturer: Except as provided in paragraphs (g)(1) 
(i), (ii), and (iii) of this section, the full corporate or individual 
name of the actual assembler of the vehicle shall be spelled out, except 
that such abbreviations as ``Co.'' or ``Inc.'' and their foreign 
equivalents, and the first and middle initials of individuals, may be 
used. The name of the manufacturer shall be preceded by the words 
``Manufactured By'' or ``Mfd By.'' In the case of imported vehicles, 
where the label required by this section is affixed by the Registered 
Importer, the name of the Registered Importer shall also be placed on 
the label in the manner described in this paragraph, directly below the 
name of the final assembler.
    (i) If a vehicle is assembled by a corporation that is controlled by 
another

[[Page 158]]

corporation that assumes responsibility for conformity with the 
standards, the name of the controlling corporation may be used.
    (ii) If a vehicle is fabricated and delivered in complete but 
unassembled form, such that it is designed to be assembled without 
special machinery or tools, the fabricator of the vehicle may affix the 
label and name itself as the manufacturer for the purposes of this 
section.
    (iii) If a trailer is sold by a person who is not its manufacturer, 
but who is engaged in the manufacture of trailers and assumes legal 
responsibility for all duties and liabilities imposed by the Act with 
respect to that trailer, the name of that person may appear on the label 
as the manufacturer. In such a case the name shall be preceded by the 
words ``Responsible Manufacturer'' or ``Resp Mfr.''
    (2) Month and year of manufacture: This shall be the time during 
which work was completed at the place of main assembly of the vehicle. 
It may be spelled out, as ``June 1970'', or expressed in numerals, as 
``6/70.''
    (3) ``Gross Vehicle Weight Rating'' or ``GVWR,'' followed by the 
appropriate value in pounds, which shall not be less than the sum of the 
unloaded vehicle weight, rated cargo load, and 150 pounds times the 
vehicle's designated seating capacity. However, for school buses the 
minimum occupant weight allowance shall be 120 pounds.
    (4) ``Gross Axle Weight Rating'' or ``GAWR,'' followed by the 
appropriate value in pounds for each axle, identified in order from 
front to rear (e.g., front, first intermediate, second intermediate, 
rear). The ratings for any consecutive axles having indentical gross 
axle weight ratings when equipped with tires having the same tire size 
designation may, at the option of the manufacturer, be stated as a 
single value, with label indicating to which axles the ratings apply.

                      Examples of Combined Ratings

    GAWR: (a) All axles--4080 with 7.00-15 LT (D) tires.
    (b) Front--12,000 with 10.00-20(G) tires.
    First intermediate to rear--15,000 with 12.00-20(H) tires.

    (5) The statement: ``This vehicle conforms to all applicable Federal 
motor vehicle safety standards in effect on the date of manufacture 
shown above.'' The expression ``U.S.'' or ``U.S.A.'' may be inserted 
before the word ``Federal''.
    (i) In the case of passenger cars manufactured on or after September 
1, 1978, the expression ``and bumper'' shall be included in the 
statement following the word ``safety''.
    (ii) In the case of 1987 and subsequent model year passenger cars 
manufactured on or after April 24, 1986, the expression ``safety, 
bumper, and theft prevention'' shall be substituted in the statement for 
the word ``safety''.
    (iii) In the case of multipurpose passenger vehicles (MPVs) and 
trucks with a GVWR of 6,000 pounds or less manufactured on or after June 
11, 1999, the expression ``and theft prevention'' shall be included in 
the statement following the word ``safety''.
    (6) Vehicle identification number.
    (7) The type classification of the vehicle as defined in Sec. 571.3 
of this chapter (e.g., truck, MPV, bus, trailer).
    (h) Multiple GVWR-GAWR ratings. (1) (For passenger cars only) In 
cases where different tire sizes are offered as a customer option, a 
manufacturer may at his option list more than one set of values for GVWR 
and GAWR, in response to the requirements of paragraphs (g) (3) and (4) 
of this section. If the label shows more than one set of weight rating 
values, each value shall be followed by the phrase ``with ______ 
tires,'' inserting the proper tire size designations. A manufacturer may 
at his option list one or more tire sizes where only one set of weight 
ratings is provided.

                          Passenger Car Example

GVWR:
    4400 LB with G78-14B Tires, 4800 LB with H78-14B Tires.

GAWR:
    Front--2000 LB with G78-14B Tires at 24 psi, 2200 LB with H78-14B 
Tires at 24 psi.
    Rear--2400 LB with G78-14B Tires at 28 psi, 2600 LB with H78-14B 
Tires at 28 psi.

    (2) (For multipurpose passenger vehicles, trucks, buses, trailers, 
and motorcycles) The manufacturer may, at its option, list more than one 
GVWR-GAWR-tire-rim-combination on the label, as long as the listing 
conforms in

[[Page 159]]

content and format to the requirements for tire-rim-inflation 
information set forth in Standard No. 120 of this chapter 
(Sec. 571.120).
    (3) At the option of the manufacturer, additional GVWR-GAWR ratings 
for operation of the vehicle at reduced speeds may be listed at the 
bottom of the certification label following any information that is 
required to be listed.
    (i) [Reserved]
    (j) A manufacturer may, at his option, provide information 
concerning which tables in the document that accompanies the vehicle 
pursuant to Sec. 575.6(a) of this chapter apply to the vehicle. This 
information may not precede or interrupt the information required by 
paragraph (g) of this section.
    (k) In the case of passenger cars admitted to the United States 
under 49 CFR part 592 to which the label required by this section has 
not been affixed by the original producer or assembler of the passenger 
car, a label meeting the requirements of this paragraph shall be affixed 
by the importer before the vehicle is imported into the United States, 
if the car is from a line listed in Appendix A of 49 CFR Part 541. This 
label shall be in addition to, and not in place of, the label required 
by paragraphs (a) through (j), inclusive, of this section.
    (1) The label shall, unless riveted, be permanently affixed in such 
a manner that it cannot be removed without destroying or defacing it.
    (2) The label shall be affixed to either the hinge pillar, door-
latch post, or the door edge that meets the door-latch post, next to the 
driver's seating position, or, if none of these locations is 
practicable, to the left side of the instrument panel. If that location 
is also not practicable, the label shall be affixed to the inward-facing 
surface of the door next to the driver's seating position. The location 
of the label shall be such that it is easily readable without moving any 
part of the vehicle except an outer door.
    (3) The lettering on the label shall be of a color that contrasts 
with the background of the label.
    (4) The label shall contain the following statements, in the English 
language, lettered in block capitals and numerals not less than three 
thirty-seconds of an inch high, in the order shown:
    (i) Model year (if applicable) or year of manufacture and line of 
the vehicle, as reported by the manufacturer that produced or assembled 
the vehicle. ``Model year'' is used as defined in Sec. 565.3(h) of this 
chapter. ``Line'' is used as defined in Sec. 541.4 of this chapter.
    (ii) Name of the importer: The full corporate or individual name of 
the importer of the vehicle shall be spelled out, except that such 
abbreviations as ``Co.'' or ``Inc.'' and their foreign equivalents and 
the middle initial of individuals, may be used. The name of the importer 
shall be preceded by the words ``Imported By''.
    (iii) The statement: ``This vehicle conforms to the applicable 
Federal motor vehicle theft prevention standard in effect on the date of 
manufacture.''
    (l)(1) In the case of a passenger car imported into the United 
States under 49 CFR 591.5(f) which does not have an identification 
number that complies with 49 CFR 565.4 (b), (c), and (g) at the time of 
importation, the Registered Importer shall permanently affix a label to 
the vehicle in such a manner that, unless the label is riveted, it 
cannot be removed without being destroyed or defaced. The label shall be 
in addition to the label required by paragraph (a) of this section, and 
shall be affixed to the vehicle in a location specified in paragraph (c) 
of this section.
    (2) The label shall contain the following statement, in the English 
language, lettered in block capitals and numerals not less than 4 mm 
high, with the location on the vehicle of the original manufacturer's 
identification number provided in the blank: ORIGINAL MANUFACTURER'S 
IDENTIFICATION NUMBER SUBSTITUTING FOR U.S. VIN IS LOCATED ____________.

[36 FR 7056, Apr. 14, 1971, as amended at 36 FR 23572, Dec. 10, 1971; 41 
FR 3479, Jan. 23, 1976; 41 FR 13923, Apr. 1, 1976; 42 FR 7144, Feb. 7, 
1977; 42 FR 31162, June 20, 1977; 42 FR 37371, July 21, 1977; 42 FR 
37817, July 25, 1977; 50 FR 43192, Oct. 24, 1985; 52 FR 28562, July 31, 
1987; 54 FR 46256, Nov. 2, 1989; 56 FR 22356, May 15, 1991; 59 FR 64170, 
Dec. 13, 1994; 61 FR 29036, June 7, 1996; 64 FR 6817, Feb. 11, 1999]

[[Page 160]]



Sec. 567.5  Requirements for manufacturers of vehicles manufactured in two or more stages.

    (a) Except as provided in paragraph (e) of this section, each 
manufacturer of a chassis-cab shall affix a label to each chassis-cab 
manufactured on or after July 25, 1978, in the location and form 
specified in Sec. 567.4, that contains the following statements to the 
extent that they are applicable.
    (1) ``This chassis-cab conforms to Federal Motor Vehicle Safety 
Standard Nos. ______.'' The statement shall be completed by inserting 
the numbers of the safety standards (e.g., 101, 207) to which the 
chassis-cab conforms.
    (2) ``This vehicle will conform to Standard Nos. ______ if it is 
completed in accordance with the instructions contained in the 
incomplete vehicle document furnished pursuant to 49 CFR part 568.'' The 
statement shall be completed by inserting the numbers of the safety 
standards conformity to which is substantially affected by both the 
design of the chassis-cab and the manner in which the vehicle is 
completed (i.e., the standards listed under category (ii) in 
Sec. 568.4(a)(7) of this chapter).
    (3) ``Comformity to the other safety standards applicable to this 
vehicle when completed is not substantially affected by the design of 
the chassis-cab.''
    (4) Name of chassis-cab manufacturer preceded by the words 
``CHASSIS-CAB MANUFACTURED BY'' or ``CHASSIS-CAB MFD BY''.
    (5) Month and year of manufacture of chassis-cab. This may be 
spelled out, as in ``JUNE 1970'', or expressed in numerals, as in ``6/
70''. No preface is required.
    (b) Except as provided in paragraphs (e) and (f) of this section, 
each intermediate manufacturer of a vehicle manufactured in two or more 
stages shall affix a label, in the location and form specified in 
Sec. 567.4, to each chassis-cab respecting which he is required by 
Sec. 568.5 to furnish an addendum to the incomplete vehicle document 
described in Sec. 568.4. However, this paragraph applies only to 
chassis-cabs that have been certified by a chassis-cab manufacturer in 
accordance with paragraph (a) of this section. The label shall contain 
the following statements as appropriate.
    (1)(i) ``With respect to Standard Nos. ______, the instructions of 
prior manufacturers have been followed so that the chassis-cab now 
conforms to these standards.'' The statement shall be completed by 
inserting the numbers of all or less than all of the standards, and only 
those standards, respecting which the latest prior certification 
statement was in the form prescribed in paragraph (a)(2) or (b)(2) of 
this section.
    (ii) ``This chassis-cab conforms to Federal Motor Vehicle Safety 
Standard Nos. ______.'' The statement shall be completed by inserting 
the numbers of the other standards to which the chassis-cab conforms, 
excluding those standards respecting which the latest prior 
certification statement was in the form prescribed in paragraphs (a)(1), 
(b)(1)(i), or this paragraph.
    (2) ``This vehicle will conform to Standard Nos. ______ if it is 
completed in accordance with the instructions contained in the amended 
incomplete vehicle document furnished pursuant to 49 CFR part 568.'' The 
statement shall be completed by inserting the numbers of the standards 
conformity to which is substantially affected by both the design of the 
chassis-cab (as modified by the intermediate manufacturer) and the 
manner in which the vehicle is completed.
    (3) ``Conformity to Standard Nos. ______ is no longer substantially 
affected by the design of this chassis-cab.'' The statement shall be 
completed by inserting the numbers of all or less than all of the 
standards, and only those standards, respecting which the latest prior 
certification statement was in the form prescribed in paragraphs (a) (1) 
and (2), (b)(1) (i) and (ii), or (b)(2) of this section.
    (4) Name of intermediate manufacturer, preceded by the words 
``INTERMEDIATE MANUFACTURE BY'' or ``INTERMEDIATE MFR BY''.
    (5) Month and year in which the intermediate manufacturer performed 
his last manufacturing operation on the chassis-cab. This may be spelled 
out, as ``JUNE 1970'', or expressed as numerals, as ``6/70''. No preface 
is required.

[[Page 161]]

    (c) Except as provided in paragraphs (e) and (f) of this section, 
each final-stage manufacturer, as defined in Sec. 568.3 of Title 49 of 
the CFR, of a vehicle manufactured in two or more stages shall affix to 
each vehicle a label, of the type and in the manner and form described 
in Sec. 567.4 of this part, containing the following statements:
    (1) Name of final-stage manufacturer, preceded by the words 
``MANUFACTURED BY'' or ``MFD BY''.
    (2) Month and year in which final-stage manufacture is completed. 
This may be spelled out, as in ``JUNE 1970'', or expressed in numerals, 
as in ``6/70''. No preface is required.
    (3) Name of original manufacturer of the incomplete vehicle, 
preceded by the words ``INCOMPLETE VEHICLE MANUFACTURED BY'' or ``INC 
VEH MFD BY''. This item and item (4) may be omitted in cases where the 
incomplete vehicle was a chassis-cab.
    (4) Month and year in which the original manufacturer of the 
incomplete vehicle performed his last manufacturing operation on the 
incomplete vehicle, in the same form as paragraph (c)(2) of this 
section.
    (5) ``GROSS VEHICLE WEIGHT RATING'' or ``GVWR'', followed by the 
appropriate value in pounds, which shall not be less than the sum of the 
unloaded vehicle weight, rated cargo load, and 150 pounds times the 
vehicle's designated seating capacity. However, for school buses the 
minimum occupant weight allowance shall be 120 pounds.
    (6) ``GROSS AXLE WEIGHT RATING'' or ``GAWR'', followed by the 
appropriate value in pounds for each axle, identified in order from 
front to rear (e.g., front, first intermediate, second intermediate, 
rear). The ratings for any consecutive axles having identical gross axle 
weight ratings when equipped with tires having the same tire size 
designation may be stated as a single value, with the label indicating 
to which axles the rating apply.

                      Examples of Combined Ratings

    GAWR: (a) All axles--4080 with 7.00-15 LT(D) tires; (b) Front--
12,000 with 10.00-20(G) tires. First intermediate to rear--15,000 with 
12.00-20(H) tires.

    (7) One of the following statements as appropriate. Statements (i), 
(ii), and (iii) are alternative certification statements. Statement (i) 
may be used by manufacturers meeting the requirements described in the 
instruction portion of that paragraph. Statements (ii) and (iii) may be 
used by any final-stage manufacturer.
    (i) ``Conformity of the chassis-cab to Federal Motor Vehicle Safety 
Standards, which have been previously fully certified by the incomplete 
vehicle manufacturer or intermediate vehicle manufacturer, has not been 
affected by final-stage manufacture. The vehicle has been completed in 
accordance with the prior manufacturer's instructions, where applicable. 
This vehicle conforms to all other applicable Federal Motor Vehicle 
Safety Standards in effect in (month, year).''

The preceding statement shall be used only in cases in which the final-
stage manufacturer has:

(A) Not affected conformity to standards compliance with which has been 
fully certified by a chassis-cab manufacturer pursuant to paragraph 
(a)(1) of this section or by an intermediate manufacturer pursuant to 
paragraphs (b)(1)(i) or (b)(1)(ii) of this section, and (B) has 
completed the vehicle in accordance with the prior manufacturer's 
instructions in regard to standards listed, as apporpriate, in a 
chassis-cab manufacturer's conditional statement under paragraph (a)(2) 
of this section or in an intermediate manufacturer's conditional 
statement under paragraph (b)(2) of this section. The date shown in the 
third sentence of the statement shall be not earlier than the 
manufacturing date of the incomplete vehicle, and not later than the 
date of completion of final-stage manufacture.
    (ii) ``Conformity of the chassis-cab to Federal Motor Vehicle Safety 
Standards Nos. ------ has not been affected by final stage manufacture. 
With respect to Standards Nos. ____________, the vehicle has been 
completed in accordance with the prior manufacturer's instructions. This 
vehicle conforms to all other applicable Federal Motor Vehicle Safety 
Standards in effect in (month, year).''

[[Page 162]]

    The first sentence of the preceding statement shall be completed by 
inserting the numbers of all or less than all of the standards, and only 
those standards, respecting which the latest prior certification 
statement was made by a chassis-cab manufacturer pursuant to paragraph 
(a)(1) of this section or by an intermediate manufacturer pursuant to 
paragraphs (b)(1)(i) or (b)(1)(ii) of this section. The second sentence 
of the statement shall be completed by inserting the numbers of all or 
less than all of the standards and only those standards, respecting 
which the latest prior certification statement was a chassis-cab 
manufacturer's conditional statement under paragraph (a)(2) of this 
section or an intermediate manufacturer's conditional statement under 
paragraph (b)(2) of this section. The date shown in the third sentence 
of the statement shall be not earlier than the manufacturing date of the 
incomplete vehicle, and not later than the date of completion of final-
stage manufacture.
    (iii) ``This vehicle conforms to all applicable Federal Motor 
Vehicle Safety Standards in effect in (month, year).''
    The date shown shall be not earlier than the manufacturing date of 
the incomplete vehicle and not later than the date of completion of 
final-stage manufacture.
    (8) Vehicle identification number.
    (9) The type classification of the vehicle as defined in Sec. 571.3 
of Title 49 of the CFR (e.g., truck, MPV, bus, trailer).
    (d) More than one set of figures for GVWR and GAWR, and one or more 
tire sizes, may be listed in satisfaction of the requirements of 
paragraphs (c) (5) and (6) of this section, as provided in 
Sec. 567.4(h).
    (e) If an incomplete vehicle manufacturer assumes legal 
responsibility for all duties and liabilities imposed by the Act, with 
respect to the vehicle as finally manufactured, the incomplete vehicle 
manufacturer shall ensure that a label is affixed to the final vehicle 
in conformity with paragraph (c) of this section, except that the name 
of the incomplete vehicle manufacturer shall appear instead of the name 
of the final-stage manufacturer after the words ``MANUFACTURED BY'' or 
``MFD BY'' required by paragraph (c)(1) of this section, the additional 
manufacturer's name required by paragraph (c)(3) of this section shall 
be omitted, and the date required by paragraph (c)(4) of this section 
shall be preceded by the words ``INCOMPLETE VEHICLE MANUFACTURED'' or 
``INC VEH MFD.''
    (f) If an intermediate manufacturer of a vehicle assumes legal 
responsibility for all duties and liabilities imposed on manufacturers 
by the Act, with respect to the vehicle as finally manufactured, the 
intermediate manufacturer shall ensure that a label is affixed to the 
final vehicle in conformity with paragraph (c) of this section, except 
that the name of the intermediate manufacturer shall appear instead of 
the name of the final-stage manufacturer after the words ``MANUFACTURED 
BY'' or ``MFD BY'' required by paragraph (c)(1) of this section.

[42 FR 37817, July 25, 1977; 42 FR 46927, Sept. 19, 1977, as amended at 
43 FR 9605, Mar. 3, 1978; 43 FR 12014, Mar. 23, 1978; 43 FR 29124, July 
6, 1978; 48 FR 51309, Nov. 8, 1983]



Sec. 567.6  Requirements for persons who do not alter certified vehicles or do so with readily attachable components.

    A person who does not alter a motor vehicle or who alters such a 
vehicle only by the addition, substitution, or removal of readily 
attachable components such as mirrors or tires and rim assemblies, or 
minor finishing operations such as painting, in such a manner that the 
vehicle's stated weight ratings are still valid, need not affix a label 
to the vehicle, but shall allow a manufacturer's label that conforms to 
the requirements of this part to remain affixed to the vehicle. If such 
a person is a distributor of the motor vehicle, allowing the 
manufacturer's label to remain affixed to the vehicle shall satisfy the 
distributor's certification requirements under the Act.

[38 FR 15962, June 19, 1973]



Sec. 567.7  Requirements for persons who alter certified vehicles.

    A person who alters a vehicle that has previously been certified in 
accordance with Sec. 567.4 or Sec. 567.5, other than

[[Page 163]]

by the addition, substitution, or removal of readily attachable 
components such as mirrors or tire and rim assemblies, or minor 
finishing operations such as painting, or who alters the vehicle in such 
a manner that its stated weight ratings are no longer valid, before the 
first purchase of the vehicle in good faith for purposes other than 
resale, shall allow the original certification label to remain on the 
vehicle, and shall affix to the vehicle an additional label of the type 
and in the manner and form described in Sec. 567.4, containing the 
following information:
    (a) The statement: ``This vehicle was altered by (individual or 
corporate name) in (month and year in which alterations were completed) 
and as altered it conforms to all applicable Federal Motor Vehicle 
Safety Standards affected by the alteration and in effect in (month, 
year).'' The second date shall be no earlier than the manufacturing date 
of the original vehicle, and no later than the date alterations were 
completed.
    (1) In the case of passenger cars manufactured on or after January 
1, 2000, the expression ``safety, bumper, and theft prevention'' shall 
be substituted in the statement for the word ``safety''.
    (2) In the case of multipurpose passenger vehicles (MPVs) and trucks 
with a GVWR of 6,000 pounds or less manufactured on or after January 1, 
2000, the expression ``and theft prevention'' shall be included in the 
statement following the word ``safety''.
    (b) If the gross vehicle weight rating or any of the gross axle 
weight ratings of the vehicle as altered are different from those shown 
on the original certification label, the modified values shall be 
provided in the form specified in Sec. 567.4(g) (3) and (5).
    (c) If the vehicle as altered has a different type classification 
from that shown on the original certification label, the type as 
modified shall be provided.

[38 FR 15963, June 19, 1973, as amended at 43 FR 21891, May 22, 1978; 45 
FR 18929, Mar. 24, 1980; 64 FR 38595, July 19, 1999]



PART 568--VEHICLES MANUFACTURED IN TWO OR MORE STAGES--Table of Contents




Sec.
568.1  Purpose and scope.
568.2  Application.
568.3  Definitions.
568.4  Requirements for incomplete vehicle manufacturers.
568.5  Requirements for intermediate manufacturers.
568.6  Requirements for final-stage manufacturers.
568.7  Requirements for manufacturers who assume legal responsibility 
          for the vehicle.
568.8  Requirements for persons who alter certified vehicles.

    Authority: Secs. 103, 112, 114, and 119, National Traffic and Motor 
Vehicle Safety Act (15 U.S.C. 1392, 1401, 1403, and 1407); delegation of 
authority at 49 CFR 1.50.



Sec. 568.1  Purpose and scope.

    The purpose of this part is to prescribe the method by which 
manufacturers of vehicles manufactured in two or more stages shall 
ensure conformity of those vehicles with the Federal motor vehicle 
safety standards (``standards'') and other regulations issued under the 
National Traffic and Motor Vehicle Safety Act.

[36 FR 7057, Apr. 14, 1971]



Sec. 568.2  Application.

    This part applies to incomplete vehicle manufacturers, intermediate 
manufacturers, and final-stage manufacturers of vehicles manufactured in 
two or more stages.

[36 FR 7057, Apr. 14, 1971]



Sec. 568.3  Definitions.

    Completed vehicle means a vehicle that requires no further 
manufacturing operations to perform its intended function, other than 
the addition of readily attachable components, such as mirrors or tire 
and rim assemblies, or minor finishing operations such as painting.
    Final-stage manufacturer means a person who performs such 
manufacturing operations on an incomplete vehicle that it becomes a 
completed vehicle.

[[Page 164]]

    Incomplete vehicle means an assemblage consisting, as a minimum, of 
frame and chassis structure, power train, steering system, suspension 
system, and braking system, to the extent that those systems are to be 
part of the completed vehicle, that requires further manufacturing 
operations, other than the addition of readily attachable components, 
such as mirrors or tire and rim assemblies, or minor finishing 
operations such as painting, to become a completed vehicle.
    Intermediate manufacturer means a person, other than the incomplete 
vehicle manufacturer or the final-stage manufacturer, who performs 
manufacturing operations on an incomplete vehicle.
    Incomplete vehicle manufacturer means a person who manufactures an 
incomplete vehicle by assembling components none of which, taken 
separately, constitute an incomplete vehicle.

[36 FR 7057, Apr. 14, 1971, as amended at 37 FR 10938, June 1, 1972]



Sec. 568.4  Requirements for incomplete vehicle manufacturers.

    (a) The incomplete vehicle manufacturer shall furnish with the 
incomplete vehicle, at or before the time of delivery, a document that 
contains the following statements, in the order shown, and any other 
information required by this chapter to be included therein.
    (1) Name and mailing address of the incomplete vehicle manufacturer.
    (2) Month and year during which the incomplete vehicle manufacturer 
performed his last manufacturing operation on the incomplete vehicle.
    (3) Identification of the incomplete vehicle(s) to which the 
document applies. The identification may be by serial number, groups of 
serial numbers, or otherwise, but it must be sufficient to ascertain 
positively that a document applies to a particular incomplete vehicle 
after the document has been removed from the vehicle.
    (4) Gross vehicle weight rating of the completed vehicle for which 
the incomplete vehicle is intended.
    (5) Gross axle weight rating for each axle of the completed vehicle, 
listed and identified in order from front to rear (e.g., front, first 
intermediate, second intermediate, rear). The ratings for any consective 
axles having identical gross axle weight ratings when equipped with 
tires having the same tire size designation may, at the option of the 
incomplete vehicle manufacturer, be stated as a single value, with the 
label indicating to which axles the ratings apply.

                       Example of Combined Ratings

    GAWR: (a) All axles--4080 with 7.00-15 LT(D) tires.
    (b) Front--12,000 with 10.00-20(G) tires.
    First intermediate to rear--15,000 with 12.00-20(H) tires.

    (6) Listing of the vehicle types as defined in Sec. 571.3 of this 
chapter (e.g., truck, MPV, bus, trailer) into which the incomplete 
vehicle may appropriately be manufactured.
    (7) Listing by number of each standard, in effect at the time of 
manufacture of the incomplete vehicle, that applies to any of the 
vehicle types listed in this paragraph (a)(6) of this section, followed 
in each case by one of the following three types of statement, as 
applicable:
    (i) A statement that the vehicle when completed will conform to the 
standard if no alterations are made in identified components of the 
incomplete vehicle.

    Example: 107--This vehicle when completed will conform to Standard 
107 (see Sec. 571.107 of this chapter), Reflecting Surfaces, if no 
alterations are made in the windshield wiper components or in the 
reflecting surfaces in the interior of the cab.

    (ii) A statement of specific conditions of final manufacture under 
which the manufacturer specifies that the completed vehicle will conform 
to the standard.

    Example: 121--This vehicle when completed will conform to Standard 
121, Airbrake Systems (see Sec. 571.121 of this chapter), if it does not 
exceed any of the gross axle weight ratings, if the center of gravity at 
GVWR is not higher than nine feet above the ground, and if no 
alterations are made in any brake system component.

    (iii) A statement that conformity with the standard is not 
substantially affected by the design of the incomplete vehicle, and that 
the incomplete vehicle manufacturer makes no representation as to 
conformity with the standard.

[[Page 165]]

    (b) The document shall be attached to the incomplete vehicle in such 
a manner that it will not be inadvertently detached, or alternatively, 
it may be sent directly to a final-stage manufacturer, intermediate 
manufacturer or purchaser for purposes other than resale to whom the 
incomplete vehicle is delivered.

[36 FR 7057, Apr. 14, 1971, as amended at 42 FR 31162, June 20, 1977; 42 
FR 37371, July 21, 1977; 42 FR 37816, July 25, 1977]



Sec. 568.5  Requirements for intermediate manufacturers.

    (a) Each intermediate manufacturer of an incomplete vehicle shall 
furnish the document required by Sec. 568.4 in the manner specified in 
that section. If any of the changes in the vehicle made by the 
intermediate manufacturer affect the validity of the statements in the 
document as provided to him he shall furnish an addendum to the document 
that contains his name and mailing address and an indication of all 
changes that should be made in the document to reflect changes that he 
made in the vehicle.
    (b) Each intermediate manufacturer shall, in accordance with 
Sec. 567.5 of this chapter, affix a label to each chassiscab respecting 
which he is required by paragraph (a) above to furnish an addendum to 
the document required by Sec. 568.4.


(Authority: Secs. 103, 108, 112, 114, 119, Pub. L. 89-563, 80 Stat. 718 
(15 U.S.C. 1392, 1397, 1401, 1403, 1407); delegation of authority at 49 
CFR 1.50)

[43 FR 9605, Mar. 9, 1978]



Sec. 568.6  Requirements for final-stage manufacturers.

    (a) Each final-stage manufacturer shall complete the vehicle in such 
a manner that it conforms to the standards in effect on the date of 
manufacture of the incomplete vehicle, the date of final completion, or 
a date between those two dates. This requirement shall, however, be 
superseded by any conflicting provisions of a standard that applies by 
its terms to vehicles manufactured in two or more stages.
    (b) Each final-stage manufacturer shall affix a label to the 
completed vehicle in accordance with Sec. 567.5 of this chapter.

[36 FR 7057, Apr. 14, 1971, as amended at 42 FR 37817, July 25, 1977]



Sec. 568.7  Requirements for manufacturers who assume legal responsibility for the vehicle.

    (a) If an incomplete vehicle manufacturer assumes legal 
responsibility for all duties and liabilities imposed on manufacturers 
by the National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1381 
through 1425) (hereafter referred to as the Act), with respect to the 
vehicle as finally manufactured, the requirements of Secs. 568.4, 568.5 
and 568.6(b) do not apply to that vehicle. In such a case, the 
incomplete vehicle manufacturer shall ensure that a label is affixed to 
the final vehicle in conformity with Sec. 567.5(e) of this chapter.
    (b) If an intermediate manufacturer of a vehicle assumes legal 
responsibility for all duties and liabilities imposed on manufacturers 
by the Act, with respect to the vehicle as finally manufactured, 
Secs. 568.5 and 568.6(b) do not apply to that vehicle. In such a case, 
the manufacturer assuming responsibility shall ensure that a label is 
affixed to the final vehicle in conformity with Sec. 567.5(f) of this 
chapter. The assumption of responsibility by an intermediate 
manufacturer does not, however, change the requirements for incomplete 
vehicle manufacturers in Sec. 568.4.

[36 FR 7057, Apr. 14, 1971, as amended at 42 FR 37817, July 25, 1977]



Sec. 568.8  Requirements for persons who alter certified vehicles.

    A person who alters a vehicle that has been previously certified in 
accordance with Sec. 567.4 or Sec. 567.5, other than by the addition, 
substitution, or removal of readily attachable components such as 
mirrors or tire and rim assemblies, or minor finishing operations such 
as painting, or who alters a vehicle in such a manner that its stated 
weight ratings are no longer valid, before the first purchase of the 
vehicle in good faith for purposes other than resale, shall ascertain 
that the vehicle as altered conforms to the standards which are affected 
by the alteration and are in effect on the original date of

[[Page 166]]

manufacture of the vehicle, the date of final completion, or a date 
between those two dates. That person shall certify the vehicle in 
accordance with Sec. 567.7 of this chapter.

[45 FR 18929, Mar. 24, 1980]



PART 569--REGROOVED TIRES--Table of Contents




Sec.
569.1  Purpose and scope.
569.3  Definitions.
569.5  Applicability.
569.7  Requirements.
569.9  Labeling of regroovable tires.

    Authority: Secs. 119, 204, 80 Stat. 728, 729 (15 U.S.C. 1407, 1424); 
and Secretary's delegation of authority, 49 CFR 1.4(c).



Sec. 569.1  Purpose and scope.

    This part sets forth the conditions under which regrooved and 
regroovable tires manufactured or regrooved after the effective date of 
the regulation may be sold, offered for sale, introduced for sale or 
delivered for introduction into interstate commerce.

[42 FR 21613, Apr. 28, 1977]



Sec. 569.3  Definitions.

    (a) Statutory definitions. All terms used in this part that are 
defined in section 102 of the National Traffic and Motor Vehicle Safety 
Act of 1966 (15 U.S.C. 1391) are used as defined in the Act.
    (b) Motor Vehicle Safety Standard definitions. Unless otherwise 
indicated, all terms used in this part that are defined in the Motor 
Vehicle Safety Standards, part 571, of this subchapter (hereinafter 
``The Standards''), are used as defined therein without regard to the 
applicability of a standard in which a definition is contained.
    (c) Regroovable tire means a tire, either original tread or retread, 
designed and constructed with sufficient tread material to permit 
renewal of the tread pattern or the generation of a new tread pattern in 
a manner which conforms to this part.
    (d) Regrooved tire means a tire, either original tread or retread, 
on which the tread pattern has been renewed or a new tread has been 
produced by cutting into the tread of a worn tire to a depth equal to or 
deeper than the molded original groove depth.

[34 FR 1150, Jan. 24, 1969. Redesignated at 35 FR 5118, Mar. 26, 1970]



Sec. 569.5  Applicability.

    (a) General. Except as provided in paragraph (b) of this section, 
this part applies to all motor vehicle regrooved or regroovable tires 
manufactured or regrooved after the effective date of the regulation.
    (b) Export. This part does not apply to regrooved or regroovable 
tires intended solely for export and so labeled or tagged.

[34 FR 1150, Jan. 24, 1969. Redesignated at 35 FR 5118, Mar. 26, 1970]



Sec. 569.7  Requirements.

    (a) Regrooved tires. (1) Except as permitted by paragraph (a)(2) of 
this section, no person shall sell, offer for sale, or introduce or 
deliver for introduction into interstate commerce regrooved tires 
produced by removing rubber from the surface of a worn tire tread to 
generate a new tread pattern. Any person who regrooves tires and leases 
them to owners or operators of motor vehicles and any person who 
regrooves his own tires for use on motor vehicles is considered to be a 
person delivering for introduction into interstate commerce within the 
meaning of this part.
    (2) A regrooved tire may be sold, offered for sale, or introduced 
for sale or delivered for introduction into interstate commerce only if 
it conforms to each of the following requirements:
    (i) The tire being regrooved shall be a regroovable tire;
    (ii) After regrooving, cord material below the grooves shall have a 
protective covering of tread material at least \3/32\-inch thick;
    (iii) After regrooving, the new grooves generated into the tread 
material and any residual original molded tread groove which is at or 
below the new regrooved depth shall have a minimum of 90 linear inches 
of tread edges per linear foot of the circumference;
    (iv) After regrooving, the new groove width generated into the tread 
material shall be a minimum of \3/16\-inch and a maximum of \5/16\-inch;

[[Page 167]]

    (v) After regrooving, all new grooves cut into the tread shall 
provide unobstructed fluid escape passages; and
    (vi) After regrooving, the tire shall not contain any of the 
following defects, as determined by a visual examination of the tire 
either mounted on the rim, or dismounted, whichever is applicable:
    (A) Cracking which extends to the fabric,
    (B) Groove cracks or wear extending to the fabric, or
    (C) Evidence of ply, tread, or sidewall separation;
    (vii) If the tire is siped by cutting the tread surface without 
removing rubber, the tire cord material shall not be damaged as a result 
of the siping process, and no sipe shall be deeper than the original or 
retread groove depth.
    (b) Siped regroovable tires. No person shall sell, offer for sale, 
or introduce for sale or deliver for introduction into interstate 
commerce a regroovable tire that has been siped by cutting the tread 
surface without removing rubber if the tire cord material is damaged as 
a result of the siping process, or if the tire is siped deeper than the 
original or retread groove depth.

[39 FR 15039, Apr. 30, 1974, as amended at 42 FR 21613, Apr. 28, 1977]



Sec. 569.9  Labeling of regroovable tires.

    (a) Regroovable tires. After August 30, 1969, each tire designed and 
constructed for regrooving shall be labeled on both sidewalls with the 
word ``Regroovable'' molded on or into the tire in raised or recessed 
letters 0.025 to 0.040 inch. The word ``Regroovable'' shall be in 
letters 0.38 to 0.50 inch in height and not less than 4 inches and not 
more than 6 inches in length. The lettering shall be located in the 
sidewall of the tire between the maximum section width and the bead in 
an area which will not be obstructed by the rim flange.

[34 FR 1150, Jan. 24, 1969; 34 FR 1830, Feb. 7, 1969]



PART 570--VEHICLE IN USE INSPECTION STANDARDS--Table of Contents




         Subpart A--Vehicles With GVWR of 10,000 Pounds or Less

Sec.
570.1  Scope.
570.2  Purpose.
570.3  Applicability.
570.4  Definitions.
570.5  Service brake system.
570.6  Brake power unit.
570.7  Steering systems.
570.8  Suspension systems.
570.9  Tires.
570.10  Wheel assemblies.

        Subpart B--Vehicles With GVWR of More Than 10,000 Pounds

570.51  Scope.
570.52  Purpose.
570.53  Applicability.
570.54  Definitions.
570.55  Hydraulic brake system.
570.56  Vacuum brake assist unit and vacuum brake system.
570.57  Air brake system and air-over-hydraulic brake subsystem.
570.58  Electric brake system.
570.59  Service brake system.
570.60  Steering system.
570.61  Suspension system.
570.62  Tires.
570.63  Wheel assemblies.

    Authority: Secs. 103, 108, 119, Pub. L. 89-563, 80 Stat. 718 (15 
U.S.C. 1392, 1397, 1407); delegation of authority at 49 CFR 1.50.



         Subpart A--Vehicles With GVWR of 10,000 Pounds or Less

    Source: 38 FR 23950, Sept. 5, 1973, unless otherwise noted.



Sec. 570.1  Scope.

    This part specifies standards and procedures for inspection of 
hydraulic service brake systems, steering and suspension systems, and 
tire and wheel assemblies of motor vehicles in use.



Sec. 570.2  Purpose.

    The purpose of this part is to establish criteria for the inspection 
of motor vehicles by State inspection systems, in order to reduce death 
and injuries

[[Page 168]]

attributable to failure or inadequate performance of motor vehicle 
systems.



Sec. 570.3  Applicability.

    This part does not in itself impose requirements on any person. It 
is intended to be implemented by States through the highway safety 
program standards issued under the Highway Safety Act (23 U.S.C. 402) 
with respect to inspection of motor vehicles with gross vehicle weight 
rating of 10,000 pounds or less, except motorcycles or trailers.



Sec. 570.4  Definitions.

    Unless otherwise indicated, all terms used in this part that are 
defined in 49 CFR part 571, Motor Vehicle Safety Standards, are used as 
defined in that part.



Sec. 570.5  Service brake system.

    Unless otherwise noted, the force to be applied during inspection 
procedures to power-assisted and full-power brake systems is 25 lb, and 
to all other systems, 50 lb.
    (a) Failure indicator. The brake system failure indicator lamp, if 
part of a vehicle's original equipment, shall be operable. (This lamp is 
required by Federal Motor Vehicle Safety Standard No. 105, 49 CFR 
571.105, on every new passenger car manufactured on or after January 1, 
1968, and on other types of motor vehicles manufactured on or after 
September 1, 1975.)
    (1) Inspection procedure. Apply the parking brake and turn the 
ignition to start, or verify lamp operation by other means indicated by 
the vehicle manufacturer that the brake system failure indicator lamp is 
operable.
    (b) Brake system integrity. The brake system shall demonstrate 
integrity as indicated by no perceptible decrease in pedal height under 
a 125 pound force applied to the brake pedal or by no illumination of 
the brake system failure indicator lamp. The brake system shall 
withstand the application of force to the pedal without failure of any 
line or other part.
    (1) Inspection procedures. With the engine running on vehicles 
equipped with power brake systems, and the ignition turned to ``on'' in 
other vehicles, apply a force of 125 pounds to the brake pedal and hold 
for 10 seconds. Note any decrease in pedal height, and whether the lamp 
illuminates.
    (c) Brake pedal reserve. When the brake pedal is fully depressed, 
the distance that the pedal has traveled from its free position shall be 
not greater than 80 percent of the total distance from its free position 
to the floorboard or other object that restricts pedal travel.
    (1) Inspection procedure. Measure the distance (A) from the free 
pedal position to the floorboard or other object that restricts brake 
pedal travel. Depress the brake pedal, and with the force applied 
measure the distance (B) from the depressed pedal position to the 
floorboard or other object that restricts pedal travel.

Determine the percentage as

                            [(A-B)/A] x 100.

The engine must be operating when power-assisted brakes are checked. The 
pedal reserve check is not required for vehicles equipped with full 
power (central hydraulic) brake systems, or to vehicles with brake 
systems designed to operate with greater than 80 percent pedal travel.
    (d) Service brake performance. Compliance with one of the following 
performance criteria will satisfy the requirements of this section. 
Verify that tire inflation pressure is within the limits recommended by 
vehicle manufacturer before conducting either of the following tests.
    (1) Roller-type or drive-on platform tests. The force applied by the 
brake on a front wheel or a rear wheel shall not differ by more than 20 
percent from the force applied by the brake on the other front wheel or 
the other rear wheel respectively.
    (i) Inspection procedure. The vehicle shall be tested on a drive-on 
platform, or a roller-type brake analyzer with the capability of 
measuring equalization. The test shall be conducted in accordance with 
the test equipment manufacturer's specifications. Note the left to right 
brake force variance.
    (2) Road test. The service brake system shall stop the vehicle in a 
distance of 25 feet or less from a speed of 20

[[Page 169]]

miles per hour without leaving a 12-foot-wide lane.
    (i) Inspection procedure. The road test shall be conducted on a 
level (not to exceed plus or minus one percent grade) dry, smooth, hard-
surfaced road that is free from loose material, oil, or grease. The 
service brakes shall be applied at a vehicle speed of 20 miles per hour 
and the vehicle shall be brought to a stop as specified. Measure the 
distance required to stop.
    (e) Brake hoses and assemblies. Brake hoses shall not be mounted so 
as to contact the vehicle body or chassis. Hoses shall not be cracked, 
chafed, or flattened. Protective devices, such as ``rub rings,'' shall 
not be considered part of the hose or tubing.
    (1) Inspection procedure. Examine visually, inspecting front brake 
hoses through all wheel positions from full left to full right for 
conditions indicated.
    Note: To inspect for paragraphs (f), (g), and (h) of this section, 
remove at a minimum one front wheel and one rear wheel.
    (f) Disc and drum condition. If the drum is embossed with a maximum 
safe diameter dimension or the rotor is embossed with a minimum safety 
thickness dimension, the drum or disc shall be within the appropriate 
specifications. These dimensions will be found on motor vehicles 
manufactured since January 1, 1971, and may be found on vehicles 
manufactured for several years prior to that time. If the drums and 
discs are not embossed, the drums and discs shall be within the 
manufacturer's specifications.
    (1) Inspection procedure. Examine visually for condition indicated, 
measuring as necessary.
    (g) Friction materials. On each brake the thickness of the lining or 
pad shall not be less than one thirty-second of an inch over the rivet 
heads, or the brake shoe on bonded linings or pads. Brake linings and 
pads shall not have cracks or breaks that extend to rivet holes except 
minor cracks that do not impair attachment. Drum brake linings shall be 
securely attached to brake shoes. Disc brake pads shall be securely 
attached to shoe plates.
    (1) Inspection procedure. Examine visually for conditions indicated, 
and measure height of rubbing surface of lining over rivet heads. 
Measure bonded lining thickness over shoe surface at the thinnest point 
on the lining or pad.
    (h) Structural and mechanical parts. Backing plates and caliper 
assemblies shall not be deformed or cracked. System parts shall not be 
broken, misaligned, missing, binding, or show evidence of severe wear. 
Automatic adjusters and other parts shall be assembled and installed 
correctly.
    (1) Inspection procedure. Examine visually for conditions indicated.

[38 FR 23950, Sept. 5, 1973; 38 FR 25685, Sept. 14, 1973, as amended at 
39 FR 12868, Apr. 9, 1974; 39 FR 17321, May 15, 1974]



Sec. 570.6  Brake power unit.

    (a) Vacuum hoses shall not be collapsed, abraded, broken, improperly 
mounted, or audibly leaking. With residual vacuum exhausted and a 
constant 25 pound force on the brake pedal, the pedal shall fall 
slightly when the engine is started, demonstrating integrity of the 
power assist system. This test is not applicable to vehicles equipped 
with full power brake system as the service brake performance test shall 
be considered adequate test of system performance.
    (1) Inspection procedure. With engine running, examine hoses 
visually and aurally for conditions indicated. Stop engine and apply 
service brakes several times to destroy vacuum in system. Depress brake 
pedal with 25 pounds of force and while maintaining that force, start 
the engine. If brake pedal does not fall slightly under force when the 
engine starts, there is a malfunction in the power assist system.



Sec. 570.7  Steering systems.

    (a) System play. Lash or free play in the steering system shall not 
exceed values shown in Table 1.
    (1) Inspection procedure. With the engine on and the wheels in the 
straight ahead position, turn the steering wheel in one direction until 
there is a perceptible movement of a front wheel. If a point on the 
steering wheel rim moves more than the value shown in Table 1 before 
perceptible return movement of the wheel under observation, there is 
excessive lash or free play in the steering system.

[[Page 170]]



                Table 1--Steering System Free Play Values
------------------------------------------------------------------------
                                                                 Lash
              Steering wheel diameter (inches)                 (inches)
------------------------------------------------------------------------
16 or less..................................................           2
18..........................................................      2\1/4\
20..........................................................      2\1/2\
22..........................................................      2\3/4\
------------------------------------------------------------------------

    (b) Linkage play. Free play in the steering linkage shall not exceed 
one-quarter of an inch.
    (1) Inspection procedure. Elevate the front end of the vehicle to 
load the ball joints. Insure that wheel bearings are correctly adjusted. 
Grasp the front and rear of a tire and attempt to turn the tire and 
wheel assembly left and right. If the free movement at the front or rear 
tread of the tire exceeds one-quarter inch there is excessive steering 
linkage play.
    (c) Free turning. Steering wheels shall turn freely through the 
limit of travel in both directions.
    (1) Inspection procedure. Turn off steering wheel through the limit 
of travel in both directions. Feel for binding or jamming in the 
steering gear mechanism.
    (d) Alignment. Toe-in and toe-out measurements shall not be greater 
than 1.5 times the value listed in the vehicle manufacturer's service 
specification for alignment setting.
    (1) Inspection procedure. Verify that toe-in or toe-out is not 
greater than 1.5 times the values listed in the vehicle manufacturer's 
service specification for alignment settings as measured by a bar-type 
scuff gauge or other toe-in measuring device. Values to convert toe-in 
readings in inches to scuff gauge readings in ft/mi side-slip for 
different wheel sizes are provided in Table I. Tire diameters used in 
computing scuff gauge readings are based on the average maximum tire 
dimensions of grown tires in service for typical wheel and tire 
assemblies.

                                           Table I--Toe-in Settings From Vehicle MFR's Service Specifications
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       Nominal                             Readings in feet per mile sideslip
                                                        tire   -----------------------------------------------------------------------------------------
                 Wheel size (inches)                  diameter   \1/16\              \3/16\              \5/16\              \7/16\              \9/16\
                                                      (inches)     in     \1/8\ in     in     \1/4\ in     in     \3/8\ in     in     \1/2\ in     in
--------------------------------------------------------------------------------------------------------------------------------------------------------
13..................................................      25.2      13.1      26.2      39.3      52.4      65.5      78.6      91.7     104.8     117.9
14..................................................      26.4      12.5      25.0      37.5      50.0      62.5      75.0      87.5     100.0     112.5
15..................................................      28.5      11.5      23.0      34.5      46.0      57.5      69.0      80.5      92.0     103.5
16..................................................      35.6       9.3      18.6      27.9      37.2      46.5      55.8      65.1      74.4      83.7
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (e) Power steering system. The power steering system shall not have 
cracked or slipping belts, or insufficient fluid in the reservoir.
    (1) Inspection procedure. Examine fluid reservoir and pump belts for 
conditions indicated.

[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974]



Sec. 570.8  Suspension systems.

    (a) Suspension condition. Ball joint seals shall not be cut or 
cracked. Structural parts shall not be bent or damaged. Stabilizer bars 
shall be connected. Springs shall not be broken, or extended above the 
vehicle manufacturer's design height. Spacers, if installed, shall be 
installed on both front springs, both rear springs, or on all four 
springs. Shock absorber mountings, shackles, and U-bolts shall be 
securely attached. Rubber bushings shall not be cracked, extruded out 
from or missing from suspension joints. Radius rods shall not be missing 
or damaged.
    (1) Inspection procedure. Examine front and rear end suspension 
parts for conditions indicated.
    (b) Shock absorber condition. There shall be no oil on the shock 
absorber housing attributable to leakage by the seal, and the vehicle 
shall not continue free rocking motion for more than two cycles.
    (1) Inspection procedure. Examine shock absorbers for oil leaking 
from within, then with vehicle on a level surface, push down on one end 
of vehicle and release. Note number of cycles of free rocking motion. 
Repeat procedure at other end of vehicle.

[38 FR 23950, Sept. 5, 1973, as amended at 44 FR 68470, Nov. 29, 1979]

[[Page 171]]



Sec. 570.9  Tires.

    (a) Tread depth. The tread on each tire shall be not less than two 
thirty-seconds of an inch deep.
    (1) Inspection procedure. Passenger car tires have tread depth 
indicators that become exposed when tread depth is less than two thirty-
seconds of an inch. Inspect for indicators in any two adjacent major 
grooves at three locations spaced approximately equally around the 
outside of the tire. For vehicles other than passenger cars, it may be 
necessary to measure tread depth with a tread gauge.
    (b) Type. Vehicle shall be equipped with tires on the same axle that 
are matched in tire size designation, construction, and profile.
    (1) Inspection procedures. Examine visually. A major mismatch in 
tire size designation, construction, and profile between tires on the 
same axle, or a major deviation from the size as recommended by the 
manufacturer (e.g., as indicated on the glove box placard on 1968 and 
later passenger cars) are causes for rejection.
    (c) General condition. Tires shall be free from chunking, bumps, 
knots, or bulges evidencing cord, ply, or tread separation from the 
casing or other adjacent materials.
    (1) Inspection procedure. Examine visually for conditions indicated.
    (d) Damage. Tire cords or belting materials shall not be exposed, 
either to the naked eye or when cuts or abrasions on the tire are 
probed.
    (1) Inspection procedures. Examine visually for conditions 
indicated, using a blunt instrument if necessary to probe cuts or 
abrasions.

[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974; 39 
FR 19781, June 4, 1974]



Sec. 570.10  Wheel assemblies.

    (a) Wheel integrity. A tire rim, wheel disc, or spider shall have no 
visible cracks, elongated bolt holes, or indication of repair by 
welding.
    (1) Inspection procedure. Examine visually for conditions indicated.
    (b) Deformation. The lateral and radial runout of each rim bead area 
shall not exceed one-eighth of an inch of total indicated runout.
    (1) Inspection procedure. Using a runout indicator gauge, and a 
suitable stand, measure lateral and radial runout of rim bead through 
one full wheel revolution and note runout in excess of one-eighth of an 
inch.
    (c) Mounting. All wheel nuts and bolts shall be in place and tight.
    (1) Inspection procedure. Check wheel retention for conditions 
indicated.

[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974]



        Subpart B--Vehicles With GVWR of More Than 10,000 Pounds

    Source: 39 FR 26027, July 16, 1974, unless otherwise noted.



Sec. 570.51  Scope.

    This part specifies standards and procedures for the inspection of 
brake, steering and suspension systems, and tire and wheel assemblies, 
of motor vehicles in use with a gross vehicle weight rating of more than 
10,000 pounds.



Sec. 570.52  Purpose.

    The purpose of this part is to establish criteria for the inspection 
of motor vehicles through State inspection programs, in order to reduce 
deaths and injuries attributable to failure or inadequate performance of 
the motor vehicle systems covered by this part.



Sec. 570.53  Applicability.

    This part does not in itself impose requirements on any person. It 
is intended to be implemented by States through the highway safety 
program standards issued under the Highway Safety Act (23 U.S.C. 402) 
with respect to inspection of motor vehicles with gross vehicle weight 
rating greater than 10,000 pounds, except mobile structure trailers.

[39 FR 28980, Aug. 13, 1974]



Sec. 570.54  Definitions.

    Unless otherwise indicated, all terms used in this part that are 
defined in part 571 of this chapter, Motor Vehicle Safety Standards, are 
used as defined in that part.
    Air-over-hydraulic brake subsystem means a subsystem of the air 
brake

[[Page 172]]

that uses compressed air to transmit a force from the driver control to 
a hydraulic brake system to actuate the service brakes.
    Electric brake system means a system that uses electric current to 
actuate the service brake.
    Vacuum brake system means a system that uses a vacuum and 
atmospheric pressure for transmitting a force from the driver control to 
the service brake, but does not include a system that uses vacuum only 
to assist the driver in applying muscular force to hydraulic or 
mechanical components.



Sec. 570.55  Hydraulic brake system.

    The following requirements apply to vehicles with hydraulic brake 
systems.
    (a) Brake system failure indicator. The hydraulic brake system 
failure indicator lamp, if part of a vehicle's original equipment, shall 
be operable.
    (1) Inspection procedure. Apply the parking brake and turn the 
ignition to start to verify that the brake system failure indicator lamp 
is operable, or verify by other means recommended by the vehicle 
manufacturer.
    (b) Brake system integrity. The hydraulic brake system shall 
demonstrate integrity as indicated by no perceptible decrease in pedal 
height under a 125-pound force applied to the brake pedal and by no 
illumination of the brake system failure indicator lamp. The brake 
system shall withstand the application of force to the pedal without 
failure of any tube, hose or other part.
    (1) Inspection procedure. With the engine running in vehicles 
equipped with power brake systems and the ignition turned to ``on'' in 
other vehicles, apply a force of 125 pounds to the brake pedal and hold 
for 10 seconds. Note any additional decrease in pedal height after the 
initial decrease, and whether the brake system failure indicator lamp 
illuminates.
    (c) Brake pedal reserve. When the brake pedal is depressed with a 
force of 50 pounds, the distance that the pedal has traveled from its 
free position shall be not greater than 80 percent of the total distance 
from its free position to the floorboard or other object that restricts 
pedal travel. The brake pedal reserve test is not required for vehicles 
with brake systems designed by the original vehicle, manufacturer to 
operate with greater than 80 percent pedal travel.
    (1) Inspection procedure. Measure the distance (i) from the free 
pedal position to the floor board or other object that restricts brake 
pedal travel. Depress the brake pedal, and with the force applied 
measure the distance (ii) from the depressed pedal position to the floor 
board or other object that restricts pedal travel. Determine the pedal 
travel percentage as

                             [(A-B)/A] x 100

The engine must be operating when power-assisted brakes are checked.
    (d) Brake hoses, master cylinder, tubes and tube assemblies. 
Hydraulic brake hoses shall not be mounted so as to contact the vehicle 
body or chassis. Hoses shall not be cracked, chafed, or flattened. Brake 
tubes shall not be flattened or restricted. Brake hoses and tubes shall 
be attached or supported to prevent damage by vibration or abrasion. 
Master cylinder shall not show signs of leakage. Hose or tube protective 
rings or devices shall not be considered part of the hose or tubing.
    (1) Inspection procedure. Examine visually brake master cylinder, 
hoses and tubes, including front brake hoses, through all wheel 
positions from full left turn to full right turn for conditions 
indicated.

[39 FR 26027, July 16, 1974, as amended at 40 FR 5160, Feb. 4, 1975]



Sec. 570.56  Vacuum brake assist unit and vacuum brake system.

    The following requirements apply to vehicles with vacuum brake 
assist units and vacuum brake systems.
    (a) Vacuum brake assist unit integrity. The vacuum brake assist unit 
shall demonstrate integrity as indicated by a decrease in pedal height 
when the engine is started and a constant 50-pound force is maintained 
on the pedal.
    (1) Inspection procedure. Stop the engine and apply service brake 
several times to destroy vacuum in system. Depress the brake pedal with 
50 pounds of force and while maintaining that force, start the engine. 
If the brake pedal does not move slightly under

[[Page 173]]

force when the engine starts, there is a malfunction in the power assist 
unit.
    (b) Low-vacuum indicator. If the vehicle has a low-vacuum indicator, 
the indicator activation level shall not be less than 8 inches of 
mercury.
    (1) Inspection procedure. Run the engine to evacuate the system 
fully. Shut off the engine and slowly reduce the vacuum in the system by 
moderate brake applications until the vehicle vacuum gauge reads 8 
inches of mercury. Observe the functioning of the low-vacuum indicator.
    (c) Vacuum brake system integrity. (1) The vacuum brake system shall 
demonstrate integrity by meeting the following requirements:
    (i) The vacuum brake system shall provide vacuum reserve to permit 
one service brake application with a brake pedal force of 50 pounds 
after the engine is turned off without actuating the low vacuum 
indicator.
    (ii) Trailer vacuum brakes shall operate in conjunction with the 
truck or truck tractor brake pedal.
    (2) Inspection procedure. (i) Check the trailer vacuum system by 
coupling trailer(s) to truck or truck tractor and opening trailer 
shutoff valves. Start the engine and after allowing approximately 1 
minute to build up the vacuum, apply and release the brake pedal. In the 
case of trailer brakes equipped with brake chamber rods, observe the 
chamber rod movement. Run the engine to re-establish maximum vacuum, 
then shut off the engine and apply the brakes with a 50-pound force on 
the brake pedal. Note the brake application and check for low-vacuum 
indicator activation.
    (ii) For a combination vehicle equipped with breakaway protection 
and no reservoir on the towing vehicle supply line, close the supply 
line shutoff valve and disconnect the supply line. Apply a 50-pound 
force to the brake pedal on the towing vehicle and release. Trailer 
brakes should remain in the applied position.
    (d) Vacuum system hoses, tubes and connections. Vacuum hoses, tubes 
and connections shall be in place and properly supported. Vacuum hoses 
shall not be collapsed, cracked or abraded.
    (1) Inspection procedure. With the engine running, examine hoses and 
tubes for the conditions indicated and note broken or missing clamps.



Sec. 570.57  Air brake system and air-over-hydraulic brake subsystem.

    The following requirements apply to vehicles with air brake and air-
over-hydraulic brake systems. Trailer(s) must be coupled to a truck or 
truck-tractor for the purpose of this inspection, except as noted.
    (a) Air brake system integrity. The air brake system shall 
demonstrate integrity by meeting the following requirements:
    (1) With the vehicle in a stationary position, compressed air 
reserve shall be sufficient to permit one full service brake 
application, after the engine is stopped and with the system fully 
charged, without lowering reservoir pressure more than 20 percent below 
the initial reading.
    (2) The air brake system compressor shall increase the air pressure 
in the reservoir(s) from the level developed after the test prescribed 
in Sec. 570.57(a)(1) to the initial pressure noted before the full brake 
application, with the engine running at the manufacturer's maximum 
recommended number of revolutions per minute with the compressor 
governor in the cut-off position, in not more than 30 seconds for 
vehicles manufactured prior to March 1, 1975. For vehicles, manufactured 
on or after March 1, 1975, the time allowed for air pressure buildup 
shall not exceed 45 seconds.
    (3) The warning device (visual or audible) connected to the brake 
system air pressure source shall be activated when air pressure is 
lowered to an activating level that is not less than 50 psi. For 
vehicles manufactured to conform to Federal Motor Vehicle Safety 
Standard No. 121, the low-pressure indicator shall be activated when air 
pressure is lowered to an activating level that is not less than 60 psi.
    (4) The governor cut-in pressure shall be not lower than 80 psi, and 
the cut-out pressure shall be not higher than 135 psi, unless other 
values are recommended by the vehicle manufacturer.
    (5) Air brake pressure shall not drop more than 2 psi in 1 minute 
for single vehicles or more than 3 psi in 1 minute

[[Page 174]]

for combination vehicles, with the engine stopped and service brakes 
released. There may be an additional 1 psi drop per minute for each 
additional towed vehicle.
    (6) With the reservoir(s) fully charged, air pressure shall not drop 
more than 3 psi in 1 minute for single vehicles or more than 4 psi in 1 
minute for combination vehicles, with the engine stopped and service 
brakes fully applied. There may be an additional 1 psi drop per minute 
for each additional towed vehicle.
    (7) The compressor drive belt shall not be badly worn or frayed and 
belt-tension shall be sufficient to prevent slippage.

Inspection procedure. With the air system charged, open the drain cocks 
in the service and supply reservoir on the truck or truck-tractor. Note 
the pressure at which the visual or audible warning device connected to 
the low-pressure indicator is activated. Close the drain cocks, and, 
with the trailer(s) uncoupled, check air pressure buildup at the 
manufacturer's recommended engine speed. Observe the time required to 
raise the air pressure from 85 to 100 psi. Continue running the engine 
until the governor cuts out and note the pressure. Reduce engine speed 
to idle, couple the trailer(s), if applicable, and make a series of 
brake applications. Note the pressure at which the governor cuts in. 
Increased engine speed to fast idle and charge the system to its 
governed pressure. Stop the engine and record the pressure drop in psi 
per minute with brakes released and with brakes fully applied.
    (b) Air brake system hoses, tubes and connections. Air system tubes, 
hoses and connections shall not be restricted, cracked or improperly 
supported, and the air hose shall not be abraded.
    (1) Inspection procedure. Stop the engine and examine air hoses, 
tubes and connections visually for conditions specified.
    (c) Air-over-hydraulic brake subsystem integrity. The air-over-
hydraulic brake subsystem shall demonstrate integrity by meeting the 
following requirements:
    (1) The air brake system compressor shall increase the air pressure 
in the reservoir(s) from the level developed after the test prescribed 
in Sec. 570.57(a)(1) to the initial pressure noted before the full brake 
application, with the engine running at the manufacturer's recommended 
number of revolutions per minute and the compressor governor in the cut-
out position, in not more than 30 seconds for vehicles manufactured 
prior to March 1, 1975. For vehicles manufactured on or after March 1, 
1975, the time for air pressure build up shall not exceed 45 seconds.
    (2) The warning device (visual or audible) connected to the brake 
system air pressure source shall be activated when the air pressure is 
lowered to not less than 50 psi.
    (3) The governor cut-in pressure shall be not lower than 80 psi, and 
the cut-out pressure shall not be higher than 135 psi, unless other 
values are recommended by the vehicle manufacturer.
    (4) Air brake pressure shall not drop more than 2 psi in 1 minute 
for single vehicles or more than 3 psi in 1 minute for combination 
vehicles, with the engine stopped and service brakes released. Allow a 
1-psi drop per minute for each additional towed vehicle.
    (5) With the reservoir(s) fully charged, air pressure shall not drop 
more than 3 psi in 1 minute for single vehicles or more than 4 psi in 1 
minute for combination vehicles, with the engine stopped and service 
brakes fully applied. Allow a 1-psi pressure drop in 1 minute for each 
additional towed vehicle.
    (6) The compressor drive belt shall not be badly worn or frayed and 
belt tension shall be sufficient to prevent slippage.

Inspection procedure. With the air system charged, open the drain cocks 
in the service and supply reservoir on the truck or truck-tractor. Note 
the pressure at which the visual or audible warning device connected to 
the low pressure indicator is activated. Close the drain cocks and, with 
the trailers uncoupled, check air pressure buildup at the manufacturer's 
recommended engine speed. Observe the time required to raise the air 
pressure from 85 to 100 psi. Continue running the engine until the 
governor cuts out and note the pressure. Reduce engine speed to idle, 
couple trailers, and make a series

[[Page 175]]

of brake applications. Note the pressure at which the governor cuts in. 
Increase engine speed to fast idle and charge the system to its governed 
pressure. Stop the engine and record the pressure drop in psi per minute 
with brakes released and with brakes fully applied.
    (d) Air-over-hydraulic brake subsystem hoses, master cylinder, tubes 
and connections. System tubes, hoses and connections shall not be 
cracked or improperly supported, the air and hydraulic hoses shall not 
be abraded and the master cylinder shall not show signs of leakage.
    (1) Inspection procedure. Stop the engine and examine air and 
hydraulic brake hoses, brake master cylinder, tubes and connections 
visually for conditions specified.

[39 FR 26027, July 16, 1974, as amended at 40 FR 5160, Feb. 4, 1975; 41 
FR 13924, Apr. 1, 1976]



Sec. 570.58  Electric brake system.

    (a) Electric brake system integrity. The average brake amperage 
value shall be not more than 20 percent above, and not less than 30 
percent below, the brake manufacturer's maximum current rating. In 
progressing from zero to maximum, the ammeter indication shall show no 
fluctuation evidencing a short circuit or other interruption of current.
    (1) Inspection procedure. Insert a low range (0 to 25 amperes for 
most 2- and 4-brake systems and 0 to 40 amperes for a 6-brake system) 
d.c. ammeter into the brake circuit between the controller and the 
brakes. With the controller in the ``off'' position, the ammeter should 
read zero. Gradually apply the controller to the ``full on'' position 
for a brief period (not to exceed 1 minute) and observe the maximum 
ammeter reading. Gradually return the controller to ``full off'' and 
observe return to zero amperes. Divide the maximum ammeter reading by 
the number of brakes and determine the brake amperage value.
    (b) Electric brake wiring condition. Electric brake wiring shall not 
be frayed. Wiring clips or brackets shall not be broken or missing. 
Terminal connections shall be clean. Conductor wire gauge shall not be 
below the brake manufacturer's minimum recommendation.
    (1) Inspection procedure. Examine visually for conditions specified.



Sec. 570.59  Service brake system.

    (a) Service brake performance. Compliance with any one of the 
following performance criteria will satisfy the requirements of this 
section. Verify that tire inflation pressure is within the limits 
recommended by the vehicle manufacturer before conducting either of the 
following tests.
    (1) Roller-type or drive-on platform tests. The force applied by the 
brake on a front wheel or a rear wheel shall not differ by more than 25 
percent from the force applied by the brake on the other front wheel or 
the other rear wheel respectively.
    (i) Inspection procedure. The vehicle shall be tested on a drive-on 
platform, or a roller-type brake analyzer with the capability of 
measuring equalization. The test shall be conducted in accordance with 
the test equipment manufacturer's specifications. Note the brake force 
variance.
    (2) Road test. The service brake system shall stop single unit 
vehicles, except truck-tractors, in a distance of not more than 35 feet, 
or combination vehicles and truck-tractors in a distance of not more 
than 40 feet, from a speed of 20 mph, without leaving a 12-foot-wide 
lane.
    (i) Inspection procedure. The road test shall be conducted on a 
level (not to exceed plus or minus 1 percent grade), dry, smooth, hard-
surfaced road that is free from loose material, oil or grease. The 
service brakes shall be applied at a vehicle speed of 20 mph and the 
vehicle shall be brought to a stop as specified. Measure the distance 
required to stop.
    Note: Inspect for paragraphs (b), (c) and (d) of this section on 
vehicles equipped with brake inspection ports or access openings, and 
when removal of wheel is not required.
    (b) Disc and drum condition. If the drum is embossed with a maximum 
safe diameter dimension or the rotor is embossed with a minimum safe 
thickness dimension, the drum or disc shall be within the appropriate 
specifications. These dimensions will generally be found on motor 
vehicles manufactured since January 1, 1971, and may be

[[Page 176]]

found on vehicles manufactured for several years prior to that time. If 
the drums and discs are not embossed, they shall be within the 
manufacturer's specifications.
    (1) Inspection procedure. Examine visually for the condition 
indicated, measuring as necessary.
    (c) Friction materials. On each brake, the thickness of the lining 
or pad shall not be less than one thirty-second of an inch over the 
fastener, or one-sixteenth of an inch over the brake shoe on bonded 
linings or pads. Brake linings and pads shall not have cracks or breaks 
that extend to rivet holes except minor cracks that do not impair 
attachment. The wire in wire-backed lining shall not be visible on the 
friction surface. Drum brake linings shall be securely attached to brake 
shoes. Disc brake pads shall be securely attached to shoe plates.
    (1) Inspection procedure. Examine visually for the conditions 
indicated, and measure the height of the rubbing surface of the lining 
over the fastener heads. Measure bonded lining thickness over the 
surface at the thinnest point on the lining or pad.
    (d) Structural and mechanical parts. Backing plates, brake spiders 
and caliper assemblies shall not be deformed or cracked. System parts 
shall not be broken, misaligned, missing, binding, or show evidence of 
severe wear. Automatic adjusters and other parts shall be assembled and 
installed correctly.
    (1) Inspection procedure. Examine visually for conditions indicated.



Sec. 570.60  Steering system.

    (a) System play. Lash or free play in the steering system shall not 
exceed the values shown in Table 2.
    (1) Inspection procedure. With the engine on and the steering axle 
wheels in the straight ahead position, turn the steering wheel in one 
direction until there is a perceptible movement of the wheel. If a point 
on the steering wheel rim moves more than the value shown in Table 1 
before perceptible return movement of the wheel under observation, there 
is excessive lash or free play in the steering system.

                Table 2. Steering Wheel Free Play Values
------------------------------------------------------------------------
                                                                 Lash
              Steering wheel diameter (inches)                 (inches)
------------------------------------------------------------------------
16 or less..................................................           2
18..........................................................      2\1/4\
20..........................................................      2\1/2\
22..........................................................      2\3/4\
------------------------------------------------------------------------

    (b) Linkage play. Free play in the steering linkage shall not exceed 
the values shown in Table 3.
    (1) Inspection procedure. Elevate the front end of the vehicle to 
load the ball joints, if the vehicle is so equipped. Insure that wheel 
bearings are correctly adjusted. Grasp the front and rear of a tire and 
attempt to turn the tire and wheel assemble left and right. If the free 
movement at the front or rear tread of the tire exceeds the applicable 
value shown in Table 3, there is excessive steering linkage play.

             Table 3. Front Wheel Steering Linkage Free Play
------------------------------------------------------------------------
                                                                 Play
         Nominal bead diameter or rim size (inches)            (inches)
------------------------------------------------------------------------
16 or less..................................................       \1/4\
16.01 through 18.00.........................................       \3/8\
18.01 or more...............................................       \1/2\
------------------------------------------------------------------------

    (c) Free turning. Steering wheels shall turn freely through the 
limit of travel in both directions.
    (1) Inspection procedure. With the engine running on a vehicle with 
power steering, or the steerable wheels elevated on a vehicle without 
power steering, turn the steering wheel through the limit of travel in 
both directions. Feel for binding or jamming in the steering gear 
mechanism.
    (d) Alignment. Toe-in or toe-out condition shall not be greater than 
1.5 times the values listed in the vehicle manufacturer's service 
specification for alignment setting.
    (1) Inspection procedure. Drive the vehicle over a sideslip 
indicator or measure with a tread gauge, and verify that the toe-in or 
toe-out is not greater than 1.5 times the values listed in the vehicle 
manufacturer's service specification.
    (e) Power steering system. The power steering system shall not have 
cracked, frayed or slipping belts, chafed or abrated hoses, show signs 
of leakage or have insufficient fluid in the reservoir.

[[Page 177]]

    (1) Inspection procedure. Examine fluid reservoir, hoses and pump 
belts for the conditions indicated.
    Note: Inspection of the suspension system must not precede the 
service brake performance test.



Sec. 570.61  Suspension system.

    (a) Suspension condition. Ball joint seals shall not be cut or 
cracked, other than superficial surface cracks. Ball joints and kingpins 
shall not be bent or damaged. Stabilizer bars shall be connected. 
Springs shall not be broken and coil springs shall not be extended by 
spacers. Shock absorber mountings, shackles, and U-bolts shall be 
securely attached. Rubber bushings shall not be cracked, extruded out 
from or missing from suspension joints. Radius rods shall not be missing 
or damaged.
    (1) Inspection procedure. Examine front and rear end suspension 
parts for the conditions indicated.
    (b) Shock absorber condition. There shall be no oil on the shock 
absorber housings attributable to leakage by the seal.
    (1) Inspection procedure. Examine shock absorbers for oil leakage 
from within.



Sec. 570.62  Tires.

    (a) Tread depth. The tread shall be not less than four thirty-
seconds of an inch deep on each front tire of any vehicle other than a 
trailer and not less than two thirty-seconds of an inch on all other 
tires.
    (1) Inspection procedure. For tires with treadwear indicators, check 
for indicators in any two adjacent major grooves at three locations 
spaced approximately 120 deg. apart around the circumference of the 
tire. For tires without treadwear indicators, measure the tread depth 
with a suitable gauge or scale in two adjacent major grooves at 3 
locations spaced approximately 120 deg. apart around the circumference 
of the tire at the area of greatest wear.
    (b) Type. Vehicles should be equipped with tires on the same axle 
that are matched in construction and tire size designation, and dual 
tires shall be matched for overall diameter within one-half inch.
    (1) Inspection procedure. Examine visually. A mismatch in size and 
construction between tires on the same axle, or a major deviation from 
the size recommended by the vehicle or tire manufacturer, is a cause for 
rejection. On a dual-tire arrangement the diameter of one of the duals 
must be within one-half inch of the other as measured by a gauge block 
inserted between the tire and a caliper.
    (c) General condition. Tires shall be free from chunking, bumps, 
knots, or bulges evidencing cord, ply or tread separation from the 
casing.
    (1) Inspection procedure. Examine visually for the conditions 
indicated.
    (d) Damage. Tire cords or belting materials shall not be exposed, 
either to the naked eye or when cuts on the tire are probed. 
Reinforcement repairs to the cord body are allowable on tires other than 
front-mounted tires.
    (1) Inspection procedure. Examine visually for the conditions 
indicated, using a blunt instrument if necessary to probe cuts and 
abrasions.
    (e) Special purpose tires. Tires marked ``Not For Highway Use'' or 
``Farm Use Only'' or other such restrictions shall not be used on any 
motor vehicles operating on public highways.
    (1) Inspection procedure. Examine visually for tires labeled with 
specific restrictions.



Sec. 570.63  Wheel assemblies.

    (a) Wheel integrity. A tire rim, wheel disc or spider shall have no 
visible cracks, elongated bolt holes, or indications of in-service 
repair by welding.
    (1) Inspection procedure. Examine visually for the conditions 
indicated.
    (b) Cast wheels. Cast wheels shall not be cracked or show evidence 
of excessive wear in the clamp area.
    (1) Inspection procedure. Examine visually for the conditions 
indicated.
    (c) Mounting. All wheel nuts shall be in place and tight.
    (1) Inspection procedure. Check wheel retention for the conditions 
indicated.



PART 571--FEDERAL MOTOR VEHICLE SAFETY STANDARDS--Table of Contents




                           Subpart A--General

Sec.
571.1  Scope.
571.3  Definitions.
571.4  Explanation of usage.

[[Page 178]]

571.5  Matter incorporated by reference.
571.7  Applicability.
571.8  Effective date.
571.9  Separability.

            Subpart B--Federal Motor Vehicle Safety Standards

571.101  Standard No. 101; Controls and displays.
571.102  Standard No. 102; Transmission shift lever sequence, starter 
          interlock, and transmission braking effect.
571.103  Standard No. 103; Windshield defrosting and defogging systems.
571.104  Standard No. 104; Windshield wiping and washing systems.
571.105  Standard No. 105; Hydraulic and electric brake systems.
571.106  Standard No. 106; Brake hoses.
571.107  [Reserved]
571.108  Standard No. 108; Lamps, reflective devices, and associated 
          equipment.
571.109  Standard No. 109; New pneumatic tires.
571.110  Standard No. 110; Tire selection and rims.
571.111  Standard No. 111; Rearview mirrors.
571.112  [Reserved]
571.113  Standard No. 113; Hood latch system.
571.114  Standard No. 114; Theft protection.
571.115  [Reserved]
571.116  Standard No. 116; Motor vehicle brake fluids.
571.117  Standard No. 117; Retreaded pneumatic tires.
571.118  Standard No. 118; Power-operated window, partition, and roof 
          panel systems.
571.119  Standard No. 119; New pneumatic tires for vehicles other than 
          passenger cars.
571.120  Standard No. 120; Tire selection and rims for motor vehicles 
          other than passenger cars.
571.121  Standard No. 121; Air brake systems.
571.122  Standard No. 122; Motorcycle brake systems.
571.123  Standard No. 123; Motorcycle controls and displays.
571.124  Standard No. 124; Accelerator control systems.
571.125  Standard No. 125; Warning devices.
571.126--571.128  [Reserved]
571.129  Standard No. 129; New non-pneumatic tires for passenger cars.
571.131  Standard No. 131; School bus pedestrian safety devices.
571.135  Standard No. 135; Passenger car brake systems.
571.201  Standard No. 201; Occupant protection in interior impact.
571.202  Standard No. 202; Head restraints.
571.203  Standard No. 203; Impact protection for the driver from the 
          steering control system.
571.204  Standard No. 204; Steering control rearward displacement.
571.205  Standard No. 205; Glazing materials.
571.206  Standard No. 206; Door locks and door retention components.
571.207  Standard No. 207; Seating systems.
571.208  Standard No. 208; Occupant crash protection.
571.209  Standard No. 209; Seat belt assemblies.
571.210  Standard No. 210; Seat belt assembly anchorages.
571.211  [Reserved]
571.212  Standard No. 212; Windshield mounting.
571.213  Standard No. 213; Child restraint systems.
571.214  Standard No. 214; Side impact protection.
571.215  [Reserved]
571.216  Standard No. 216; Roof crush resistance.
571.217  Standard No. 217; Bus emergency exits and window retention and 
          release.
571.218  Standard No. 218; Motorcycle helmets.
571.219  Standard No. 219; Windshield zone intrusion.
571.220  Standard No. 220; School bus rollover protection.
571.221  Standard No. 221; School bus body joint strength.
571.222  Standard No. 222; School bus passenger seating and crash 
          protection.
571.223  Standard No. 223; Rear impact guards.
571.224  Standard No. 224; Rear impact protection.
571.225  Standard No. 225; Child restraint anchorage systems.
571.301  Standard No. 301; Fuel system integrity.
571.302  Standard No. 302; Flammability of interior materials.
571.303  Standard No. 303; Fuel system integrity of compressed natural 
          gas vehicles.
571.304  Standard No. 304; Compressed natural gas fuel container 
          integrity.
571.500  Standard No. 500; Low-speed vehicles.

    Authority: 49 U.S.C. 322, 30111, 30115, 30166 and 30177; delegation 
of authority at 49 CFR 1.50.

[[Page 179]]



                           Subpart A--General



Sec. 571.1  Scope.

    This part contains the Federal Motor Vehicle Safety Standards for 
motor vehicles and motor vehicle equipment established under section 103 
of the National Traffic and Motor Vehicle Safety Act of 1966 (80 Stat. 
718).

[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]



Sec. 571.3  Definitions.

    (a) Statutory definitions. All terms defined in section 102 of the 
Act are used in their statutory meaning.
    (b) Other definitions. As used in this chapter--
    Act means the National Traffic and Motor Vehicle Safety Act of 1966 
(80 Stat. 718).
    Approved, unless used with reference to another person, means 
approved by the Secretary.
    Boat trailer means a trailer designed with cradle-type mountings to 
transport a boat and configured to permit launching of the boat from the 
rear of the trailer.
    Bus means a motor vehicle with motive power, except a trailer, 
designed for carrying more than 10 persons.
    Curb weight means the weight of a motor vehicle with standard 
equipment; maximum capacity of engine fuel, oil, and coolant; and, if so 
equipped, air conditioning and additional weight optional engine.
    Designated seating capacity means the number of designated seating 
positions provided.
    Designated seating position means any plan view location capable of 
accommodating a person at least as large as a 5th percentile adult 
female, if the overall seat configuration and design and vehicle design 
is such that the position is likely to be used as a seating position 
while the vehicle is in motion, except for auxiliary seating 
accommodations such as temporary or folding jump seats. Any bench or 
split-bench seat in a passenger car, truck or multipurpose passenger 
vehicle with a GVWR less than 4,536 kilograms (10,000 pounds), having 
greater than 127 centimeters (50 inches) of hip room (measured in 
accordance with SAE Standard J1100(a)) shall have not less than three 
designated seating positions, unless the seat design or vehicle design 
is such that the center position cannot be used for seating. For the 
sole purpose of determining the classification of any vehicle sold or 
introduced into interstate commerce for purposes that include carrying 
students to and from school or related events, any location in such 
vehicle intended for securement of an occupied wheelchair during vehicle 
operation shall be regarded as four designated seating positions.
    Driver means the occupant of a motor vehicle seated immediately 
behind the steering control system.
    Emergency brake means a mechanism designed to stop a motor vehicle 
after a failure of the service brake system.
    5th percentile adult female means a person possessing the dimensions 
and weight of the 5th percentile adult female specified for the total 
age group in Public Health Service Publication No. 1000, Series 11, No. 
8, ``Weight, Height, and Selected Body Dimensions of Adults.''
    Firefighting vehicle means a vehicle designed exclusively for the 
purpose of fighting fires.
    Fixed collision barrier means a flat, vertical, unyielding surface 
with the following characteristics:
    (1) The surface is sufficiently large that when struck by a tested 
vehicle, no portion of the vehicle projects or passes beyond the 
surface.
    (2) The approach is a horizontal surface that is large enough for 
the vehicle to attain a stable attitude during its approach to the 
barrier, and that does not restrict vehicle motion during impact.
    (3) When struck by a vehicle, the surface and its supporting 
structure absorb no significant portion of the vehicle's kinetic energy, 
so that a performance requirement described in terms of impact with a 
fixed collision barrier must be met no matter how small an amount of 
energy is absorbed by the barrier.
    Forward control means a configuration in which more than half of the 
engine length is rearward of the foremost point of the windshield base 
and the steering wheel hub is in the forward quarter of the vehicle 
length.

[[Page 180]]

    Full trailer means a trailer, except a pole trailer, that is 
equipped with two or more axles that support the entire weight of the 
trailer.
    Gross axle weight rating or GAWR means the value specified by the 
vehicle manufacturer as the load-carrying capacity of a single axle 
system, as measured at the tire-ground interfaces.
    Gross combination weight rating or GCWR means the value specified by 
the manufacturer as the loaded weight of a combination vehicle.
    Gross vehicle weight rating or GVWR means the value specified by the 
manufacturer as the loaded weight of a single vehicle.
    H point means the mechanically hinged hip point of a manikin which 
simulates the actual pivot center of the human torso and thigh, 
described in SAE Recommended Practice J826, ``Manikins for Use in 
Defining Vehicle Seating Accommodations,'' November 1962.
    Head impact area means all nonglazed surfaces of the interior of a 
vehicle that are statically contactable by a 6.5-inch diameter spherical 
head form of a measuring device having a pivot point to ``top-of-head'' 
dimension infinitely adjustable from 29 to 33 inches in accordance with 
the following procedure, or its graphic equivalent:
    (a) At each designated seating position, place the pivot point of 
the measuring device--
    (1) For seats that are adjustable fore and aft, at--
    (i) The seating reference point; and
    (ii) A point 5 inches horizontally forward of the seating reference 
point and vertically above the seating reference point an amount equal 
to the rise which results from a 5-inch forward adjustment of the seat 
or 0.75 inch; and
    (2) For seats that are not adjustable fore and aft, at the seating 
reference point.
    (b) With the pivot point to ``top-of-head'' dimension at each value 
allowed by the device and the interior dimensions of the vehicle, 
determine all contact points above the lower windshield glass line and 
forward of the seating reference point.
    (c) With the head form at each contact point, and with the device in 
a vertical position if no contact points exists for a particular 
adjusted length, pivot the measuring device forward and downward through 
all arcs in vertical planes to 90 deg. each side of the vertical 
longitudinal plane through the seating reference point, until the head 
form contacts an interior surface or until it is tangent to a horizontal 
plane 1 inch above the seating reference point, whichever occurs first.
    Interior compartment door means any door in the interior of the 
vehicle installed by the manufacturer as a cover for storage space 
normally used for personal effects.
    Longitudinal or longitudinally means parallel to the longitudinal 
centerline of the vehicle.
    Low-speed vehicle means a 4-wheeled motor vehicle, other than a 
truck, whose speed attainable in 1.6 km (1 mile) is more than 32 
kilometers per hour (20 miles per hour) and not more than 40 kilometers 
per hour (25 miles per hour) on a paved level surface.
    Motorcycle means a motor vehicle with motive power having a seat or 
saddle for the use of the rider and designed to travel on not more than 
three wheels in contact with the ground.
    Motor-driven cycle means a motorcycle with a motor that produces 5-
brake horsepower or less.
    Multipurpose passenger vehicle means a motor vehicle with motive 
power, except a low-speed vehicle or trailer, designed to carry 10 
persons or less which is constructed either on a truck chassis or with 
special features for occasional off-road operation.
    Open-body type vehicle means a vehicle having no occupant 
compartment top or an occupant compartment top that can be installed or 
removed by the user at his convenience.
    Outboard designated seating position means a designated seating 
position where a longitudinal vertical plane tangent to the outboard 
side of the seat cushion is less than 12 inches from the innermost point 
on the inside surface of the vehicle at a height between the design H-
point and the shoulder reference point (as shown in fig. 1 of Federal 
Motor Vehicle Safety Standard No. 210) and longitudinally between the 
front and rear edges of the seat cushion.

[[Page 181]]

    Overall vehicle width means the nominal design dimension of the 
widest part of the vehicle, exclusive of signal lamps, marker lamps, 
outside rearview mirrors, flexible fender extensions, and mud flaps, 
determined with doors and windows closed and the wheels in the straight-
ahead position.
    Parking brake means a mechanism designed to prevent the movement of 
a stationary motor vehicle.
    Passenger car means a motor vehicle with motive power, except a low-
speed vehicle, multipurpose passenger vehicle, motorcycle, or trailer, 
designed for carrying 10 persons or less.
    Pelvic impact area means that area of the door or body side panel 
adjacent to any outboard designated seating position which is bounded by 
horizontal planes 7 inches above and 4 inches below the seating 
reference point and vertical transverse planes 8 inches forward and 2 
inches rearward of the seating reference point.
    Pole trailer means a motor vehicle without motive power designed to 
be drawn by another motor vehicle and attached to the towing vehicle by 
means of a reach or pole, or by being boomed or otherwise secured to the 
towing vehicle, for transporting long or irregularly shaped loads such 
as poles, pipes, or structural members capable generally of sustaining 
themselves as beams between the supporting connections.
    School bus means a bus that is sold, or introduced in interstate 
commerce, for purposes that include carrying students to and from school 
or related events, but does not include a bus designed and sold for 
operation as a common carrier in urban transportation.
    Seating reference point (SgRP) means the unique design H-point, as 
defined in SAE J1100 (June 1984), which:
    (a) Establishes the rearmost normal design driving or riding 
position of each designated seating position, which includes 
consideration of all modes of adjustment, horizontal, vertical, and 
tilt, in a vehicle;
    (b) Has X, Y, and Z coordinates, as defined in SAE J1100 (June 
1984), established relative to the designed vehicle structure;
    (c) Simulates the position of the pivot center of the human torso 
and thigh; and
    (d) Is the reference point employed to position the two-dimensional 
drafting template with the 95th percentile leg described in SAE J826 
(May 1987), or, if the drafting template with the 95th percentile leg 
cannot be positioned in the seating position, is located with the seat 
in its most rearward adjustment position.
    Semitrailer means a trailer, except a pole trailer, so constructed 
that a substantial part of its weight rests upon or is carried by 
another motor vehicle.
    Service brake means the primary mechanism designed to stop a motor 
vehicle.
    Speed attainable in 1 mile means the speed attainable by 
accelerating at maximum rate from a standing start for 1 mile, on a 
level surface.
    Speed attainable in 2 miles means the speed attainable by 
accelerating at maximum rate from a standing start for 2 miles, on a 
level surface.
    Torso line means the line connecting the ``H'' point and the 
shoulder reference point as defined in SAE Recommended Practice J787g, 
``Motor Vehicle Seat Belt Anchorage,'' September 1966.
    Trailer means a motor vehicle with or without motive power, designed 
for carrying persons or property and for being drawn by another motor 
vehicle.
    Trailer converter dolly means a trailer chassis equipped with one or 
more axles, a lower half of a fifth wheel and a drawbar.
    Truck means a motor vehicle with motive power, except a trailer, 
designed primarily for the transportation of property or special purpose 
equipment.
    Truck tractor means a truck designed primarily for drawing other 
motor vehicles and not so constructed as to carry a load other than a 
part of the weight of the vehicle and the load so drawn.
    Unloaded vehicle weight means the weight of a vehicle with maximum 
capacity of all fluids necessary for operation of the vehicle, but 
without cargo, occupants, or accessories that are ordinarily removed 
from the vehicle when they are not in use.

[[Page 182]]

    95th percentile adult male means a person possessing the dimensions 
and weight of the 95th percentile adult male specified in Public Health 
Service Publication No. 1000, Series 11, No. 8, ``Weight, Height, and 
Selected Body Dimensions of Adults.''
    Vehicle fuel tank capacity means the tank's unusable capacity (i.e., 
the volume of fuel left at the bottom of the tank when the vehicle's 
fuel pump can no longer draw fuel from the tank) plus its usable 
capacity (i.e., the volume of fuel that can be pumped into the tank 
through the filler pipe with the vehicle on a level surface and with the 
unusable capacity already in the tank). The term does not include the 
vapor volume of the tank (i.e., the space above the fuel tank filler 
neck) nor the volume of the fuel tank filler neck.

[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]

    Editorial Note: For Federal Register citations affecting Sec. 571.3, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.



Sec. 571.4  Explanation of usage.

    The word any, used in connection with a range of values or set of 
items in the requirements, conditions, and procedures of the standards 
or regulations in this chapter, means generally the totality of the 
items or values, any one of which may be selected by the Administration 
for testing, except where clearly specified otherwise.

    Examples: ``The vehicle shall meet the requirements of S4.1 when 
tested at any point between 18 and 22 inches above the ground.'' This 
means that the vehicle must be capable of meeting the specified 
requirements at every point between 18 and 22 inches above the ground. 
The test in question for a given vehicle may call for a single test (a 
single impact, for example), but the vehicle must meet the requirement 
at whatever point the Administration selects, within the specified 
range.
    ``Each tire shall be capable of meeting the requirements of this 
standard when mounted on any rim specified by the manufacturer as 
suitable for use with that tire.'' This means that, where the 
manufacturer specifies more than one rim as suitable for use with a 
tire, the tire must meet the requirements with whatever rim the 
Administration selects from the specified group.
    ``Any one of the items listed below may, at the option of the 
manufacturer, be substituted for the hardware specified in S4.1.'' Here 
the wording clearly indicates that the selection of items is at the 
manufacturer's option.

[36 FR 2511, Feb. 5, 1971]



Sec. 571.5  Matter incorporated by reference.

    (a) Incorporation. There are hereby incorporated, by reference, into 
this part, all materials referred to in any standard in subpart B of 
this part that are not set forth in full in the standard. These 
materials are thereby made part of this regulation. The Director of the 
Federal Register has approved the materials incorporated by reference. 
For materials subject to change, only the specific version approved by 
the Director of the Federal Register and specified in the standard are 
incorporated. A notice of any change in these materials will be 
published in the Federal Register. As a convenience to the reader, the 
materials incorporated by reference are listed in the Finding Aid Table 
found at the end of this volume of the Code of Federal Regulations.
    (b) Availability. The materials incorporated by reference, other 
than acts of Congress and matter published elsewhere in the Federal 
Register, are available as follows:
    (1) Standards of the Society of Automotive Engineers (SAE). They are 
published by the Society of Automotive Engineers, Inc. Information and 
copies may be obtained by writing to: Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, Pennsylvania 15096.
    (2) Standards of the American Society for Testing and Materials. 
They are published by the American Society for Testing and Materials. 
Information on copies may be obtained by writing to the American Society 
for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.
    (3) Standards of the American National Standards Institute. They are 
published by the American National Standards Institute. Information and 
copies may be obtained by writing to: American National Standards 
Institute, 1430 Broadway, New York, New York 10018.
    (4) Data from the National Health Survey, Public Health Publication 
No. 1000,

[[Page 183]]

Series 11, No. 8. This is published by the U.S. Department of Health, 
Education, and Welfare. Copies may be obtained for a price of 35 cents 
from the Superintendent of Documents, U.S. Government Printing Office, 
Washington, DC 20402.
    (5) Test methods of the American Association of Textile Chemists and 
Colorists. They are published by the American Association of Textile 
Chemists and Colorists. Information and copies can be obtained by 
writing to: American Association of Textile Chemists and Colorists, Post 
Office Box 886, Durham, NC.
    (6) Test methods of the Illuminating Engineering Society of North 
America (IES). They are published by the Illuminating Engineering 
Society of North America. Copies can be obtained by writing to: 
Illuminating Engineering Society of North America, 345 East 47th St., 
New York, NY 10017.
    (7) Standards of Suppliers of Advanced Composite Materials 
Association (SACMA). They are published by Suppliers of Advanced 
Composite Materials Association. Information and copies may be obtained 
by writing to: Suppliers of Advanced Composite Materials Association, 
1600 Wilson Blvd., Suite 1008, Arlington, VA 22209.
    (8) Standards of the American Society of Mechanical Engineers 
(ASME). They are published by The American Society of Mechanical 
Engineers. Information and copies may be obtained by writing to: The 
American Society of Mechanical Engineers, 345 East 47th Street, New 
York, NY 10017.
    (9) Regulations of the United Nations Economic Commission for Europe 
(ECE). They are published by the United Nations. Information and copies 
may be obtained by writing to: United Nations, Conference Services 
Division, Distribution and Sales Section, Office C.115-1, Palais des 
Nations, CH-1211, Geneva 10, Switzerland. Copies of Regulations also are 
available on the ECE internet web site: www.unece.org/trans/main/wp29/
wp29regs.html.
    (10) All of the above materials, as well as any other materials 
incorporated by reference, are available for inspection and copying at 
the Office of Vehicle Safety Standards, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
materials are also available for inspection and copying at the Office of 
the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington, DC.

[33 FR 19704, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970, 
and amended at 35 FR 5120, Mar. 26, 1970; 36 FR 1148, Jan. 23, 1971; 41 
FR 52880, Dec. 2, 1976; 41 FR 56812, Dec. 30, 1976; 47 FR 7254, Feb. 18, 
1982; 48 FR 30141, June 30, 1983; 54 FR 20083, May 9, 1989; 59 FR 49021, 
Sept. 26, 1994; 60 FR 37843, Jul. 24, 1995; 64 FR 45898, Aug. 23, 1999]

    Effective Date Note:  At 64 FR 45898, Aug. 23, 1999, Sec. 571.5 was 
amended by adding paragraph (b)(9), effective Oct. 22, 1999.



Sec. 571.7  Applicability.

    (a) General. Except as provided in paragraphs (c) and (d) of this 
section, each standard set forth in subpart B of this part applies 
according to its terms to all motor vehicles or items of motor vehicle 
equipment the manufacture of which is completed on or after the 
effective date of the standard.
    (b) [Reserved]
    (c) Military vehicles. No standard applies to a vehicle or item of 
equipment manufactured for, and sold directly to, the Armed Forces of 
the United States in conformity with contractual specifications.
    (d) Export. No standard applies to a vehicle or item of equipment in 
the circumstances provided in section 108(b)(5) of the Act (15 U.S.C. 
1397 (b)(5)).
    (e) Combining new and used components. When a new cab is used in the 
assembly of a truck, the truck will be considered newly manufactured for 
purposes of paragraph (a) of this section, the application of the 
requirements of this chapter, and the Act, unless the engine, 
transmission, and drive axle(s) (as a minimum) of the assembled vehicle 
are not new, and at least two of these components were taken from the 
same vehicle.
    (f) Combining new and used components in trailer manufacture. When 
new materials are used in the assembly of a trailer, the trailer will be 
considered newly manufactured for purposes of paragraph (a) of this 
section, the application of the requirements of this

[[Page 184]]

chapter, and the Act, unless, at a minimum, the trailer running gear 
assembly (axle(s), wheels, braking and suspension) is not new, and was 
taken from an existing trailer--
    (1) Whose identity is continued in the reassembled vehicle with 
respect to the Vehicle Identification Number; and
    (2) That is owned or leased by the user of the reassembled vehicle.

[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970, 
and amended at 36 FR 7855, Apr. 27, 1971; 38 FR 12808, May 16, 1973; 40 
FR 49341, Oct. 22, 1975; 41 FR 27074, July 1, 1976]



Sec. 571.8  Effective date.

    Notwithstanding the effective date provisions of the motor vehicle 
safety standards in this part, the effective date of any standard or 
amendment of a standard issued after September 1, 1971, to which 
firefighting vehicles must conform shall be, with respect to such 
vehicles, either 2 years after the date on which such standard or 
amendment is published in the rules and regulations section of the 
Federal Register, or the effective date specified in the notice, 
whichever is later, except as such standard or amendment may otherwise 
specifically provide with respect to firefighting vehicles.

[36 FR 13927, July 28, 1971]



Sec. 571.9  Separability.

    If any standard established in this part or its application to any 
person or circumstance is held invalid, the remainder of the part and 
the application of that standard to other persons or circumstances is 
not affected thereby.

[33 FR 19705, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]



            Subpart B--Federal Motor Vehicle Safety Standards

    Source: 36 FR 22902, Dec. 2, 1971, unless otherwise noted.



Sec. 571.101  Standard No. 101; Controls and displays.

    S1. Scope. This standard specifies requirements for the location, 
identification, and illumination of motor vehicle controls and displays.
    S2. Purpose. The purpose of this standard is to ensure the 
accessibility and visibility of motor vehicle controls and displays and 
to facilitate their selection under daylight and nighttime conditions, 
in order to reduce the safety hazards caused by the diversion of the 
driver's attention from the driving task, and by mistakes in selecting 
controls.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S4. Definitions.
    Telltale means a display that indicates the actuation of a device, a 
correct or defective functioning or condition, or a failure to function.
    Gauge means a display that is listed in S5.1 or in Table 2 and is 
not a telltale.
    S5.  Requirements. Each passenger car, multipurpose passenger 
vehicle, truck and bus manufactured with any control listed in S5.1 or 
in column 1 of Table 1, and each passenger car, multipurpose passenger 
vehicle and truck or bus less than 4,536 kg. GVWR with any display 
listed in S5.1 or in column 1 of Table 2, shall meet the requirements of 
this standard for the location, identification, and illumination of such 
control or display.
    S5.1 Location. Under the conditions of S6, each of the following 
controls that is furnished shall be operable by the driver and each of 
the following displays that is furnished shall be visible to the driver. 
Under the conditions of S6, telltales are considered visible when 
activated.

                         Hand-Operated Controls

    (a) Steering wheel.
    (b) Horn.
    (c) Ignition.
    (d) Headlamp.
    (e) Taillamp.
    (f) Turn signal.
    (g) Illumination intensity.
    (h) Windshield wiper.
    (i) Windshield washer.
    (j) Manual transmission shift lever, except transfer case.
    (k) Windshield defrosting and defogging system.
    (l) Rear window defrosting and defogging system.
    (m) Manual choke.
    (n) Driver's sun visor.
    (o) Automatic vehicle speed system.

[[Page 185]]

    (p) Highbeam.
    (q) Hazard warning signal.
    (r) Clearance lamps.
    (s) Hand throttle.
    (t) Identification lamps.

                         Foot-Operated Controls

    (a) Service brake.
    (b) Accelerator.
    (c) Clutch.
    (d) Highbeam.
    (e) Windshield washer.
    (f) Windshield wiper.

                                Displays

    (a) Speedometer.
    (b) Turn signal.
    (c) Gear position.
    (d) Brake failure warning.
    (e) Fuel.
    (f) Engine coolant temperature.
    (g) Oil.
    (h) Highbeam.
    (i) Electrical charge.

    S5.2  Identification.
    S5.2.1  Vehicle controls shall be identified as follows:
    (a) Except as specified in S5.2.1(b), any hand-operated control 
listed in column 1 of Table 1 that has a symbol designated for it in 
column 3 of that table shall be identified by either the symbol 
designated in column 3 (or symbol substantially similar in form to that 
shown in column 3) or the word or abbreviation shown in column 2 of that 
table. Any such control for which no symbol is shown in Table 1 shall be 
identified by the word or abbreviation shown in column 2. Words or 
symbols in addition to the required symbol, word or abbreviation may be 
used at the manufacturer's discretion for the purpose of clarity. Any 
such control for which column 2 of Table 1 and/or column 3 of Table 1 
specifies ``Mfr. Option'' shall be identified by the manufacturer's 
choice of a symbol, word or abbreviation, as indicated by that 
specification in column 2 and/or column 3. The identification shall be 
placed on or adjacent to the control. The identification shall, under 
the conditions of S6, be visible to the driver and, except as provided 
in S5.2.1.1, S5.2.1.2, and S5.2.1.3, appear to the driver perceptually 
upright.
    (b) S5.2.1(a) does not apply to a turn signal control which is 
operated in a plane essentially parallel to the face plane of the 
steering wheel in its normal driving position and which is located on 
the left side of the steering column so that it is the control on that 
side of the column nearest to the steering wheel face plane.
    S5.2.1.1  The identification of the following need not appear to the 
driver perceptually upright:
    (a) A master lighting switch or headlamp and tail lamp control that 
adjusts control and display illumination by means of rotation, or any 
other rotating control that does not have an off position.
    (b) A horn control.
    S5.2.1.2  The identification of a rotating control other than one 
described by S5.2.1.1 shall appear to the driver perceptually upright 
when the control is in the off position.
    S5.2.1.3  The identification of an automatic vehicle speed control 
located on the steering wheel, including the steering wheel hub and 
spokes, need not appear to the driver perceptually upright except when 
the vehicle, aligned to the manufacturer's specifications, has its 
wheels positioned for the vehicle to travel in a straight forward 
direction.
    S5.2.2  Identification shall be provided for each function of any 
automatic vehicle speed system control and any heating and air 
conditioning system control, and for the extreme positions of any such 
control that regulates a function over a quantitative range. If this 
identification is not specified in Table 1 or 2, it shall be in word or 
symbol form unless color coding is used. If color coding is used to 
identify the extreme positions of a temperature control, the hot extreme 
shall be identified by the color red and the cold extreme by the color 
blue.
    Example 1. A slide lever controls the temperature of the air in the 
vehicle heating system over a continuous range, from no heat to maximum 
heat. Since the control regulates a single function over a quantitative 
range, only the extreme positions require identification.
    Example 2. A switch has three positions, for heat, defrost, and air 
conditioning. Since each position regulates a different function, each 
position must be identified.
    S5.2.3  Any display located within the passenger compartment and 
listed in column 1 of Table 2 that has a symbol designated in column 4 
of that

[[Page 186]]

table shall be identified by either the symbol designated in column 4 
(or symbol substantially similar in form to that shown in column 4) or 
the word or abbreviation shown in column 3. Additional words or symbols 
may be used at the manufacturer's discretion for the purpose of clarity. 
Any telltales used in conjuction with a gauge need not be identified. 
The identification required or permitted by this section shall be placed 
on or adjacent to the display that it identifies. The identification of 
any display shall, under the conditions of S6, be visible to the driver 
and appear to the driver perceptually upright.
    S5.3  Illumination.
    S5.3.1  Except for foot-operated controls or hand-operated controls 
mounted upon the floor, floor console, or steering column, or in the 
windshield header area, the identification required by S5.2.1 or S5.2.2 
of any control listed in column 1 of Table 1 and accompanied by the word 
``yes'' in the corresponding space in column 4 shall be capable of being 
illuminated whenever the headlights are activated. However, control 
identification for a heating and air-conditioning system need not be 
illuminated if the system does not direct air directly upon windshield. 
If a gauge is listed in column 1 of Table 2 and accompanied by the word 
``yes'' in column 5, then the gauge and its identification required by 
S5.2.3 shall be illuminated whenever the ignition switch and/or the 
headlamps are activated. Controls, gauges, and their identifications 
need not be illuminated when the headlamps are being flashed. A telltale 
shall not emit light except when identifying the malfunction or vehicle 
condition for whose indication it is designed or during a bulb check 
upon vehicle starting.
    S5.3.2.  Each telltale shall be of the color shown in column 2 of 
Table 2. The identification of each telltale shall be in a color that 
contrasts with the background.
    S5.3.3 (a) Means shall be provided for making controls, gauges, and 
the identification of those items visible to the driver under all 
driving conditions.
    (b) The means for providing the required visibility--
    (1) Shall be adjustable to provide at least two levels of 
brightness, one of which is barely discernible to a driver who has 
adapted to dark ambient roadway conditions.
    (2) May be operable manually or automatically, and
    (3) May have levels of brightness at which those items and 
identification are not visible.
    (c) If the level of brightness is adjusted by automatic means to a 
point where those items or their identification are not visible to the 
driver, a means shall be provided to enable the driver to restore 
visibility.
    S5.3.4  (a) Means shall be provided that are capable of making 
telltales and their identification visible to the driver under all 
driving conditions.
    (b) The means for providing the required visibility may be 
adjustable manually or automatically, except that the telltales and 
identification for brakes, highbeams, turn signals, and safety belts may 
not be adjustable under any driving condition to a level that is 
invisible.
    S5.3.5  Any source of illumination within the passenger compartment 
which is forward of a transverse vertical plane 110 mm rearward of the 
manikin ``H'' point with the driver's seat in its rearmost driving 
position, which is not used for the controls and displays regulated by 
this standard, which is not a telltale, and which is capable of being 
illuminated while the vehicle is in motion, shall have either (1) light 
intensity which is manually or automatically adjustable to provide at 
least two levels of brightness, (2) a single intensity that is barely 
discernible to a driver who has adapted to dark ambient roadway 
conditions, or (3) a means of being turned off. This requirement does 
not apply to buses that are normally operated with the passenger 
compartment illuminated.
    S5.4  A common space may be used to display messages from any 
sources, subject to the following requirements:
    (a) The telltales for the brake, high beam, and turn signal, and the 
safety belt telltale required by S4.5.3.3 of Standard No. 208 may not be 
shown on the common space.
    (b) Except as provided in S5.4(e), the telltales listed in Table 2 
shall be displayed at the initiation of any underlying condition.

[[Page 187]]

    (c) When the underlying condition exists for actuation of two or 
more messages, the messages shall be either--
    (1) Repeated automatically in sequence, or
    (2) Indicated by visible means and capable of being selected by the 
driver for viewing.
    (d) Messages may be cancellable automatically or by the driver.
    (e) The safety belt telltale must be displayed and visible during 
the time specified in S7.3 of Standard No. 208.
    S6. Conditions. The driver is restrained by the crash protection 
equipment installed in accordance with the requirements of Sec. 571.208 
of this part (Standard No. 208), adjusted in accordance with the 
manufacturer's instructions.

[[Page 188]]

[GRAPHIC] [TIFF OMITTED] TR24SE98.032


[[Page 189]]


[GRAPHIC] [TIFF OMITTED] TR24SE98.033

[43 FR 27542, June 26, 1978, as amended at 44 FR 55583, Sept. 27, 1979; 
45 FR 71804, Oct. 30, 1980; 47 FR 2998, Jan. 21, 1982; 49 FR 30196, July 
27, 1984; 50 FR 23431, June 4, 1985; 52 FR 3247, Feb. 3, 1987; 52 FR 
7157, Mar. 9, 1987; 52 FR 19874, May 28, 1987; 52 FR 33417, Sept. 3, 
1987; 56 FR 51848, Oct. 16, 1991; 60 FR 63977, Dec. 13, 1995; 62 FR 
32542, 32543, June 16, 1997; 63 FR 28926, May 27, 1998; 63 FR 50997, 
Sept. 24, 1998]

[[Page 190]]



Sec. 571.102  Standard No. 102; Transmission shift lever sequence, starter interlock, and transmission braking effect.

    S1. Purpose and scope. This standard specifies the requirements for 
the transmission shift lever sequence, a starter interlock, and for a 
braking effect of automatic transmissions, to reduce the likelihood of 
shifting errors, starter engagement with vehicle in drive position, and 
to provide supplemental braking at speeds below 40 kilometers per hour.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Requirements.
    S3.1  Automatic transmissions.
    S3.1.1  Location of transmission shift lever positions on passenger 
cars. A neutral position shall be located between forward drive and 
reverse drive positions. If a steering-column-mounted transmission shift 
lever is used, movement from neutral position to forward drive position 
shall be clockwise. If the transmission shift lever sequence includes a 
park position, it shall be located at the end, adjacent to the reverse 
drive position.
    S3.1.2  Transmission braking effect. In vehicles having more than 
one forward transmission gear ratio, one forward drive position shall 
provide a greater degree of engine braking than the highest speed 
transmission ratio at vehicle speeds below 40 kilometers per hour.
    S3.1.3  Starter interlock. The engine starter shall be inoperative 
when the transmission shift lever is in a forward or reverse drive 
position.
    S3.1.4  Identification of shift lever positions.
    S3.1.4.1  Except as specified in S3.1.4.3, if the transmission shift 
lever sequence includes a park position, identification of shift lever 
positions, including the positions in relation to each other and the 
position selected, shall be displayed in view of the driver whenever any 
of the following conditions exist:
    (a) The ignition is in a position where the transmission can be 
shifted.
    (b) The transmission is not in park.

    S3.1.4.2  Except as specified in S3.1.4.3, if the transmission shift 
lever sequence does not include a park position, identification of shift 
lever positions, including the positions in relation to each other and 
the position selected, shall be displayed in view of the driver whenever 
the ignition is in a position in which the engine is capable of 
operation.
    S3.1.4.3  Such information need not be displayed when the ignition 
is in a position that is used only to start the vehicle.
    S3.1.4.4  Effective September 23, 1991, all of the information 
required to be displayed by S3.1.4.1 or S3.1.4.2 shall be displayed in 
view of the driver in a single location. At the option of the 
manufacturer, redundant displays providing some or all of the 
information may be provided.
    S3.2  Manual transmissions. Identification of the shift lever 
pattern of manual transmissions, except three forward speed manual 
transmissions having the standard ``H'' pattern, shall be displayed in 
view of the driver at all times when a driver is present in the driver's 
seating position.

[36 FR 22902, Dec. 2, 1971, as amended at 54 FR 29045, July 11, 1989; 56 
FR 12471, Mar. 26, 1991; 60 FR 13642, March 14, 1995]



Sec. 571.103  Standard No. 103; Windshield defrosting and defogging systems.

    S1. Scope. This standard specifies requirements for windshield 
defrosting and defogging systems.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Definitions. Road load means the power output required to move a 
given motor vehicle at curb weight plus 180 kilograms on level, clean, 
dry, smooth portland cement concrete pavement (or other surface with 
equivalent coefficient of surface friction) at a specified speed through 
still air at 20 degrees Celsius, and standard barometric pressure (101.3 
kilopascals) and includes driveline friction, rolling friction, and air 
resistance.
    S4. Requirements. (a) Except as provided in paragraph (b) of this 
section, each passenger car shall meet the requirements specified in 
S4.1, S4.2, and S4.3, and each multipurpose passenger vehicle, truck, 
and bus shall meet the requirements specified in Sec. 4.1.

[[Page 191]]

    (b) Each passenger car, multipurpose passenger vehicle, truck, and 
bus manufactured for sale in the noncontinental United States may, at 
the option of the manufacturer, have a windshield defogging system which 
operates either by applying heat to the windshield or by dehumidifying 
the air inside the passenger compartment of the vehicle, in lieu of 
meeting the requirements specified by paragraph (a) of this section.
    S4.1  Each vehicle shall have a windshield defrosting and defogging 
system.
    S4.2  Each passenger car windshield defrosting and defogging system 
shall meet the requirements of section 3 of SAE Recommended Practice 
J902, ``Passenger Car Windshield Defrosting Systems,'' August 1964, when 
tested in accordance with S4.3, except that ``the critical area'' 
specified in paragraph 3.1 of SAE Recommended Practice J902 shall be 
that established as Area C in accordance with Motor Vehicle Safety 
Standard No. 104, ``Windshield Wiping and Washing Systems,'' and ``the 
entire windshield'' specified in paragraph 3.3 of SAE Recommended 
Practice J902 shall be that established as Area A in accordance with 
Sec. 571.104.
    S4.3  Demonstration procedure. The passenger car windshield 
defrosting and defogging system shall be tested in accordance with the 
portions of paragraphs 4.1 through 4.4.7 of SAE Recommended Practice 
J902, August 1964, or SAE Recommended Practice J902a, March 1967, 
applicable to that system, except that--
    (a) During the first 5 minutes of the test:
    (1) For a passenger car equipped with a heating system other than a 
heat exchanger type that uses the engine's coolant as a means to supply 
the heat to the heat exchanger, the warm-up procedure is that specified 
by the vehicle's manufacturer for cold weather starting, except that 
connection to a power or heat source external to the vehicle is not 
permitted.
    (2) For all other passenger cars, the warm-up procedure may be that 
recommended by the vehicle's manufacturer for cold weather starting.
    (b) During the last 35 minutes of the test period (or the entire 
test period if the 5-minute warm-up procedure specified in paragraph (a) 
of this section is not used),
    (1) For a passenger car equipped with a heating system other than a 
heat exchanger type that uses the engine's coolant as a means to supply 
the heat to the heat exchanger, the procedure shall be that specified by 
the vehicle's manufacturer for cold weather starting, except that 
connection to a power or heat source external to the vehicle is not 
permitted.
    (2) For all other passenger cars, either--
    (i) The engine speed shall not exceed 1,500 r.p.m. in neutral gear; 
or
    (ii) The engine speed and load shall not exceed the speed and load 
at 40 kilometers per hour in the manufacturer's recommended gear with 
road load;
    (c) A room air change of 90 times per hour is not required;
    (d) The windshield wipers may be used during the test if they are 
operated without manual assist;
    (e) One or two windows may be open a total of 25 millimeters;
    (f) The defroster blower may be turned on at any time; and
    (g) The wind velocity is at any level from 0 to 3 kilometers per 
hour.
    (h) The test chamber temperature and the wind velocity shall be 
measured, after the engine has been started, at the forwardmost point of 
the vehicle or a point 914 millimeters from the base of the windshield, 
whichever is farther forward, at a level halfway between the top and 
bottom of the windshield on the vehicle centerline.

[36 FR 22902, Dec. 2, 1971, as amended at 40 FR 12992, Mar. 24, 1975; 40 
FR 32336, Aug. 1, 1975; 50 FR 48775, Nov. 27, 1985; 59 FR 11006, Mar. 9, 
1994; 60 FR 13642, Mar. 14, 1995]



Sec. 571.104  Standard No. 104; Windshield wiping and washing systems.

    S1. Scope. This standard specifies requirements for windshield 
wiping and washing systems.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Definitions. The term seating reference point is substituted for 
the terms manikin H point, manikin H point with seat in rearmost 
position and H point wherever any of these terms appear in

[[Page 192]]

any SAE Standard or SAE Recommended Practice referred to in this 
standard.
    Daylight opening means the maximum unobstructed opening through the 
glazing surface, as defined in paragraph 2.3.12 of section E, Ground 
Vehicle Practice, SAE Aerospace-Automotive Drawing Standards, September 
1963.
    Glazing surface reference line means the line resulting from the 
intersection of the glazing surface and a horizontal plane 635 
millimeters above the seating reference point, as shown in Figure 1 of 
SAE Recommended Practice J903a, ``Passenger Car Windshield Wiper 
Systems,'' May 1966.
    Overall width means the maximum overall body width dimension 
``W116'', as defined in section E, Ground Vehicle Practice, SAE 
Aerospace-Automotive Drawing Standards, September 1963.
    Plan view reference line means--
    (a) For vehicles with bench-type seats, a line parallel to the 
vehicle longitudinal centerline outboard of the steering wheel 
centerline 0.15 times the difference between one-half of the shoulder 
room dimension and the steering wheel centerline-to-car-centerline 
dimension as shown in Figure 2 of SAE Recommended Practice J903a, May 
1966; or
    (b) For vehicles with individual-type seats, either--
    (i) A line parallel to the vehicle longitudinal centerline which 
passes through the center of the driver's designated seating position; 
or
    (ii) A line parallel to the vehicle longitudinal centerline located 
so that the geometric center of the 95 percent eye range contour is 
positioned on the longitudinal centerline of the driver's designated 
seating position.
    Shoulder room dimension means the front shoulder room dimension 
``W3'' as defined in section E, Ground Vehicle Practice, SAE Aerospace-
Automotive Drawing Standards, September 1963.
    95 percent eye range contour means the 95th percentile tangential 
cutoff specified in SAE Recommended Practice J941, ``Passenger Car 
Driver's Eye Range,'' November 1965.
    S4. Requirements.
    S4.1  Windshield wiping system. Each vehicle shall have a power-
driven windshield wiping system that meets the requirements of S4.1.1.
    S4.1.1  Frequency.
    S4.1.1.1  Each windshield wiping system shall have at least two 
frequencies or speeds.
    S4.1.1.2  One frequency or speed shall be at least 45 cycles per 
minute regardless of engine load and engine speed.
    S4.1.1.3  Regardless of engine speed and engine load, the highest 
and one lower frequency or speed shall differ by at least 15 cycles per 
minute. Such lower frequency or speed shall be at least 20 cycles per 
minute regardless of engine speed and engine load.
    S4.1.1.4  Compliance with subparagraphs S4.1.1.2 and S4.1.1.3 may be 
demonstrated by testing under the conditions specified in sections 4.1.1 
and 4.1.2 of SAE Recommended Practice J903a, May 1966.
    S4.1.2  Wiped area. When tested wet in accordance with SAE 
Recommended Practice J903a, May 1966, each passenger car windshield 
wiping system shall wipe the percentage of Areas A, B, and C of the 
windshield (established in accordance with S4.1.2.1) that (1) is 
specified in column 2 of the applicable table following subparagraph 
S4.1.2.1 and (2) is within the area bounded by a perimeter line on the 
glazing surface 25 millimeters from the edge of the daylight opening.
    S4.1.2.1  Areas A, B, and C shall be established as shown in Figures 
1 and 2 of SAE Recommended Practice J903a, May 1966, using the angles 
specified in Columns 3 through 6 of Table I, II, III, or IV, as 
applicable.

                     Table I--Passenger Cars of Less Than 1520 Millimeters in Overall Width
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        16        49        7        5
B..............................................................         94        13        46        4        3
C..............................................................         99         7        15        3        1
----------------------------------------------------------------------------------------------------------------


[[Page 193]]


            Table II--Passenger Cars of 1520 or More But Less Than 1630 Millimeters in Overall Width
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        17        51        8        5
B..............................................................         94        13        49        4        3
C..............................................................         99         7        15        3        1
----------------------------------------------------------------------------------------------------------------


            Table III--Passenger Cars of 1630 or More But Less Than 1730 Millimeters in Overall Width
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        17        53        9        5
B..............................................................         94        14        51        5        3
C..............................................................         99         8        15        4        1
----------------------------------------------------------------------------------------------------------------


                      Table IV--Passenger Cars of 1730 or More Millimeters in Overall Width
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        18        56       10        5
B..............................................................         94        14        53        5        3
C..............................................................         99        10        15        5        1
----------------------------------------------------------------------------------------------------------------

    S4.2  Windshield washing system.
    S4.2.1  Each passenger car shall have a windshield washing system 
that meets the requirements of SAE Recommended Practice J942, 
``Passenger Car Windshield Washer Systems,'' November 1965, except that 
the reference to ``the effective wipe pattern defined in SAE J903, 
paragraph 3.1.2'' in paragraph 3.1 of SAE Recommended Practice J942 
shall be deleted and ``the areas established in accordance with 
subparagraph S4.1.2.1 of Motor Vehicle Safety Standard No. 104'' shall 
be inserted in lieu thereof.
    S4.2.2  Each multipurpose passenger vehicle truck, and bus shall 
have a windshield washing system that meets the requirements of SAE 
Recommended Practice J942, November 1965, except that the reference to 
``the effective wipe pattern defined in SAE J903, paragraph 3.1.2'' in 
paragraph 3.1 of SAE Recommended Practice J942 shall be deleted and 
``the pattern designed by the manufacturer for the windshield wiping 
system on the exterior surface of the windshield glazing'' shall be 
inserted in lieu thereof.

[36 FR 22902, Dec. 2, 1971, as amended at 58 FR 13023, Mar. 9, 1993; 60 
FR 13643, Mar. 14, 1995; 63 FR 51000, Sept. 24, 1998]



Sec. 571.105  Standard No. 105; Hydraulic and electric brake systems.

    S1. Scope. This standard specifies requirements for hydraulic and 
electric service brake systems, and associated parking brake systems.
    S2. Purpose. The purpose of this standard is to insure safe braking 
performance under normal and emergency conditions.
    S3. Application. This standard applies to hydraulically-braked 
vehicles with a GVWR greater than 3,500 kilograms (7,716 pounds). This 
standard applies to hydraulically-braked passenger cars manufactured 
before September 1, 2000, and to hydraulically-braked multipurpose 
passenger vehicles, trucks and buses with a GVWR of 3,500 kilograms or 
less that are manufactured before September 1, 2002. At the option of 
the manufacturer, hydraulically-braked passenger cars manufactured 
before September 1, 2000, and hydraulically-braked multipurpose 
passenger vehicles, trucks and buses with a GVWR of 3,500 kilograms 
(7,716 pounds) or less manufactured before September 1, 2002, may meet 
the requirements of Federal Motor Vehicle Safety Standard No. 135, Light 
Vehicle Brake Systems instead of this standard.
    S4. Definitions.
    Antilock brake system or ABS means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
during braking by:
    (1) Sensing the rate of angular rotation of the wheels;
    (2) Transmitting signals regarding the rate of wheel angular 
rotation to one or more controlling devices which interpret those 
signals and generate responsive controlling output signals; and

[[Page 194]]

    (3) Transmitting those controlling signals to one or more modulators 
which adjust brake actuating forces in response to those signals.
    Backup system means a portion of a service brake system, such as a 
pump, that automatically supplies energy, in the event of a primary 
brake power source failure.
    Brake power assist unit means a device installed in a hydraulic 
brake system that reduces the operator effort required to actuate the 
system, and that if inoperative does not prevent the operator from 
braking the vehicle by a continued application of muscular force on the 
service brake control.
    Brake power unit means a device installed in a brake system that 
provides the energy required to actuate the brakes, either directly or 
indirectly through an auxiliary device, with the operator action 
consisting only of modulating the energy application level.
    Directly Controlled Wheel means a wheel for which the degree of 
rotational wheel slip is sensed, either at that wheel or on the axle 
shaft for that wheel and corresponding signals are transmitted to one or 
more modulators that adjust the brake actuating forces at that wheel. 
Each modulator may also adjust the brake actuating forces at other 
wheels that are on the same axle or in the same axle set in response to 
the same signal or signals.
    Electric vehicle or EV means a motor vehicle that is powered by an 
electric motor drawing current from rechargeable storage batteries, fuel 
cells, or other portable sources of electrical current, and which may 
include a non-electrical source of power designed to charge batteries 
and components thereof.
    Electrically-actuated service brakes means service brakes that 
utilize electrical energy to actuate the foundation brakes.
    Hydraulic brake system means a system that uses hydraulic fluid as a 
medium for transmitting force from a service brake control to the 
service brake, and that may incorporate a brake power assist unit, or a 
brake power unit.
    Indirectly Controlled Wheel means a wheel at which the degree of 
rotational wheel slip is not sensed, but at which the modulator of an 
antilock braking system adjusts its brake actuating forces in response 
to signals from one or more sensed wheels.
    Initial brake temperature means the average temperature of the 
service brakes on the hottest axle of the vehicle 0.2 mi before any 
brake application.
    Lightly loaded vehicle weight means:
    (a) For vehicles with a GVWR of 10,000 lbs. or less, unloaded 
vehicle weight plus 400 lbs. (including driver and instrumentation);
    (b) For vehicles with a GVWR greater than 10,000 lbs., unloaded 
vehicle weight plus 500 lbs. (including driver and instrumentation).
    Motor home means a motor vehicle with motive power that is designed 
to provide temporary residential accommodations, as evidenced by the 
presence of at least four of the following facilities: cooking; 
refrigeration or ice box; self-contained toilet; heating and/or air 
conditioning; a potable water supply system including a faucet and a 
sink; and a separate 110-125 volt electric power supply and/or an LP gas 
supply.
    Parking mechanism means a component or subsystem of the drive train 
that locks the drive train when the transmission control is placed in a 
parking or other gear position and the ignition key is removed.
    Peak friction coefficient or PFC means the ratio of the maximum 
value of braking test wheel longitudinal force to the simultaneous 
vertical force occurring prior to wheel lockup, as the braking torque is 
progressively increased.
    Pressure component means a brake system component that contains the 
brake system fluid and controls or senses the fluid pressure.
    Regenerative braking system or RBS means an electrical energy system 
that is installed in an EV for recovering or dissipating kinetic energy, 
and which uses the propulsion motor(s) as a retarder for partial braking 
of the EV while returning electrical energy to the propulsion batteries 
or dissipating electrical energy.
    Skid number means the frictional resistance of a pavement measured 
in accordance with American Society for Testing and Materials (ASTM) 
Method

[[Page 195]]

E-274-70 (as revised July, 1974) at 40 mph, omitting water delivery as 
specified in paragraphs 7.1 and 7.2 of that method.
    Snub means the braking deceleration of a vehicle from a higher 
reference speed to a lower reference speed that is greater than zero.
    Spike stop means a stop resulting from the application of 200 lbs of 
force on the service brake control in 0.08 s.
    Split service brake system means a brake system consisting of two or 
more subsystems actuated by a single control, designed so that a single 
failure in any subsystem (such as a leakage-type failure of a pressure 
component of a hydraulic subsystem except structural failure of a 
housing that is common to two or more subsystems, or an electrical 
failure in an electric subsystem) does not impair the operation of any 
other subsystem.
    Stopping distance means the distance traveled by a vehicle from the 
point of application of force to the brake control to the point at which 
the vehicle reaches a full stop.
    Tandem axle means a group of two or more axles placed in close 
arrangement one behind the other with the center lines of adjacent axles 
not more than 72 inches apart.
    Variable proportioning brake system means a system that 
automatically adjusts the braking force at the axles to compensate for 
vehicle static axle loading and/or dynamic weight transfer between axles 
during deceleration.
    Wheel lockup means 100 percent wheel slip.
    S5.  Requirements.
    S5.1  Service brake systems. Each vehicle shall be equipped with a 
service brake system acting on all wheels. Wear of the service brake 
shall be compensated for by means of a system of automatic adjustment. 
Each passenger car and each multipurpose passenger vehicle, truck, and 
bus with a GVWR of 10,000 pounds or less shall be capable of meeting the 
requirements of S5.1.1 through S5.1.6 under the conditions prescribed in 
S6, when tested according to the procedures and in the sequence set 
forth in S7. Each school bus with a GVWR greater than 10,000 pounds 
shall be capable of meeting the requirements of S5.1.1 through S5.1.5 
under the conditions prescribed in S6, when tested according to the 
procedures and in the sequence set forth in S7. Each multipurpose 
passenger vehicle, truck, and bus (other than a school bus) with a GVWR 
greater than 10,000 pounds shall be capable of meeting the requirements 
of S5.1.1, S5.1.2, and S5.1.3 under the conditions prescribed in S6, 
when tested according to the procedures and in the sequence set forth in 
S7. Except as noted in S5.1.1.2 and S5.1.1.4, if a vehicle is incapable 
of attaining a speed specified in S5.1.1, S5.1.2, S5.1.3, or S5.1.6, its 
service brakes shall be capable of stopping the vehicle from the 
multiple of 5 mph that is 4 to 8 mph less than the speed attainable in 2 
miles, within distances that do not exceed the corresponding distances 
specified in Table II. If a vehicle is incapable of attaining a speed 
specified in S5.1.4 in the time or distance interval set forth, it shall 
be tested at the highest speed attainable in the time or distance 
interval specified.
    S5.1.1  Stopping distance. (a) The service brakes shall be capable 
of stopping each vehicle with a GVWR of less than 8,000 pounds, and each 
school bus with a GVWR between 8,000 pounds and 10,000 pounds in four 
effectiveness tests within the distances and from the speeds specified 
in S5.1.1.1, S5.1.1.2, S5.1.1.3, and S5.1.1.4.
    (b) The service brakes shall be capable of stopping each vehicle 
with a GVWR of between 8,000 pounds and 10,000 pounds, other than a 
school bus, in three effectiveness tests within the distances and from 
the speeds specified in S5.1.1.1, S5.1.1.2, and S5.1.1.4.
    (c) The service brakes shall be capable of stopping each vehicle 
with a GVWR greater than 10,000 pounds in two effectiveness tests within 
the distances and from the speeds specified in S5.1.1.2 and S5.1.1.3. 
Each school bus with a GVWR greater than 10,000 pounds manufactured 
after January 12, 1996 and before March 1, 1999 and which is equipped 
with an antilock brake system may comply with paragraph S5.1.1.2 and 
S5.5.1 rather than the first effectiveness test, as specified in 
S5.1.1.1. Each school bus with a GVWR greater than 10,000 pounds 
manufactured on or after March 1, 1999 shall be capable of meeting the 
requirements of

[[Page 196]]

S5.1.1 through S5.1.5, under the conditions prescribed in S6, when 
tested according to the procedures and in the sequence set forth in S7.
    S5.1.1.1  In the first (preburnished) effectiveness test, the 
vehicle shall be capable of stopping from 30 mph and 60 mph within the 
corresponding distances specified in column I of table II.
    S5.1.1.2  In the second effectiveness test, each vehicle with a GVWR 
of 10,000 pounds or less and each school bus with a GVWR greater than 
10,000 pounds shall be capable of stopping from 30 mph and 60 mph, and 
each vehicle with a GVWR greater than 10,000 pounds (other than a school 
bus) shall be capable of stopping from 60 mph, within the corresponding 
distances specified in Column II of Table II. If the speed attainable in 
2 miles is not less than 84 mph, a passenger car or other vehicle with a 
GVWR of 10,000 pounds or less shall also be capable of stopping from 80 
mph within the corresponding distances specified in Column II of Table 
II.
    S5.1.1.3 In the third effectiveness test the vehicle shall be 
capable of stopping at lightly loaded vehicle weight from 60 mph within 
the corresponding distance specified in column III of table II.
    S5.1.1.4  In the fourth effectiveness test, a vehicle with a GVWR of 
10,000 pounds or less shall be capable of stopping from 30 and 60 mph 
within the corresponding distances specified in column I of table II. If 
the speed attainable in 2 miles is not less than 84 mph, a passenger 
car, or other vehicle with a GVWR of 10,000 lbs., or less, shall also be 
capable of stopping from 80 mph within the corresponding distance 
specified in column I of table II.
    If the speed attainable in 2 miles is not less than 99 mph, a 
passenger car shall, in addition, be capable of stopping from the 
applicable speed indicated below, within the corresponding distance 
specified in column I of table II.

------------------------------------------------------------------------
                                                               Required
              Speed attainable in 2 miles (mph)                 to stop
                                                              from (mph)
------------------------------------------------------------------------
Not less than 99 but less than 104..........................          95
104 or more.................................................         100
------------------------------------------------------------------------


For an EV, the speed attainable in 2 miles is determined with the 
propulsion batteries at a state of charge of not less than 95 percent at 
the beginning of the run.
    S5.1.2  Partial failure.
    S5.1.2.1  In vehicles manufactured with a split service brake 
system, in the event of a rupture or leakage type of failure in a single 
subsystem, other than a structural failure of a housing that is common 
to two or more subsystems, the remaining portion(s) of the service brake 
system shall continue to operate and shall be capable of stopping a 
vehicle from 60 mph within the corresponding distance specified in 
column IV of table II.
    S5.1.2.2  In vehicles not manufactured with a split service brake 
system, in the event of any one rupture or leakage type of failure in 
any component of the service brake system the vehicle shall, by 
operation of the service brake control, be capable of stopping 10 times 
consecutively from 60 mph within the corresponding distance specified in 
column IV of table II.
    S5.1.2.3 For a vehicle manufactured with a service brake system in 
which the brake signal is transmitted electrically between the brake 
pedal and some or all of the foundation brakes, regardless of the means 
of actuation of the foundation brakes, the vehicle shall be capable of 
stopping from 60 mph within the corresponding distance specified in 
Column IV of Table II with any single failure in any circuit that 
electrically transmits the brake signal, and with all other systems 
intact.
    S5.1.2.4 For an EV manufactured with a service brake system that 
incorporates RBS, the vehicle shall be capable of stopping from 60 mph 
within the corresponding distance specified in Column IV of Table II 
with any single failure in the RBS, and with all other systems intact.
    S5.1.3  Inoperative brake power assist unit or brake power unit. A 
vehicle equipped with one or more brake power assist units shall meet 
the requirements of either S5.1.3.1, S5.1.3.2, or S5.1.3.4 (chosen at 
the option of the manufacturer), and a vehicle equipped with one or more 
brake power units shall meet the requirements of either S5.1.3.1, 
S5.1.3.3, or S5.1.3.4 (chosen at the option of the manufacturer).

[[Page 197]]

    S5.1.3.1  The service brakes on a vehicle equipped with one or more 
brake power assist units or brake power units, with one such unit 
inoperative and depleted of all reserve capability, shall be capable of 
stopping a vehicle from 60 mph within the corresponding distance 
specified in column IV of table II.
    S5.1.3.2  Brake power assist units. The service brakes on a vehicle 
equipped with one or more brake power assist units, with one such unit 
inoperative, shall be capable of stopping a vehicle from 60 mph:
    (a) In six consecutive stops at an average deceleration for each 
stop that is not lower than that specified in column I of table III, 
when the inoperative unit is not initially depleted of all reserve 
capability; and
    (b) In a final stop, at an average deceleration that is not lower 
than 7 FPSPS for passenger cars (equivalent stopping distance 554 feet) 
or 6 FPSPS for vehicles other than passenger cars (equivalent stopping 
distance 646 feet), as applicable, when the inoperative unit is depleted 
of all reserve capacity.
    S5.1.3.3  Brake power units. The service brakes of a vehicle 
equipped with one or more brake power units with an accumulator-type 
reserve system, with any one failure in any one unit shall be capable of 
stopping the vehicle from 60 mph--
    (a) In 10 consecutive stops at an average deceleration for each stop 
that is not lower than that specified in column II of table III, when 
the unit is not initially depleted of all reserve capability; and
    (b) In a final stop, at an average deceleration that is not lower 
than 7 FPSPS for passenger cars (equivalent stopping distance 554 feet) 
or 6 FPSPS for vehicles other than passenger cars (equivalent stopping 
distance 646 feet), as applicable, when the inoperative unit is depleted 
of all reserve capacity.
    S5.1.3.4  Brake power assist and brake power units. The service 
brakes of a vehicle equipped with one or more brake power assist units 
or brake power units with a backup system, with one brake power assist 
unit or brake power unit inoperative and depleted of all reserve 
capability and with only the backup system operating in the failed 
subsystem, shall be capable of stopping the vehicle from 60 mph in 15 
consecutive stops at an average deceleration for each stop that is not 
lower than 12 fpsps (equivalent stopping distance 323 feet).
    S5.1.3.5 Electric brakes. Each vehicle with electrically-actuated 
service brakes (brake power unit) shall comply with the requirements of 
S5.1.3.1 with any single electrical failure in the electrically-actuated 
service brakes and all other systems intact.
    S5.1.4  Fade and recovery. The service brakes shall be capable of 
stopping each vehicle in two fade and recovery tests as specified below.
    S5.1.4.1  The control force used for the baseline check stops or 
snubs shall be not less than 10 pounds, nor more than 60 pounds, except 
that the control force for a vehicle with a GVWR of 10,000 pounds or 
more may be between 10 pounds and 90 pounds.
    S5.1.4.2 (a) Each vehicle with GVWR of 10,000 lbs or less shall be 
capable of making 5 fade stops (10 fade stops on the second test) from 
60 mph at a deceleration not lower than 15 fpsps for each stop, followed 
by 5 fade stops at the maximum deceleration attainable from 5 to 15 
fpsps.
    (b) Each vehicle with a GVWR greater than 10,000 pounds shall be 
capable of making 10 fade snubs (20 fade snubs on the second test) from 
40 mph to 20 mph at 10 fpsps for each snub.
    S5.1.4.3 (a)  Each vehicle with a GVWR of 10,000 pounds or less 
shall be capable of making five recovery stops from 30 mph at 10 fpsps 
for each stop, with a control force application that falls within the 
following maximum and minimum limits:
    (1) A maximum for the first four recovery stops of 150 pounds, and 
for the fifth stop, of 20 pounds more than the average control force for 
the baseline check; and
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    (b) Each vehicle with a GVWR of more than 10,000 pounds shall be 
capable of making five recovery snubs from

[[Page 198]]

40 mph to 20 mph at 10 fpsps for each snub, with a control force 
application that falls within the following maximum and minimum limits:
    (1) A maximum for the first four recovery snubs of 150 pounds, and 
for the fifth snub, of 20 pounds more than the average control force for 
the baseline check (but in no case more than 100 pounds); and
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    S5.1.5  Water recovery. The service brakes shall be capable of 
stopping each vehicle in a water recovery test, as specified below.
    S5.1.5.1  The control force used for the baseline check stops or 
snubs shall be not less than 10 pounds, nor more than 60 pounds, except 
that the control force for a vehicle with a GVWR of 10,000 pounds or 
more may be between 10 and 90 pounds.
    S5.1.5.2(a)  After being driven for 2 minutes at a speed of 5 mph in 
any combination of forward and reverse directions through a trough 
having a water dept of 6 inches, each vehicle with a GVWR of 10,000 
pounds or less shall be capable of making five recovery stops from 30 
mph at ten fpsps for each stop with a control force application that 
falls within the following maximum and minimum limits:
    (1) A maximum for the first four recovery stops of 150 pounds, and 
for the fifth stop, of 45 pounds more than the average control force for 
the baseline check (but in no case more than 90 pounds, except that the 
maximum control force for the fifth stop in the case of a vehicle 
manufactured before September 1, 1976, shall be not more than plus 60 
pounds of the average control force for the baseline check (but in no 
case more than 110 pounds).
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    (b) After being driven for 2 minutes at a speed of 5 mph in any 
combination of forward and reverse directions through a trough having a 
water depth of 6 inches, each vehicle with a GVWR of more than 10,000 
pounds shall be capable of making five recovery stops from 30 mph at 10 
fpsps for each stop with a control force application that falls within 
the following maximum and minimum limits:
    (1) A maximum for the first four recovery stops of 150 pounds, and 
for the fifth stop, of 60 pounds more than the average control force for 
the baseline check (but in no case more than 110 pounds); and
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    S5.1.6  Spike stops. Each vehicle with a GVWR of 10,000 lbs. or less 
shall be capable of making 10 spike stops from 30 mph, followed by 6 
effectiveness (check) stops from 60 mph, at least one of which shall be 
within a corresponding stopping distance specified in column I of table 
II.
    S5.2  Parking brake system. Each vehicle with a GVWR of 10,000 lbs. 
or less and each school bus with a GVWR greater than 10,000 lbs., shall 
be manufactured with a parking brake system of a friction type with a 
solely mechanical means to retain engagement, which shall under the 
conditions of S6., when tested according to the procedures specified in 
S7., meet the requirements specified in S5.2.1, S5.2.2, or S5.2.3 as 
appropriate, with the system engaged--
    (a) In the case of a vehicle with a GVWR of 10,000 lbs. or less, 
with a force applied to the control not to exceed 125 pounds for a foot-
operated system and 90 pounds for a hand-operated system; and
    (b) In the case of a school bus with a GVWR greater than 10,000 lbs. 
with a force applied to the control not to exceed 150 pounds for a foot-
operated system and 125 pounds for a hand-operated system.

[[Page 199]]

    S5.2.1.  Except as provided in Sec. 5.2.2, the parking brake system 
on a passenger car and on a school bus with a GVWR of 10,000 pounds or 
less shall be capable of holding the vehicle stationary (to the limit of 
traction on the braked wheels) for 5 minutes in both a forward and 
reverse direction on a 30 percent grade.
    S5.2.2  A vehicle of a type described in S5.2.1 at the option of the 
manufacturer may meet the requirements of S5.2.2.1, S5.2.2.2, and 
S5.2.2.3 instead of the requirements of S5.2.1 if:
    (a) The vehicle has a transmission or transmission control which 
incorporates a parking mechanism, and
    (b) The parking mechanism must be engaged before the ignition key 
can be removed.
    S5.2.2.1  The vehicle's parking brake and parking mechanism, when 
both are engaged, shall be capable of holding the vehicle stationary (to 
the limit of traction of the braked wheels) for 5 minutes, in both 
forward and reverse directions, on a 30 percent grade.
    S5.2.2.2  The vehicle's parking brake, with the parking mechanism 
not engaged, shall be capable of holding the vehicle stationary for 5 
minutes, in both forward and reverse directions, on a 20 percent grade.
    S5.2.2.3  With the parking mechanism engaged and the parking brake 
not engaged, the parking mechanism shall not disengage or fracture in a 
manner permitting vehicle movement, when the vehicle is impacted at each 
end, on a level surface, by a barrier moving at 2\1/2\ mph.
    S5.2.3.  The parking brake system on a multipurpose passenger 
vehicle, truck and bus (other than a school bus) with a GVWR of 10,000 
pounds or less and a school bus with a GVWR greater than 10,000 pounds 
shall be capable of holding the vehicle stationary for 5 minutes, in 
both forward and reverse directions, on a 20 percent grade.
    S5.3  Brake system indicator lamp. Each vehicle shall have a brake 
system indicator lamp or lamps, mounted in front of and in clear view of 
the driver, which meet the requirements of S5.3.1 through S5.3.5. A 
vehicle with a GVWR of 10,000 pounds or less may have a single common 
indicator lamp. A vehicle with a GVWR of greater than 10,000 pounds may 
have an indicator lamp which is common for gross loss of pressure, drop 
in the level of brake fluid, or application of the parking brake, but 
shall have a separate indicator lamp for antilock brake system 
malfunction. However, the options provided in S5.3.1(a) shall not apply 
to a vehicle manufactured without a split service brake system; such a 
vehicle shall, to meet the requirements of S5.3.1(a), be equipped with a 
malfunction indicator that activates under the conditions specified in 
S5.3.1(a)(4). This warning indicator shall, instead of meeting the 
requirements of S5.3.2 through S5.3.5, activate (while the vehicle 
remains capable of meeting the requirements of S5.1.2.2 and the ignition 
switch is in the ``on'' position) a continuous or intermittent audible 
signal and a flashing warning light, displaying the words ``STOP-BRAKE 
FAILURE'' in block capital letters not less than one-quarter of an inch 
in height.
    S5.3.1 An indicator lamp shall be activated when the ignition 
(start) switch is in the ``on'' (``run'') position and whenever any of 
the conditions (a) or (b), (c), (d), (e), (f), and (g) occur:
    (a) A gross loss of pressure (such as caused by rupture of a brake 
line but not by a structural failure of a housing that is common to two 
or more subsystems) due to one of the following conditions (chosen at 
the option of the manufacturer):
    (1) Before or upon application of a differential pressure of not 
more than 225 lb/in 2 between the active and failed brake 
system measured at a master cylinder outlet or a slave cylinder outlet.
    (2) Before or upon application of 50 pounds of control force upon a 
fully manual service brake.
    (3) Before or upon application of 25 pounds of control force upon a 
service brake with a brake power assist unit.
    (4) When the supply pressure in a brake power unit drops to a level 
not less than one-half of the normal system pressure.
    (b) A drop in the level of brake fluid in any master cylinder 
reservoir compartment to less than the recommended safe level specified 
by the manufacturer or to one-fourth of the

[[Page 200]]

fluid capacity of that reservoir compartment, whichever is greater.
    (c) A malfunction that affects the generation or transmission of 
response or control signals in an antilock brake system, or a total 
functional electrical failure in a variable proportioning brake system.
    (d) Application of the parking brake.
    (e) For a vehicle with electrically-actuated service brakes, failure 
of the source of electric power to the brakes, or diminution of state of 
charge of the batteries to less than a level specified by the 
manufacturer for the purpose of warning a driver of degraded brake 
performance.
    (f) For a vehicle with electric transmission of the service brake 
control signal, failure of a brake control circuit.
    (g) For an EV with RBS that is part of the service brake system, 
failure of the RBS. An amber lamp may be used displaying the symbol 
``RBS.'' RBS failure in a system that is part of the service brake 
system may also be indicated by an amber lamp that also indicates ABS 
failure and displays the symbol ``ABS/RBS''.
    S5.3.2 (a) Except as provided in paragraph (b) of this section, all 
indicator lamps shall be activated as a check of lamp function either 
when the ignition (start) switch is turned to the ``on'' (run) position 
when the engine is not running, or when the ignition (start) switch is 
in a position between ``on'' (run) and ``start'' that is designated by 
the manufacturer as a check position.
    (b) The indicator lamps need not be activated when a starter 
interlock is in operation.
    S5.3.3 (a) Each indicator lamp activated due to a condition 
specified in S5.3.1 shall remain activated as long as the malfunction 
exists, whenever the ignition (start) switch is in the ``on'' (run) 
position, whether or not the engine is running.
    (b) For vehicles manufactured on and after September 1, 1999 with 
GVWRs greater than 10,000 lbs, each message about the existence of a 
malfunction, as described in S5.3.1(c), shall be stored in the antilock 
brake system after the ignition switch is turned to the ``off'' position 
and the indicator lamp shall be automatically reactivated when the 
ignition switch is again turned to the ``on'' position. The indicator 
lamp shall also be activated as a check of lamp function whenever the 
ignition is turned to the ``on'' (run) position. The indicator lamp 
shall be deactivated at the end of the check of lamp function unless 
there is a malfunction or a message about a malfunction that existed 
when the key switch was last turned to the ``off'' position.
    S5.3.4  When an indicator lamp is activated it may be steady burning 
or flashing.
    S5.3.5 (a) Each indicator lamp shall display word, words or 
abbreviation, in accordance with the requirements of Standard No. 101 
(49 CFR 571.101) and/or this section, which shall have letters not less 
than \1/8\-inch high and be legible to the driver in daylight when 
lighted. Words in addition to those required by Standard No. 101 and/or 
this section and symbols may be provided for purposes of clarity.
    (b) If a single common indicator is used, the lamp shall display the 
word ``Brake''. The letters and background of a single common indicator 
shall be of contrasting colors, one of which is red.
    (c)(1) If separate indicators are used for one or more of the 
conditions described in S5.3.1(a) through S5.3.1(g) of this standard, 
the indicator display shall include the word ``Brake'' and appropriate 
additional labeling, except as provided in (c)(1) (A) through (D) of 
this paragraph.
    (A) If a separate indicator lamp is provided for gross loss of 
pressure, the words ``Brake Pressure'' shall be used for S5.3.1(a).
    (B) If a separate indicator lamp is provided for low brake fluid, 
the words ``Brake Fluid'' shall be used for S5.3.1(b), except for 
vehicles using hydraulic system mineral oil.
    (C) If a separate indicator lamp is provided for an anti-lock 
system, the single word ``Antilock'' or ``Anti-lock'', or the 
abbreviation ``ABS'', may be used for S5.3.1(c).
    (D) If a separate indicator lamp is provided for application of the 
parking brake, the single word ``Park'' may be used for S5.3.1(d).

[[Page 201]]

    (2) Except for a separate indicator lamp for an anti-lock system, 
the letters and background of each separate indicator lamp shall be of 
contrasting colors, one of which is red. The letters and background of a 
separate indicator lamp for an anti-lock system shall be of contrasting 
colors, one of which is yellow.
    S5.4  Reservoirs.
    S5.4.1  Master cylinder reservoirs. A master cylinder shall have a 
reservoir compartment for each service brake subsystem serviced by the 
master cylinder. Loss of fluid from one compartment shall not result in 
a complete loss of brake fluid from another compartment.
    S5.4.2  Reservoir capacity. Reservoirs, whether for master cylinders 
or other type systems, shall have a total minimum capacity equivalent to 
the fluid displacement resulting when all the wheel cylinders or caliper 
pistons serviced by the reservoirs move from a new lining, fully 
retracted position (as adjusted initially to the manufacturer's 
recommended setting) to a fully worn, fully applied position, as 
determined in accordance with S7.18(c) of this standard. Reservoirs 
shall have completely separate compartments for each subsystem except 
that in reservoir systems utilizing a portion of the reservoir for a 
common supply to two or more subsystems, individual partial compartments 
shall each have a minimum volume of fluid equal to at least the volume 
displaced by the master cylinder piston servicing the subsystem, during 
a full stroke of the piston. Each brake power unit reservoir servicing 
only the brake system shall have a minimum capacity equivalent to the 
fluid displacement required to charge the system piston(s) or 
accumulator(s) to normal operating pressure plus the displacement 
resulting when all the wheel cylinders or caliper pistons serviced by 
the reservoir or accumulator(s) move from a new lining fully retracted 
position (as adjusted initially to the manufacturer's recommended 
setting) to a fully worn, fully applied position.
    S5.4.3 Reservoir labeling--Each vehicle equipped with hydraulic 
brakes shall have a brake fluid warning statement that reads as follows, 
in letters at least one-eighth of an inch high: ``WARNING, Clean filler 
cap before removing. Use only ______ fluid from a sealed container.'' 
(Inserting the recommended type of brake fluid as specified in 49 CFR 
571.116, e.g., ``DOT 3''). The lettering shall be--
    (a) Permanently affixed, engraved, or embossed;
    (b) Located so as to be visible by direct view, either on or within 
4 inches of the brake fluid reservoir filler plug or cap; and
    (c) Of a color that contrasts with its background, if it is not 
engraved or embossed.
    S5.5 Antilock and variable proportioning brake systems.
    S5.5.1  Each vehicle with a GVWR greater than 10,000 pounds, except 
for any vehicle with a speed attainable in 2 miles of not more than 33 
mph, shall be equipped with an antilock brake system that directly 
controls the wheels of at least one front axle and the wheels of at 
least one rear axle of the vehicle. On each vehicle with a GVWR greater 
than 10,000 pounds but not greater than 19,500 pounds and motor homes 
with a GVWR greater than 10,000 pounds but not greater than 22,500 
pounds manufactured before March 1, 2001, the antilock brake system may 
also directly control the wheels of the rear drive axle by means of a 
single sensor in the driveline. Wheels on other axles of the vehicle may 
be indirectly controlled by the antilock brake system.
    S5.5.2 In the event of any failure (structural or functional) in an 
antilock or variable proportioning brake system, the vehicle shall be 
capable of meeting the stopping distance requirements specified in 
S5.1.2 for service brake system partial failure. For an EV that is 
equipped with both ABS and RBS that is part of the service brake system, 
the ABS must control the RBS.
    S5.6  Brake system integrity. Each vehicle shall be capable of 
completing all performance requirements of S5 without--
    (a) Detachment or fracture of any component of the braking system, 
such as brake springs and brake shoe or disc pad facing, other than 
minor cracks that do not impair attachment of the

[[Page 202]]

friction facing. All mechanical components of the braking system shall 
be intact and functional. Friction facing tearout (complete detachment 
of lining) shall not exceed 10 percent of the lining on any single 
frictional element.
    (b) Any visible brake fluid or lubricant on the friction surface of 
the brake, or leakage at the master cylinder or brake power unit 
reservoir cover, seal and filler openings.
    S6  Test conditions. The performance requirements of S5 shall be met 
under the following conditions. Where a range of conditions is 
specified, the vehicle shall be capable of meeting the requirements at 
all points within the range. Compliance of vehicles manufactured in two 
or more stages may, at the option of the final-stage manufacturer, be 
demonstrated to comply with this standard by adherence to the 
instructions of the incomplete manufacturer provided with the vehicle in 
accordance with Sec. 568.4(a)(7)(ii) and Sec. 568.5 of title 49 of the 
Code of Federal Regulations.
    S6.1  Vehicle weight.
    S6.1.1  Other than tests specified at lightly loaded vehicle weight 
in S7.7, S7.8, and S7.9, the vehicle is loaded to its GVWR such that the 
weight on each axle as measured at the tire-ground interface is in 
proportion to its GAWR, except that each fuel tank is filled to any 
level from 100 percent of capacity (corresponding to full GVWR) to 75 
percent. However, if the weight on any axle of a vehicle at lightly 
loaded vehicle weight exceeds the axle's proportional share of the gross 
vehicle weight rating, the load required to reach GVWR is placed so that 
the weight on that axle remains the same as a lightly loaded vehicle 
weight.
    S6.1.2  For the applicable tests specified in S7.7, S7.8, and S7.9, 
vehicle weight is lightly loaded vehicle weight, with the added weight 
distributed in the front passenger seat area in passenger cars, 
multipurpose passenger vehicles, and trucks, and in the area adjacent to 
the driver's seat in buses.
    S6.2 Electric vehicles and electric brakes.
    S6.2.1 The state of charge of the propulsion batteries is determined 
in accordance with SAE Recommended Practice J227a, Electric Vehicle Test 
Procedure, February 1976. The applicable sections of J227a are 3.2.1 
through 3.2.4, 3.3.1 through 3.3.2.2, 3.4.1 and 3.4.2, 4.2.1, 5.2, 
5.2.1, and 5.3.
    S6.2.2 At the beginning of the first effectiveness test specified in 
S7.3, and at the beginning of each burnishing procedure, each EV's 
propulsion battery is at the maximum state of charge recommended by the 
manufacturer, as stated in the vehicle operator's manual or on a label 
that is permanently attached to the vehicle, or, if the manufacturer has 
made no recommendation, at a state of charge of not less than 95 
percent. If a battery is replaced rather than recharged, the replacement 
battery is to be charged and measured for state of charge in accordance 
with these procedures. During each burnish procedure, each propulsion 
battery is restored to the recommended state of charge or a state of 
charge of not less than 95 percent after each increment of 40 burnish 
stops until each burnish procedure is complete. The batteries may be 
charged at a more frequent interval if, during a particular 40-stop 
increment, the EV is incapable of achieving the initial burnish test 
speed. During each burnish procedure, the propulsion batteries may be 
charged by an external means or replaced by batteries that are charged 
to the state of charge recommended by the manufacturer or a state of 
charge of not less than 95 percent. For EVs having a manual control for 
setting the level of regenerative braking, the manual control, at the 
beginning of each burnish procedure, is set to provide maximum 
regenerative braking throughout the burnish.
    S6.2.3 At the beginning of each performance test in the test 
sequence (S7,3, S7.5, S7.7 through S7.11, and S7.13 through S7.19 of 
this standard), unless otherwise specified, each propulsion battery of 
an EV is at the maximum state of charge recommended by the manufacturer, 
as stated in the vehicle operator's manual or on a label that is 
permanently attached to the vehicle, or, if the manufacturer has made no 
recommendation, at a state of charge of not less than 95 percent. If 
batteries are replaced rather than recharged, each replacement battery 
shall be charged and measured for state of

[[Page 203]]

charge in accordance with these procedures. No further charging of any 
propulsion battery occurs during any of the performance tests in the 
test sequence of this standard. If the propulsion batteries are depleted 
during a test sequence such that the vehicle reaches automatic shut-
down, will not accelerate, or the low state of charge warning lamp is 
illuminated, the vehicle is to be accelerated to brake test speed by 
auxiliary means.
    S6.2.4 (a) For an EV equipped with RBS, the RBS is considered to be 
part of the service brake system if it is automatically controlled by an 
application of the service brake control, if there is no means provided 
for the driver to disconnect or otherwise deactivate it, and if it is 
activated in all transmission positions, including neutral. The RBS is 
operational during all burnishes and all tests, except for the test of a 
failed RBS.
    (b) For an EV equipped with an RBS that is not part of the service 
brake system, the RBS is operational and set to produce the maximum 
regenerative braking effect during the burnishes, and is disabled during 
the test procedures. If the vehicle is equipped with a neutral gear that 
automatically disables the RBS, the test procedures which are designated 
to be conducted in gear may be conducted in neutral.
    S6.2.5  For tests conducted ``in neutral,'' the operator of an EV 
with no ``neutral'' position (or other means such as a clutch for 
disconnecting the drive train from the propulsion motor(s)) does not 
apply any electromotive force to the propulsion motor(s). Any 
electromotive force that is applied to the propulsion motor(s) 
automatically remains in effect unless otherwise specified by the test 
procedure.
    S6.2.6  A vehicle equipped with electrically-actuated service brakes 
also performs the following test series. Conduct 10 stopping tests from 
a speed of 100 kph or the maximum vehicle speed, whichever is less. At 
least two of the 10 stopping distances must be less than or equal to 70 
meters. The vehicle is loaded to GVWR for these tests and the 
transmission is in the neutral position when the service brake control 
is actuated and throughout the remainder of the test. The battery or 
batteries providing power to those electrically-actuated brakes, at the 
beginning of each test, shall be in a depleted state of charge for 
conditions (a), (b), or (c) of this paragraph as appropriate. An 
auxiliary means may be used to accelerate an EV to test speed.
    (a) For an EV equipped with electrically-actuated service brakes 
deriving power from the propulsion batteries, and with automatic shut-
down capability of the propulsion motor(s), the propulsion batteries are 
at not more than five percent above the EV actual automatic shut-down 
critical value. The critical value is determined by measuring the state-
of-charge of each propulsion battery at the instant that automatic shut-
down occurs and averaging the states-of-charge recorded.
    (b) For an EV equipped with electrically-actuated service brakes 
deriving power from the propulsion batteries, and with no automatic 
shut-down capability of the propulsion motor(s), the propulsion 
batteries are at an average of not more than five percent above the 
actual state of charge at which the brake failure warning signal, 
required by S5.3.1(e) of this standard, is illuminated.
    (c) For a vehicle which has an auxiliary battery (or batteries) that 
provides electrical energy to operate the electrically-actuated service 
brakes, the auxiliary battery(batteries) is (are) at (at an average of) 
not more than five percent above the actual state of charge at which the 
brake failure warning signal, required by S5.3.1(e) of this standard, is 
illuminated.
    S6.3  Tire inflation pressure. Tire inflation pressure is the 
pressure recommended by the vehicle manufacturer for the GVWR of the 
vehicle.
    S6.4  Transmission selector control. For S7.3, S7.5, S7.8, S7.15, 
S7.17, S7.11.1.2, S7.11.2.2, S7.11.3.2, and as required for S7.13, the 
transmission selector control is in neutral for all decelerations. For 
all other tests during all decelerations, the transmission selector is 
in the control position, other than overdrive, recommended by the 
manufacturer for driving on a level surface at the applicable test 
speed. To avoid engine stall during tests required to be run in gear

[[Page 204]]

a manual transmission may be shifted to neutral (or the clutch 
disengaged) when the vehicle speed decreases to 20 mph.
    S6.5  Engine. Engine idle speed and ignition timing settings are 
according to the manufacturer's recommendations. If the vehicle is 
equipped with an adjustable engine speed governor, it is adjusted 
according to the manufacturer's recommendation.
    S6.6  Vehicle openings. All vehicle openings (doors, windows, hood, 
trunk, convertible top, cargo doors, etc.) are closed except as required 
for instrumentation purposes.
    S6.7  Ambient temperature. The ambient temperature is any 
temperature between 32  deg.F. and 100  deg.F.
    S6.8  Wind velocity. The wind velocity is zero.
    S6.9  Road surface.
    S6.9.1  For vehicles with a GVWR of 10,000 pounds or less, road 
tests are conducted on a 12-foot-wide, level roadway, having a skid 
number of 81. Burnish stops are conducted on any surface. The parking 
brake test surface is clean, dry, smooth, Portland cement concrete.
    S6.9.2  For vehicles with a GVWR greater than 10,000 pounds, road 
tests are conducted on a 12-foot-wide, level roadway, having a peak 
friction coefficient of 0.9 when measured using an American Society for 
Testing and Materials (ASTM) E 1136 standard reference test tire, in 
accordance with ASTM Method E 1337-90, at a speed of 40 mph, without 
water delivery. Burnish stops are conducted on any surface. The parking 
brake test surface is clean, dry, smooth, Portland cement concrete.
    S6.10  Vehicle position and wheel lockup restrictions. The vehicle 
is aligned in the center of the roadway at the start of each brake 
application. Stops, other than spike stops, are made without any part of 
the vehicle leaving the roadway.
    S6.10.1  For vehicles with a GVWR of 10,000 pounds or less, stops 
are made with wheel lockup permitted only as follows:
    (a) At vehicle speeds above 10 mph, there may be controlled wheel 
lockup on an antilock-equipped axle, and lockup of not more than one 
wheel per vehicle, uncontrolled by an antilock system. (Dual wheels on 
one side of an axle are considered a single wheel.)
    (b) At vehicle speeds of 10 mph or less, any wheel may lock up for 
any duration.
    (c) Unlimited wheel lockup is allowed during spike stops (but not 
spike check stops), partial failure stops, and inoperative brake power 
or power assist unit stops.
    S6.10.2  For vehicles with a GVWR greater than 10,000 pounds, stops 
are made with wheel lockup permitted only as follows:
    (a) At vehicle speeds above 20 mph, any wheel on a nonsteerable axle 
other than the two rearmost nonliftable, nonsteerable axles may lock up 
for any duration. The wheels on the two rearmost nonliftable, 
nonsteerable axles may lock up according to (b).
    (b) At vehicle speeds above 20 mph, one wheel on any axle or two 
wheels on any tandem may lock up for any duration.
    (c) At vehicle speeds above 20 mph, any wheel not permitted to lock 
in (a) or (b) may lock up repeatedly, with each lockup occurring for a 
duration of one second or less.
    (d) At vehicle speeds of 20 mph or less, any wheel may lock up for 
any duration.
    (e) Unlimited wheel lockup is allowed during partial failure stops, 
and inoperative brake power or power assist stops.
    S6.11  Thermocouples. The brake temperature is measured by plug-type 
thermocouples installed in the approximate center of the facing length 
and width of the most heavily loaded shoe or disc pad, one per brake, as 
shown in figure 1. A second thermocouple may be installed at the 
beginning of the test sequence if the lining wear is expected to reach a 
point causing the first thermocouple to contact the metal rubbing 
surface of a drum or rotor. For centergrooved shoes or pads, 
thermocouples are installed within one-eighth of an inch to one-quarter 
inch of the groove and as close to the center as possible.
    S6.12  Initial brake temperature. Unless otherwise specified the 
brake temperature is 150  deg.F. to 200  deg.F.

[[Page 205]]

    S6.13  Control forces. Unless otherwise specified, the force applied 
to a brake control is not less than 15 lb and not more than 150 lb.
    S7. Test procedures and sequence. Each vehicle shall be capable of 
meeting all the applicable requirements of S5 when tested according to 
the procedures and in the sequence set forth below, without replacing 
any brake system part or making any adjustments to the brake system 
other than as permitted in the burnish and reburnish procedures and in 
S7.9 and S7.10. (For vehicles only having to meet the requirements of 
S5.1.1, S5.1.2 and S5.1.3 in section S5.1, the applicable test 
procedures and sequence are S7.1, S7.2, S7.4, S7.5, S7.8, S7.9, S7.10 
and S7.18. However, at the option of the manufacturer, the following 
test procedures and sequence may be conducted: S7.1, S7.2, S7.3, S7.4, 
S7.5, S7.6, S7.7 S7.8, S7.9, S7.10 and S7.18. The choice of this option 
shall not be construed as adding to the requirements specified in S5.1.2 
and S5.1.3.) Automatic adjusters must remain activated at all times. A 
vehicle shall be deemed to comply with the stopping distance 
requirements of S5.1 if at least one of the stops at each speed and load 
specified in each of S7.3, S7.5, S7.8, S7.9, S7.10, S7.15 and S7.17 
(check stops) is made within a stopping distance that does not exceed 
the corresponding distance specified in Table II. When the transmission 
selector control is required to be in neutral for a deceleration, a stop 
or snub shall be obtained by the following procedures:
    (a) Exceed the test speed by 4 to 8 mph;
    (b) close the throttle and coast in gear to approximately 2 mph 
above the test speed;
    (c) shift to neutral; and
    (d) when the test speed is reached, apply the service brakes.
    S7.1 Brake warming. If the initial brake temperature for the first 
stop in a test procedure (other than S7.7 and S7.16) has not been 
reached, heat the brakes to the initial brake temperature by making not 
more than 10 snubs from not more than 40 to 10 mph, at a deceleration 
not greater than 10 fpsps.
    S7.2  Pretest instrumentation check. Conduct a general check of 
instrumentation by making not more than 10 stops from a speed of not 
more than 30 mph, or 10 snubs from a speed of not more than 40 to 10 
mph, at a deceleration of not more than 10 fpsps. If instrument repair, 
replacement, or adjustment is necessary, make not more than 10 
additional stops or snubs after such repair, replacement, or adjustment.
    S7.3  Service brake system--first (preburnish) effectiveness test. 
Make six stops from 30 mph. Then make six stops from 60 mph.
    S7.4  Service brake system--burnish procedure.
    S7.4.1  Vehicles with GVWR of 10,000 lb or less.
    S7.4.1.1  Burnish. Burnish the brakes by making 200 stops from 40 
mph at 12 fpsps (the 150 lb control force limit does not apply here). 
The interval from the start of one service brake application to the 
start of the next shall be either the time necessary to reduce the 
initial brake temperature to between 230  deg.F. and 270  deg.F., or the 
distance of 1 mile, whichever occurs first. Accelerate to 40 mph after 
each stop and maintain that speed until making the next stop.
    S7.4.1.2  Brake adjustment--post burnish. After burnishing, adjust 
the brakes in accordance with the manufacturer's published 
recommendations.
    S7.4.2 Vehicles with GVWR greater than 10,000 pounds.
    S7.4.2.1  Burnish. Vehicles are burnished according to the following 
procedures. Make 500 snubs between 40 mph and 20 mph at a deceleration 
rate of 10 f.p.s.p.s. Except where an adjustment is specified, after 
each brake application accelerate to 40 mph and maintain that speed 
until making the next brake application at a point 1 mile from the 
initial point of the previous brake application. If the vehicle cannot 
attain a speed of 40 mph in 1 mph, continue to accelerate until the 
vehicle reaches 40 mph or until the vehicle has traveled 1.5 miles from 
the initial point of the previous brake application, whichever occurs 
first. The brakes shall be adjusted three times during the burnish 
procedure, in accordance with the manufacturer's recommendations, after 
125, 250, and 375 snubs.

[[Page 206]]

    S7.4.2.2  Brake adjustment--post burnish. After burnishing, adjust 
the brakes in accordance with the manufacturer's published 
recommendations.
    S7.5 Service brake system-second effectiveness test. Repeat S7.3, 
except for vehicles with a GVWR greater than 10,000 lbs. Then, for 
vehicles with a GVWR of 10,000 pounds or less, make four stops from 80 
mph if the speed attainable in 2 miles is not less 84 mph.
    S7.6  First reburnish. Repeat S7.4, except make 35 burnish stops or 
snubs. In the case of vehicles burnished in accordance with S7.4.2.1(a) 
of this section, reburnish the vehicle by making 35 snubs from 60 to 20 
mph, but if the hottest brake temperature reaches 500  deg.F 
 50  deg.F, make the remainder of the brake applications 
from the highest snub condition listed in Table IV that will maintain 
the hottest brake temperature at 500  deg.F  50  deg.F. If 
at a snub condition of 40 to 20 mph, the temperature of the hottest 
brake exceeds 550  deg.F, make the remainder of the 35 brake 
applications from the snub condition without regard to brake 
temperature.
    S7.7  Parking brake test. The parking brake tests for any vehicle on 
different grades, in different directions, and for different loads may 
be conducted in any order. The force required for actuation of a hand-
operated brake system shall be measured at the center of the hand grip 
area or at a distance of 1\1/2\ inches from the end of the actuation 
lever, as illustrated in Figure II.
    S7.7.1  Test procedure for requirements of S5.2.1.
    S7.7.1.1  Condition the parking brake friction elements so that the 
temperature at the beginning of the test is at any level not more than 
150  deg.F. (when the temperature of components on both ends of an axle 
are averaged).
    S7.7.1.2  Drive the vehicle, loaded to GVWR, onto the specified 
grade with the longitudinal axis of the vehicle in the direction of the 
slope of the grade, stop the vehicle and hold it stationary by 
application of the service brake control, and place the transmission in 
neutral.
    S7.7.1.3  With the vehicle held stationary by means of the service 
brake control, apply the parking brake by a single application of the 
force specified in (a), (b), or (c) of this paragraph, except that a 
series of applications to achieve the specified force may be made in the 
case of a parking brake system design that does not allow the 
application of the specified force in a single application:
    (a) In the case of a passenger car or other vehicle with a GVWR of 
10,000 lbs. or less, not more than 125 pounds for a foot-operated 
system, and not more than 90 pounds for a hand-operated system; and
    (b) In the case of a school bus with a GVWR greater than 10,000 lbs. 
not more than 150 pounds for a foot-operated system, and not more than 
125 pounds for a hand-operated system.
    (c) For a vehicle using an electrically-activated parking brake, 
apply the parking brake by activating the parking brake control.
    S7.7.1.4  Following the application of the parking brake in 
accordance with S7.7.1.3, release all force on the service brake control 
and commence the measurement of time if the vehicle remains stationary. 
If the vehicle does not remain stationary, reapplication of the service 
brake to hold the vehicle stationary, with reapplication of a force to 
the parking brake control at the level specified in S7.7.1.3 (a) or (b) 
as appropriate for the vehicle being tested (without release of the 
ratcheting or other holding mechanism of the parking brake) may be used 
twice to attain a stationary position.
    S7.7.1.5  Following observation of the vehicle in a stationary 
condition for the specified time in one direction, repeat the same test 
procedure with the vehicle orientation in the opposite direction on the 
specified grade.
    S7.7.1.6  Check the operation of the parking brake application 
indicator required by S5.3.1(d).
    S7.7.2  Test procedure for requirements of S5.2.2 (a) Check that 
transmission must be placed in park position to release key;
    (b) Test as in S7.7.1, except in addition place the transmission 
control to engage the parking mechanism; and
    (c) Test as in S7.7.1 except on a 20 percent grade, with the parking 
mechanism not engaged.
    S7.7.3  Lightly loaded vehicle. Repeat S7.7.1 or S7.7.2 as 
applicable except

[[Page 207]]

with the vehicle at lightly loaded vehicle weight.
    S7.7.4  Non-service brake type parking brake systems. For vehicles 
with parking brake systems not utilizing the service brake friction 
elements, burnish the friction elements of such systems prior to parking 
brake tests according to the manufacturer's published recommendations as 
furnished to the purchaser. If no recommendations are furnished, run the 
vehicle in an unburnished condition.
    S7.8  Service brake system--lightly loaded vehicle (third 
effectiveness) test. Make six stops from 60 mph with vehicle at lightly 
loaded vehicle weight. (This test is not applicable to a vehicle which 
both has a GVWR of not less than 8,000 pounds and not greater than 
10,000 pounds and is not a school bus.)
    S7.9  Service brake system test--partial failure.
    S7.9.1  With the vehicle at lightly loaded vehicle weight, alter the 
service brake system to produce any one rupture or leakage type of 
failure, other than a structural failure of a housing that is common to 
two or more subsystems. Determine the control force, pressure level, or 
fluid level (as appropriate for the indicator being tested) necessary to 
activate the brake system indicator lamp. Make four stops if the vehicle 
is equipped with a split service brake system, or 10 stops if the 
vehicle is not so equipped, each from 60 mph, by a continuous 
application of the service brake control. Restore the service brake 
system to normal at completion of this test.
    S7.9.2  Repeat S7.9.1 for each of the other subsystems.
    S7.9.3  Repeat S7.9.1 and S7.9.2 with vehicle at GVWR. Restore the 
service brake system to normal at completion of this test.
    S7.9.4  (For vehicles with antilock and/or variable proportioning 
brake systems.) With vehicle at GVWR, disconnect functional power 
source, or otherwise render antilock system inoperative. Disconnect 
variable proportioning brake system. Make four stops, each from 60 mph. 
If more than one antilock or variable proportioning brake subsystem is 
provided, disconnect or render one subsystem inoperative and run as 
above. Restore system to normal at completion of this test. Repeat for 
each subsystem provided.
    Determine whether the brake system indicator lamp is activated when 
the electrical power source to the antilock or variable proportioning 
unit is disconnected.
    S7.9.5  For a vehicle in which the brake signal is transmitted 
electrically between the brake pedal and some or all of the foundation 
brakes, regardless of the means of actuation of the foundation brakes, 
the tests in S7.9.1 through S7.9.3 of this standard are conducted by 
inducing any single failure in any circuit that electrically transmits 
the brake signal, and all other systems intact. Determine whether the 
brake system indicator lamp is activated when the failure is induced.
    S7.9.6  For an EV with RBS that is part of the service brake system, 
the tests specified in S7.9.1 through S7.9.3 are conducted with the RBS 
disconnected and all other systems intact. Determine whether the brake 
system indicator lamp is activated when the RBS is disconnected.
    S7.10  Service brake system--inoperative brake power unit or brake 
power assist unit test. (For vehicles equipped with brake power unit or 
brake power assist unit.)
    S7.10.1  Regular procedure. (This test need not be run if the option 
in S7.10.2 is selected.) On vehicles with brake power assist units, 
render the brake power assist unit inoperative, or one of the brake 
power assist unit subsystems if two or more subsystems are provided, by 
disconnecting the relevant power supply. Exhaust any residual brake 
power reserve capability of the disconnected system. On vehicles with 
brake power units, disconnect the primary source of power. Make four 
stops, each from 60 mph by a continuous application of the service brake 
control. Restore the system to normal at completion of this test. For 
vehicles equipped with more than one brake power unit or brake power 
assist unit, conduct tests of each in turn.
    S7.10.2  Optional Procedures. On vehicles with brake power assist 
units, the unit is charged to maximum prior to start of test. (Engine 
may be run up in speed, then throttle closed quickly to

[[Page 208]]

attain maximum charge on vacuum assist units.) Brake power units shall 
also be charged to maximum accumulator pressure prior to start of test. 
No recharging is allowed after start of test.
    (a) (For vehicles with brake power assist units.) Disconnect the 
primary source of power. Make six stops each from 60 mph, to achieve the 
average deceleration for each stop as specified in table III. Apply the 
brake control as quickly as possible. Maintain control force until 
vehicle has stopped.

At the completion of the stops specified above, deplete the system of 
any residual brake power reserve capability. Make one stop from 60 mph 
at an average deceleration of not lower than 7 fpsps for passenger cars 
(equivalent stopping distance 554 feet), or 6 fpsps for vehicles other 
than passenger cars (equivalent stopping distance 646 feet) and 
determine whether the control force exceeds 150 pounds.
    (b) (For vehicles with brake power units with accumulator type 
systems.) Test as in S7.10.2(a), except make 10 stops instead of 6 and, 
at the completion of the 10 stops, deplete the failed element of the 
brake power unit of any residual brake power reserve capability before 
making the final stop.
    (c) (For vehicles with brake power assist or brake power units with 
backup systems.) If the brake power or brake power assist unit operates 
in conjunction with a backup system and the backup system is activated 
automatically in the event of a primary power failure, the backup system 
is operative during this test. Disconnect the primary source of power of 
one subsystem. Make 15 stops, each from 60 mph, with the backup system 
activated for the failed subsystem, to achieve an average deceleration 
of 12 fpsps for each stop.
    (d) Restore systems to normal at completion of these tests. For 
vehicles equipped with more than one brakepower assist or brakepower 
unit, conduct tests of each in turn.
    S7.10.3 Electric brakes.
    (a) For vehicles with electrically-actuated service brakes, the 
tests in S7.10.1 or S7.10.2 are conducted with any single electrical 
failure in the electric brake system instead of the brake power or brake 
power assist systems, and all other systems intact.
    (b) For EVs with RBS that is part of the service brake system, the 
tests in S7.10.1 or S7.10.2 are conducted with the RBS discontinued and 
all other systems intact.
    S7.11  Service brake system--first fade and recovery test.
    S7.11.1  Baseline check stops or snubs.
    S7.11.1.1  Vehicles with GVWR of 10,000 lb or less. Make three stops 
from 30 mph at 10 fpsps for each stop. Control force readings may be 
terminated when vehicle speed falls to 5 mph. Average the maximum brake 
control force required for the three stops.
    S7.11.1.2  Vehicles with GVWR greater than 10,000 pounds. With 
transmission in neutral (or declutched), make three snubs from 40 to 20 
mph at 10 fpsps for each snub. Average the maximum brake control force 
required for the three snubs.
    S7.11.2  Fade stops or snubs.
    S7.11.2.1  Vehicles with GVWR of 10,000 pounds or less. Make 5 stops 
from 60 mph at 15 fpsps followed by 5 stops at the maximum attainable 
deceleration between 5 and 15 fpsps for each stop. Establish an initial 
brake temperature before the first brake application of 130 deg. to 150 
deg.F. Initial brake temperatures before brake applications for 
subsequent stops are those occurring at the distance intervals. Attain 
the required deceleration within 1 second and, as a minimum, maintain it 
for the remainder of the stopping time. Control force readings may be 
terminated when vehicle speed falls to 5 mph. Leave an interval of 0.4 
mi between the start of brake applications. Accelerate immediately to 
the initial test speed after each stop. Drive 1 mi at 30 mph after the 
last fade stop, and immediately follow the recovery procedure specified 
in S7.11.3.1.
    S7.11.2.2  Vehicles with GVWR greater than 10,000 lb. With 
transmission in neutral (or declutched) make 10 snubs from 40 to 20 mph 
at 10 fpsps for each snub. Establish an initial brake temperature before 
the first brake application of 130  deg.F. to 150  deg.F. Initial brake 
temperatures before brake application for subsequent snubs are those 
occurring in the time intervals specified below. Attain the required 
deceleration

[[Page 209]]

within 1 s and maintain it for the remainder of the snubbing time. Leave 
an interval of 30 s between snubs (start of brake application to start 
of brake application). Accelerate immediately to the initial test speed 
after each snub. Drive for 1.5 mi at 40 mph after the last snub and 
immediately follow the recovery procedure specified in S7.11.3.2.
    S7.11.3  Recovery stops or snubs.
    S7.11.3.1  Vehicles with GVWR of 10,000 lb or less. Make five stops 
from 30 mph at 10 fpsps for each stop. Control force readings may be 
terminated when vehicle speed falls to 5 mph. Allow a braking distance 
interval of 1 mi. Immediately after each stop accelerate at maximum rate 
to 30 mph and maintain that speed until making the next stop. Record the 
maximum control force for each stop.
    S7.11.3.2  Vehicles with GVWR greater than 10,000 lb. With 
transmission in neutral (or declutched) make five snubs from 40 to 20 
mph at 10 fpsps for each snub. After each snub, accelerate at maximum 
rate to 40 mph and maintain that speed until making the next brake 
application at a point 1.5 mi from the point of the previous brake 
application. Record the maximum control force for each snub.
    S7.12  Service brake system--second reburnish. Repeat S7.6.
    S7.13  Service brake system--second fade and recovery test. Repeat 
S7.11 except in S7.11.2 run 15 fade stops or 20 snubs instead of 10.
    S7.14  Third reburnish. Repeat S7.6.
    S7.15  Service brake system--fourth effectiveness test. Repeat S7.5. 
Then (for passenger cars) make four stops from either 95 mph if the 
speed attainable in 2 mi is 99 to (but not including) 104 mph, or 100 
mph if the speed attainable in 2 mi is 104 mph or greater.
    S7.16  Service brake system--water recovery test.
    S7.16.1  Baseline check stop. Make three stops from 30 mph at 10 
fpsps for each stop. Control force readings may be terminated when 
vehicle speed falls to 5 mph. Average the maximum brake control force 
required for the three stops.
    S7.16.2  Wet brake recovery stops. With the brakes fully released at 
all times, drive the vehicle for 2 min at a speed of 5 mph in any 
combination of forward and reverse directions, through a trough having a 
water depth of 6 in. After leaving the trough, immediately accelerate at 
a maximum rate to 30 mph without a brake application. Immediately upon 
reaching that speed make five stops, each from 30 mph at 10 fpsps for 
each stop. After each stop (except the last), accelerate the vehicle 
immediately at a maximum rate to a speed of 30 mph and begin the next 
stop.
    S7.17  Spike stops. Make 10 successive spike stops from 30 mph with 
the transmission in neutral, with no reverse stops. Make spike stops by 
applying a control force of 200 lb while recording control force versus 
time. Maintain control force until vehicle has stopped. At completion of 
10 spike stops, make six effectiveness stops from 60 mph.
    S7.18  Final inspection. Inspect--
    (a) The service brake system for detachment or fracture of any 
components, such as brake springs and brake shoes or disc pad facing.
    (b) The friction surface of the brake, the master cylinder or brake 
power unit reservoir cover and seal and filler openings, for leakage of 
brake fluid or lubricant.
    (c) The master cylinder or brake power unit reservoir for compliance 
with the volume and labeling requirements of S5.4.2 and S5.4.3. In 
determining the fully applied worn condition assume that the lining is 
worn to: (1) Rivet or bolt heads on riveted or bolted linings, or (2) 
within one thirty-seconds of an inch of shoe or pad mounting surface on 
bonded linings, or (3) the limit recommended by the manufacturer, 
whichever is larger relative to the total possible shoe or pad movement. 
Drums or rotors are assumed to be at nominal design drum diameter or 
rotor thickness. Linings are assumed adjusted for normal operating 
clearance in the released position.
    (d) The brake system indicator light(s), for compliance with 
operation in various key positions, lens color, labeling, and location, 
in accordance with S5.3.
    S7.19  Moving barrier test. (Only for vehicles that have been tested 
according to S7.7.2.) Load the vehicle to GVWR, release parking brake, 
and

[[Page 210]]

place the transmission selector control to engage the parking mechanism. 
With a moving barrier as described in paragraph 3.3 of SAE recommended 
practice J972 ``Moving Barrier Collision Tests,'' November 1966, impact 
the vehicle from the front at 2\1/2\ mph. Keep the longitudinal axis of 
the barrier parallel with the longitudinal axis of the vehicle. Repeat 
the test, impacting the vehicle from the rear.
    Note: The vehicle used for this test need not be the same vehicle 
that has been used for the braking tests.
[GRAPHIC] [TIFF OMITTED] TC01AU91.004

            Figure 1--Typical Plug Thermocouple Installations
    Note: The second thermocouple shall be installed at .080 inch depth 
within 1 inch circumferentially of the thermocouple installed at .040 
inch depth.
[GRAPHIC] [TIFF OMITTED] TC01AU91.005


[[Page 211]]



                             Table I--Brake Test Procedure Sequence and Requirements
----------------------------------------------------------------------------------------------------------------
                                                                       Test load
                         No.--Sequence                         ------------------------    Test     Requirements
                                                                   Light       GVWR      procedure
----------------------------------------------------------------------------------------------------------------
 1  Instrumentation check.....................................  ..........  ..........        S7.2  ............
 2  First (preburnish) effectiveness test.....................  ..........          x         S7.3     S5.1.1.1
 3  Burnish procedure.........................................  ..........          x         S7.4  ............
 4  Second effectiveness......................................  ..........          x         S7.5     S5.1.1.2
 5  First reburnish...........................................  ..........          x         S7.6  ............
 6  Parking brake.............................................          x           x         S7.7         S5.2
 7  Third effectiveness (lightly loaded vehicle)..............          x   ..........        S7.8     S5.1.1.3
 8  Partial failure...........................................          x           x         S7.9       S5.1.2
 9  Inoperative brake power and power assist units............  ..........          x        S7.10       S5.1.3
10  First fade and recovery...................................  ..........          x        S7.11       S5.1.4
11  Second reburnish..........................................  ..........          x        S7.12  ............
12  Second fade and recovery..................................  ..........          x        S7.13       S5.1.4
13  Third reburnish...........................................  ..........          x        S7.14  ............
14  Fourth effectiveness......................................  ..........          x        S7.15     S5.1.1.4
15  Water recovery............................................  ..........          x        S7.16       S5.1.5
16  Spike stops...............................................  ..........          x        S7.17       S5.1.6
17  Final inspection..........................................  ..........  ..........       S7.18         S5.6
18  Moving barrier test.......................................  ..........          x        S7.19     S5.2.2.3
----------------------------------------------------------------------------------------------------------------

                                                                                                    [GRAPHIC] [TIFF OMITTED] TR07SE99.007
                                                                                                    

                         Table III--Inoperative Brake Power Assist and Brake Power Units
----------------------------------------------------------------------------------------------------------------
                                     Average deceleration, FPSPS           Equivalent stopping distance, feet
                             -----------------------------------------------------------------------------------
                                Column 1--brake      Column 2--brake      Column 3--brake      Column 4--brake
          Stop No.                power assist          power unit          power assist          power unit
                             -----------------------------------------------------------------------------------
                                         (b) and              (b) and              (b) and              (b) and
                                 (a)       (c)        (a)       (c)        (a)       (c)        (a)       (c)
----------------------------------------------------------------------------------------------------------------
1...........................      16.0       14.0      16.0       13.0       242        277       242        298
2...........................      12.0       12.0      13.0       11.0       323        323       298        352
3...........................      10.0       10.0      12.0       10.0       388        388       323        388
4...........................       9.0        8.5      11.0        9.5       431        456       352        409
5...........................       8.0        7.5      10.0        9.0       484        517       388        431
6...........................       7.5        6.7       9.5        8.5       517        580       409        456
7...........................   \1\ 7.0    \1\ 6.0       9.0        8.0       554        646       431        484
8...........................        NA         NA       8.5        7.5        NA         NA       456        517
9...........................        NA         NA       8.0        7.0        NA         NA       484        554
10..........................        NA         NA       7.5        6.5        NA         NA       517        596
11..........................        NA         NA   \1\ 7.0    \1\ 6.0        NA         NA       554        646
----------------------------------------------------------------------------------------------------------------
\1\ Depleted. (a) Passenger cars; (b) vehicles other than passenger cars with GVWR of 10,000 lbs or less; (c)
  vehicles with GVWR greater than 10,000 lbs; NA=Not applicable.


[[Page 212]]

[41 FR 29696, July 19, 1976; 41 FR 32221, Aug. 2, 1976, as amended at 41 
FR 36026, 36027, Aug. 26, 1976; 43 FR 9606, Mar. 9, 1978; 46 FR 64, Jan. 
2, 1981; 46 FR 21180, Apr. 9, 1981; 47 FR 61893, Dec. 21, 1981; 48 FR 
39941, Sept. 2, 1983; 49 FR 30199, July 27, 1984; 52 FR 19874, May 28, 
1987; 53 FR 8200, Mar. 14, 1988; 54 FR 22905, May 30, 1989; 54 FR 40082, 
Sept. 29, 1989; 57 FR 47800, Oct. 20, 1992; 58 FR 45461, Aug. 30, 1993; 
60 FR 6434, Feb. 2, 1995; 60 FR 13256 and 13303, Mar. 10, 1995; 61 FR 
19562, May 2, 1996; 62 FR 46917, Sept. 5, 1997; 62 FR 51069, Sept. 30, 
1997; 64 FR 9449, Feb. 26, 1999; 64 FR 48564, Sept. 7, 1999]

    Effective Date Note: At 64 FR 48564, Sept. 7, 1999, Sec. 571.105 was 
amended by revising Table II, effective Oct. 7, 1999. For the 
convenience of the user, the superseded text follows:

Sec. 571.105  Standard No. 105; Hydraulic and electric brake systems.

                                * * * * *

                                                              Table II--Stopping Distances
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                            Stopping distance in feet for tests indicated
                                           -------------------------------------------------------------------------------------------------------------
                                             I--1st (preburnished) & 4th    II--2d effectiveness        III--3d (lightly loaded        IV--Inoperative
                                                effectiveness; spike     --------------------------     vehicles) effectiveness        brake power and
    Vehicle test speed (miles per hour)          effectiveness check                               ---------------------------------  power assist unit;
                                           ------------------------------                                                              partial failure
                                                                           (a)   (b) &   (d)   (e)                                  --------------------
                                             (a)    (b)     (c)     (d)           (c)                (a)    (b)    (c)    (d)   (e)         (b) &  (d) &
                                                                                                                                      (a)    (c)    (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
30........................................   1 57  1,2 6  1,2 69
                                                       5   (1st)
                                                          1,2 65
                                                            (4th
                                                             and
                                                          spike)
                                                            1 72  1,2 88   1 54   1 57  1,2 7   70     51     57     65     84   70    114    130    170
                                                                                            8
35........................................     74     83      91     132     70     74    106   96     67     74     83    114   96    155    176    225
40........................................     96    108     119     173     91     96    138  124     87     96    108    149  124    202    229    288
45........................................    121    137     150     218    115    121    175  158    110    121    137    189  158    257    291    358
50........................................    150    169     185     264    142    150    216  195    135    150    169    233  195    317    359    435
55........................................    181    204     224     326    172    181    261  236    163    181    204    281  236    383    433    530
60........................................  1 216  1 242   1 267  1,2 38  1 204  1 216  1 310  280  1 194  1 216  1 242  1 335  280  1 456  1 517  1 613
                                                                       8
80........................................  1 405  1 459   1 510      NA  1 383     NA     NA   NA     NA     NA     NA     NA   NA     NA     NA     NA
95........................................  1 607     NA      NA      NA     NA     NA     NA   NA     NA     NA     NA     NA   NA     NA     NA     NA
100.......................................  1 673     NA      NA      NA     NA     NA     NA   NA     NA     NA     NA     NA   NA     NA     NA    NA
--------------------------------------------------------------------------------------------------------------------------------------------------------
1 Distance for specified tests. 2 Applicable to school buses only. NA=Not applicable.
 
Note: (a) Passenger cars; (b) vehicles other than passenger cars with GVWR of less than 8,000 lbs; (c) vehicles with GVWR of not less than 8,000 lbs and
  not more than 10,000 lbs; (d) vehicles with GVWR greater than 10,000 lbs; (e) buses, including school buses, with GVWR greater than 10,000 lbs.

                                * * * * *



Sec. 571.106  Standard No. 106; Brake hoses.

    S1. Scope. This standard specifies labeling and performance 
requirements for motor vehicle brake hose, brake hose assemblies, and 
brake hose end fittings.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries occurring as a result of brake system failure from pressure or 
vacuum loss due to hose or hose assembly rupture.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, buses, trailers, and 
motorcycles, and to hydraulic, air, and vacuum brake hose, brake hose 
assemblies, and brake hose end fittings for use in those vehicles.
    S4. Definitions.
    Armor means protective material installed on a brake hose to 
increase the resistance of the hose or hose assembly to abrasion or 
impact damage.
    Brake hose means a flexible conduit, other than a vacuum tubing 
connector, manufactured for use in a brake system to transmit or contain 
the fluid pressure or vacuum used to apply force to a vehicle's brakes. 
For hose, a dimensional description such as ``\1/4\-inch hose'' refers 
to the nominal inside diameter. For tubing, a dimensional description 
such as ``\1/4\-in tubing'' refers to the nominal outside diameter.

[[Page 213]]

    Brake hose assembly means a brake hose, with or without armor, 
equipped with end fittings for use in a brake system, but does not 
include an air or vacuum assembly prepared by the owner or operator of a 
used vehicle, by his employee, or by a repair facility, for installation 
in that used vehicle.
    Brake hose end fitting means a coupler, other than a clamp, designed 
for attachment to the end of a brake hose.
    Free length means the linear measurement of hose exposed between the 
end fittings of a hose assembly in a straight position.
    Permanently attached end fitting means an end fitting that is 
attached by deformation of the fitting about the hose by crimping or 
swaging, or an end fitting that is attached by use of a sacrificial 
sleeve or ferrule that requires replacement each time a hose assembly is 
rebuilt.
    Rupture means any failure that results in separation of a brake hose 
from its end fitting or in leakage.
    Vacuum tubing connector means a flexible conduit of vacuum that (i) 
connects metal tubing to metal tubing in a brake system, (ii) is 
attached without end fittings, and (iii) when installed, has an 
unsupported length less than the total length of those portions that 
cover the metal tubing.
    S5. Requirements--hydraulic brake hose, brake hose assemblies, and 
brake hose end fittings.
    S5.1 Construction. (a) Each hydraulic brake hose assembly shall have 
permanently attached brake hose end fittings which are attached by 
deformation of the fitting about the hose by crimping or swaging.
    (b) Each hydraulic brake hose assembly that is equipped with a 
permanent supplemental support integrally attached to the assembly and 
is manufactured as a replacement for use on a vehicle not equipped, as 
an integral part of the vehicle's original design, with a means of 
attaching the support to the vehicle shall be equipped with a bracket 
that is integrally attached to the supplemental support and that adapts 
the vehicle to properly accept this type of brake hose assembly.
    S5.2  Labeling.
    S5.2.1 Each hydraulic brake hose, except hose sold as part of a 
motor vehicle, shall have at least two clearly identifiable stripes of 
at least one-sixteenth of an inch in width, placed on opposite sides of 
the brake hose parallel to its longitudinal axis. One stripe may be 
interrupted by the information required by S5.2.2, and the other stripe 
may be interrupted by additional information at the manufacturer's 
option. However, hydraulic brake hose manufactured for use only in an 
assembly whose end fittings prevent its installation in a twisted 
orientation in either side of the vehicle, need not meet the 
requirements of S5.2.1.
    S5.2.2 Each hydraulic brake hose shall be labeled, or cut from bulk 
hose that is labeled, at intervals of not more than 6 inches, measured 
from the end of one legend to the beginning of the next, in block 
capital letters and numerals at least one-eighth of an inch high, with 
the information listed in paragraphs (a) through (e) of this section. 
The information need not be present on hose that is sold as part of a 
brake hose assembly or a motor vehicle.
    (a) The symbol DOT, constituting a certification by the hose 
manufacturer that the hose conforms to all applicable motor vehicle 
safety standards.
    (b) A designation that identifies the manufacturer of the hose, 
which shall be filed in writing with: Office of Crash Avoidance 
Standards, Vehicle Dynamics Division, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
marking may consist of a designation other than block capital letters 
required by S5.2.2.
    (c) The month, day, and year, or the month and year, of manufacture, 
expressed in numerals. For example, 10/1/96 means October 1, 1996.
    (d) The nominal inside diameter of the hose expressed in inches or 
fractions of inches, or in millimeters followed by the abbreviation 
``mm.''
    (e) Either ``HR'' to indicate that the hose is regular expansion 
hydraulic hose or ``HL'' to indicate that the hose is low expansion 
hydraulic hose.
    S5.2.3 Package labeling for brake hose assemblies designed to be 
used with a supplemental support. (a) Each hydraulic brake hose assembly 
that is equipped

[[Page 214]]

with a permanent supplemental support integrally attached to the 
assembly and is manufactured as a replacement assembly for a vehicle 
equipped, as an integral part of the vehicle's original design, with a 
means of attaching the support to the vehicle shall be sold in a package 
that is marked or labeled as follows: ``FOR USE ON [insert Manufacturer, 
Model Name] ONLY'';
    (b) Each hydraulic brake hose assembly that is equipped with a 
permanent supplemental support integrally attached to the assembly and 
is manufactured as a replacement for use on a vehicle not equipped, as 
an integral part of the vehicle's original design, with a means of 
attaching the support to the vehicle shall comply with paragraphs (a) 
(1) and (2) of this section:
    (1) Be sold in a package that is marked or labeled as follows: ``FOR 
USE ONLY WITH A SUPPLEMENTAL SUPPORT.''
    (2) Be accompanied by clear, detailed instructions explaining the 
proper installation of the brake hose and the supplemental support 
bracket to the vehicle and the consequences of not attaching the 
supplemental support bracket to the vehicle. The instructions shall be 
printed on or included in the package specified in paragraph (a)(1) of 
this section.
    S5.2.4 Each hydraulic brake hose assembly, except those sold as part 
of a motor vehicle, shall be labeled by means of a band around the brake 
hose assembly as specified in this paragraph or, at the option of the 
manufacturer, by means of labeling as specified in S5.2.4.1. The band 
may at the manufacturer's option be attached so as to move freely along 
the length of the assembly, as long as it is retained by the end 
fittings. The band shall be etched, embossed, or stamped in block 
capital letters, numerals or symbols at least one-eighth of an inch 
high, with the following information:
    (a) The symbol DOT constituting certification by the hose assembler 
that the hose assembly conforms to all applicable motor vehicle safety 
standards.
    (b) A designation that identifies the manufacturer of the hose 
assembly, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    S5.2.4.1  At least one end fitting of a hydraulic brake hose 
assembly shall be etched, stamped or embossed with a designation at 
least one-sixteenth of an inch high that identifies the manufacturer of 
the hose assembly and is filed in accordance with S5.2.4(b).
    S5.3  Test requirements. A hydraulic brake hose assembly or 
appropriate part thereof shall be capable of meeting any of the 
requirements set forth under this heading, when tested under the 
conditions of S11 and the applicable procedures of S6. However, a 
particular hose assembly or appropriate part thereof need not meet 
further requirements after having been subjected to and having met the 
constriction requirement (S5.3.1) and any one of the requirements 
specified in S5.3.2 through S5.3.11.
    S5.3.1  Constriction. Except for that part of an end fitting which 
does not contain hose, every inside diameter of any section of a 
hydraulic brake hose assembly shall be not less than 64 percent of the 
nominal inside diameter of the brake hose.
    S5.3.2  Expansion and burst strength. The maximum expansion of a 
hydraulic brake hose assembly at 1,000 psi and 1,500 psi shall not 
exceed the values specified in Table I (S6.1). The hydraulic brake hose 
assembly shall then withstand water pressure of 4,000 psi for 2 minutes 
without rupture, and shall not rupture at less than 5,000 psi (S6.2).

      Table 1--Maximum Expansion of Free Length Brake Hose, cc/ft.
------------------------------------------------------------------------
                                             Test Pressure
                             -------------------------------------------
                                    1,000 psi             1,500 psi
Hydraulic brake hose, inside -------------------------------------------
          diameter             Regular      Low      Regular      Low
                              expansion  expansion  expansion  expansion
                                 hose       hose       hose       hose
------------------------------------------------------------------------
\1/8\ inch or 3 mm or less..       0.66       0.33       0.79       0.42
\3/16\ inch or 4 to 5 mm....        .86        .55       1.02        .72

[[Page 215]]

 
\1/4\ inch or 6 mm or more..       1.04        .82       1.30       1.17
------------------------------------------------------------------------

    S5.3.3  Whip resistance. A hydraulic brake hose assembly shall not 
rupture when run continuously on a flexing machine for 35 hours (S6.3).
    S5.3.4  Tensile strength. A hydraulic brake hose assembly shall 
withstand a pull of 325 pounds without separation of the hose from its 
end fittings (S6.4).
    S5.3.5  Water absorption and burst strength. A hydraulic brake hose 
assembly, after immersion in water for 70 hours (S6.5), shall withstand 
water pressure of 4,000 psi for 2 minutes, and then shall not rupture at 
less than 5,000 psi (S6.2).
    S5.3.6  Water absorption and tensile strength. A hydraulic brake 
hose assembly, after immersion in water for 70 hours (S6.5), shall 
withstand a pull of 325 pounds without separation of the hose from its 
end fittings (S6.4).
    S5.3.7  Water absorption and whip resistance. A hydraulic brake hose 
assembly, after immersion in water for 70 hours (S6.5), shall not 
rupture when run continuously on a flexing machine for 35 hours (S6.3).
    S.5.3.8  Low-temperature resistance. A hydraulic brake hose 
conditioned at minus 40  deg.F. for 70 hours shall not show cracks 
visible without magnification when bent around a cylinder as specified 
in S6.6. (S6.6)
    S5.3.9  Brake fluid compatibility, constriction, and burst strength. 
Except for brake hose assemblies designed for use with mineral or 
petroleum-based brake fluids, a hydraulic brake hose assembly shall meet 
the constriction requirement of S5.3.1 after having been subjected to a 
temperature of 200  deg.F for 70 hours while filled with SAE RM-66-04 
Compatibility Fluid, as described in appendix B of SAE Standard J1703 
JAN 1995, ``Motor Vehicle Brake Fluid.'' It shall then withstand water 
pressure of 4,000 psi for 2 minutes and thereafter shall not rupture at 
less than 5,000 psi (S6.2). (SAE RM-66-03 Compatibility Fluid, as 
described in appendix A of SAE Standard J1703 NOV83, ``Motor Vehicle 
Brake Fluid,'' November 1983, may be used in place of SAE RM-66-04 until 
January 1, 1995.)
    S5.3.10  Ozone resistance. A hydraulic brake hose shall not show 
cracks visible under 7-power magnification after exposure to ozone for 
70 hours at 104  deg.F. (S6.8).
    S5.3.11  End fitting corrosion resistance. After 24 hours of 
exposure to salt spray, a hydraulic brake hose end fitting shall show no 
base metal corrosion on the end fitting surface except where crimping or 
the application of labeling information has caused displacement of the 
protective coating. (S6.9)
    S6. Test procedures--Hydraulic brake hose, brake hose assemblies, 
and brake hose end fittings.
    S6.1.  Expansion test.
    S6.1.1  Apparatus. Utilize a test apparatus (as shown in Figure 1) 
which consists of:
    (a) Source for required fluid pressure;
    (b) Test fluid of water without any additives and free of gases;
    (c) Reservoir for test fluid;
    (d) Pressure gauges;
    (e) Brake hose end fittings in which to mount the hose vertically; 
and
    (f) Graduate burette with 0.05 cc increments.
    [GRAPHIC] [TIFF OMITTED] TC01AU91.006
    
                    Fig. 1. Expansion Test Apparatus


[[Page 216]]


    S6.1.2  Preparation. (a) Measure the free length of the hose 
assembly.
    (b) Mount the hose so that it is in a vertical straight position 
without tension when pressure is applied.
    (c) Fill the hose with test fluid and bleed all gases from the 
system.
    (d) Close the valve to the burette and apply 1,500 psi for 10 
seconds; then release pressure.
    S6.1.3  Calculation of expansion at 1,000 and 1,500 psi. (a) Adjust 
the fluid level in the burette to zero.
    (b) Close the valve to the burette, apply pressure at the rate of 
15,000 psi per minute, and seal 1,000 psi in the hose (1,500 psi in 
second series).
    (c) After 3 seconds open the valve to the burette for 10 seconds and 
allow the fluid in the expanded hose to rise into the burette.
    (d) Repeat the procedure in steps (b) and (c) twice. Measure the 
amount of test fluid which has accumulated in the burette as a result of 
the three applications of pressure.
    (e) Calculate the volumetric expansion per foot by dividing the 
total accumulated test fluid by 3 and further dividing by the free 
length of the hose in feet.
    S6.2  Burst strength test. (a) Connect the brake hose to a pressure 
system and fill it completely with water, allowing all gases to escape.
    (b) Apply water pressure of 4,000 psi at a rate of 15,000 psi per 
minute.
    (c) After 2 minutes at 4,000 psi, increase the pressure at the rate 
of 15,000 psi per minute until the pressure exceeds 5,000 psi.
    S6.3  Whip resistance test.
    S6.3.1  Apparatus. Utilize test apparatus that is dynamically 
balanced and includes:
    (a) A movable header consisting of a horizontal bar equipped with 
capped end fittings and mounted through bearings at each end to points 4 
inches from the center of two vertically rotating disks whose edges are 
in the same vertical plane;
    (b) An adjustable stationary header parallel to the movable header 
in the same horizontal plane as the centers of the disks, and fitted 
with open end fittings;
    (c) An elapsed time indicator; and
    (d) A source of water pressure connected to the open end fittings.
    S6.3.2 Preparation. (a) Except for the supplemental support 
specified in S6.3.2(d), remove all external appendages including, but 
not limited to, hose armor, chafing collars, mounting brackets, date 
band and spring guards.
    (b) Measure the hose free length.
    (c) Mount the hose in the whip test machine, introducing slack as 
specified in Table II for the size hose tested, measuring the projected 
length parallel to the axis of the rotating disks. The manufacturer may, 
at his option, adapt the fitting attachment points to permit mounting 
hose assemblies equipped with angled or other special fittings in the 
same orientation as hose assemblies equipped with straight fittings.
    (d) In the case of a brake hose assembly equipped with a permanent 
supplemental support integrally attached to the assembly, the assembly 
may be mounted using the supplemental support and associated means of 
simulating its attachment to the vehicle. Mount the supplemental support 
in the same vertical and horizontal planes as the stationary header end 
of the whip test fixture described in S6.3.1(b). Mount or attach the 
supplemental support so that it is positioned in accordance with the 
recommendation of the assembly manufacturer for attaching the 
supplemental support on a vehicle.

                         Table II--Hose Lengths
------------------------------------------------------------------------
                                                       Slack, inches
                                                 -----------------------
                                                  18 inch or   More than
    Free length between end fittings, inches       3 mm hose  18 inch or
                                                    or less    3 mm hose
 
------------------------------------------------------------------------
8 to 15\1/2\, inclusive.........................       1.750  ..........
10 to 15\1/2\, inclusive........................  ..........       1,000
Over 15\1/2\ to 19 inclusive....................       1.250  ..........
Over 19 to 24, inclusive........................       0.750  ..........
------------------------------------------------------------------------

    S6.3.3  Operation. (a) Apply 235 psi water pressure and bleed all 
gases from the system.
    (b) Drive the movable head at 800 rpm.
    S6.4  Tensile strength test. Utilize a tension testing machine 
conforming to the requirements of the methods of Verification of Testing 
Machines (1964 American Society for Testing and Materials, Designation 
E4), and provided

[[Page 217]]

with a recording device to give the total pull in pounds.
    S6.4.1  Preparation. Mount the hose assembly to ensure straight, 
evenly distributed machine pull.
    S6.4.2  Operation. Apply tension at a rate of 1 inch per minute 
travel of the moving head until separation occurs.
    S6.5  Water absorption sequence tests.
    S6.5.1  Preparation. Prepare three hose assemblies as follows:
    (a) Remove 1\1/8\ inches of hose cover, if any, from the center of 
the hose assemblies without injury to any reinforcing material or 
elongation of the hose assemblies.
    (b) Measure the free length of the hose assemblies.
    S.6.5.2  Immersion and sequence testing. (a) Immerse the hose 
assemblies in distilled water for 70 hours.
    (b) Thirty minutes after removal from water, conduct tests S6.2, 
S6.3, and S6.4, using a different hose for each sequence.
    S6.6  Low temperature resistance test.
    S6.6.1  Preparation. (a) Remove hose armor, if any, and condition a 
hose in a straight position in air at minus 40  deg.F. for 70 hours.
    (b) Condition a cylinder in air at minus 40  deg.F for 70 hours, 
using a cylinder of 2\1/2\ inches diameter for test of hose less than 
\1/8\ inch or 3 mm 3 inches for tests of \1/8\ inch or 3mm hose, 3\1/2\ 
inches for tests of \3/16\ and \1/4\ inch hose or of 4 to 6 mm hose, and 
4 inches for tests of hose greater than \1/4\ inch or 6 mm in diameter.
    S6.6.2  Flexibility testing. Bend the conditioned hose 180 degrees 
around the conditioned cylinder at a steady rate in a period of 3 to 5 
seconds. Examine without magnification for cracks.
    S6.7  Brake fluid compatibility test.
    S6.7.1  Preparation. (a) Attach a hose assembly below a 1-pint 
reservoir filled with 100 ml. of SAE RM-66-04 Compatibility Fluid as 
shown in Figure 2. (SAE RM-66-03 Compatibility Fluid, as described in 
appendix A of SAE Standard J1703 NOV83, ``Motor Vehicle Brake Fluid,'' 
November 1983, may be used in place of SAE RM-66-04 until January 1, 
1995.)
    (b) Fill the hose assembly with brake fluid, seal the lower end, and 
place the test assembly in an oven in a vertical position.
[GRAPHIC] [TIFF OMITTED] TC01AU91.007


    S6.7.2  Oven treatment. (a) Condition the hose assembly at 200 
deg.F. for 70 hours.
    (b) Cool the hose assembly at room temperature for 30 minutes.
    (c) Drain the brake hose assembly, immediately determine that every 
inside diameter of any section of the hose assembly, except for that 
part of an end fitting which does not contain hose, is not less than 64 
percent of the nominal inside diameter of the hose, and conduct the test 
specified in S6.2.
    S6.8  Ozone resistance test. Utilize a cylinder with a diameter 
eight times the nominal outside diameter of the brake hose excluding 
armor.
    S6.8.1  Preparation. After removing any armor, bind a hydraulic 
brake hose 360 deg. around the cylinder. In the case of hose shorter 
than the circumference of the cylinder, bend the hose so that as much of 
its length as possible is in contact.
    S6.8.2  Exposure to ozone. (a) Condition the hose on the cylinder in 
air at room temperature for 24 hours.
    (b) Immediately thereafter, condition the hose on the cylinder for 
70 hours in

[[Page 218]]

an exposure chamber having an ambient air temperature of 104  deg.F. 
during the test and containing air mixed with ozone in the proportion of 
50 parts of ozone per 100 million parts of air by volume.
    (c) Examine the hose for cracks under 7-power magnification, 
ignoring areas immediately adjacent to or within the area covered by 
binding.
    S6.9  End fitting corrosion resistance test. Utilize the apparatus 
described in ASTM B117-64, ``Salt Spray (Fog) Testing''.
    S6.9.1  Construction. Construct the salt spray chamber so that:
    (a) The construction material does not affect the corrosiveness of 
the fog.
    (b) The hose assembly is supported or suspended 30 deg. from the 
vertical and parallel to the principal direction of the horizontal flow 
of fog through the chamber.
    (c) The hose assembly does not contact any metallic material or any 
material capable of acting as a wick.
    (d) Condensation which falls from the assembly does not return to 
the solution reservoir for respraying.
    (e) Condensation from any source does not fall on the brake hose 
assemblies or the solution collectors.
    (f) Spray from the nozzles is not directed onto the hose assembly.
    S6.9.2  Preparation. (a) Plug each end of the hose assembly.
    (b) Mix a salt solution five parts by weight of sodium chloride to 
95 parts of distilled water, using sodium chloride substantially free of 
nickel and copper, and containing on a dry basis not more than 0.1 
percent of sodium iodide and not more than 0.3 percent total impurities. 
Ensure that the solution is free of suspended solids before the solution 
is atomized.
    (c) After atomization at 95  deg.F. ensure that the collected 
solution is in the PH range of 6.5 to 7.2. Make the PH measurements at 
77  deg.F.
    (d) Maintain a compressed air supply to the nozzle or nozzles free 
of oil and dirt and between 10 and 25 psi.
    S6.9.3  Operation. Subject the brake hose assembly to the salt spray 
continuously for 24 hours.
    (a) Regulate the mixture so that each collector will collect from 1 
to 2 ml. of solution per hour for each 80 square centimeters of 
horizontal collecting area.
    (b) Maintain exposure zone temperature at 95  deg.F.
    (c) Upon completion, remove the salt deposit from the surface of the 
hoses by washing gently or dipping in clean running water not warmer 
than 100  deg.F. and then drying immediately.
    S7. Requirements--Air brake hose, brake hose assemblies, and brake 
hose end fittings.
    S7.1 Construction. Each air brake hose assembly shall be equipped 
with permanently attached brake hose end fittings or reusable brake hose 
end fittings. Each air brake hose constructed of synthetic or natural 
elastomeric rubber intended for use with reusable end fittings shall 
conform to the dimensional requirements specified in Table III.

                          Table III--Air Brake Hose Dimensions for Reusable Assemblies
----------------------------------------------------------------------------------------------------------------
                                                              Type I outside diameter,       Type II outside
                                            Inside diameter            inches               diameter, inches
               Size, inches                tolerance, inches ---------------------------------------------------
                                                                Minimum      Maximum      Minimum      Maximum
----------------------------------------------------------------------------------------------------------------
\3/16\...................................             +0.026        0.472        0.510        0.500        0.539
                                                      -0.000
\1/4\....................................             +0.031        0.535        0.573        0.562        0.602
                                                      -0.000
\5/16\...................................             +0.031        0.598        0.636        0.656        0.695
                                                      -0.000
\3/8\....................................    plus-minus0.023        0.719        0.781        0.719        0.781
\13/32\..................................             +0.031        0.714        0.760        0.742        0.789
                                                      -0.000
\1/2\....................................             +0.039        0.808        0.854        0.898        0.945
                                                      -0.000
\5/8\....................................             +0.042        0.933        0.979        1.054        1.101
                                                      -0.000
\1/2\ special............................     plus-minus.031         .844         .906         .844         .906
----------------------------------------------------------------------------------------------------------------


[[Page 219]]

    S7.2  Labeling
    S7.2.1 Hose. Each air brake hose shall be labeled, or cut from bulk 
hose that is labeled, at intervals of not more than 6 inches, measured 
from the end of one legend to the beginning of the next, in block 
capital letters and numerals at least one-eighth of an inch high, with 
the information listed in paragraphs (a) through (e) of this section. 
The information need not be present on hose that is sold as part of a 
brake hose assembly or a motor vehicle.
    (a) The symbol DOT, constituting a certification by the hose 
manufacturer that the hose conforms to all applicable motor vehicle 
safety standards.
    (b) A designation that identifies the manufacturer of the hose, 
which shall be filed in writing with: Office of Crash Avoidance 
Standards, Vehicle Dynamics Division, National Highway Traffic Safety 
Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals, or a symbol.
    (c) The month, day, and year, or the month and year, of manufacture, 
expressed in numerals. For example, 10/1/96 means October 1, 1996.
    (d) The nominal inside diameter of the hose expressed in inches or 
fractions of inches or in millimeters, or the nominal outside diameter 
of plastic tubing expressed in inches or fractions of inches or in 
millimeters followed by the letters OD. The abbreviation ``mm'' shall 
follow hose sizes that are expressed in millimeters. (Examples of inside 
diameter: \1/8\, \1/2\ (\1/2\SP in the case of \1/2\ inch special air 
brake hose), 4 mm, 6 mm. Examples of outside diameter: \1/4\ OD, 12 mm 
OD.)
    (e) The letter ``A'' shall indicate intended use in air brake 
systems. In the case of a hose constructed of synthetic or natural 
elastomeric rubber intended for use in a reusable assembly, ``AI'' or 
``AII'' shall indicate Type I or Type II dimensional characteristics of 
the hose as described in Table III.
    S7.2.2  End fittings. Except for an end fitting that is attached by 
deformation of the fitting about a hose by crimping or swaging, at least 
one component of each air brake hose fitting shall be etched, embossed, 
or stamped in block capital letters and numerals at least one-sixteenth 
of an inch high with the following information:
    (a) The symbol DOT, constituting a certification by the manufacturer 
of that component that the component conforms to all applicable motor 
vehicle safety standards.
    (b) A designation that identifies the manufacturer of that component 
of the fitting, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals, or a symbol.
    (c) The letter ``A'' shall indicate intended use in air brake 
systems. In the case of an end fitting intended for use in a reusable 
assembly with brake hose subject to Table III, ``AI'' or ``AII'' shall 
indicate use with Type I or Type II hose, respectively.
    (d) The nominal inside diameter of the hose to which the fitting is 
properly attached expressed in inches or fractions of inches or in 
millimeters, or the outside diameter of the plastic tubing to which the 
fitting is properly attached expressed in inches or fractions of inches 
or in millimeters followed by the letters OD (See examples in 
S7.2.1(d)). The abbreviations ``mm'' shall follow hose sizes that are 
expressed in millimeters.
    S7.2.3 Assemblies. Each air brake hose assembly made with end 
fittings that are attached by crimping or swaging, except those sold as 
part of a motor vehicle, shall be labeled by means of a band around the 
brake hose assembly as specified in this paragraph or, at the option of 
the manufacturer, by means of labeling as specified in S7.2.3.1. The 
band may at the manufacturer's option be attached so as to move freely 
along the length of the assembly, as long as it is retained by the end 
fittings. The band shall be etched, embossed, or stamped in block 
capital letters, numerals or symbols at least one-eighth of an inch 
high, with the following information:
    (a) The symbol DOT, constituting certification by the hose assembler 
that the hose assembly conforms to all applicable motor vehicle safety 
standards.

[[Page 220]]

    (b) A designation that identifies the manufacturer of the hose 
assembly, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    S7.2.3.1  At least one end fitting of an air brake hose assembly 
made with end fittings that are attached by crimping or swaging shall be 
etched, stamped or embossed with a designation at least one-sixteenth of 
an inch high that identifies the manufacturer of the hose assembly and 
is filed in accordance with S7.2.3(b).
    S7.3 Test requirements. Each air brake hose assembly or appropriate 
part thereof shall be capable of meeting any of the requirements set 
forth under this heading, when tested under the conditions of S11 and 
the applicable procedures of S8. However, a particular hose assembly or 
appropriate part thereof need not meet further requirements after having 
met the constriction requirement (S7.3.1) and then having been subjected 
to any one of the requirements specified in S7.3.2 through S7.3.13.
    S7.3.1  Construction. Except for that part of an end fitting which 
does not contain hose, every inside diameter of any section of an air 
brake hose assembly shall be not less than 66 percent of the nominal 
inside diameter of the brake hose.
    S7.3.2  High temperature resistance. An air brake hose shall not 
show external or internal cracks, charring, or disintegration visible 
without magnification when straightened after being bent for 70 hours at 
212  deg.F. over a cylinder having the radius specified in Table IV for 
the size of hose tested (S8.1).
    S7.3.3  Low temperature resistance. The outer cover of an air brake 
hose shall not show cracks visible without magnification as a result of 
conditioning at minus 40  deg.F. for 70 hours when bent around a 
cylinder having the radius specified in Table IV for the size of hose 
tested (S8.2).

                           Table IV--Air Brake Hose Diameters and Test Cylinder Radii
 
 
----------------------------------------------------------------------------------------------------------------
Nominal hose diameter, in.*....................   \1/8\  \3/16\   \1/4\  \5/16\  \3/8\, \13/  \7/16\, \1/  \5/8\
                                                                                         32\          2\
mm.*...........................................       3    4, 5       6       8           10          12      16
Radius of test cylinder in inches..............  1\1/2\       2  2\1/2\       3       3\1/2\           4  4\1/2\
----------------------------------------------------------------------------------------------------------------
*These sizes are listed to provide test values for brake hoses manufactured in these sizes. They do not
  represent conversions.

    S7.3.4  Oil resistance. After immersion in ASTM No. 3 oil for 70 
hours at 212  deg.F. the volume of a specimen prepared from the inner 
tube and cover of an air brake hose shall not increase more than 100 
percent (S8.3).
    S7.3.5  Ozone resistance. The outer cover of an air brake hose shall 
not show cracks visible under 7-power magnification after exposure to 
ozone for 70 hours at 104  deg.F. (S8.4).
    S7.3.6  Length change. An airbrake hose (other than a coiled nylon 
tube for use in an assembly that meets the requirements of Sec. 393.45 
of this title) shall not contract in length more than 7 percent nor 
elongate more than 5 percent when subjected to air pressure of 200 psi 
(S8.5).
    S7.3.7  Adhesion. Except for hose reinforced by wire, an airbrake 
hose shall withstand a tensile force of 8 pounds per inch of length 
before separation of adjacent layers (S8.6).
    S7.3.8  Air pressure. An air brake hose assembly shall contain air 
pressure of 200 psi for 5 minutes without loss of more than 5 psi 
(S8.7).
    S7.3.9  Burst strength. An air brake hose assembly shall not rupture 
when exposed to hydrostatic pressure of 800 psi (S8.8).
    S7.3.10  Tensile strength. An air brake hose assembly (other than a 
coiled nylon tube assembly which meets the requirements of Sec. 393.45 
of this title) designed for use between frame and axle or between a 
towed and a towing vehicle shall withstand, without separation of the 
hose from its end fittings, a pull of 250 pounds if it is \1/4\ inch or 
less or 6 mm or less in nominal internal diameter, or a pull of 325 
pounds if it is larger than \1/4\ inch or 6 mm in nominal internal 
diameter. An air brake hose

[[Page 221]]

assembly designed for use in any other application shall withstand, 
without separation of the hose from its end fitting, a pull of 50 pounds 
if it is \1/4\ inch or 6 mm or less in nominal internal diameter, 150 
pounds if it is \3/8\ or \1/2\ inch or 10 mm to 12 mm in nominal 
internal diameter, or 325 pounds if it is larger than \1/2\ inch or 12 
mm in nominal internal diameter (S8.9).
    S7.3.11  Water absorption and tensile strength. After immersion in 
distilled water for 70 hours (S8.10), an air brake hose assembly (other 
than a coiled tube assembly which meets the requirements of Sec. 393.45 
of this title) designed for use between frame and axle or between a 
towed and a towing vehicle shall withstand without separation of the 
hose from its end fittings a pull of 250 pounds if it is \1/4\ inch or 6 
mm or less in nominal internal diameter, or a pull of 325 pounds if it 
is larger than \1/4\ inch or 6 mm in nominal internal diameter. After 
immersion in distilled water for 70 hours (S8.10), an air brake hose 
assembly designed for use in any other application shall withstand 
without separation of the hose from its end fitting a pull of 50 pounds 
if it is \1/4\ inch or 6 mm or less in nominal internal diameter, 150 
pounds if it is \3/8\ inch or \1/2\ inch or 10 to 12 mm in nominal 
internal diameter, or 325 pounds if it is larger than \1/2\ inch or 12 
mm in nominal internal diameter (S8.9).
    S7.3.12  Zinc chloride resistance. The outer cover of an air brake 
hose shall not show cracks visible under 7-power magnification after 
immersion in a 50 percent zinc chloride aqueous solution for 200 hours 
(S8.11).
    S7.3.13  End fitting corrosion resistance. After 24 hours of 
exposure to salt spray, air brake hose end fittings shall show no base 
metal corrosion on the end fitting surface except where crimping or the 
application of labeling information causes a displacement of the 
protective coating.
    S8. Test procedures--Air brake hose, brake hose assemblies, and 
brake hose end fittings.
    S8.1  High temperature resistance test. (a) Utilize a cylinder 
having the radius indicated in Table IV for the size of hose tested.
    (b) Bind the hose around the cylinder and condition it in an air 
oven for 70 hours at 212  deg.F.
    (c) Cool the hose to room temperature, remove it from the cylinder 
and straighten it.
    (d) Without magnification, examine the hose externally and cut the 
hose lengthwise and examine the inner tube.
    S8.2  Low temperature resistance test. (a) Utilize a cylinder having 
the radius indicated in Table IV for the size of hose tested.
    (b) Condition the cylinder and the brake hose, in a straight 
position, in a cold box at minus 40  deg.F. for 70 hours.
    (c) With the hose and cylinder at minus 40  deg.F., bend the hose 
180 degrees around the cylinder at a steady rate in a period of 3 to 5 
seconds.
    S8.3  Oil resistance test. Utilize three test specimens and average 
the results.
    S8.3.1  Preparation. Fashion a test specimen by cutting a 
rectangular block 2 inches long and not less than one-third of an inch 
in width, having a thickness of not more than one-sixteenth inch, from 
the brake hose and buff the specimen on both faces to ensure smooth 
surfaces.
    S8.3.2  Measurement. (a) Weigh each specimen to the nearest 
milligram in air (W1) and in distilled water (W2) at room temperature. 
If wetting is necessary to remove air bubbles, dip the specimen in 
acetone and thoroughly rinse it with distilled water.
    (b) Immerse each specimen in ASTM No. 3 oil for 70 hours at 212 
deg.F. and then cool in ASTM No. 3 oil at room temperature for 30 to 60 
minutes.
    (c) Dip the specimen quickly in acetone and blot it lightly with 
filter paper.
    (d) Weigh each specimen in a tared weighing bottle (W3) and in 
distilled water (W4) within five minutes of removal from the cooling 
liquid.
    (e) Calculate the percentage increase in volume follows:

    Percent of increase=

    [(W3-W4)-(W1-W2)]/
(W1-W2) x 100

    S8.4  Ozone resistance test. Conduct the test specified in S6.8 
using air brake hose.

[[Page 222]]

    S8.5  Length change test. (a) Position a test hose in a straight, 
horizontal position, and apply air pressure of 10 psi thereto.
    (b) Measure the hose to determine original free length.
    (c) Without releasing the 10 psi, raise the air pressure to the test 
hose to 200 psi.
    (d) Measure the hose under 200 psi to determine final free length. 
An elongation or contraction is an increase or decrease, respectively, 
in the final free length from the original free length of the hose.
    S8.6  Adhesion test.
    S8.6.1  Apparatus. A tension testing machine that is power-driven 
and that applies a constant rate of extension is used for measuring the 
force required to separate the layers of the test specimen. The 
apparatus is constructed so that:
    (a) The recording head includes a freely rotating form with an 
outside diameter substantially the same as the inside diameter of the 
hose specimen to be placed on it.
    (b) The freely rotating form is mounted so that its axis of rotation 
is in the plane of the ply being separated from the specimen and so that 
the applied force is perpendicular to the tangent of the specimen 
circumference at the line of separation.
    (c) The rate of travel of the power-actuated grip is a uniform one 
inch per minute and the capacity of the machine is such that maximum 
applied tension during the test is not more than 85 percent nor less 
than 15 percent of the machine's rated capacity.
    (d) The machine produces a chart with separation as one coordinate 
and applied tension as the other.
    S8.6.2  Preparation. (a) Cut a test specimen of 1 inch or more in 
length from the hose to be tested and cut the layer to be tested of that 
test specimen longitudinally along its entire length to the level of 
contact with the adjacent layer.
    (b) Peel the layer to be tested from the adjacent layer to create a 
flap large enough to permit attachment of the power-actuated clamp of 
the apparatus.
    (c) Mount the test specimen on the freely rotating form with the 
separated layer attached to the power-actuated clamp.
    S8.6.3  [Reserved]
    S8.6.4  Calculations. (a) The adhesion value shall be the minimum 
force recorded on the chart excluding that portion of the chart which 
corresponds to the initial and final 20 percent portion along the 
displacement axis.
    (b) Express the force in pounds per inch of length.
    S8.7  Air pressure test. (a) Connect the air brake hose assembly to 
a source of air pressure.
    (b) Apply 200 psi air pressure to the hose and seal the hose from 
the source of air pressure.
    (c) After 5 minutes, determine the air pressure remaining in the 
test specimen.
    S8.8  Burst strength test. (a) Utilize an air brake hose assembly.
    (b) Fill the hose assembly with water, allowing all gases to escape. 
Apply water pressure at a uniform rate of increase of approximately 
1,000 psi per minute until the hose ruptures.
    S8.9  Tensile strength test. Utilize a tension testing machine 
conforming to the requirements of the Methods of Verification of Testing 
Machines (1964 American Society for Testing and Materials, Designation 
E4), and provided with a recording device to register total pull in 
pounds.
    (a) Attach an air brake hose assembly to the testing machine to 
permit straight, even, machine-pull on the hose.
    (b) Apply tension at a rate of 1 inch per minute travel of the 
moving head until separation occurs.
    S8.10  Water Absorption and tensile strength test. Immerse an air 
brake hose assembly in distilled water at room temperature for 70 hours. 
Thirty minutes after removal from the water, conduct the test specified 
in S8.9.
    S8.11  Zinc chloride resistance test. Immerse an air brake hose in a 
50 percent zinc chloride aqueous solution at room temperature for 200 
hours. Remove it from the solution and examine it under 7-power 
magnification for cracks.
    S8.12  End fitting corrosion resistance test. Conduct the test 
specified in S6.9 using an air brake hose assembly.

[[Page 223]]

    S9. Requirements--vacuum brake hose, brake hose assemblies, and 
brake hose end fittings.
    S9.1 Labeling.
    S9.1.1 Hose. Each vacuum brake hose shall be labeled, or cut from 
bulk hose that is labeled, at intervals of not more than 6 inches, 
measured from the end of one legend to the beginning of the next, in 
block capital letters and numerals at least one-eighth of an inch high, 
with the information listed in paragraphs (a) through (e) of this 
section. The information need not be present on hose that is sold as 
part of a brake hose assembly or a motor vehicle. (a) The symbol DOT, 
constituting a certification by the hose manufacturer that the hose 
conforms to all applicable motor vehicle safety standards.
    (b) A designation that identifies the manufacturer of the hose, 
which shall be filed in writing with: Office of Crash Avoidance 
Standards, Vehicle Dynamics Division, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    (c) The month, day, and year, or the month and year, of manufacture, 
expressed in numerals. For example, 10/1/96 means October 1, 1996.
    (d) The nominal inside diameter of the hose expressed in inches or 
fractions of inches or in millimeters, or the nominal outside diameter 
of plastic tubing expressed in inches or fractions of inches or in 
millimeters followed by the letters OD. The abbreviation ``mm'' shall 
follow hose sizes that are expressed in millimeters. (Example of inside 
diameter: \7/32\, \1/4\, 4 mm. Example of outside diameter: \1/4\ OD, 12 
mm OD.)
    (e) The letters ``VL'' or ``VH'' shall indicate that the component 
is a light-duty vacuum brake hose or heavy-duty vacuum brake hose, 
respectively.
    S9.1.2 End fittings. Except for an end fitting that is attached by 
heat striking or by interference fit with plastic vacuum hose or that is 
attached by deformation of the fitting about a hose by crimping or 
swaging, at least one component of each vacuum brake hose fitting shall 
be etched, embossed, or stamped in block capital letters and numerals at 
least one-sixteenth of an inch high with the following information:
    (a) The symbol DOT, constituting a certification by the manufacturer 
of that component that the component conforms to all applicable motor 
vehicle safety standards.
    (b) A designation that identifies the manufacturer of that component 
of the fitting, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. 
The designation may consist of block capital letters, numerals or a 
symbol.
    (c) The letters ``VL'' or ``VH'' shall indicate that the end fitting 
is intended for use in a light-duty or heavy-duty vacuum brake system, 
respectively.
    (d) The nominal inside diameter of the hose to which the fitting is 
properly attached expressed in inches or fractions of inches or in 
millimeters, or the outside diameter of the plastic tubing to which the 
fitting is properly attached expressed in inches or fraction of inches 
or in millimeters followed by the letter OD (See examples in S9.1.1(d)). 
The abbreviation ``mm'' shall follow hose sizes that are expressed in 
millimeters.
    S9.1.3 Assemblies. Each vacuum brake hose assembly made with end 
fittings that are attached by crimping or swaging and each plastic tube 
assembly made with end fittings that are attached by heat shrinking or 
dimensional interference fit, except those sold as part of a motor 
vehicle, shall be labeled by means of a band around the brake hose 
assembly as specified in this paragraph or, at the option of the 
manufacturer, by means of labeling as specified in S9.1.3.1. The band 
may at the manufacturer's option be attached so as to move freely along 
the length of the assembly, as long as it is retained by the end 
fittings. The band shall be etched, embossed, or stamped in block 
capital letters, numerals or symbols at least one-eighth of an inch 
high, with the following information:
    (a) The symbol DOT, constituting certification by the hose assembler 
that the hose assembly conforms to all

[[Page 224]]

applicable motor vehicle safety standards.
    (b) A designation that identifies the manufacturer of the hose 
assembly, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    S9.1.3.1 At least one end fitting of a vacuum brake hose assembly 
made with end fittings that are attached by crimping or swaging, or of a 
plastic tubing assembly made with end fittings that are attached by heat 
shrinking or dimensional interference fit shall be etched, stamped or 
embossed with a designation at least one-sixteenth of an inch high that 
identifies the manufacturer of the hose assembly and is filed in 
accordance with S9.1.3(b).
    S9.2  Test requirements. Each vacuum brake hose assembly or 
appropriate part thereof shall be capable of meeting any of the 
requirements set forth under this heading, when tested under the 
conditions of S11. and the applicable procedures of S10. However, a 
particular hose assembly or appropriate part thereof need not meet 
further requirements after having met the construction requirement 
(S9.2.1) and then having been subjected to any one of the requirements 
specified in S9.2.2 through S9.2.11.
    S9.2.1  Constriction. Except for that part of an end fitting which 
does not contain hose, every inside diameter of any section of a vacuum 
brake hose assembly shall be not less than 75 percent of the nominal 
inside diameter of the hose if for heavy duty, or 70 percent of the 
nominal inside diameter of the hose if for light duty.
    S9.2.2  High temperature resistance. A vacuum brake hose shall not 
show external or internal cracks, charring, or disintegration visible 
without magnification when straightened after being bent for 70 hours at 
212  deg.F. over a cylinder having the radius specified in Table V for 
the size of hose tested (S10.1).
    S9.2.3  Low temperature resistance. A vacuum brake hose shall not 
show cracks visible without magnification after conditioning at minus 40 
 deg.F. for 70 hours when bent around a cylinder having the radius 
specified in Table V for the size hose tested (S10.2).
    S9.2.4  Ozone resistance. A vacuum brake hose shall not show cracks 
visible under 7-power magnification after exposure to ozone for 70 hours 
(S10.3).
    S9.2.5  Burst strength. A vacuum brake hose shall not rupture under 
hydrostatic pressure of 350 psi (S10.4).
    S9.2.6  Vacuum. The collapse of the outside diameter of a vacuum 
brake hose under internal vacuum of 26 inches of Hg. for five minutes 
shall not exceed one-sixteenth of an inch (S10.5).
    S9.2.7  Bend. The collapse of the outside diameter of a vacuum brake 
hose at the middle point of the test length when bent until the ends 
touch shall not exceed the values given in Table V for the size of hose 
tested (S10.6).

                                  Table V--Vacuum Brake Hose Test Requirements
----------------------------------------------------------------------------------------------------------------
Hose inside diameter*    High temperature       Low temperature            Bend
----------------------      resistance            resistance      ----------------------
                      --------------------------------------------             Maximum    Deformation--collapsed
                                                                     Hose     collapse       inside diameter
 Inches   Millimeters    Hose     Radius of    Hose     Radius of   length,  of outside   (dimension D), inches
                        length,   cylinder,   length,   cylinder,   inches    diameter,
                        inches     inches     inches     inches                inches
----------------------------------------------------------------------------------------------------------------
 \7/32\          5           8     1\1/2\    17\1/2\          3          7    \11/64\             \3/64\
  \1/4\          6           9     1\1/2\    17\1/2\          3          8     \3/32\             \1/16\
 \9/32\  ............        9     1\3/4\         19     3\1/2\          9    \12/64\             \4/64\
\11/32\          8           9     1\3/4\         19     3\1/2\         11    \13/64\             \5/64\
  \3/8\         10          10     1\3/4\         19     3\1/2\         12     \5/32\             \3/32\
 \7/16\  ............       11          2    20\1/2\          4         14    \17/64\             \5/64\
\15/32\  ............       11          2    20\1/2\          4         14    \17/64\             \5/64\
  \1/2\         12          11          2    20\1/2\          4         16     \7/32\              \1/8\
  \5/8\         16          12     2\1/4\         22     4\1/2\         22     \7/32\             \5/32\
  \3/4\  ............       14     2\1/2\         24          5         28     \7/32\             \3/16\
      1  ............       16     3\1/4\    28\1/2\     6\1/2\         36     \9/32\              \1/4\
----------------------------------------------------------------------------------------------------------------
*These sizes are listed to provide test values for brake hoses manufactured in these sizes. They do not
  represent conversions.


[[Page 225]]

    S9.2.8  Swell. Following exposure to Reference Fuel A, every inside 
diameter of any section of a vacuum brake hose shall not be less than 75 
percent of the nominal inside of the hose if for heavy duty, or 70 
percent of the nominal inside diameter of the hose if for light duty. 
The vacuum brake hose shall show no leakage and there shall be no 
separation of the inner tube from the fabric reinforcement of the hose 
in a vacuum test of 26 inches of Hg for 10 minutes (S10.7).
    S9.2.9  Adhesion. Except for hose reinforced by wire, a vacuum brake 
hose shall withstand a force of 8 pounds per inch of length before 
separation of adjacent layers (S10.8).
    S9.2.10  Deformation. A vacuum brake hose shall return to 90 percent 
of its original outside diameter within 60 seconds after five 
applications of force as specified in S10.9, except that a wire-
reinforced hose need only return to 85 percent of its original outside 
diameter. In the case of heavy-duty hose the first application of force 
shall not exceed a peak value of 70 pounds, and the fifth application of 
force shall reach a peak value of at least 40 pounds. In the case of 
lightduty hose the first application of force shall not exceed a peak 
value of 50 pounds, and the fifth application of force shall reach a 
peak value of at least 20 pounds (S10.9).
    S9.2.11  End fitting corrosion resistance. After 24 hours of 
exposure to salt spray, vacuum brake hose end fittings shall show no 
base metal corrosion of the end fitting surface except where crimping or 
the application of labeling information has caused displacement of the 
protective coating.
    S10. Test procedures--Vacuum brake hose, brake hose assemblies, and 
brake hose end fittings.
    S10.1  High temperature resistance test. Conduct the test specified 
in S8.1 using vacuum brake hose with the cylinder radius specified in 
Table V for the size of hose tested.
    S10.2  Low temperature resistance test. Conduct the test specified 
in S8.2 using vacuum brake hose with the cylinder radius specified in 
Table V for the size of hose tested.
    S10.3  Ozone resistance test. Conduct the test specified in S6.8 
using vacuum brake hose.
    S10.4  Burst strength test. Conduct the test specified in S8.8 using 
vacuum brake hose.
    S10.5  Vacuum test. Utilize a 12-inch vacuum brake hose assembly 
sealed at one end. (a) Measure the hose outside diameter.
    (b) Attach the hose to a source of vacuum and subject it to a vacuum 
of 26 inches of Hg for 5 minutes.
    (c) Measure the hose to determine the minimum outside diameter while 
the hose is still subject to vacuum.
    S10.6  Bend test. (a) Bend a vacuum brake hose, of the length 
prescribed in Table V, in the direction of its normal curvature until 
the ends just touch as shown in Figure 3.
    (b) Measure the outside diameter of the specimen at point A before 
and after bending.
    (c) The difference between the two measurements is the collapse of 
the hose outside diameter on bending.
[GRAPHIC] [TIFF OMITTED] TC01AU91.008

                 Fig. 3--Bend Test of Vacuum Brake Hose.

    S10.7  Swell test. (a) Fill a specimen of vacuum brake hose 12 
inches long with Reference Fuel A as described in the Method of Test for 
Change in Properties of Elastomeric Vulcanizers Resulting From Immersion 
in Liquids (1964 American Society for Testing and Materials, designation 
D471).
    (b) Maintain reference fuel in the hose under atmospheric pressure 
at room temperature for 48 hours.
    (c) Remove fuel and determine that every inside diameter of any 
section of the brake hose is not less than 75 percent of the nominal 
inside diameter of

[[Page 226]]

the hose for heavy-duty hose and 70 percent of the nominal inside 
diameter of the hose for light-duty hose.
    (d) Subject the hose specimen to a vacuum of 26 inches of Hg for 10 
minutes.
    S10.8  Adhesion test. Conduct the test specified in S8.6 using 
vacuum brake hose.
    S10.9  Deformation test. Table VI specifies the test specimen 
dimensions.
    S10.9.1  Apparatus. Utilize a compression device, equipped to 
measure force of at least 100 pounds, and feeler gages of sufficient 
length to be passed completely through the test specimen.
    S10.9.2  Operation. (a) Position the test specimen longitudinally in 
the compression device with the fabric laps not in the line of the 
applied pressure.

  Table VI--Dimensions of Test Specimen and Feeler Gage for Deformation
                                  Test
------------------------------------------------------------------------
Hose inside diameter*    Specimen dimensions     Feeler gage dimensions
----------------------      (see fig. 4)      --------------------------
                      ------------------------
    In.        Mm.        Depth      Length       Width      Thickness
                         (inch)      (inch)      (inch)        (inch)
------------------------------------------------------------------------
  \7/32\          5      \3/64\           1       \1/8\       \3/64\
   \1/4\          6      \1/16\           1       \1/8\       \1/16\
  \9/32\    .........    \1/16\           1       \1/8\       \1/16\
 \11/32\          8      \5/64\           1      \3/16\       \5/64\
   \3/8\         10      \3/32\           1      \3/16\       \3/32\
  \7/16\    .........    \5/64\           1       \1/4\       \5/64\
 \15/32\    .........    \5/64\           1       \1/4\       \5/64\
   \1/2\         12       \1/8\           1       \1/4\        \1/8\
   \5/8\         16      \5/32\           1       \1/4\       \5/32\
   \3/4\    .........    \3/16\           1       \1/4\       \3/16\
       1    .........     \1/4\           1       \1/4\        \1/4\
------------------------------------------------------------------------
*These sizes are listed to provide test values for brake hoses
  manufactured in these sizes. They do not represent conversions.

    (b) Apply gradually increasing force to the test specimen to 
compress its inside diameter to that specified in Table VI (dimension D 
of figure 4) for the size of hose tested.
[GRAPHIC] [TIFF OMITTED] TC01AU91.009

             Fig. 4. Deformed Specimen of Vacuum Brake Hose

    (c) After 5 seconds release the force and record the peak load 
applied.
    (d) Repeat the procedure four times permitting a 10-second recovery 
period between load applications.
    S10.10  End fitting corrosion resistance test. Conduct the test 
specified in S6.9 using a vacuum brake hose assembly.
    S11.  Test conditions. Each hose assembly or appropriate part 
thereof shall be able to meet the requirements of S5., S7., and S9. 
under the following conditions.
    S11.1  The temperature of the testing room is 75  deg.F.
    S11.2  Except for S6.6, S8.2, and S10.2, the test samples are 
stabilized at test room temperature prior to testing.
    S11.3  The brake hoses and brake hose assemblies are at least 24 
hours old, and unused.

[38 FR 31303, Nov. 13, 1973]

    Editorial Note: For Federal Register citations affecting 
Sec. 571.106, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 571.107  [Reserved]



Sec. 571.108  Standard No. 108; Lamps, reflective devices, and associated equipment.

    S1.  Scope. This standard specifies requirements for original and 
replacement lamps, reflective devices, and associated equipment.
    S2.  Purpose. The purpose of this standard is to reduce traffic 
accidents and deaths and injuries resulting from traffic accidents, by 
providing adequate illumination of the roadway, and by enhancing the 
conspicuity of motor vehicles on the public roads so that their presence 
is perceived and their signals understood, both in daylight and in 
darkness or other conditions of reduced visibility.
    S3.  Application. This standard applies to:
    (a) Passenger cars, multipurpose passenger vehicles, trucks, buses, 
trailers (except pole trailers and trailer converter dollies), and 
motorcycles;
    (b) Retroreflective sheeting and reflex reflectors manufactured to 
conform to S5.7 of this standard; and
    (c) Lamps, reflective devices, and associated equipment for 
replacement of like equipment on vehicles to which this standard 
applies.
    S4.  Definitions.
    Aiming Reference Plane means a plane which is perpendicular to the 
longitudinal axis of the vehicle and tangent to

[[Page 227]]

the forwardmost aiming pad on the headlamp.
    Beam contributor means an indivisible optical assembly including a 
lens, reflector, and light source, that is part of an integral beam 
headlighting system and contributes only a portion of a headlamp beam.
    Cargo lamp is a lamp that is mounted on a multipurpose passenger 
vehicle, truck, or bus for the purpose of providing illumination to load 
or unload cargo.
    Cutoff means a generally horizontal, visual/optical aiming cue in 
the lower beam that marks a separation between areas of higher and lower 
luminance.
    Direct reading indicator means a device that is mounted in its 
entirety on a headlamp or headlamp aiming or headlamp mounting 
equipment, is part of a VHAD, and provides information about headlamp 
aim in an analog or digital format.
    Effective projected luminous lens area means that area of the 
projection on a plane perpendicular to the lamp axis of that portion of 
the light-emitting surface that directs light to the photometric test 
pattern, and does not include mounting hole bosses, reflex reflector 
area, beads or rims that may glow or produce small areas of increased 
intensity as a result of uncontrolled light from small areas (\1/2\ deg. 
radius around the test point).
    Filament means that part of the light source or light emitting 
element(s), such as a resistive element, the excited portion of a 
specific mixture of gases under pressure, or any part of other energy 
conversion sources, that generates radiant energy which can be seen.
    Flash means a cycle of activation and deactivation of a lamp by 
automatic means continuing until stopped either automatically or 
manually.
    Fully opened means the position of the headlamp concealment device 
in which the headlamp is in the design open operating position.
    Headlamp concealment device means a device, with its operating 
system and components, that provides concealment of the headlamp when it 
is not in use, including a movable headlamp cover and a headlamp that 
displaces for concealment purposes.
    Headlamp test fixture means a device designed to support a headlamp 
or headlamp assembly in the test position specified in the laboratory 
tests and whose mounting hardware and components are those necessary to 
operate the headlamp as installed in a motor vehicle.
    Integral beam headlamp means a headlamp (other than a standardized 
sealed beam headlamp designed to conform to paragraph S7.3 or a 
replaceable bulb headlamp designed to conform to paragraph S7.5) 
comprising an integral and indivisible optical assembly including lens, 
reflector, and light source, except that a headlamp conforming to 
paragraph S7.8.5.2 or paragraph S7.8.5.3 may have a lens designed to be 
replaceable.
    Multiple compartment lamp means a device which gives its indication 
by two or more separately lighted areas which are joined by one or more 
common parts, such as a housing or lens.
    Multiple lamp arrangement means an array of two or more separate 
lamps on each side of the vehicle which operate together to give a 
signal.
    Remote reading indicator means a device that is not mounted in its 
entirety on a headlamp or headlamp aiming or headlamp mounting 
equipment, but otherwise meets the definition of a direct reading 
indicator.
    Replaceable bulb headlamp means a headlamp comprising a bonded lens 
and reflector assembly and one or two replaceable headlamp light 
sources, except that a headlamp conforming to paragraph S7.8.5.2 or 
paragraph S7.8.5.3 may have a lens designed to be replaceable.
    Replaceable light source means an assembly of a capsule, base, and 
terminals that is designed to conform to the requirements of Appendix A 
or Appendix B of part 564 Replaceable Light Source Information of this 
Chapter.
    Vehicle headlamp aiming device or VHAD means motor vehicle 
equipment, installed either on a vehicle or headlamp, which is used for 
determining the horizontal or vertical aim, or both the vertical and 
horizontal aim of the headlamp.
    Visually/optically aimable headlamp means a headlamp which is 
designed to

[[Page 228]]

be visually/optically aimable in accordance with the requirements of 
paragraph S7.8.5.3 of this standard.
    S5.  Requirements.
    S5.1  Required motor vehicle lighting equipment.
    S5.1.1  Except as provided in succeeding paragraphs of this S5.1.1, 
each vehicle shall be equipped with at least the number of lamps, 
reflective devices, and associated equipment specified in Tables I and 
III and S7, as applicable. Required equipment shall be designed to 
conform to the SAE Standards or Recommended Practices referenced in 
those tables. Table I applies to multipurpose passenger vehicles, 
trucks, trailers, and buses, 80 or more inches in overall width. Table 
III applies to passenger cars and motorcycles and to multipurpose 
passenger vehicles, trucks, trailers, and buses, less than 80 inches in 
overall width.
    S5.1.1.1  A truck tractor need not be equipped with turn signal 
lamps mounted on the rear if the turn signal lamps at or near the front 
are so constructed (double-faced) and so located that they meet the 
requirements for double-faced turn signals specified in SAE Standard 
J588e, Turn Signal Lamps, September 1970.
    S5.1.1.2  A truck tractor need not be equipped with any rear side 
marker devices, rear clearance lamps, and rear identification lamps.
    S5.1.1.3  Intermediate side marker devices are not required on 
vehicles less than 30 feet in overall length.
    S5.1.1.4  Reflective material conforming to Federal Specification L-
S-300, Sheeting and Tape, Reflective; Non-exposed Lens, Adhesive 
Backing, September 7, 1965, may be used for side reflex reflectors if 
this material as used on the vehicle, meets the performance standards in 
either Table I or Table IA of SAE Standard J594f, Reflex Reflectors, 
January 1977.
    S5.1.1.5  The turn signal operating unit on each passenger car, and 
multipurpose passenger vehicle, truck, and bus less than 80 inches in 
overall width shall be self-canceling by steering wheel rotation and 
capable of cancellation by a manually operated control.
    S5.1.1.6  Instead of the photometric values specified in Table 1 of 
SAE Standards J222 December 1970, or J585e September 1977, a parking 
lamp or tail lamp, respectively, shall meet the minimum percentage 
specified in Figure 1a of the corresponding minimum allowable value 
specified in Figure 1b. The maximum candlepower output of a parking lamp 
shall not exceed that prescribed in Figure 1b, or of a taillamp, that 
prescribed in Figure 1b at H or above. If the sum of the percentages of 
the minimum candlepower measured at the test points is not less than 
that specified for each group listed in Figure 1c, a parking lamp or 
taillamp is not required to meet the minimum photometric value at each 
test point specified in SAE Standards J222 or J585e respectively.
    S5.1.1.7  A motorcycle turn signal lamp need meet only one-half of 
the minimum photometric values specified in Table 1 and Table 3 of SAE 
J588 NOV84 Turn Signal Lamps.
    S5.1.1.8  For each motor vehicle less than 30 feet in overall 
length, the photometric minimum candlepower requirements for side marker 
lamps specified in SAE Standard J592e Clearance, Side Marker, and 
Identification Lamps, July 1972, may be met for all inboard test points 
at a distance of 15 feet from the vehicle and on a vertical plane that 
is perpendicular to the longitudinal axis of the vehicle and located 
midway between the front and rear side marker lamps.
    S5.1.1.9  A boat trailer whose overall width is 80 inches or more 
need not be equipped with both front and rear clearance lamps provided 
an amber (to front) and red (to rear) clearance lamp is located at or 
near the midpoint on each side so as to indicate its extreme width.
    S5.1.1.10  Multiple license plate lamps and backup lamps may be used 
to fufill the requirements of the SAE Standards applicable to such lamps 
referenced in Tables I and III.
    S5.1.1.11  A stop lamp that is not optically combined, as defined by 
SAE Information Report J387 Terminology--Motor Vehicle Lighting NOV87, 
with a turn signal lamp, shall remain activated when the turn signal 
lamp is flashing.
    S5.1.1.12  On a motor vehicle, except a passenger car, whose overall 
width is 80 inches or more, measurements of the

[[Page 229]]

functional lighted lens area, and of the photometrics, of a multiple 
compartment stop lamp, and a multiple compartment turn signal lamp, 
shall be made for the entire lamp and not for the individual 
compartments.
    S5.1.1.13  Each passenger car, and each multipurpose passenger 
vehicle, truck, and bus of less than 80 inches overall width, shall be 
equipped with a turn signal operating unit designed to complete a 
durability test of 100,000 cycles.
    S5.1.1.14  A trailer that is less than 30 inches in overall width 
may be equipped with only one taillamp, stop lamp, and rear reflex 
reflector, which shall be located at or near its vertical centerline.
    S5.1.1.15  A trailer that is less than 6 feet in overall length, 
including the trailer tongue, need not be equipped with front side 
marker lamps and front side reflex reflectors.
    S5.1.1.16  A lamp designed to use a type of bulb that has not been 
assigned a mean spherical candlepower rating by its manufacturer and is 
not listed in SAE Standard J573d, Lamp Bulbs and Sealed Units, December 
1968, shall meet the applicable requirements of this standard when used 
with any bulb of the type specified by the lamp manufacturer, operated 
at the bulb's design voltage. A lamp that contains a sealed-in bulb 
shall meet these requirements with the bulb operated at the bulb's 
design voltage.
    S5.1.1.17  Except for a lamp having a sealed-in bulb, a lamp shall 
meet the applicable requirements of this standard when tested with a 
bulb whose filament is positioned within .010 inch of the 
nominal design position specified in SAE Standard J573d, Lamp Bulbs and 
Sealed Units, December 1968, or specified by the bulb manufacturer.
    S5.1.1.18  A backup lamp is not required to meet the minimum 
photometric values at each test point specified in Table I of SAE 
Standard J593c, Backup Lamps, February 1968, if the sum of the 
candlepower measured at the test points within each group listed in 
Figure 2 is not less than the group totals specified in that figure.
    S5.1.1.19  Each variable load turn signal flasher shall comply with 
voltage drop and durability requirements of SAE Standard J590b, Turn 
Signal Flashers, October 1965 with the maximum design load connected, 
and shall comply with starting time, flash rate, and percent current 
``on'' time requirements of J590b both with the minimum and with the 
maximum design load connected.
    S5.1.1.20  The lowest voltage drop for turn signal flashers and 
hazard warning signal flashers measured between the input and load 
terminals shall not exceed 0.8 volt.
    S5.1.1.21  A motor-driven cycle whose speed attainable in 1 mile is 
30 mph or less need not be equipped with turn signal lamps.
    S5.1.1.22  A motor-driven cycle whose speed attainable in 1 mile is 
30 mph or less may be equipped with a stop lamp whose effective 
projected luminous lens area is not less than 3\1/2\ square inches and 
whose photometric output for the groups of test points specified in 
Figure 1 is at least one-half of the minimum values set forth in that 
figure.
    S5.1.1.23-24   [Reserved]
    S5.1.1.25  Each turn signal lamp on a motorcycle manufactured on and 
after January 1, 1973, shall have an effective projected luminous area 
of not less than 3\1/2\ square inches.
    S5.1.1.26  On a motor vehicle whose overall width is less than 80 
inches:
    (a) The functional lighted lens area of a single compartment stop 
lamp, and a single compartment rear turn signal lamp, shall be not less 
than 50 square centimeters.
    (b) If a multiple compartment lamp or multiple lamps are used to 
meet the photometric requirements for stop lamps and rear turn signal 
lamps, the functional lighted lens area of each compartment or lamp 
shall be at least 22 square centimeters, provided the combined area is 
at least 50 square centimeters.
    S5.1.1.27 (a) Except as provided in paragraph (b) of this section, 
each passenger car manufactured on or after September 1, 1985, and each 
multipurpose passenger vehicle, truck, and bus, whose overall width is 
less than 80 inches, whose GVWR is 10,000 pounds or less, manufactured 
on or after September 1, 1993, shall be equipped with a high-mounted 
stop lamp which:

[[Page 230]]

    (1) Shall have an effective projected luminous area not less than 
4\1/2\ square inches.
    (2) Shall have a signal visible to the rear through a horizontal 
angle from 45 degrees to the left to 45 degrees to the right of the 
longitudinal axis of the vehicle.
    (3) Shall have the minimum photometric values in the amount and 
location listed in Figure 10.
    (4) Need not meet the requirements of paragraphs 3.1.6 Moisture 
Test, 3.1.7 Dust Test, and 3.1.8 Corrosion Test of SAE Recommended 
Practice J186a, Supplemental High-Mounted Stop and Rear Turn Signal 
Lamps, September 1977, if it is mounted inside the vehicle.
    (5) Shall provide access for convenient replacement of the bulb 
without the use of special tools.
    (b) Each multipurpose passenger vehicle, truck and bus whose overall 
width is less than 80 inches, whose GVWR is 10,000 pounds or less, whose 
vertical centerline, when the vehicle is viewed from the rear, is not 
located on a fixed body panel but separates one or two movable body 
sections, such as doors, which lacks sufficient space to install a 
single high-mounted stop lamp on the centerline above such body 
sections, and which is manufactured on or after September 1, 1993, shall 
have two high-mounted stop lamps which:
    (1) Are identical in size and shape and have an effective projected 
luminous area not less than 2\1/4\ inches each.
    (2) Together have a signal to the rear visible as specified in 
paragraph (a)(2) of this S5.1.1.27.
    (3) Together have the minimum photometric values specified in 
paragraph (a)(3) of this S5.1.1.27.
    (4) Shall provide access for convenient replacement of the bulbs 
without special tools.
    S5.1.1.28 A multipurpose passenger vehicle, truck, or bus, whose 
overall width is less than 80 inches, and whose GVWR is 10,000 pounds or 
less, that is manufactured between September 1, 1992 and September 1, 
1993, may be equipped with a high-mounted stop lamp or, in the case of 
vehicles subject to S5.1.1.27(b), two high-mounted stop lamps, that 
conform to S5.1.1.27 and S5.3.1.8.
    S5.1.1.29  A trailer equipped with a conspicuity treatment in 
conformance with paragraph S5.7 of this standard need not be equipped 
with the reflex reflectors required by Table I of this standard if the 
conspicuity material is placed at the locations of the reflex reflectors 
required by Table I.
    S5.1.2  Plastic materials used for optical parts such as lenses and 
reflectors shall conform to SAE Recommended Practice J576 JUL91, except 
that:
    (a) Plastic lenses (other than those incorporating reflex 
reflectors) used for inner lenses or those covered by another material 
and not exposed directly to sunlight shall meet the requirements of 
paragraphs 3.3 and 4.2 of SAE J576 JUL91 when covered by the outer lens 
or other material;
    (b) After the outdoor exposure test, the haze and loss of surface 
luster of plastic materials (other than those incorporating reflex 
reflectors) used for outer lenses shall not be greater than 30 percent 
haze as measured by ASTM D 1003-92, Haze and Luminous Transmittance of 
Transparent Plastic;
    (c) After the outdoor exposure test, plastic materials used for 
reflex reflectors and for lenses used in front of reflex reflectors 
shall not show surface deterioration, crazing, dimensional changes, 
color bleeding, delamination, loss of surface luster, or haze that 
exceeds 7 percent as measured under ASTM D 1003-92.
    (d) The thickness of the test specimens specified in paragraph 3.2.2 
of SAE J576 JUL91 may vary by as much as 0.25 mm.
    (e) After exposure to the heat test as specified in subparagraph (f) 
of this paragraph, and after cooling to room ambient temperature, a test 
specimen shall show no change in shape and general appearance 
discernable to the naked eye when compared with an unexposed specimen. 
The trichromatic coefficients of the samples shall conform to the 
requirements of SAE J578c, Color Specification for Electric Signal 
Lighting Devices, February 1977.
    (f) Two samples of each thickness of each plastic material are used 
in the heat test. Each sample is supported at the bottom, with at least 
51 mm. of the sample above the support, in the vertical position in such 
a manner

[[Page 231]]

that, on each side, the minimum uninterrupted area of exposed surface is 
not less than 3225 sq. mm. The samples are placed for two hours in a 
circulating air oven at 79  3 degrees C.
    (g) All outdoor exposure tests shall be 3 years in duration, whether 
the material is exposed or protected. Accelerated weathering procedures 
are not permitted.
    S5.1.3  No additional lamp, reflective device or other motor vehicle 
equipment shall be installed that impairs the effectiveness of lighting 
equipment required by this standard.
    S5.1.4  Each school bus shall be equipped with a system of either:
    (a) Four red signal lamps designed to conform to SAE Standard J887, 
School Bus Red Signal Lamps, July 1964, and installed in accordance with 
that standard; or
    (b) Four red signal lamps designed to conform to SAE Standard J887, 
School Bus Red Signal Lamps, July 1964, and four amber signal lamps 
designed to conform to that standard, except for their color, and except 
that their candlepower shall be at least 2\1/2\ times that specified for 
red signal lamps. Both red and amber lamps shall be installed in 
accordance with SAE Standard J887, except that:
    (i) Each amber signal lamp shall be located near each red signal 
lamp, at the same level, but closer to the vertical centerline of the 
bus; and
    (ii) The system shall be wired so that the amber signal lamps are 
activated only by manual or foot operation, and if activated, are 
automatically deactivated and the red signal lamps automatically 
activated when the bus entrance door is opened.
    S5.1.5  The color in all lamps, reflective devices, and associated 
equipment to which this standard applies shall comply with SAE Standard 
J578c, Color Specification for Electric Signal Lighting Devices, 
February 1977.
    S5.2  Other requirements.
    S5.2.1  The words ``it is recommended that,'' ``recommendations,'' 
or ``should be'' appearing in any SAE Standard or Recommended Practice 
referenced or subreferenced in this standard shall be read as setting 
forth mandatory requirements, except that the aiming pads on the lens 
face and the black area surrounding the signal lamp recommended in SAE 
Standard J887, School Bus Red Signal Lamps, July 1964, are not required.
    S5.2.2  The words ``Type 1 (5\3/4\"),'' ``Type 2 (5\3/4\"),'' ``Type 
2 (7"),'' ``Type 1A,'' ``Type 2A,'' and ``Type 2B'' appearing in any SAE 
Standard or Recommended Practice referenced or subreferenced in this 
standard shall also be read as setting forth requirements respectively 
for the following types of headlamps: 1C1, 2C1, 2D1, 1A1, 2A1, and 2B1.
    S5.3  Location of required equipment.
    S5.3.1  Except as provided in succeeding paragraphs of S5.3.1, and 
paragraphs S5.7 and S7, each lamp, reflective device, and item of 
associated equipment shall be securely mounted on a rigid part of the 
vehicle other than glazing that is not designed to be removed except for 
repair, in accordance with the requirements of Table I and Table III, as 
applicable, and in the location specified in Table II (multipurpose 
passenger vehicles, trucks, trailers, and buses 80 or more inches in 
overall width) or Table IV (all passenger cars, and motorcycles, and 
multipurpose passenger vehicles, truck, trailers and buses less than 80 
inches in overall width), as applicable.
    S5.3.1.1  Except as provided in S5.3.1.1.1, each lamp and reflective 
device shall be located so that it meets the visibility requirements 
specified in any applicable SAE Standard or Recommended Practice. In 
addition, no part of the vehicle shall prevent a parking lamp, taillamp, 
stop lamp, turn signal lamp, or backup lamp from meeting its photometric 
output at any applicable group of test points specified in Figures 1c 
and 2, or prevent any other lamp from meeting the photometric output at 
any test point specified in any applicable SAE Standard or Recommended 
Practice. However, if motor vehicle equipment (e.g., mirrors, snow 
plows, wrecker booms, backhoes, and winches) prevents compliance with 
this paragraph by any required lamp or reflective devices, an auxiliary 
lamp or device meeting the requirements of this paragraph shall be 
provided.
    S5.3.1.1.1  Clearance lamps may be located at a location other than 
on the front and rear if necessary to indicate

[[Page 232]]

the overall width of a vehicle, or for protection from damage during 
normal operation of the vehicle, and at such a location they need not 
meet the photometric output at any test point that is 45 degrees 
inboard.
    S5.3.1.2  On a truck tractor, the red rear reflex reflectors may be 
mounted on the back of the cab, at a minimum height not less than 4 
inches above the height of the rear tires.
    S5.3.1.3  On a trailer, the amber front side reflex reflectors and 
amber front side marker lamps may be located as far forward as 
practicable exclusive of the trailer tongue.
    S5.3.1.4  When the rear identification lamps are mounted at the 
extreme height of a vehicle, rear clearance lamps need not meet the 
requirement of Table II that they be located as close as practicable to 
the top of the vehicle.
    S5.3.1.5  The center of the lens referred to in SAE Standard J593c, 
Backup Lamps, February 1968, is the optical center.
    S5.3.1.6  On a truck tractor, clearance lamps mounted on the cab may 
be located to indicate the width of the cab, rather than the overall 
width of the vehicle.
    S5.3.1.7  On a motor vehicle on which the front turn signal lamp is 
less than 100 mm from the lighted edge of a lower beam headlamp, as 
measured from the optical center of the turn signal lamp, the multiplier 
applied to obtain the required minimum luminous intensities shall be 
2.5.
    S5.3.1.8 (a) Each high-mounted stop lamp installed in or on a 
vehicle subject to S5.1.1.27(a) shall be located as follows:
    (1) With its center at any place on the vertical centerline of the 
vehicle, including the glazing, as the vehicle is viewed from the rear.
    (2) If the lamp is mounted below the rear window, no portion of the 
lens shall be lower than 6 inches below the rear window on convertibles, 
or 3 inches on other passenger cars.
    (3) If the lamp is mounted inside the vehicle, means shall be 
provided to minimize reflections from the light of the lamp upon the 
rear window glazing that might be visible to the driver when viewed 
directly, or indirectly in the rearview mirror.
    (b) The high-mounted stop lamps installed in or on a vehicle subject 
to S5.1.1.27(b) shall be located at the same height, with one vertical 
edge of each lamp on the vertical edge of the body section nearest the 
vertical centerline.
    S5.4  Equipment combinations. Two or more lamps, reflective devices, 
or items of associated equipment may be combined if the requirements for 
each lamp, reflective device, and item of associated equipment are met, 
with the following exceptions:
    (a) No high-mounted stop lamp shall be combined with any other lamp 
or reflective device, other than with a cargo lamp.
    (b) No high-mounted stop lamp shall be combined optically, as 
defined by SAE Information Report J387 Terminology--Motor Vehicle 
Lighting NOV87, with any cargo lamp.
    (c) No clearance lamp shall be combined optically, as defined by SAE 
Information Report J387 Terminology--Motor Vehicle Lighting NOV87, with 
any taillamp.
    S5.5  Special wiring requirements.
    S.5.5.1  Each vehicle shall have a means of switching between lower 
and upper beams that conforms to SAE Recommended Practice J564a Headlamp 
Beam Switching, April 1964 or to SAE Recommended Practice J565b, Semi-
Automatic Headlamp Beam Switching Devices, February 1969. Except as 
provided in S5.5.8, the lower and upper beams shall not be energized 
simultaneously except momentarily for temporary signalling purposes or 
during switching between beams.
    S5.5.2  Each vehicle shall have a means for indicating to the driver 
when the upper beams of the headlamps are on that conforms to SAE 
Recommended Practice J564a, April 1964, except that the signal color 
need not be red.
    S5.5.3 The taillamps on each vehicle shall be activated when the 
headlamps are activated in a steady-burning state, but need not be 
activated if the headlamps are activated at less than full intensity as 
permitted by paragraph S5.5.11(a).
    S5.5.4  The stop lamps on each vehicle shall be activated upon 
application of the service brakes. The high-mounted stop lamp on each 
vehicle shall be

[[Page 233]]

activated only upon application of the service brakes.
    S5.5.5  The vehicular hazard warning signal operating unit on each 
vehicle shall operate independently of the ignition or equivalent 
switch, and when activated, shall cause to flash simultaneously 
sufficient turn signal lamps to meet, as a minimum, the turn signal lamp 
photometric requirements of this standard.
    S5.5.6  Each vehicle equipped with a turn signal operating unit 
shall also have an illuminated pilot indicator. Failure of one or more 
turn signal lamps to operate shall be indicated in accordance with SAE 
Standard J588e, Turn Signal Lamps, September 1970, except when a 
variable-load turn signal flasher is used on a truck, bus, or 
multipurpose passenger vehicle 80 or more inches in overall width, on a 
truck that is capable of accommodating a slide-in camper, or on any 
vehicle equipped to tow trailers.
    S5.5.7  On each passenger car and motorcycle, and on each 
multipurpose passenger vehicle, truck, and bus of less than 80 inches 
overall width:
    (a) When the parking lamps are activated, the taillamps, license 
plate lamps, and side marker lamps shall also be activated; and
    (b) When the headlamps are activated in a steady-burning state, the 
tail lamps, parking lamps, license plate lamps and side marker lamps 
shall also be activated.
    S5.5.8  On a motor vehicle equipped with a headlighting system 
designed to conform to the photometric requirements of Figure 15-1 or 
Figure 15-2, the lamps marked ``L'' or ``LF'' may be wired to remain 
permanently activated when the lamps marked ``U'' or ``UF'' are 
activated. On a motor vehicle equipped with an Integral Beam 
headlighting system meeting the photometric requirements of paragraph 
S7.4(a)(1)(ii), the lower beam headlamps shall be wired to remain 
permanently activated when the upper beam headlamps are activated. On a 
motor vehicle equipped with a headlighting system designed to conform to 
the requirements of Figure 17-1 or Figure 17-2, a lower beam light 
source may be wired to remain activated when an upper beam light source 
is activated if the lower beam light source contributes to compliance of 
the headlighting system with the upper beam requirements of Figure 17-1 
or Figure 17-2.
    S5.5.9 Except as provided in section S5.5.8, the wiring harness or 
connector assembly of each headlamp system shall be designed so that 
only those light sources intended for meeting lower beam photometrics 
are energized when the beam selector switch is in the lower beam 
position, and that only those light sources intended for meeting upper 
beam photometrics are energized when the beam selector switch is in the 
upper beam position.
    S5.5.10  The wiring requirements for lighting equipment in use are:
    (a) Turn signal lamps, hazard warning signal lamps, and school bus 
warning lamps shall be wired to flash;
    (b) Headlamps and side marker lamps may be wired to flash for 
signaling purposes;
    (c) A motorcycle headlamp may be wired to allow either its upper 
beam or its lower beam, but not both, to modulate from a higher 
intensity to a lower intensity in accordance with section S5.6;
    (d) All other lamps shall be wired to be steady-burning.
    S5.5.11(a) Any pair of lamps on the front of a passenger car, 
multipurpose passenger vehicle, truck, or bus, whether or not required 
by this standard, other than parking lamps or fog lamps, may be wired to 
be automatically activated, as determined by the manufacturer of the 
vehicle, in a steady burning state as daytime running lamps (DRLs) and 
to be automatically deactivated when the headlamp control is in any 
``on'' position, and as otherwise determined by the manufacturer of the 
vehicle, provided that each such lamp:
    (1) Has a luminous intensity not less than 500 candela at test point 
H-V, nor more than 3,000 candela at any location in the beam, when 
tested in accordance with Section S11 of this standard, unless it is:
    (i) A lower beam headlamp intended to operate as a DRL at full 
voltage, or at a voltage lower than used to operate it as a lower beam 
headlamp; or

[[Page 234]]

    (ii) An upper beam headlamp intended to operate as a DRL, whose 
luminous intensity at test point H-V is not more than 7,000 candela, and 
which is mounted not higher than 864 mm above the road surface as 
measured from the center of the lamp with the vehicle at curb weight;
    (2) Is permanently marked ``DRL'' on its lens in letters not less 
than 3 mm high, unless it is optically combined with a headlamp;
    (3) Is designed to provide the same color as the other lamp in the 
pair, and that is one of the following colors as defined in SAE Standard 
J578 MAY88: White, white to yellow, white to selective yellow, selective 
yellow, or yellow;
    (4) If not optically combined with a turn signal lamp, is located so 
that the distance from its lighted edge to the optical center of the 
nearest turn signal lamp is not less than 100 mm, unless:
    (i) The luminous intensity of the DRL is not more than 2,600 candela 
at any location in the beam and the turn signal meets the requirements 
of S5.3.1.7; or
    (ii) (For a passenger car, multipurpose passenger vehicle, truck, or 
bus that is manufactured before October 1, 1995, and which uses an upper 
beam headlamp as a DRL as specified in paragraph S5.5.11(a)(1)(ii)) the 
luminous intensity of the DRL is greater than 2,600 candela at any 
location in the beam and the turn signal lamp meets the requirements of 
S5.3.1.7; or
    (iii) The DRL is optically combined with a lower beam headlamp and 
the turn signal lamp meets the requirements of S5.3.1.7; or
    (iv) The DRL is deactivated when the turn signal or hazard warning 
signal lamp is activated.
    (5) If optically combined with a turn signal lamp, is automatically 
deactivated as a DRL when the turn signal lamp or hazard warning lamp is 
activated, and automatically reactivated as a DRL when the turn signal 
lamp or hazard warning lamp is deactivated.
    (b) Any pair of lamps that are not required by this standard and are 
not optically combined with any lamps that are required by this 
standard, and which are used as DRLs to fulfill the specifications of 
S5.5.11(a), shall be mounted at the same height, which shall be not more 
than 1.067 m above the road surface measured from the center of the lamp 
on the vehicle at curb weight, and shall be symmetrically disposed about 
the vertical centerline of the vehicle.
    S5.6  [Reserved]
    S5.7  Conspicuity Systems. Each trailer of 80 or more inches overall 
width, and with a GVWR over 10,000 lbs., manufactured on or after 
December 1, 1993, except a trailer designed exclusively for living or 
office use, and each truck tractor manufactured on or after July 1, 
1997, shall be equipped with either retroreflective sheeting that meets 
the requirements of S5.7.1, reflex reflectors that meet the requirements 
of S5.7.2, or a combination of retroreflective sheeting and reflex 
reflectors that meet the requirement of S5.7.3.
    S5.7.1  Retroreflective sheeting. Each trailer or truck tractor to 
which S5.7 applies that does not conform to S5.7.2 or S5.7.3 shall be 
equipped with retroreflective sheeting that conforms to the requirements 
specified in S5.7.1.1 through S5.7.1.5.
    S5.7.1.1  Construction. Retroreflective sheeting shall consist of a 
smooth, flat, transparent exterior film with retroreflective elements 
embedded or suspended beneath the film so as to form a non-exposed 
retroreflective optical system.
    S5.7.1.2  Performance requirements. Retroreflective sheeting shall 
meet the requirements of ASTM D 4956-90, Standard Specification for 
Retroreflective Sheeting for Traffic Control, for Type V Sheeting, 
except for the photometric requirements, and shall meet the minimum 
photometric performance requirements specified in Figure 29.
    S5.7.1.3  Sheeting pattern, dimensions, and relative coefficients of 
retroreflection.
    (a) Retroreflective sheeting shall be applied in a pattern of 
alternating white and red color segments to the sides and rear of each 
trailer, and to the rear of each truck tractor, and in white to the 
upper rear corners of each trailer and truck tractor, in the locations 
specified in S5.7.1.4, and Figures 30-1 through 30-4, or Figure 31, as 
appropriate.
    (b) Except for a segment that is trimmed to clear obstructions, or

[[Page 235]]

lengthened to provide red sheeting near red lamps, each white or red 
segment shall have a length of 300 mm plus-minus 150 mm.
    (c) Neither white nor red sheeting shall represent more than two 
thirds of the aggregate of any continuous strip marking the width of a 
trailer, or any continuous or broken strip marking its length.
    (d) Retroreflective sheeting shall have a width of not less than 50 
mm (Grade DOT-C2), 75 mm (Grade DOT-C3), or 100 mm (Grade DOT-C4).
    (e) The coefficients for retroreflection of each segment of red or 
white sheeting shall be not less than the minimum values specified in 
Figure 29 of this standard for grades DOT-C2, DOT-C3, and DOT-C4.
    S5.7.1.4 Location. (a) Retroreflective sheeting shall be applied to 
each trailer and truck tractor as specified below, but need not be 
applied to discontinuous surfaces such as outside ribs, stake post 
pickets on platform trailers, and external protruding beams, or to items 
of equipment such as door hinges and lamp bodies on trailers and body 
joints, stiffening beads, drip rails and rolled surfaces on truck 
tractors.
    (b) The edge of white sheeting shall not be located closer than 75 
mm to the edge of the luminous lens area of any red or amber lamp that 
is required by this standard.
    (c) The edge of red sheeting shall not be located closer than 75 mm 
to the edge of the luminous lens area of any amber lamp that is required 
by this standard.
    S5.7.1.4.1  Rear of trailers. Retroreflective sheeting shall be 
applied to the rear of each trailer as follows, except that Element 2 is 
not required for container chassis or for platform trailers without 
bulkheads, and Element 3 is not required for trailers without underride 
protection devices:
    (a) Element 1: A strip of sheeting, as horizontal as practicable, in 
alternating colors across the full width of the trailer, as close to the 
extreme edges as practicable, and as close as practicable to not less 
than 375 mm and not more than 1525 mm above the road surface at the 
stripe centerline with the trailer at curb weight.
    (b) Element 2: Two pairs of white strips of sheeting, each pair 
consisting of strips 300 mm long of grade DOT-C2, DOT-C3, or DOT-C4, 
applied horizontally and vertically to the right and left upper contours 
of the body, as viewed from the rear, as close to the top of the trailer 
and as far apart as practicable. If the perimeter of the body, as viewed 
from the rear, is other than rectangular, the strips may be applied 
along the perimeter, as close as practicable to the uppermost and 
outermost areas of the rear of the body on the left and right sides.
    (c) Element 3: A strip of sheeting in alternating colors across the 
full width of the horizontal member of the rear underride protection 
device. Grade DOT-C2 material not less than 38 mm wide may be used.
    S5.7.1.4.2  Side of trailers. Retroreflective sheeting shall be 
applied to each side of a trailer as follows:
    (a) A strip of sheeting, as horizontal as practicable, in 
alternating colors, originating and terminating as close to the front 
and rear as practicable, as close as practicable to not less than 375 mm 
and not more than 1525 mm above the road surface at the stripe 
centerline with the trailer at curb weight, except that at the location 
chosen the strip shall not be obscured in whole or in part by other 
motor vehicle equipment or trailer cargo. The strip need not be 
continuous as long as not less than half of the length of the trailer is 
covered and the spaces are distributed as evenly as practicable.
    (b) If necessary to clear rivet heads or other similar obstructions, 
grade DOT-C2 retroreflective sheeting may be separated into two 25 mm 
wide strips of the same length and color, separated by a space of not 
more than 25 mm, and used in place of the retroreflective sheeting that 
would otherwise be applied.
    S5.7.1.4.3 Rear of truck tractors. Retroreflective sheeting shall be 
applied to the rear of each truck tractor as follows:
    (a) Element 1: Two strips of sheeting in alternating colors, each 
not less than 600 mm long, located as close as practicable to the edges 
of the rear fenders, mudflaps, or the mudflap support brackets, to mark 
the width of the truck tractor. The strips shall be

[[Page 236]]

mounted as horizontal as practicable, in a vertical plane facing the 
rear, on the rear fenders, on the mudflap support brackets, on plates 
attached to the mudflap support brackets, or on the mudflaps. Strips on 
mudflaps shall be mounted not lower than 300 mm below the upper 
horizontal edge of the mudflap. If the vehicle is certified with 
temporary mudflap support brackets, the strips shall be mounted on the 
mudflaps or on plates transferable to permanent mudflap support 
brackets. For a truck tractor without mudflaps, the strips may be 
mounted outboard of the frame on brackets behind the rear axle or on 
brackets ahead of the rear axle and above the top of the tires at 
unladen vehicle height, or they may be mounted directly or indirectly to 
the back of the cab as close to the outer edges as practicable, above 
the top of the tires, and not more than 1525 mm above the road surface 
at unladen vehicle height. If the strips are mounted on the back of the 
cab, no more than 25 percent of their cumulative area may be obscured by 
vehicle equipment as determined in a rear orthogonal view.
    (b) Element 2: Two pairs of white strips of sheeting, each pair 
consisting of strips 300 mm long, applied as horizontally and vertically 
as practicable, to the right and left upper contours of the cab, as 
close to the top of the cab and as far apart as practicable. No more 
than 25 percent of their cumulative area may be obscured by vehicle 
equipment as determined in a rear orthogonal view. If one pair must be 
relocated to avoid obscuration by vehicle equipment, the other pair may 
be relocated in order to be mounted symmetrically. If the rear window is 
so large as to occupy all the practicable space, the material may be 
attached to the edge of the window itself.
    S5.7.1.5  Certification. The letters DOT-C2, DOT-C3, or DOT-C4, as 
appropriate, constituting a certification that the retroreflective 
sheeting conforms to the requirements of S5.7.1.2, shall appear at least 
once on the exposed surface of each white or red segment of 
retroreflective sheeting, and at least once every 300 mm on 
retroreflective sheeting that is white only. The characters shall be not 
less than 3 mm high, and shall be permanently stamped, etched, molded, 
or printed in indelible ink.
    S5.7.2  Reflex Reflectors. Each trailer or truck tractor to which 
S5.7 applies that does not conform to S5.7.1 or S5.7.3 shall be equipped 
with reflex reflectors in accordance with this section.
    S5.7.2.1  (a) Each reflex reflector shall conform to SAE Standard 
J594f, Reflex Reflectors, January 1977.
    (b) Each red reflex reflector shall also provide, at an observation 
angle of 0.2 degree, not less than 300 millicandelas/lux at any light 
entrance angle between 30 degrees left and 30 degrees right, including 
an entrance angle of 0 degree, and not less than 75 millicandelas/lux at 
any light entrance angle between 45 degrees left and 45 degrees right.
    (c) Each white reflex reflector shall also provide at an observation 
angle of 0.2 degree, not less than 1250 millicandelas/lux at any light 
entrance angle between 30 degrees left and 30 degrees right, including 
an entrance angle of 0 degree, and not less than 300 millicandelas/lux 
at any light entrance angle between 45 degrees left and 45 degrees 
right.
    (d) A white reflex reflector complying with S5.7.2.1(a) and (c) when 
tested in a horizontal orientation may be installed in all orientations 
specified for rear upper locations in S5.7.1.4.1(b) or S5.7.1.4.3(b) if, 
when tested in a vertical orientation, it provides an observation angle 
of 0.2 degree not less than 1680 millicandelas/lux at a light entrance 
angle of 0 degree, not less than 1120 millicandelas/lux at any light 
entrance angle from 10 degrees down to 10 degrees up, and not less than 
560 millicandelas/lux at any light entrance angle from 20 degrees right 
to 20 degrees left.
    S5.7.2.2  Reflex reflectors shall be installed and located as 
specified below:
    (a) In the same locations and in the same length in which 
retroreflective sheeting is required by S5.7.1.4 to be applied in 
alternating colors, reflex reflectors shall be installed in a repetitive 
pattern of two or three white reflex reflectors alternating with two or 
three red reflex reflectors, with the center of each reflector not more 
than

[[Page 237]]

100 mm from the center of each adjacent reflector.
    (b) In the same locations and in the same length in which white 
retroreflective sheeting is required by S5.7.1.4 to be installed, white 
reflex reflectors shall be installed, with the center of each white 
reflex reflector not more than 100 mm from the center of each adjacent 
reflector.
    S5.7.2.3  Certification. The exposed surface of each reflex 
reflector shall be marked with the letters DOT-C which constitutes a 
certification that the reflector conforms to all applicable requirements 
of Sec. 571.108 of this part. The certification shall be not less than 3 
mm high, and permanently stamped, etched, molded or printed in indelible 
ink.
    S5.7.3  Combination of sheeting and reflectors. Each trailer or 
truck tractor to which S5.7 applies that does not conform to S5.7.1 or 
S5.7.2, shall be equipped with retroreflective materials that meet the 
requirements of S5.7.1 except that reflex reflectors that meet the 
requirements of S5.7.2.1, and that are installed in accordance with 
S5.7.2.2, may be used instead of any corresponding element of 
retroreflective sheeting located as required by S5.7.1.4.
    S5.8  Replacement Equipment.
    S5.8.1  Except as provided below, each lamp, reflective device, or 
item of associated equipment manufactured to replace any lamp, 
reflective device, or item of associated equipment on any vehicle to 
which this standard applies, shall be designed to conform to this 
standard.
    S5.8.2  A Type C replacement headlamp designed to conform to the 
requirements of paragraph S7.3.2(a) through (d) of this standard may be 
marked ``1'' and ``2'' rather than ``1C1'' and ``2C1'' respectively. A 
Type D replacement headlamp designed to conform to S7.3.2(a) through (c) 
and S7.3.5(b) of this standard may be marked ``TOP'' or ``2'' rather 
than ``2D1''.
    S5.8.3  (a) Each stop lamp manufactured to replace a stop lamp that 
was designed to conform to SAE Standard J586b, Stop Lamps, June 1966, 
may also be designed to conform to J586b. It shall meet the photometric 
minimum candlepower requirements for Class A red turn signal lamps 
specified in SAE Standard J575d, Test for Motor Vehicle Lighting Devices 
and Components, August 1967. Each such lamp manufactured for use on a 
passenger car and on a multipurpose passenger vehicle, truck, trailer or 
bus less than 80 inches in overall width shall have an effective 
projected luminous area not less than 3\1/2\ square inches. If multiple 
compartment lamps or multiple lamps are used, the effective projected 
luminous area of each compartment or lamp shall be not less than 3\1/2\ 
square inches; however, the photometric requirements may be met by a 
combination of compartments or lamps.
    (b) Each stop lamp manufactured to replace a stop lamp that was 
designed to conform to SAE Standard J586c, Stop Lamps, August 1970, may 
also be designed to conform to J586c.
    S5.8.4  (a) Each turn signal lamp manufactured to replace a turn 
signal lamp that was designed to conform to SAE Standard J588d, Turn 
Signal Lamps, June 1966, may also be designed to conform to J588d, and 
shall meet the photometric minimum candlepower requirements for Class A 
turn signal lamps specified in SAE Standard J575d, Tests for Motor 
Vehicle Lighting Devices and Components, August 1967. Each such lamp 
manufactured for use on a passenger car and on a multipurpose passenger 
vehicle, truck, trailer or bus less than 80 inches in overall width 
shall have an effective projected luminous area not less than 3\1/2\ 
square inches. If multiple compartment lamps or multiple lamps are used, 
the effective projected luminous area of each compartment or lamp shall 
be not less than 3\1/2\ square inches; however, the photometric 
requirements may be met by a combination of compartments or lamps. Each 
such lamp manufactured for use on a multipurpose passenger vehicle, 
truck, trailer or bus 80 inches or more in overall width shall have an 
effective projected luminous area not less than 12 square inches.
    (b) Each turn signal lamp manufactured to replace a turn signal lamp 
that was designed to conform to SAE Standard J588e, Turn Signal Lamps, 
September 1970, may also be designed to conform to SAE Standard J588e.

[[Page 238]]

    S5.8.5  Note 6 of Table 1 of SAE Standard J588e does not apply.
    S5.8.6. Instead of the photometric values specified in SAE Standards 
J586c and J588e, a stop lamp manufactured to replace a stop lamp 
designed to conform to SAE Standard J586c, or a turn signal lamp 
manufactured to replace a turn signal lamp designed to conform to SAE 
Standard J588e, shall meet the minimum percentage specified in Figure 1a 
of the corresponding minimum allowable value specified in Figure 1b. The 
maximum candlepower output of each such stop lamp or turn signal lamp 
shall not exceed that prescribed in Figure 1b. If the sum of the 
percentages of the minimum candlepower measured at the test points is 
not less than that specified for each group listed in Figure 1c, a stop 
lamp or turn signal lamp is not required to meet the minimum photometric 
value at each test point specified in SAE Standards J586c and J588e, 
respectively.
    S5.8.7  Note 6 of Table 1 in SAE Standard J588e, Turn Signal Lamps, 
September 1970, does not apply.
    S5.8.8  Each taillamp manufactured to replace a taillamp designed to 
conform to SAE Standard J585d, Tail Lamps, August 1970, may also be 
designed to conform to J585d.
    S5.8.9  Each turn signal lamp manufactured to replace a turn signal 
lamp (on a motorcycle) that was designed to conform to SAE Standard 
J588d, Turn Signal Lamps, June 1966, may also be designed to conform to 
J588d.
    S5.8.10  Unless otherwise specified in this standard, each lamp, 
reflective device, or item of associated equipment to which paragraph 
S5.8.1 applies may be labeled with the symbol DOT, which shall 
constitute a certification that it conforms to applicable Federal motor 
vehicle safety standards.
    S5.8.11  A replacement lens for a replaceable bulb headlamp or an 
integral beam headlamp that is not required to have a bonded lens shall 
be provided with a replacement seal in a package that includes 
instructions for the removal and replacement of the lens, the cleaning 
of the reflector, and the sealing of the replacement lens to the 
reflector assembly.
    S6.  Subreferenced SAE Standards and Recommended Practices
    S6.1  SAE Standards and Recommended Practices subreferenced by the 
SAE Standards and Recommended Practices included in Tables I and III and 
paragraphs S5.1.4 and S5.5.1 are those published in the 1970 edition of 
the SAE Handbook, except that the SAE standard referred to as ``J575'' 
is J575e, Tests for Motor Vehicle Lighting Devices and Components, 
August 1970, for stoplamps designed to conform to SAE Standards J586c, 
J586 FEB84, and J1398 MAY85; for taillamps designed to conform to SAE 
Standards J585d and J585e; for turn signal lamps designed to conform to 
SAE Standards J588e, J588 NOV84, and J1395 APR85; and for high-mounted 
stoplamps designed to conform to SAE Recommended Practice J186a. The 
reference in J585e to J256 does not apply. For headlamps other than 
motorcycle headlamps, unless otherwise specified in this standard, the 
version of SAE Standard J575 is DEC88, and the version of SAE Standard 
J602 is OCT80.The definition of ``optically combined'' in SAE 
Information Report J387 Terminology--Motor Vehicle Lighting NOV87, 
applies to that term as used in J586c and J588e.
    S6.2  Requirements of SAE Standards incorporated by reference in 
this standard, other than J576b and J576c, do not include test for 
warpage of devices with plastic lenses.
    S6.3  The term ``effective projected luminous lens area'' has the 
same meaning as the term ``functional lighted lens area'' in any SAE 
Standard or Recommended Practice incorporated by reference or by 
subreference in this standard.
    S7.  Headlighting requirements.
    S7.1  Each passenger car, multipurpose passenger vehicle, truck, and 
bus manufactured on or after September 1, 1994, shall be equipped with a 
headlighting system designed to conform to the requirements of S7.3, 
S7.4, S7.5, or S7.6.
    S7.2(a)  The lens of each original and replacement equipment 
headlamp, and of each original equipment and replacement equipment beam 
contributor shall be marked with the symbol ``DOT'' either horizontally 
or vertically which shall constitute the

[[Page 239]]

certification required by 49 U.S.C. 30115.
    (b) The lens of each headlamp and of each beam contributor 
manufactured on or after December 1, 1989, to which paragraph (a) of 
this section applies shall be marked with the name and/or trademark 
registered with the U.S. Patent and Trademark Office of the manufacturer 
of such headlamp or beam contributor, or its importer, or any 
manufacturer of a vehicle equipped with such headlamp or beam 
contributor. Nothing in this paragraph shall be construed to authorize 
the marking of any such name and/or trademark by one who is not the 
owner, unless the owner has consented to it.
    (c) Each headlamp and beam contributor to which paragraph (a) of 
this section applies shall be marked with its voltage and with its part 
or trade number.
    (d) Unless stated otherwise, a tolerance of +/- \1/4\ degree is 
permitted during photometric performance tests for any headlamp or beam 
contributor, and the test points 10U-90U shall be measured from the 
normally exposed surface of the lens face. The term `aiming plane' means 
`aiming reference plane' or an appropriate vertical plane defined by the 
manufacturer as required in S7.7.1.
    (e) Each replacement headlamp lens with seal, provided in accordance 
with S5.8.11, when installed according to the lens manufacturer's 
instructions on an integral beam or replaceable bulb headlamp, shall not 
cause the headlamp to fail to comply with any of the requirements of 
this standard. Each replacement headlamp lens shall be marked with the 
symbol ``DOT'', either horizontally or vertically, to constitute 
certification. Each replacement headlamp lens shall also be marked with 
the manufacturer and the part or trade number of the headlamp for which 
it is intended, and with the name and/or trademark of the lens 
manufacturer or importer that is registered with the U.S. Patent and 
Trademark Office. Nothing in this paragraph shall be construed to 
authorize the marking of any such name and/or trademark by one who is 
not the owner, unless the owner has consented to it.
    S7.3  Sealed beam headlighting system. A sealed beam headlighting 
system shall be designed to meet the requirements of one of the 
following subparagraphs of S7.3.2 through S7.3.9. In references to 
Figures in SAE J1383 APR85 for headlamp dimensional requirements, only 
those dimensions marked ``I'' for interchangeability are applicable.
    S7.3.1  The lens of each sealed beam headlamp designed to conform to 
S7.3.2 through S7.3.6 shall be marked according to paragraph 5.4.3 
through 5.4.5 of SAE Standard J1383 APR85 Performance Requirements for 
Motor Vehicle Headlamps.
    S7.3.2  Type A headlighting system. A Type A headlighting system 
consists of two Type 1A1 and two Type 2A1 headlamps and associated 
hardware, which are designed to conform to the following requirements:
    (a) SAE Standard J1383 APR85 Performance Requirements for Motor 
Vehicle Headlamps, with the following exceptions:
    (1) Paragraphs 1, 2.1.2, 2.8.2, 3, 4.1.1, 4.1.2, 4.1.3, 4.4, 4.6, 
4.8 through 4.18, 5.1.1, 5.1.3, 5.1.5, 5.1.7 through 5.1.16, 5.2.2, 
5.3.5, 5.4.1, 5.4.2, and 6 through 6.4 do not apply.
    (2) In paragraph 5.3.2, the words ``and retaining rings'' are 
omitted.
    (3) In paragraphs 4.5.2 and 5.1.6, the words ``Figure 28-1 or 28-2 
of Motor Vehicle Safety Standard No. 108'' are substituted for ``Table 
3.''
    (b) SAE Standard J580 DEC86 Sealed Beam Headlamp Assembly (except 
paragraphs 3, 4.1.1, 5.1.1.1, 5.1.2.3, and the second sentence of 
5.1.6); in 5.2.1, delete the words ``and retaining rings;'' the correct 
reference is SAE J1383 Figures 6, 9, 12 and 14.
    (c) After a vibration test conducted in accordance with paragraph 
S8.8, there shall be no evidence of loose or broken parts, other than 
filaments, visible without magnification.
    (d) The maximum wattage at 12.8 volts (design voltage): Single 
filament headlamp, 55 watts on the upper beam; dual filament headlamp, 
43 watts on the upper beam and 65 watts on the lower beam.
    S7.3.3  Type B headlighting system. A Type B headlighting system 
consists of two Type 2B1 headlamps and associated

[[Page 240]]

hardware, which are designed to conform to the following requirements:
    (a) The requirements of paragraph S7.3.2 (a) through (c), except 
that the words ``Figure 27-1 or Figure 27-2'' are substituted for 
``Table 3'' in paragraph S7.3.2(a)(3).
    (b) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
the upper beam and 60 watts on the lower beam.
    S7.3.4  Type C headlighting system. A Type C headlighting system 
consists of two Type 1C1 and two Type 2C1 headlamps and associated 
hardware, which are designed to conform to the requirements of paragraph 
S7.3.2 (a) through (d), except that the words ``Figure 28-1 or Figure 
28-2'' are substituted for ``Table 3'' in paragraph S7.3.2(a)(3).
    S7.3.5  Type D headlighting system. (a) A Type D headlighting system 
consists of two Type 2D1 headlamps and associated hardware, which are 
designed to conform to the requirements of paragraph S7.3.2 (a) through 
(c), except that the words ``Figure 27-1 or Figure 27-1'' are 
substituted for ``Table 3'' in paragraph S7.3.2(a)(3).
    (b) The maximum wattage at 12.8 volts (design voltage): 65 watts on 
upper beam, and 55 watts on lower beam.
    S7.3.6  Type E headlighting system. (a) A Type E headlighting system 
consists of two Type 2E1 headlamps and associated hardware, which are 
designed to conform to the requirements of paragraph S7.3.2 (a) through 
(c), except that the words ``Figure 27-1 or Figure 27-1'' are 
substituted for ``Table 3'' in paragraph S7.3.2(a)(3).
    (b) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
upper beam, and 60 watts on lower beam.
    S7.3.7  Type F headlighting system. A Type F headlighting system 
consists of two Type UF and two Type LF headlamps and associated 
hardware, which are designed to conform to the following requirements:
    (a) Figures 11, 12, 13, and 14 as appropriate.
    (b) The photometric requirements of Figure 15-1 or Figure 15-2 of 
this standard. A reaim tolerance of +/- \1/4\ degree is allowed for any 
test point on the Type LF lamp when tested alone, but is not allowed on 
the Type UF lamp when tested alone. For the test point 10U-90U, 
measurement shall be from the normally exposed surface of the lens face.
    (c) SAE Standard J1383 APR85 Performance Requirements for Motor 
Vehicle Headlamps, Sections 2.4, 2.5, 2.6, 4.1, 4.1.4, and 5.1.4.
    (d) When tested in accordance with section (c), the mounted assembly 
(either Type UF or Type LF headlamps, respective mounting ring, aiming 
ring, and aim adjustment mechanism) shall be designed to conform to the 
requirements of Figure 15-1 or Figure 15-2 for upper or lower beams 
respectively without reaim when any conforming Type UF or LF headlamp is 
tested and replaced by another conforming headlamp of the same Type.
    (e) SAE J580 DEC86 Sealed Beam Headlamp Assembly with the following 
exceptions:
    (1) Section 2.2 Mounting Ring reads: ``the adjustable ring upon 
which the sealed beam unit is mounted and which forces the sealed beam 
unit to seat against the aiming ring when assembled into a sealed beam 
assembly.''
    (2) The definition ``2.3 Aiming Ring'' reads: ``The clamping ring 
that retains the sealed beam unit against the mounting ring, and that 
provides an interface between the unit's aiming/seating pads and the 
headlamp aimer adapter (locating plate).''
    (3) Section 4.1.1 Vibration Test does not apply.
    (4) Sections 5.1.1.1 and 5.1.2.3 do not apply.
    (5) Section 5.1.2.1 reads: ``When the headlamp assembly is tested in 
the laboratory, a minimum aiming adjustment of +/- 2.5 degrees shall be 
provided in the horizontal plane and +/- 4 degrees in the vertical 
plane.''
    (6) Section 5.1.2.2 concludes: ``* * * through an angle of +/- 2.5 
degrees and +/- 4 degrees respectively.''
    (7) Section 5.1.6 is retitled ``Retaining Ring/Aiming Ring Tests''. 
The phrase ``92 x 150 mm * * * 0.340 in (8.6 mm)'' is added at the end 
of the table for flange thickness. The sentence beginning ``The 
fastening means'' is deleted.
    (8) Figures 2, 3, and 4 do not apply, and the reference to them in 
section 4.5

[[Page 241]]

is replaced by ``Figure 16, Deflectometer, of Federal Motor Vehicle 
Safety Standard No. 108.''
    (f) A lens for a Type F headlamp incorporating an upper beam shall 
be labeled ``UF.'' A lens for a Type F headlamp incorporating a lower 
beam shall be labeled ``LF''. The face of letters, numbers, or other 
symbols molded on the surface of the lens shall not be raised more than 
0.020 in (0.5 mm), and shall be placed no closer to the geometric center 
of the lens than 1.375 in. (35 mm). The marking shall be molded in the 
lens and shall be not less than \1/4\ in. (6.35 mm) in size.
    (g) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
the upper beam and 60 watts on the lower beam.
    (h) Type F headlamps may be mounted on common or parallel seating 
and aiming planes to permit simultaneous aiming of both headlamps 
provided that when tested with any conforming Type UF and LF headlamps 
according to Section S10:
    (1) The assembly (consisting of the Type UF and LF headlamps, 
mounting rings, the aiming/seating rings, and aim adjustment mechanism) 
shall be designed to conform to the test points of Figure 15-1 or Figure 
15-2.
    (2) There shall be no provision for adjustment between the common or 
parallel aiming and seating planes of the two lamps.
    (i) After a vibration test conducted in accordance with paragraph 
S8.8, the Type F system shall show no evidence of loose or broken parts, 
other than filaments, visible without magnification.
    S7.3.8  Type G headlighting system. A Type G headlamp system 
consists of two Type 1G1 headlamps and two Type 2G1 headlamps each of 
which is designed to conform to the following requirements:
    (a) Figures 18 and 21.
    (b) SAE Standard J1383 APR85 Performance Requirements for Motor 
Vehicle Headlamps (except paragraphs 1, 2.1.2, 2.8.2,3, 4.1.1, 4.1.2, 
4.1.3, 4.4, 4.6, 4.8 through 4.18, 5.1.1, 5.1.3, 5.1.5 through 5.1.16, 
5.2.2, 5.3.5 through 6.4). In paragraph 5.3.2 the words ``and retaining 
rings'' are omitted. In paragraph 4.5.2, the words ``either Figure 28-1, 
or Figure 28-2'' are substituted for ``Table 3''.
    (c) SAE Standard J580 DEC86 Sealed Beam Headlamp Assembly, with the 
following exceptions:
    (1) Sections 2.2, 2.3, 4.1.1, 5.1.1.1, 5.1.2.3, 5.1.6, and 5.2.1.
    (2) Section 4.5 reads: ``Torque Deflection Test. The headlamp 
assembly to be tested shall be mounted in the designed vehicle position 
and set at nominal aim (0.0). A special adapter (Figure 22) for the 
deflectometer (Figure 16) shall be clamped onto the headlamp assembly. A 
torque of 20 in.-lbs (2.25 N-m) shall be applied to the headlamp 
assembly through the deflectometer, and a reading on the thumb wheel 
shall be taken. The torque shall be removed and a second reading on the 
thumb wheel shall be taken.''
    (d) After a vibration test conducted in accordance with paragraph 
S8.8, there shall be no evidence of loose or broken parts, other than 
filaments, visible without magnification.
    (e) The maximum wattage at 12.8 volts (design voltage) for the 1G1 
and 2G1 upper beam is 55 watts and 43 watts respectively; for the 2G1 
lower beam, 65 watts.
    (f) A lens for a Type G headlamp incorporating only part of an upper 
beam shall be labeled ``1G1.'' A lens for a Type G headlamp 
incorporating both part of an upper beam and a lower beam shall be 
labeled ``2G1.'' The face of letters, numbers, or other symbols molded 
on the surface of the lens shall not be raised more than 0.020 in. (0.5 
mm.), and shall be placed no closer to the geometric center of the lens 
than 1.375 in. (35 mm). The marking shall be molded in the lens and 
shall be not less than \1/4\ in. (6.35 mm) in size.
    S7.3.9  Type H headlighting system. A Type H headlamp system 
consisting of two Type 2H1 headlamps and associated hardware, which are 
designed to conform to the following requirements:
    (a) Paragraphs S7.3.8 (a) through (d) except that in paragraph 
S7.3.8(b), the words ``Figure 27-1 or Figure 27-2'' are substituted for 
``Table 3.''
    (b) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
the upper beam and 60 watts on the lower beam.

[[Page 242]]

    (c) A lens for a Type H headlamp incorporating both an upper beam 
and a lower beam shall be labeled ``2H1.'' The face of letters, numbers, 
or other symbols molded on the surface of the lens shall not be raised 
more than 0.020 in. (0.5 mm), and shall be placed no closer to the 
geometric center of the lens than 1.375 in. (35 mm). The marking shall 
be molded in the lens and shall be not less than \1/4\ in. (6.35 mm) in 
size.
    S7.4  Integral Beam Headlighting System. An integral beam 
headlighting system shall be designed to conform to the following 
requirements:
    (a) The system shall provide in total not more than two upper beams 
and two lower beams of the performance described in one of the 
following:
    (1) In a four-headlamp system, each upper beam headlamp and each 
lower beam headlamp shall be designed to conform to the photometrics of 
one of the following:
    (i) Figure 15-1 or Figure 15-2; or
    (ii) Figure 15-1 or Figure 15-2, except that the upper beam test 
value at 2.5 D-V and 2.5D-12R and 12L, shall apply to the lower beam 
headlamp and not to the upper beam headlamp, and the upper beam test 
point value at 1.5D-9R and 9L shall be 1000; or
    (iii) Figure 28-1 or Figure 28-2.
    (2) In a two-headlamp system, each headlamp shall be designed to 
conform to the photometrics of one of the following:
    (i) Figure 17-1 or Figure 17-2; or
    (ii) Figure 27-1 or Figure 27-2.
    (3) In a system in which there is more than one beam contributor 
providing a lower beam, and/or more than one beam contributor providing 
an upper beam, each beam contributor in the system shall be designed to 
meet only the photometric performance requirements of Figure 15-1 or 
Figure 15-2 based upon the following mathematical expression: conforming 
test point value = 2 (Figure 15-1 or Figure 15-2 test point value)/total 
number of lower or upper beam contributors for the vehicle, as 
appropriate. The system shall be designed to use the Vehicle Headlamp 
Aiming Device (VHAD) as specified in paragraph S7.8.5.2.
    (b) The lower and upper beams shall be provided only as follows 
where each headlamp contains two light sources:
    (1) The lower beam shall be provided either by the most outboard 
light source (or the uppermost if arranged vertically), or by all light 
sources.
    (2) The upper beam shall be provided either by the most inboard 
light source (or the lowermost if arranged vertically), or by all light 
sources.
    (c) The lower and upper beams shall be provided only as follows 
where each headlamp contains a single light source:
    (1) The lower beam shall be provided by the most outboard headlamps 
(or the uppermost if arranged vertically), and the lens of each such 
headlamp shall be permanently marked with the letter ``L.''
    (2) The upper beam shall be provided by the most inboard headlamps 
(or lowermost if arranged vertically), and the lens of each such 
headlamp shall be permanently marked with the letter ``U.''
    (d) A headlamp or beam contributor designed to meet paragraphs 
(a)(1) or (a)(3) of this section and S7.8.5.1 may be mounted in an 
assembly to permit simultaneous aiming of the beam(s) contributors, 
provided that with any complying contributor the assembly complete with 
all lamps meets the appropriate photometric requirements when tested in 
accordance with S10.
    (e) Each integral beam headlamp system shall be designed to conform 
to the applicable photometric performance requirements in paragraph (a) 
of this section when tested in accordance with sections 4.1 and 4.1.4 of 
SAE Standard J1383 APR85 with any headlamps intended for use in such 
system. The term ``aiming plane'' means ``aiming reference plane,'' or 
an appropriate vertical plane defined by the manufacturer as required in 
paragraph S7.8.1.
    (f) The system shall be aimable in accordance with the requirements 
of paragraph S7.8. A system that incorporates any headlamp or beam 
contributor that does not have a VHAD as an integral and indivisible 
part of the headlamp or beam contributor shall be designed so that the 
appropriate photometrics are met when any correctly aimed and 
photometrically conforming headlamp or beam contributor

[[Page 243]]

is removed from its mounting and aiming mechanism, and is replaced 
without reaim by any conforming headlamp or beam contributor of the same 
type.
    (g) A headlamp with a glass lens need not meet the abrasion 
resistance test (S8.2). A headlamp with a nonreplaceable glass lens need 
not meet the chemical resistance test (S8.3). A headlamp with a glass 
lens and a non-plastic reflector need not meet the internal heat test of 
paragraph S8.6.2. A headlamp of sealed design as verified in paragraph 
S8.9 (sealing) need not meet the corrosion (S8.4), dust (S8.5), or 
humidity (S8.7) tests; however, the headlamp shall meet the requirements 
of paragraphs 4.1, 4.1.2, 4.4 and 5.1.4 for corrosion and connector of 
SAE Standard J580 DEC86 Sealed Beam Headlamp Assembly. An integral beam 
headlamp may incorporate light sources that are replaceable and are used 
for purposes other than headlighting.
    (h) When tested according to any of the procedures indicated in 
subparagraphs (1) through (7) each headlamp or beam contributor shall 
meet the appropriate requirement:
    (1) After an abrasion test conducted in accordance with paragraph 
S8.2, the headlamp shall meet the photometric requirements applicable to 
the headlamp system under test.
    (2) After the chemical resistance tests of paragraphs S8.3 and 
S8.10.1, the headlamp shall have no surface deterioration, coating 
delamination, fractures, deterioration of bonding or sealing materials, 
color bleeding or color pickup visible without magnification, and the 
headlamp shall meet the photometric requirements applicable to the 
headlamp system under test.
    (3) After a corrosion test conducted in accordance with paragraph 
S8.4, there shall be no evidence of external or internal corrosion or 
rust visible without magnification. After a corrosion test conducted in 
accordance with paragraph S8.10.2, there shall be no evidence of 
corrosion or rust visible without magnification on any part of the 
headlamp reflector that receives light from a headlamp light source, on 
any metal light or heat shield assembly, or on a metal reflector of any 
other lamp not sealed from the headlamp reflector. Loss of adhesion of 
any applied coating shall not occur more than 0.l25 in. (3.2 mm) from 
any sharp edge on the inside or outside. Corrosion may occur on 
terminals only if the current produced during the test of paragraph 
S8.4(c) is not less than 9.7 amperes.
    (4) After a dust test conducted in accordance with paragraph S8.5, 
the headlamp shall meet the photometric requirements applicable to the 
headlamp system under test.
    (5) The headlamp shall first meet the requirements of subparagraph 
(i) and then those of subparagraph (ii).
    (i) After a temperature cycle test conducted in accordance with 
paragraph S8.6.1, the headlamp shall show no evidence of delamination, 
fractures, entry of moisture or deterioration of bonding material, color 
bleeding, warpage or deformation visible without magnification or lens 
warpage greater than .118 in. (3 mm) when measured parallel to the 
optical axis at the point of intersection of the axis of each light 
source with the exterior surface of the lens, and it shall meet the 
photometric requirements applicable to the headlamp system under test.
    (ii) After an internal heat test conducted in accordance with 
paragraph S8.6.2, there shall be no lens warpage greater than .118 in. 
(3 mm) when measured parallel to the optical axis at the point of 
intersection of the axis of each light source with the exterior surface 
of the lens, and it shall meet the photometric requirements applicable 
to the headlamp system under test.
    (6) After a humidity test conducted in accordance with paragraph 
S8.7, the inside of the headlamp shall show no evidence of delamination 
or moisture, fogging or condensation visible without magnification.
    (7) After a vibration test conducted in accordance with paragraph 
S8.8, there shall be no evidence of loose or broken parts, other than 
filaments, visible without magnification.
    (i) An integral beam headlamp may incorporate replaceable light 
sources that are used for purposes other than headlighting.
    S7.5  Replaceable bulb headlamp system. Each replaceable bulb 
headlamp system shall be designed to conform to the following 
requirements:

[[Page 244]]

    (a) The system shall provide only two lower beams and two upper 
beams and shall incorporate not more than two replaceable light sources 
in each headlamp.
    (b) The photometrics as specified in subparagraphs (c) through (e) 
of this paragraph (depicted in Figure 26), using any light source of the 
Type intended for use in such system.
    (c) The test requirements of sections 4.1, 4.1.4, and performance 
requirements of section 5.1.4 of SAE J1383 APR85, using the photometric 
requirements specified in subparagraphs (d) and (e) of this paragraph.
    (d) For a headlamp equipped with dual filament replaceable light 
sources, the following requirements apply:
    (1) Headlamps designed to conform to the external aiming 
requirements of S7.8.5.1 shall have no mechanism that allows adjustment 
of an individual light source, or, if there are two light sources, 
independent adjustments of each reflector.
    (2) The lower and upper beams of a headlamp system consisting of two 
lamps, each containing either one or two replaceable light sources, 
shall be provided as follows:
    (i) The lower beam shall be provided in one of the following ways:
    (A) By the outboard light source (or upper one if arranged 
vertically) designed to conform to:
    (1) The lower beam requirements of Figure 27-1 or Figure 27-2, or 
Figure 17-1 or Figure 17-2, if the light sources in the headlamp system 
are any combination of dual filament replaceable light sources other 
than Type HB2; or
    (2) The lower beam requirements of Figure 17-1 or Figure17-2 if the 
light sources are Type HB2, or any dual filament replaceable light 
sources that include Type HB2; or
    (B) By both light sources in the headlamp, designed to conform to 
the lower beam requirements specified above.
    (ii) The upper beam shall be provided in one of the following ways:
    (A) By the inboard light source (or the lower one if arranged 
vertically) designed to conform to:
    (1) The upper beam requirements of Figure 27-1 or Figure 27-2, or 
Figure 17-1 or Figure 17-2 if the light sources in the headlamp system 
are any combination of dual filament replaceable light sources that 
include Type HB2, or
    (2) The upper beam requirements of figure 17-1 or Figure 17-2 if the 
light sources are type HB2, or any combination of replaceable light 
sources that include Type HB2; or
    (B) By both light sources in the headlamp, designed to conform to 
the upper beam requirements specified above.
    (3) The lower and upper beams of a headlamp system consisting of 
four lamps, each containing a single replaceable light source, shall be 
provided as follows:
    (i) The lower beam shall be provided by the outboard lamp (or the 
upper one if arranged vertically), designed to conform to:
    (A) The lower beam requirements of Figure 27-1 or Figure 27-2, or 
Figure 15-1 or Figure 15-2 if the light sources in the headlamp system 
are any combination of dual filament light sources other than Type HB2; 
or
    (B) The lower beam requirements of Figure 15-1 or Figure 15-2 if the 
light sources are Type HB2, or dual filament light sources other than 
Type HB1 and HB5. The lens of each such headlamp shall be marked with 
the letter ``L''.
    (ii) The upper beam shall be provided by the inboard lamp (or the 
lower one if arranged vertically), designed to conform to:
    (A) The upper beam requirements of Figure 27-1 or Figure 27-2, of 
Figure 15-1 or Figure 15-2 if the light sources in the headlamp system 
are any combination of dual filament light sources other than Type HB2; 
or
    (B) The upper beam requirements of Figure 15-1 or Figure 15-2 if the 
light sources are Type HB2, or dual filament light sources other tha 
Type HB1 and Type HB5. The lens of each such headlamp shall be marked 
with the letter ``u''.
    (e) The following requirements apply to a headlamp system equipped 
with any combination of replaceable light sources except those specified 
in paragraph (d) of this section:
    (1) Headlamps designed to conform to the external aim requirements 
of S7.8.5.1 shall have no mechanism that allows adjustment of an 
individual

[[Page 245]]

light source, or, if there are two replaceable light sources, 
independent adjustment of each reflector.
    (2) The lower and upper beams of a headlamp system consisting of two 
lamps, each containing a combination of two replaceable light sources 
(other than those combinations specified in subparagraph (d) of this 
paragraph) shall be provided only as follows:
    (i) The lower beam shall be provided in one of the following ways:
    (A) By the outboard light source (or the uppermost if arranged 
vertically) designed to conform to the lower beam requirements of Figure 
17-1 or Figure 17-2; or
    (B) By both light sources, designed to conform to the lower beam 
requirements of Figure 17-1 or Figure 17-2.
    (ii) The upper beam shall be provided in one of the following ways:
    (A) By the inboard light source (or the lower one if arranged 
vertically) designed to conform to the upper beam requirements of Figure 
17-1 or Figure 17-2; or
    (B) By both light sources, designed to conform to the upper beam 
requirements of Figure 17-1 or Figure 17-2.
    (3) The lower and upper beams of a headlamp system consisting of 
four lamps, using any combination of replaceable light sources except 
those specified in subparagraph (d) of this paragraph, each lamp 
containing only a single replaceable light source, shall be provided 
only as follows:
    (i) The lower beam shall be produced by the outboard lamp (or upper 
one if arranged vertically), designed to conform to the lower beam 
requirements of Figure 15-1 or Figure 15-2. The lens of each headlamp 
shall be permanently marked with the letter ``L''.
    (ii) The upper beam shall be produced by the inboard lamp (or lower 
one of arranged vertically), designed to conform to the upper beam 
requirements of Figure 15-1 or Figure 15-2. The lens of each headlamp 
shall be permanently marked with the letter ``U''.
    (f) Each lens reflector unit manufactured as replacement equipment 
shall be designed to conform to the requirements of subparagraphs (d) 
and (e) of this paragraph when any replaceable light source appropriate 
for such unit is inserted in it.
    (g) The lens of each replaceable bulb headlamp shall bear permanent 
marking in front of each replaceable light source with which it is 
equipped that states the HB Type, if the light source is designed to 
conform to subparagraphs (a) through (e) of paragraph S7.7, or the bulb 
marking/ designation provided in compliance with Section VIII of 
appendix A of part 564, if the light source is designed to conform to 
subparagraph (g) of paragraph S.7.7 No marking need be provided if the 
only replaceable light source in the headlamp is Type HB1.
    (h) The system shall be aimable in accordance with paragraph S7.8.
    (i) Each headlamp shall meet the requirements of paragraphs S7.4(g) 
and (h), except that the sentence in paragraph (g) to verify sealing 
according to section S8.9 Sealing does not apply.
    (j) A replaceable bulb headlighting system may incorporate 
replaceable light sources that are used for purposes other than 
headlighting.
    S7.6  Combination Headlighting System. A combination headlighting 
system shall be comprised of either two headlamps designed to conform to 
the requirements of S7.6.2, or any combination of four headlamps 
designed to conform to the requirements of S7.3.7, S7.4, or S7.5 of this 
standard.
    S7.6.1  A combination headlighting system shall provide in total not 
more than two upper beams and two lower beams. When installed on a motor 
vehicle, the headlamps (or parts thereof) that provide the lower beam 
shall be of the same type, and provide a symmetrical effective projected 
luminous lens area when illuminated.
    S7.6.2  In a combination headlighting system consisting of two 
headlamps, each headlamp shall be designed to conform to Figure 17-1 or 
Figure 17-2 and shall be a combination of two different headlamps chosen 
from the following types: a Type F headlamp, an integral beam headlamp, 
and a replaceable bulb headlamp.
    S7.6.2.1  That part of the headlamp which contains an integral beam 
headlamp, or beam contributors used in place of a single headlamp, shall 
be designed to conform to the requirements of S7.4 (c) through (h) of 
this standard.

[[Page 246]]

    S7.6.2.2  That part of the headlamp which contains a replaceable 
bulb headlamp shall be designed to conform to the requirements of S7.5 
of this standard.
    S7.6.3  In a combination headlighting system consisting of four 
headlamps, each headlamp shall be designed to conform to Figure 15-1 or 
Figure 15-2, or if an integral beam headlamp in which there is more than 
one beam contributor, designed to conform to Figure 15-1 or Figure 15-2 
in the manner required by S7.4(a)(3) of this standard.
    S7.7  Replaceable light sources. Each replaceable light source shall 
be designed to conform to the dimensions and electrical specifications 
furnished with respect to it pursuant to part 564 of this chapter, and 
shall conform to the following requirements:
    (a) If other than an HB Type, the light source shall be marked with 
the bulb marking designation specified for it in compliance with 
Appendix A or Appendix B of part 564 of this chapter. The base of each 
HB Type shall be marked with its HB Type designation. Each replaceable 
light source shall also be marked with the symbol DOT and with a name or 
trademark in accordance with paragraph S7.2.
    (b) The measurement of maximum power and luminous flux that is 
submitted in compliance with Appendix A or Appendix B of part 564 of 
this chapter shall be made in accordance with this paragraph. The 
filament or discharge arc shall be seasoned before measurement of 
either. Measurement shall be made with the direct current test voltage 
regulated within one quarter of one percent. The test voltage shall be 
12.8v. The measurement of luminous flux shall be in accordance with the 
Illuminating Engineering Society of North America, LM-45, IES Approved 
Method for Electrical and Photometric Measurements of General Service 
Incandescent Filament Lamps (April 1980); shall be made with the black 
cap installed on Type HB1, Type HB2, Type HB4, and Type HB5, and on any 
other replaceable light source so designed; and shall be made with the 
electrical conductor and light source base shrouded with an opaque white 
cover, except for the portion normally located within the interior of 
the lamp housing. The measurement of luminous flux for the Types HB3 and 
HB4 shall be made with the base covered with a white cover as shown in 
the drawings for Types HB3 and HB4 filed in Docket No. NHTSA 98-3397. 
(The white cover is used to eliminate the likelihood of incorrect lumen 
measurement that will occur should the reflectance of the light source 
base and electrical connector be low).
    (c) The capsule, lead wires and/or terminals, and seal on each Type 
HB1, Type HB3, Type HB4, and Type HB5 light source, and on any other 
replaceable light source which uses a seal, shall be installed in a 
pressure chamber as shown in Figure 25 so as to provide an airtight 
seal. The diameter of the aperture in Figure 25 on a replaceable light 
source (other than an HB Type) shall be that dimension furnished for 
such light source in compliance with Appendix A or Appendix B of part 
564 of this chapter. An airtight seal exists when no air bubbles appear 
on the low pressure (connector) side after the light source has been 
immersed in water for one minute while inserted in a cylindrical 
aperture specified for the light source, and subjected to an air 
pressure of 70kPa (10 P.S.I.G.) on the glass capsule side.
    (d) The measurement of maximum power and luminous flux that is 
submitted in compliance with section VII of Appendix A of part 564 of 
this chapter, or section IV of Appendix B of part 564 of this chapter, 
shall be made with the direct current test voltage regulated within one 
quarter of one percent. The test voltage shall be 12.8v. The measurement 
of luminous flux shall be in accordance with the Illuminating 
Engineering Society of North America, LM 45; IES Approved Method for 
Electrical and Photometric Measurements of General Service Incandescent 
Filament Lamps (April 1980). The filament of a replaceable light source 
shall be seasoned before such measurement. The white covers are used to 
eliminate the likelihood of incorrect lumens measurement that will occur 
should the reflectance of the light source base and electrical connector 
be low.
    (1) For a light source with a resistive element type filament, 
seasoning of

[[Page 247]]

the light source shall be made in accordance with section 2.9 of SAE 
Standard J1383 APR85 Performance Requirements for Motor Vehicle 
Headlamps. The measurement of luminous flux shall be made with the black 
cap installed on Type HB1, Type HB2, Type HB4, and Type HB5 light 
sources, and on any other replaceable light source so designed, and 
shall be made with the electrical conductor and light source base 
shrouded with an opaque white colored cover, except for the portion 
normally located within the interior of the lamp housing. The 
measurement of luminous flux for Type HB3 and Type HB4 shall be made 
with the base covered with the white cover shown in the drawings for 
Types HB3 and HB4 filed in Docket No. NHTSA 98-3397.
    (2) For a light source using excited gas mixtures as a filament or 
discharge arc, seasoning of the light source system, including any 
ballast required for its operation, shall be made in accordance with 
section 4.0 of SAE Recommended Practice J2009 FEB93 Discharge Forward 
Lighting Systems. With the test voltage applied to the ballast input 
terminals, the measurement of luminous flux shall be made with the black 
cap installed, if so designed, and shall be made with an opaque white 
colored cover, except for the portion normally located within the 
interior of the lamp housing.
    (e) If a ballast is required for operation, each ballast shall bear 
the following permanent markings:
    (1) Name or logo of ballast manufacturer;
    (2) Ballast part number or unique identification;
    (3) Part number or other unique identification of the light source 
for which the ballast is designed;
    (4) Rated laboratory life of the light source/ballast combination, 
if the information for the light source has been filed in Appendix B of 
part 564 of this chapter;
    (5) A warning that ballast output voltage presents the potential for 
severe electrical shock that could lead to permanent injury or death;
    (6) Ballast output power in watts and output voltage in rms volts AC 
or DC; and
    (7) The symbol `DOT'.''
    (f) For light sources that use excited gas mixtures as a filament or 
discharge arc, the ``rated laboratory life'' shall be determined in 
accordance with sections 4.3 and 4.9 of SAE Recommended Practice J2009 
FEB93 Forward Discharge Lighting Systems.
    (g) After the force deflection test conducted in accordance with S9, 
the permanent deflection of the glass envelope shall not exceed 0.13 mm 
in the direction of the applied force.
    S7.8  Aimability Performance Requirements.
    S7.8.1  (a) Each headlamp or beam contributor that is not visually/
optically aimable in accordance with S7.8.5.3 of this standard shall be 
equipped with fiducial marks, aiming pads, or similar references of 
sufficient detail and accuracy, for determination of an appropriate 
vehicle plane to be used with the photometric procedures of SAE J1383 
APR85 for correct alignment with the photometer axis when being tested 
for photometric compliance, and to serve for the aiming reference when 
the headlamp or beam contributor is installed on a motor vehicle. The 
fiducial marks, aiming pads, or similar references are protrusions, 
bubble vials, holes, indentations, ridges, scribed lines, or other 
readily identifiable marks established and described by the vehicle or 
headlamp manufacturer.
    (b) Each motor vehicle manufactured on and after September 1, 1998, 
shall be equipped with headlamps or beam contributors which have a mark 
or markings that are visible from the front of the headlamp when 
installed on the vehicle to identify the optical axis of the headlamp to 
assure proper horizontal and vertical alignment of the aiming screen or 
optical aiming equipment. The manufacturer is free to choose the design 
of the mark or markings. The mark or markings may be on the interior or 
exterior of the lens or indicated by a mark or central structure on the 
interior or exterior of the headlamp.
    (c) Each headlamp that is visually/optically aimable in accordance 
with S7.8.5.3 of this standard shall be marked in accordance with 
S7.8.5.3(f).
    S7.8.2  Except as provided in this paragraph, each headlamp shall be 
installed on a motor vehicle with a

[[Page 248]]

mounting and aiming mechanism that allows aim inspection and adjustment 
of both vertical and horizontal aim, and is accessible for those 
purposes without removal of any vehicle parts, except for protective 
covers removable without the use of tools.
    S7.8.2.1  (a) When installed on the vehicle, adjustment of one aim 
axis through its full on-vehicle range shall not cause the aim of the 
other axis to deviate more than +/- 0.76 degree.
    (b) If the performance specified in paragraph (a) of this section is 
not achievable, the requirements of S7.8.5.2(b)(3) apply, except that if 
the aiming mechanism is not a VHAD, the requirements specific to VHADs 
are not applicable, and the instruction shall be specific to the aiming 
mechanism installed.
    (c) A visually/optically aimable headlamp that has a lower beam 
shall not have a horizontal adjustment mechanism unless such mechanism 
meets the requirements of paragraph S7.8.5.2 of this standard.
    S7.8.2.2 If the headlamp is aimed by moving the reflector relative 
to the lens and headlamp housing, or vice versa, it shall:
    (a) Allow movement of the headlamp system, when tested in the 
laboratory, to be not less than the full range of pitch on the vehicle 
on which the headlamp system is installed and for the horizontal aim 
range limits of S7.8.4,
    (b) Conform with the photometrics applicable to it with the lens at 
any position relative to the reflector within the range limits as 
specified in S7.8.2.2(a),
    (c) Be exempted from the aim range limits for testing in a 
laboratory in S7.8.3, and
    (d) Be exempted from S7.8.4 if it is visually/optically aimable and 
has fixed horizontal aim.
    S7.8.3  When a headlamp system is tested in a laboratory, the range 
of its vertical aim shall not be less than +/- 4 degrees from the 
nominal correct aim position for the intended vehicle application. When 
installed on a motor vehicle, the range of vertical aim shall be not 
less than the full range of pitch of the vehicle on which the headlamp 
system is installed. The installed range of static pitch angle shall as 
a minimum be determined from unloaded vehicle weight to gross vehicle 
weight rating, and incorporate pitch angle effects from maximum trailer 
or trunk loadings, the full range of tire intermix sizes and suspensions 
recommended and/or installed by the vehicle manufacturer, and the 
anticipated effects of variable passenger loading. The vertical aim 
adjustment mechanism shall be continuously adjustable over the full 
range.
    S7.8.4  When a headlamp system is tested in a laboratory, the range 
of its horizontal aim shall be not less that +/-2.5 degrees from the 
nominal correct aim position for the intended vehicle application.
    S7.8.5  When activated in a steady-burning state, headlamps shall 
not have any styling ornament or other feature, such as a translucent 
cover or grill, in front of the lens. Headlamp wipers may be used in 
front of the lens provided that the headlamp system is designed to 
conform with all applicable photometric requirements with the wiper 
stopped in any position in front of the lens. When a headlamp system is 
installed on a motor vehicle, it shall be aimable with at least one of 
the following: An externally applied aiming device, as specified in 
S7.8.5.1; an on-vehicle headlamp aiming device installed by the vehicle 
or lamp manufacturer, as specified in S7.8.5.2; or by visual/optical 
means, as specified in S7.8.5.3.
    S7.8.5.1  External aiming. Each headlamp system that is capable of 
being mechanically aimed by externally applied headlamp aiming devices 
shall be mechanically aimable using the equipment specified in SAE 
Standard J602 OCT80 Headlamp Aiming Device for Mechanically Aimable 
Sealed Beam Headlamp Units without the removal of any ornamental trim 
rings, covers, wipers or other vehicle parts.
    (a) The aim of the headlamps in each headlamp system, other than a 
headlamp system designed to conform to section S7.3, that is designed to 
use such external aiming devices, shall not deviate more than 0.30 
degree when a downward torque of 20 lb.-in. (2.25 N-m) is removed from 
the headlamp in its design operating position. The downward force used 
to create the torque

[[Page 249]]

shall be applied parallel to the aiming reference plane, through the 
aiming pads, and displaced forward using a lever arm such that the force 
is applied on an axis that is perpendicular to the aiming reference 
plane and originates at the center of the aiming pad pattern (see 
Figures 4-1 and 4-3). For headlamps using the aiming pad locations of 
Group 1, the distance between the point of application of force and the 
aiming reference plane shall be not less than 6.625 in. (168.3 mm) plus 
the distance from the aiming reference plane to the secondary plane, if 
used (see section S7.8.5.1(d)(1)). For headlamps using the aiming pad 
locations of Group II, the distance between the point of application of 
force and the aiming reference plane shall be not less than 6.609 in. 
(167.9 mm) plus the distance from the aiming reference plane to the 
secondary plane, if used. For headlamps using the nonadjustable Headlamp 
Aiming Device Locating Plates for the 146 mm diameter, the 176 mm 
diameter, and the 92 x 150 mm sealed beam units, the distance between 
the point of application of force and the aiming plane shall, 
respectively, be not less than 6.984 in. (177.4 mm), 6.937 in. (176.2 
mm), and 7.625 in (193.7 mm). Each headlamp system that is designed to 
conform to paragraph S7.5 and that is designed to use such external 
aiming devices, and which is manufactured on or after September 1, 1990, 
shall comply with this paragraph.
    (b) When a headlamp is installed on a motor vehicle, its aim in any 
direction shall not change by more than 0.30 degree nor shall the lamp 
recede more than 0.1 in. (2.5 mm.) after being subjected to an inward 
force of 50 pounds (222 newtons) applied evenly to the lens parallel to 
the mechanical axis.
    (c) Each headlamp system mounting and aiming mechanism shall be 
subjected to a salt spray (fog) test in accordance with ASTM B117-73 
Method of Salt Spray (Fog) Testing for a period of 50 hours, consisting 
of two successive 25-hour periods of 24 hours exposure followed by 1 
hour of drying. At the end of 50 hours, the headlamp system shall be 
capable of meeting any of the applicable requirements of paragraph S7.8.
    (d) Each headlamp system which is designed to use the Headlamp 
Aiming Device Locating Plates with adjustable legs for the 100  x  165 
mm unit and the 142  x  200 mm unit, and which has adjustable length 
legs, shall meet the requirements of subparagraphs (1) and (2) below.
    (1) The lens shall have three aiming pads which meet the 
requirements of Figure 4, Dimensional Specifications for Location of 
Aiming Pads on Replaceable Bulb Headlamp Units. The aiming pads need not 
be centered at the geometric center of the lens, or on the optical axis. 
Except as provided in subparagraph (2), a whole number, which represents 
the distance in tenths of an inch (i.e. 0.3 inch=3) from the aiming 
reference plane to the respective aiming pads which are not in contact 
with that plane, shall be inscribed adjacent to each respective aiming 
pad on the lens. The height of these numbers shall be not less than .157 
inch (4 mm). If there is interference between the plane and the area of 
the lens between the aiming pads, the whole number represents the 
distance to a secondary plane. The secondary plane shall be located 
parallel to the aiming reference plane and as close to the lens as 
possible without causing interference.
    (2) If the most forward aiming pad is the lower inboard aiming pad, 
then the dimensions may be placed anywhere on the lens. The dimension 
for the outboard aiming pad (Dimension F in Figure 4) shall be followed 
by the letter ``H'' and the dimension for the center aiming pad shall be 
followed by the letter ``V.'' The dimensions shall be expressed in 
tenths of an inch.
    (e) Each headlamp may be designed to use the nonadjustable Headlamp 
Aiming Device Locating Plate for the 100 x 165 mm unit, the 142 x 200 mm 
unit, the 146 mm diameter unit, or the 178 mm diameter unit of SAE J602, 
or the 92 x 150 mm Type F unit, and incorporate lens-mounted aiming pads 
as specified for those units in Figures 10, 13, 5, or 7 respectively in 
SAE J1383 APR85, or Figure 11 of this standard for the Type F unit. If 
so designed, no additional lens marking is necessary to designate the 
type of plate or dimensions.

[[Page 250]]

    S7.8.5.2  On-vehicle aiming. Each headlamp system that is capable of 
being aimed by equipment installed on the vehicle shall include a 
Vehicle Headlamp Aiming Device (VHAD) that conforms to the following 
requirements:
    (a) Aim. The VHAD shall provide for headlamp aim inspection and 
adjustment in both the vertical and horizontal axes.
    (1) Vertical aim. The VHAD shall include the necessary references 
and scales relative to the horizontal plane to assure correct vertical 
aim for photometry and aiming purposes. An off-vehicle measurement of 
the angle of the plane of the ground is permitted. In addition, an equal 
number of graduations from the ``O'' position representing angular 
changes in the axis in the upward and downward directions shall be 
provided.
    (i) Each graduation shall represent a change in the vertical 
position of the mechanical axis not larger than 0.19 degree (1 in. at 25 
ft.) to provide for variations in aim at least 1.2 degrees above and 
below the horizontal, and have an accuracy relative to the zero mark of 
less than 0.1 degree.
    (ii) The VHAD shall be marked to indicate headlamp aim movement in 
the upward and downward directions.
    (iii) Each graduation shall indicate a linear movement of the scale 
indicator of not less than 0.05 in. (1.27 mm) if a direct reading analog 
indicator is used. If a remote reading indicator is provided, it shall 
represent the actual aim movement in a clear, understandable format.
    (iv) The vertical indicator shall perform through a minimum range of 
+/-1.2 degrees.
    (v) Means shall be provided in the VHAD for compensating for 
deviations in floor slope less than 1.2 degrees from the horizontal that 
would affect the correct positioning of the headlamp for vertical aim.
    (vi) The graduations shall be legible under an illumination level 
not greater than 30 foot candles, measured at the top of the graduation, 
by an observer having 20/20 vision (Snellen), and shall permit aim 
adjustment to within 0.19 degree (1 in. at 25 ft.).
    (2) Horizontal aim. The VHAD shall include references and scales 
relative to the longitudinal axis of the vehicle necessary to assure 
correct horizontal aim for photometry and aiming purposes. An ``O'' mark 
shall be used to indicate alignment of the headlamps relative to the 
longitudinal axis of the vehicle. In addition, an equal number of 
graduations from the ``O'' position representing equal angular changes 
in the axis relative to the vehicle axis shall be provided.
    (i) Each graduation shall represent a change in the horizontal 
position of the mechanical axis not greater than 0.38 degree (2 in. at 
25 ft.) to provide for variations in aim at least 0.76 degree (4 in. at 
25 ft.) to the left and right of the longitudinal axis of the vehicle, 
and shall have an accuracy relative to the zero mark of less than 0.1 
degree.
    (ii) The VHAD shall be marked to indicate headlamp aim movement in 
the left and right directions.
    (iii) The graduations shall be legible under an illumination level 
not greater than 30 foot candles, measured at the top of the graduation, 
by an observer having 20/20 vision (Snellen), and shall permit aim 
adjustment to within 0.38 degree (2 in. at 25 ft.).
    (iv) The horizontal indicator shall perform through a minimum range 
of +/-0.76 degree (4 in. at 25 ft.); however, the indicator itself shall 
be capable of recalibration over a movement of +/-2.5 degrees relative 
to the longitudinal axis of the vehicle to accommodate any adjustment 
necessary for recalibrating the indicator after vehicle repair from 
accident damage.
    (b) Aiming instructions. (1) The instructions for properly aiming 
the headlighting system using the VHAD shall be provided on a label 
permanently affixed to the vehicle adjacent to the VHAD, or in the 
vehicle operator's manual. The instructions shall advise that the 
headlighting system is properly aimed if the appropriate vertical plane 
(as defined by the vehicle manufacturer) is perpendicular to both the 
longitudinal axis of the vehicle, and a horizontal plane when the 
vehicle is on a horizontal surface, and the VHAD is set at ``O'' 
vertical and ``O'' horizontal.

[[Page 251]]

    (2) Should a remote indicator or a remote indicator and adjuster be 
provided, the instructions shall be placed in the operator's manual, and 
may also be placed on a label adjacent to the VHAD.
    (3) Should the mechanism not meet the requirements of S7.8.2.1, on 
each motor vehicle manufactured on or after September 1, 1990, a 
cautionary label shall be placed adjacent to the mechanism stating the 
caution and including either the reason for the caution or the 
corrective action necessary. Each such label shall also refer the reader 
to the vehicle operator's manual for complete instructions. Each such 
vehicle shall be equipped with an operator's manual containing the 
complete instructions appropriate for the mechanism installed.
    (c) Each headlamp equipped with a VHAD that is manufactured for use 
on motor vehicles manufactured on or after September 1, 1998, shall be 
manufactured with its calibration permanently fixed by its manufacturer. 
Calibration in this case means the process of accurately aligning the 
geometry of the VHAD devices with the beam pattern for the purposes of 
compliance with the standard.
    (d) Testing the VHAD.
    (1) The headlamp assembly (the headlamp(s), and the VHAD(s)) shall 
be mounted on a level goniometer, aligned to a photometer located not 
less than 60 ft. (18.3 m) from the VHAD assembly. The assembly shall be 
mechanically aimed using the VHAD in accordance with the manufacturer's 
instructions as provided with the vehicle on which the VHAD is intended 
to be used. A \1/4\ degree reaim is permitted in any direction at any 
test point to allow for variations in readings between laboratories. The 
test shall be conducted in accordance with the procedures of paragraphs 
4.1 and 4.1.4 of SAE J1383 APR85. Under these conditions the mounted 
headlamp assembly shall be designed to conform to the photometric 
requirements appropriate for the headlamp system under test.
    (2) When tested in accordance with subsection (1) of this section, 
with any replacement headlamp unit(s) or light sources intended for use 
in the system under test, the VHAD and headlamp system shall be designed 
to conform to the photometric performance requirements appropriate for 
the system under test.
    (3) The same VHAD and associated headlamp(s) (or headlamp assembly) 
shall be rigidly mounted in a headlamp test fixture and comply with the 
following laboratory test procedures:
    (i) Each graduation on the horizontal and vertical aim scales shall 
be checked and any variation from the correct aim shall not exceed +/- 
0.2 degree, and +/- 0.1 degree respectively.
    (ii) With the aiming plane horizontal and vertical and with the 
scale on the device set at 0, the aimer shall be adjusted before each of 
the following tests to assure that the indicators are centered at 0.
    (A) The VHAD and an unlighted headlamp assembly shall be stabilized 
at 20 +/- 5 degrees F (-7 +/- 3 degrees C) in a circulating air 
environmental test chamber. After a period of 30 minutes, when measured 
at that soak temperature, the variation from correct horizontal of 
vertical aim shall not exceed +/- 0.2 degree, and +/- 0.1 degree, 
respectively.
    (B) The VHAD, and the headlamp assembly with its highest wattage 
filament (or combination of filaments intended to be used 
simultaneously) energized at its design voltage, shall then be 
stabilized at 100 +/- 5 degrees F (38 +/- 3 degrees C) in a circulating 
air environmental test chamber. After a period of 30 minutes, when 
measured at that soak temperature, the variation from correct horizontal 
and vertical aim shall not exceed +/- 0.2 degree, and +/- 0.1 degree, 
respectively.
    (C) The VHAD and an unlighted headlamp assembly shall then be placed 
in a circulating air environmental test chamber and exposed to a 
temperature of 140 +/- 5 degrees F (60 +/- 3 degrees C) for 24 hours, 
followed by a temperature of -40 +/- 5 degrees F (-40 +/- 3 degrees C) 
for 24 hours and then permitted to return to room temperature, after 
which the VHAD and headlamp assembly shall show no damage which would 
impair its ability to perform as specified herein. The variation from 
correct horizontal or vertical aim shall not exceed +/- 0.2

[[Page 252]]

degree, and +/- 0.1 degree, respectively.
    (D) The VHAD and headlamp assembly shall then be tested according to 
the corrosion test procedure of paragraph S7.8.5.1(c).
    (E) The VHAD and headlamp assembly shall then be tested for 
photometric compliance as specified in paragraphs S7.8.5.2(c)(1) and 
(2).
    S7.8.5.3  Visual/optical aiming. Each visually/optically aimable 
headlamp shall be designed to conform to the following requirements:
    (a) Vertical aim, lower beam. Each lower beam headlamp shall have a 
cutoff in the beam pattern. It may be either on the left side or the 
right side of the optical axis, but once chosen for a particular 
headlamp system's design, the side chosen for the cutoff shall not be 
changed for any headlamps intended to be used as replacements for those 
system's headlamps.
    (1) Vertical position of cutoff. The headlamp shall be aimed 
vertically so that the cutoff is on the left side, at 0.4 degree down 
from the H-H line, or on the right side, at the H-H line.
    (2) Vertical gradient. The gradient of the cutoff measured at either 
2.5 degrees L or 2.0 degrees R shall be not less than 0.13 based on the 
procedure of S7.8.5.3, paragraph (a)(5).
    (3) Horizontal position of the cutoff. The width shall be not less 
than two degrees, with not less than two degrees of its actual width 
centered at either 2.5 degrees L, or 2.0 degrees R.
    (4) Maximum inclination of cutoff. The vertical location of the 
highest gradient at the ends of the minimum width shall be within +/-0.2 
degree of the vertical location of the maximum gradient measured at the 
appropriate vertical line (at either 2.5 degrees L for a left side 
cutoff, or 2.0 degrees R for a right side cutoff.)
    (5) Measuring the cutoff parameter. (i) The headlamp shall be 
mounted on a fixture which simulates its actual design location on any 
vehicle for which the headlamp is intended. The fixture, with the 
headlamp installed shall be attached to the goniometer table in such a 
way that the fixture alignment axes are coincident with the goniometer 
axes. The headlamp shall be energized at the specified test voltage.
    (ii) The headlamp beam pattern shall be aimed with the cutoff at the 
H-H axis. There shall be no adjustment, shimming, or modification of the 
horizontal axis of the headlamp or test fixture, unless the headlamp is 
equipped with a VHAD. In this case the VHAD shall be adjusted to zero.
    (iii) A vertical scan of the beam pattern shall be conducted for a 
headlamp with a left side gradient by aligning the goniometer on a 
vertical line at 2.5 degrees L and scanning from 1.5 degrees U to 1.5 
degrees D. For a headlamp with a right side gradient, a vertical scan of 
the beam pattern shall be conducted by aligning the goniometer on a 
vertical line at 2.0 degrees R and scanning from 1.5 degrees U to 1.5 
degrees D.
    (iv) Determine the maximum gradient within the range of the scan by 
using the formula: G = log E(a)-log E(a+0.1), where ``G'' is the 
gradient, ``E'' is illumination and ``a'' is vertical angular position. 
The maximum value of the gradient ``G'' determines the vertical angular 
location of the cutoff. Perform vertical scans at 1.0 degree L and R of 
the measurement point of the maximum gradient to determine the 
inclination.
    (b) Horizontal aim, lower beam. There shall be no adjustment of 
horizontal aim unless the headlamp is equipped with a horizontal VHAD. 
If the headlamp has a VHAD, it shall be set to zero.
    (c) Vertical aim, upper beam. (1) If the upper beam is combined in a 
headlamp with a lower beam, the vertical aim of the upper beam shall not 
be changed from the aim set using the procedures of paragraphs 
S7.8.5.3(a) and (b) used for the lower beam.
    (2) If the upper beam is not combined in a headlamp with a lower 
beam, the vertical aim of the upper beam shall be adjusted so that the 
maximum beam intensity is located on the H-H axis.
    (d) Horizontal aim, upper beam. (1) If the upper beam is combined in 
a headlamp with a lower beam, the horizontal aim of the upper beam shall 
not be changed from the aim set using the procedures of paragraphs 
S7.8.5.3 (a) and (b) used for the lower beam.
    (2) If the upper beam is not combined in a headlamp with the lower 
beam and

[[Page 253]]

has fixed horizontal aim or has a horizontal VHAD, then the headlamp 
shall be mounted on a fixture which simulates its actual design location 
on any vehicle for which the headlamp is intended. The fixture, with the 
headlamp installed shall be attached to the goniometer table in such a 
way that the fixture alignment axes are coincident with the goniometer 
axes. The headlamp shall be energized at 12.8 plus-minus 0.20 
mV. There shall be no adjustment, shimming, or modification of the 
horizontal axis of the headlamp or test fixture, unless the headlamp is 
equipped with a VHAD. In this case the VHAD shall be adjusted to zero.
    (3) If the upper beam is not combined in a headlamp with a lower 
beam, and it does not have a VHAD, the horizontal aim of the upper beam 
shall be adjusted so that the maximium beam intensity is located on the 
V-V axis.
    (e) Photometric Requirements and Measurement. (1) Instead of being 
designed to conform to the photometric requirements of Figures 15-1, 17-
1, 27-1 or 28-1, a visually/optically aimable headlamp shall be designed 
to conform to the requirements of Figures 15-2, 17-2, 27-2 or 28-2 when 
tested in accordance with paragraph (2) and SAE J575 DEC88, with the 
distance from the photometer to the headlamp no less than 18.3 m.
    (2) If the lower beam has a left side cutoff, reaim the headlamp 
vertically to place the maximum gradient found in paragraph S7.8.5.3 at 
0.4 degree below the H-H line. For a headlamp with a lower beam right 
side cutoff, place the maximum gradient found in paragraph S7.8.5.3 at 
the H-H line. For an upper beam, the headlamp would already be aimed at 
the end of the procedure found in paragraph S7.8.5.3. A 0.25 degree 
reaim is permitted in any direction at any test point.
    (f) Marking--(1) Headlamp optical axis mark. There shall be a mark 
or markings identifying the optical axis of the headlamp visible from 
the front of the headlamp when installed on the vehicle, to assure 
proper horizontal and vertical alignment of the aiming screen or optical 
aiming equipment with the headlamp being aimed. The manufacturer is free 
to choose the design of the mark or markings. The mark or markings may 
be on the interior or exterior of the lens or indicated by a mark or 
central structure on the interior or exterior of the headlamp.
    (2) Visual/optical aimability identification marks. (i) The lens of 
a lower beam headlamp shall be marked ``VOL'' if the headlamp is 
intended to be visually/optically aimed using the left side of the lower 
beam pattern.
    (ii) The lens of a lower beam headlamp shall be marked ``VOR'' if 
the headlamp is intended to be visually/optically aimed using the right 
side of the lower beam pattern.
    (iii) The lens of each sealed beam or integral beam headlamp shall 
be marked ``VOR'' if the headlamp is of a type that was manufactured 
before May 1, 1997, and if such headlamp type has been redesigned since 
then to be visually/optically aimable.
    (iv) The lens of a headlamp that is solely an upper beam headlamp 
and intended to be visually/optically aimed using the upper beam shall 
be marked ``VO''.
    (v) Each letter used in marking according to this paragraph shall be 
not less than 3 mm. high.
    S7.9  Motorcycles. Each motorcycle shall be equipped with a 
headlighting system designed to conform to the following requirements.
    S7.9.1  A motorcycle manufactured before September 1, 2000, may be 
equipped with--
    (a) A headlighting system designed to conform to SAE Standard J584 
Motorcycle Headlamps April 1964, or to SAE Standard J584 April 1964 with 
the photometric specifications of Figure 32 and the upper beam 
aimability specifications of paragraph S7.9.3; or
    (b) One half of any headlighting system specified in S7.1 through 
S7.6 which provides both a full upper beam and full lower beam. Where 
more than one lamp must be used, the lamps shall be mounted vertically, 
with the lower beam as high as practicable.
    S7.9.2  A motorcycle manufactured on or after September 1, 2000, 
shall be equipped with--
    (a) A headlighting system designed to conform to SAE Standard J584 
Motorcycle Headlamps April 1964 with the photometric specifications of 
Figure 32

[[Page 254]]

and the upper beam aimability specifications of paragraph S7.9.3; or
    (b) A headlighting system that conforms to S7.9.1(b).
    S7.9.3  The upper beam of a multiple beam headlamp designed to 
conform to the photometric requirements of Figure 32 shall be aimed 
photoelectrically during the photometric test in the manner prescribed 
in SAE Standard J584 OCT93 Motorcycle Headlamps.
    S7.9.4  Motorcycle headlamp modulation system.
    S7.9.4.1  A headlamp on a motorcycle may be wired to modulate either 
the upper beam or the lower beam from its maximum intensity to a lesser 
intensity, provided that:
    (a) The rate of modulation shall be 240  40 cycles per 
minute.
    (b) The headlamp shall be operated at maximum power for 50 to 70 
percent of each cycle.
    (c) The lowest intensity at any test point shall be not less than 17 
percent of the maximum intensity measured at the same point.
    (d) The modulator switch shall be wired in the power lead of the 
beam filament being modulated and not in the ground side of the circuit.
    (e) Means shall be provided so that both the lower beam and upper 
beam remain operable in the event of a modulator failure.
    (f) The system shall include a sensor mounted with the axis of its 
sensing element perpendicular to a horizontal plane. Headlamp modulation 
shall cease whenever the level of light emitted by a tungsten filament 
light operating at 3000 deg. Kelvin is either less than 270 lux (25 
foot-candles) of direct light for upward pointing sensors or less than 
60 lux (5.6 foot-candles) of reflected light for downward pointing 
sensors. The light is measured by a silicon cell type light meter that 
is located at the sensor and pointing in the same direction as the 
sensor. A Kodak Gray Card (Kodak R-27) is placed at ground level to 
simulate the road surface in testing downward pointing sensors.
    (g) When tested in accordance with the test profile shown in Figure 
9, the voltage drop across the modulator when the lamp is on at all test 
conditions for 12 volt systems and 6 volt systems shall not be greater 
than .45 volt