October 1, 2007 CODE OF FEDERAL REGULATIONS 49 Parts 400 to 599 Revised as of October 1, 2007 Transportation Containing a codification of documents of general applicability and future effect As of October 1, 2007 With Ancillaries

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 Table of Contents Page Explanation v Title 49: Subtitle B—Other Regulations Relating to Transportation (Continued) Chapter IV—Coast Guard, Department of Homeland Security 5 Chapter V—National Highway Traffic Safety Administration, Department of Transportation 19 Finding Aids: Material Approved for Incorporation by Reference 1301 Table of CFR Titles and Chapters 1317 Alphabetical List of Agencies Appearing in the CFR 1335 List of CFR Sections Affected 1345

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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. 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.

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as of January 1

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as of April 1

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as of July 1

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as of October 1

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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.

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 INCORPORATION BY REFERENCE

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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 202-741-6010.

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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 (Table I). A list of CFR titles, chapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume.

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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.

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 Raymond A. Mosley, Director, Office of the Federal Register. October 1, 2007. THIS TITLE

Title 49—Transportation is composed of nine volumes. The parts in these volumes are arranged in the following order: Parts 1-99, parts 100-185, parts 186-199, parts 200-299, parts 300-399, parts 400-599, parts 600-999, 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—Pipeline and Hazardous Materials Safety Administration (DOT); the fourth volume (parts 200-299) contains the current regulations issued under chapter II—Federal Railroad Administration (DOT); the fifth volume (parts 300-399) contains the current regulations issued under chapter III—Federal Motor Carrier Safety Administration (DOT); the sixth volume (parts 400-599) contains the current regulations issued under chapter IV—Coast Guard (DHS), chapter V—National Highway Traffic Safety Administration (DOT); the seventh volume (parts 600-999) contains the current regulations issued under chapter VI—Federal Transit Administration (DOT), chapter VII—National Railroad Passenger Corporation (AMTRAK), and chapter VIII—National Transportation Safety Board; the eighth volume (parts 1000-1199) contains the current regulations issued under chapter X—Surface Transportation Board and the ninth volume (part 1200 to End) contains the current regulations issued under chapter X—Surface Transportation Board, chapter XI—Research and Innovative Technology Administration, and chapter XII—Transportation Security Administration, Department of Transportation. The contents of these volumes represent all current regulations codified under this title of the CFR as of October 1, 2007.

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

Redesignation tables for chapter III—Federal Motor Carrier Safety Administration, Department of Transportation and chapter XII—Transportation Security Administration, Department of Transportation appear in the Finding Aids section of the fifth and ninth volumes.

For this volume, Jonn V. Lilyea was Chief Editor. The Code of Federal Regulations publication program is under the direction of Michael L. White, assisted by Ann Worley.

 <LRH>49 CFR Ch. IV (10-1-06 Edition)</LRH> <RRH>Coast Guard, DHS</RRH> <CFRTITLE> <TITLEHD> <PRTPAGE P="1"/> <HD SOURCE="HED">Title 49—Transportation</HD> <P>(This book contains parts 400 to 599)</P> </TITLEHD> <CFRTOC> <PTHD>Part</PTHD> <SUBTI> <HD SOURCE="HED">SUBTITLE B—Other Regulations Relating to Transportation (Continued)</HD> </SUBTI> <CHAPTI> <SUBJECT> <E T="04">chapter iv</E>—Coast Guard, Department of Homeland Security</SUBJECT> <PG>450</PG> <SUBJECT> <E T="04">chapter v</E>—National Highway Traffic Safety Administration, Department of Transportation</SUBJECT> <PG>501</PG> </CHAPTI> </CFRTOC> </CFRTITLE> <SUBTITLE> <PRTPAGE P="3"/> <HD SOURCE="HED">Subtitle B—Other Regulations Relating to Transportation (Continued)</HD> <CHAPTER> <TOC> <TOCHD> <PRTPAGE P="5"/> <HD SOURCE="HED">CHAPTER IV—COAST GUARD, DEPARTMENT OF HOMELAND SECURITY</HD> </TOCHD> <SUBCHAP> <RESERVED>SUBCHAPTER A [RESERVED]</RESERVED> </SUBCHAP> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER B—SAFETY APPROVAL OF CARGO CONTAINERS</HD> </SUBCHAP> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>400—449</PT> <RESERVED>[Reserved]</RESERVED> <PT>450</PT> <SUBJECT>General</SUBJECT> <PG>7</PG> <PT>451</PT> <SUBJECT>Testing and approval of containers</SUBJECT> <PG>10</PG> <PT>452</PT> <SUBJECT>Examination of containers</SUBJECT> <PG>13</PG> <PT>453</PT> <SUBJECT>Control and enforcement</SUBJECT> <PG>16</PG> </CHAPTI> </TOC> <SUBCHAP TYPE="N"> <PRTPAGE P="7"/> <RESERVED>SUBCHAPTER A [RESERVED]</RESERVED> </SUBCHAP> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER B—SAFETY APPROVAL OF CARGO CONTAINERS</HD> <PART> <RESERVED>PARTS 400-449 [RESERVED]</RESERVED> </PART> <PART> <EAR>Pt. 450</EAR> <HD SOURCE="HED">PART 450—GENERAL</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>450.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>450.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>450.5</SECTNO> <SUBJECT>General requirements and applicability.</SUBJECT> <SECTNO>450.7</SECTNO> <SUBJECT>Marking.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures for Delegation to Approval Authorities</HD> <SECTNO>450.11</SECTNO> <SUBJECT>Application for delegation of authority.</SUBJECT> <SECTNO>450.12</SECTNO> <SUBJECT>Criteria for selection of Approval Authorities.</SUBJECT> <SECTNO>450.13</SECTNO> <SUBJECT>Granting of delegation.</SUBJECT> <SECTNO>450.14</SECTNO> <SUBJECT>Conditions of delegation.</SUBJECT> <SECTNO>450.15</SECTNO> <SUBJECT>Termination of delegation.</SUBJECT> <SECTNO>450.16</SECTNO> <SUBJECT>Withdrawal of delegation.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 4, 91 Stat 1475 (46 U.S.C. 1503); Department of Homeland Security Delegation No. 0170.1.</P> </AUTH> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 450.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> <CITA>[45 FR 37213, June 2, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) In this subchapter: (1) <E T="03">Approval Authority</E> means a delegate of the Commandant authorized to approve containers within the terms of the convention, the International Safe Container Act and this subchapter.</P> <P>(2) <E T="03">Container</E> means an article of transport equipment:</P> <P>(i) Of a permanent character and suitable for a repeated use.</P> <P>(ii) Specially design to facilitate the transport of goods, by one or more modes of transport, without intermediate reloading.</P> <P>(iii) Designed to be secured and readily handled, having corner fittings for these purposes.</P> <P>(iv) Of a size that the area enclosed by the four outer bottom corners is either:</P> <P>(A) At least 14 sq.m. (150 sq.ft.), or</P> <P>(B) At least 7 sq.m. (75 sq.ft.) if it has top corner fittings.</P> <P>(v) The term <E T="03">container</E> includes neither vehicles nor packaging; however, containers when carried on chassis are included.</P> <P>(3) <E T="03">Convention</E> means the International Convention for Safe Containers (CSC) done at Geneva, December 2, 1972 and ratified by the United States on January 3, 1978.</P> <P>(4) <E T="03">District Commander</E> means the Coast Guard officer designated by the Commandant to command a Coast Guard District.</P> <P>(5) <E T="03">New Container</E> means a container, the construction of which began on or after September 6, 1977.</P> <P>(6) <E T="03">Existing Container</E> means a container that is not a new container.</P> <CITA>[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.5</SECTNO> <SUBJECT>General requirements and applicability.</SUBJECT> <P>(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.</P> <P>(b) Every owner of an approved container used or offered for movement in international transport who:</P> <P>(1) Is domiciled in the United States and has the head office in the United States, or</P> <P>(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 <PRTPAGE P="8"/>periodically examined in accordance with part 452 of this subchapter.</P> <P>(c) Every owner of an approved container used or offered for movement in international transport who:</P> <P>(1) Is domiciled in the United States but has the principal office in the jurisdiction of another contracting party to the convention, or</P> <P>(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.</P> <P>(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.</P> <CITA>[45 FR 37213, June 2, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.7</SECTNO> <SUBJECT>Marking.</SUBJECT> <P>(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.</P> <P>(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.</P> <APPRO>(Approved by the Office of Management and Budget under OMB control number 1625-0024)</APPRO> <CITA>[49 FR 15562, Apr. 19, 1984, as amended at 71 FR 55747, Sept. 25, 2006]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedure for Delegation to Approval Authorities</HD> <SECTION> <SECTNO>§ 450.11</SECTNO> <SUBJECT>Application for delegation of authority.</SUBJECT> <P>(a) Any person or organization seeking delegation of authority to act as an Approval Authority may apply to the Commandant, (G-MSO), 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-MSO).</P> <P>(b) The application must include the following information:</P> <P>(1) Name and address, including place of incorporation, if a corporation.</P> <P>(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.</P> <P>(3) A listing of the basic technical services offered.</P> <P>(4) A general description of the geographic area served.</P> <P>(5) A general description of the clients being served or intended to be served.</P> <P>(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.</P> <P>(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.</P> <P>(8) A description of its means of assuring continued competence of its personnel.</P> <P>(9) A detailed schedule of the fees proposed to be charged for the approval service.</P> <P>(10) Evidence of financial stability.</P> <P>(11) At least three business references who will furnish information regarding work performed by the applicant.</P> <P>(12) A statement that the Coast Guard may inspect the applicant's facilities and records of approvals under the convention and these regulations.</P> <P>(c) The application may contain any additional information the applicant deems to be pertinent.</P> <P>(d) The applicant must furnish any additional information to evaluate the applicant's qualifications, if requested by the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard.</P> <P>(e) Applications from foreign nationals or organizations must contain an <PRTPAGE P="9"/>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 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.</P> <CITA>[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.12</SECTNO> <SUBJECT>Criteria for selection of Approval Authorities.</SUBJECT> <P>(a) The Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard selects persons or organizations in accordance with the following criteria:</P> <P>(1) The person or organization is independent of manufacturers and owners in that:</P> <P>(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.</P> <P>(ii) The employment status of the personnel of the organization is free from influence or control of manufacturers, owners, operators or lessors of containers.</P> <P>(2) The person or organization has demonstrated the ability to competently carry out the procedures required for approval.</P> <P>(3) The person or organization has an acceptable degree of financial security.</P> <CITA>[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.13</SECTNO> <SUBJECT>Granting of delegation.</SUBJECT> <P>(a) The Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard acts on applications for delegation within 60 days of receipt.</P> <P>(b) If an applicant for delegation does not provide sufficient information with regard to all the criteria for delegation, the Chief, Office of Operating and Environmental Standards (G-MSO), 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.</P> <P>(c) If an applicant satisfies all the criteria for delegation the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard sends the applicant a letter of delegation, and assigns to the Approval Authority an alphabetic Approval Authority identification code.</P> <P>(d) If an applicant fails to satisfy all the criteria for delegation, the Chief, Office of Operating and Environmental Standards (G-MSO), 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, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard notifies the applicant of the final decision.</P> <CITA>[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.14</SECTNO> <SUBJECT>Conditions of delegation.</SUBJECT> <P>(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.</P> <P>(2) All approval numbers issued by the Approval Authority must contain the identification code, assigned to the Approval Authority by the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard.</P> <P>(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, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard):</P> <P>(i) Each notice of approval issued.</P> <P>(ii) A copy of the application and final approved drawings (if applicable) to which each approval refers.</P> <P>(iii) The manufacturer's serial numbers and the owner's identification <PRTPAGE P="10"/>numbers of all containers covered by each approval.</P> <P>(4) Each Approval Authority shall establish and make available to the public a schedule of fees for the approval services performed under these regulations. The fees must not be disproportionate to the costs (including transportation expense, if any) actually incurred.</P> <P>(5) The Approval Authority shall grant the Coast Guard the right to inspect records and shall cooperate in the conduct of such inspections.</P> <P>(6) The Approval Authority shall comply with any other term or condition stated in its letter of delegation.</P> <CITA>[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.15</SECTNO> <SUBJECT>Termination of delegation.</SUBJECT> <P>(a) An Approval Authority may voluntarily terminate its delegation by giving written notice of its intent to the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard. This notice must contain the date on which the termination is to be effective.</P> <CITA>[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 450.16</SECTNO> <SUBJECT>Withdrawal of delegation.</SUBJECT> <P>(a) The Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard withdraws a delegation if: (1) It is determined that the application for delegation contained a material misrepresentation.</P> <P>(2) An Approval Authority fails to comply with a condition of delegation.</P> <P>(3) An Approval Authority is incompetent.</P> <P>(b) When a delegation is withdrawn, the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard gives to the Approval Authority:</P> <P>(1) Written notice of the facts or conduct believed to warrant the withdrawal.</P> <P>(2) Opportunity to submit oral or written evidence.</P> <P>(3) Opportunity to demonstrate or achieve compliance with the applicable requirement.</P> <CITA>[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 451</EAR> <HD SOURCE="HED">PART 451—TESTING AND APPROVAL OF CONTAINERS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Approval of Existing Containers</HD> <SECHD>Sec.</SECHD> <SECTNO>451.1</SECTNO> <SUBJECT>Application for approval.</SUBJECT> <SECTNO>451.3</SECTNO> <SUBJECT>Action by Approval Authority.</SUBJECT> <SECTNO>451.5</SECTNO> <SUBJECT>Resubmission or appeal.</SUBJECT> <SECTNO>451.7</SECTNO> <SUBJECT>Alternative approval of existing containers.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Approval of New Containers</HD> <SECTNO>451.11</SECTNO> <SUBJECT>Application for approval-general.</SUBJECT> <SECTNO>451.12</SECTNO> <SUBJECT>Application for approval by design type.</SUBJECT> <SECTNO>451.13</SECTNO> <SUBJECT>Action by approval authority-approval by design type.</SUBJECT> <SECTNO>451.14</SECTNO> <SUBJECT>Alternative approval of new containers by design type.</SUBJECT> <SECTNO>451.15</SECTNO> <SUBJECT>Application for individual approval.</SUBJECT> <SECTNO>451.16</SECTNO> <SUBJECT>Action by approval authority-individual approval.</SUBJECT> <SECTNO>451.18</SECTNO> <SUBJECT>Review of denials of approval.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Safety Approval Plate</HD> <SECTNO>451.21</SECTNO> <SUBJECT>Safety approval plate required.</SUBJECT> <SECTNO>451.23</SECTNO> <SUBJECT>Plate specifications.</SUBJECT> <SECTNO>451.25</SECTNO> <SUBJECT>Required information.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 4, 91 Stat 1475 (46 U.S.C. 1503); Department of Homeland Security Delegation No. 0170.1.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 37214, June 2, 1980, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—Approval of Existing Containers</HD> <SECTION> <SECTNO>§ 451.1</SECTNO> <SUBJECT>Application for approval.</SUBJECT> <P>(a) Any owner of an existing container may apply for approval to the Commandant (G-MSO), U.S. Coast Guard, Washington, DC 20593 or to any Approval Authority.</P> <P>(b) Each application must include the following for each container:</P> <P>(1) Date and place of manufacture.</P> <P>(2) Manufacturer's identification number, if available.</P> <P>(3) Maximum operating gross weight capacity.<PRTPAGE P="11"/> </P> <P>(4) Allowable stacking weight for 1.8G (1.8×Gross weight in kilograms or pounds). </P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>This value is the total load the container is designed to support when subjected to a vertical acceleration of 1.8G.</P> </NOTE> <P>(5) A statement that the owner possesses documentary evidence that:</P> <P>(i) Container of this type has been safely used in marine or inland transport for a period of at least two years; or</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <CITA>[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 451.3</SECTNO> <SUBJECT>Action by Approval Authority.</SUBJECT> <P>(a) The Approval Authority (or the Chief, Office of Operating and Environmental Standards (G-MSO), 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, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard acts on the application within 30 days of receipt of the application.</P> <CITA>[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 451.5</SECTNO> <SUBJECT>Resubmission or appeal.</SUBJECT> <P>(a) Upon receipt of a denial of approval for certain containers, an owner may correct the noted deficiencies and resubmit the application without prejudice.</P> <P>(b) An applicant aggrieved by a decision of an approval authority may obtain review of the decision by the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard. The decision of the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard is a final agency action.</P> <CITA>[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 451.7</SECTNO> <SUBJECT>Alternative approval of existing containers.</SUBJECT> <P>(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.</P> <CITA>[45 FR 37214, June 2, 1980, as amended at 69 FR 58352, Sept. 30, 2004]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Approval of New Containers</HD> <SECTION> <SECTNO>§ 451.11</SECTNO> <SUBJECT>Application for approval-general.</SUBJECT> <P>(a) An owner of a new container, or a manufacturer acting on behalf of an owner, may apply for approval to any approval authority.</P> </SECTION> <SECTION> <PRTPAGE P="12"/> <SECTNO>§ 451.12</SECTNO> <SUBJECT>Application for approval by design type.</SUBJECT> <P>(a) For approval of new containers by design type, each application must include the following:</P> <P>(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.</P> <P>(2) Design and material specifications including type and size of materials. Material specifications of the safety approval plate must also be given.</P> <P>(3) The manufacturer's identification number assigned to each container in the type series.</P> <P>(4) The identification code assigned to each container in the series by the owner, lessee, or bailee responsible for maintenance.</P> <P>(5) The written assurance from the manufacturer, that the manufacturer will:</P> <P>(i) Produce to the approval authority such containers as the approval authority may wish to examine;</P> <P>(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;</P> <P>(iii) Affix the Safety Approval Plate to each container in the design type and to no others;</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <CITA>[45 FR 37214, June 2, 1980, as amended at 69 FR 58353, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 451.13</SECTNO> <SUBJECT>Action by approval authority-approval by design type.</SUBJECT> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 451.14</SECTNO> <SUBJECT>Alternative approval of new containers by design type.</SUBJECT> <P>(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 § 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 § 452.3 by January 1, 1985.</P> <CITA>[47 FR 50496, Nov. 8, 1982]</CITA> </SECTION> <SECTION> <SECTNO>§ 451.15</SECTNO> <SUBJECT>Application for individual approval.</SUBJECT> <P>(a) For approval of new containers by individual approval, each application must include the following:</P> <P>(1) The manufacturer's identification number.</P> <P>(2) The identification code of the owner, lessee, or bailee responsible for maintenance of the container.</P> </SECTION> <SECTION> <PRTPAGE P="13"/> <SECTNO>§ 451.16</SECTNO> <SUBJECT>Action by approval authority-individual approval.</SUBJECT> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 451.18</SECTNO> <SUBJECT>Review of denials of approval.</SUBJECT> <P>(a) An applicant aggrieved by a decision of an approval authority may obtain review of the decision by the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard. The decision of the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard is a final agency action.</P> <CITA>[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58353, Sept. 30, 2004]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Safety Approval Plate</HD> <SECTION> <SECTNO>§ 451.21</SECTNO> <SUBJECT>Safety approval plate required.</SUBJECT> <P>(a) The safety approval plate must be supplied by the owner or manufacturer.</P> </SECTION> <SECTION> <SECTNO>§ 451.23</SECTNO> <SUBJECT>Plate specifications.</SUBJECT> <P>(a) The safety approval plate must be of the size and in the format specified in the appendix to Annex I to the convention.</P> <P>(b) The safety approval plate must be:</P> <P>(1) Designed to withstand and remain legible after a 15 minute exposure to a medium intensity fire producing a temperature of 1,000 °F (540 °C), when mounted on the specified material of construction of the container.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 451.25</SECTNO> <SUBJECT>Required information.</SUBJECT> <P>(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).”</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 452</EAR> <HD SOURCE="HED">PART 452—EXAMINATION OF CONTAINERS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>452.1</SECTNO> <SUBJECT>Periodic examination required.</SUBJECT> <SECTNO>452.3</SECTNO> <SUBJECT>Elements of periodic examinations.</SUBJECT> <SECTNO>452.5</SECTNO> <SUBJECT>Examinations made in conjunction with other inspections.</SUBJECT> <SECTNO>452.7</SECTNO> <SUBJECT>Continuous examination program.</SUBJECT> <SECTNO>452.9</SECTNO> <SUBJECT>Elements of a continuous examination program.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 4, 91 Stat 1475 (46 U.S.C. 1503); Department of Homeland Security Delegation No. 0170.1.</P> </AUTH> <SECTION> <PRTPAGE P="14"/> <SECTNO>§ 452.1</SECTNO> <SUBJECT>Periodic examination required.</SUBJECT> <P>(a) Except as provided for in § 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 § 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:</P> <GPOTABLE CDEF="s25,xs50" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Date of initial plating</CHED> <CHED H="1">Subsequent examination</CHED> </BOXHD> <ROW> <ENT I="01">Existing containers before Sept. 30, 1981 and new containers before Dec. 31, 1978</ENT> <ENT>Before Jan. 1986.</ENT> </ROW> <ROW> <ENT I="01">Existing containers between Oct. 1, 1981 and Sept. 30, 1982 and new containers between Jan. 1, 1979 and Dec. 31, 1979</ENT> <ENT>Before May 1986.</ENT> </ROW> <ROW> <ENT I="01">Existing containers between Oct. 1, 1982 and Sept. 30, 1983 and new containers between Jan. 1, 1980 and Dec. 31, 1980</ENT> <ENT>Before Sept. 1986.</ENT> </ROW> <ROW> <ENT I="01">Existing containers between Oct. 1, 1983 and Dec. 31, 1984 and new containers between Jan. 1, 1981 and Dec. 31, 1981</ENT> <ENT>Before Jan. 1987.</ENT> </ROW> </GPOTABLE> <NOTE> <HD SOURCE="HED">Note:</HD> <P>Containers plated under § 451.14 are considered existing containers in the above schedule.</P> </NOTE> <P>(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 § 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.</P> <P>(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.</P> <CITA>[45 FR 37216, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 49 FR 15562, Apr. 19, 1984; 69 FR 58353, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 452.3</SECTNO> <SUBJECT>Elements of periodic examinations.</SUBJECT> <P>(a) Periodic examinations required by § 452.1 must conform to the following minimum requirements:</P> <P>(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.</P> <P>(2) Each examination must take into account the particular characteristics of various kinds of containers and materials of construction.</P> <P>(3) Each examination must be performed by qualified personnel, trained and experienced in the detection of container structural damage.</P> <P>(4) The examinations must be scheduled so as to allow adequate time for thorough performance.</P> <P>(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.</P> <P>(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 <PRTPAGE P="15"/>form to be produced on demand of the Commandant or his representative.</P> <CITA>[45 FR 37216, June 2, 1980; as amended at 69 FR 58353, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 452.5</SECTNO> <SUBJECT>Examinations made in conjunction with other inspections.</SUBJECT> <P>(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 § 452.3.</P> <CITA>[45 FR 37216, June 2, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 452.7</SECTNO> <SUBJECT>Continuous examination program.</SUBJECT> <P>(a) In lieu of a periodic examination under § 452.1, each owner of an approved container meeting § 450.5 may examine the container or have it examined using an approved continuous examination program. An owner must submit the continuous examination program for approval to the Commandant (G-MSO), 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 § 452.9.</P> <P>(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.</P> <P>(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.</P> <APPRO>(The information collection requirements contained in paragraphs (a) and (b) have been approved by the Office of Management and Budget under OMB control number 1625-0024)</APPRO> <CITA>[49 FR 15562, Apr. 19, 1984, as amended at 69 FR 58353, Sept. 30, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 452.9</SECTNO> <SUBJECT>Elements of a continuous examination program.</SUBJECT> <P>(a) Examinations required by § 452.7 must conform to the following minimum requirements:</P> <P>(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.</P> <P>(2) Each thorough examination must be performed by qualified personnel, trained and experienced in the detection of container structural damage.</P> <P>(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.</P> <P>(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.</P> <APPRO>(The information collection requirements contained in paragraph (b) have been approved by the Office of Management and Budget under OMB control number 1625-0024)</APPRO> <CITA>[49 FR 15562, Apr. 19, 1984, as amended at 69 FR 58353, Sept. 30, 2004]</CITA> </SECTION> </PART> <PART> <PRTPAGE P="16"/> <EAR>Pt. 453</EAR> <HD SOURCE="HED">PART 453—CONTROL AND ENFORCEMENT</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>453.1</SECTNO> <SUBJECT>Unsafe and noncomplying containers subject to detention or control.</SUBJECT> <SECTNO>453.3</SECTNO> <SUBJECT>Detention orders and other orders.</SUBJECT> <SECTNO>453.5</SECTNO> <SUBJECT>Termination of detention orders and other orders.</SUBJECT> <SECTNO>453.7</SECTNO> <SUBJECT>Appeal provisions.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 4, 91 Stat 1475 (46 U.S.C. 1503); Department of Homeland Security Delegation No. 0170.1.</P> </AUTH> <SECTION> <SECTNO>§ 453.1</SECTNO> <SUBJECT>Unsafe and noncomplying containers subject to detention or control.</SUBJECT> <P>(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 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.</P> <P>(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.</P> <P>(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 § 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.</P> <CITA>[45 FR 37217, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]</CITA> </SECTION> <SECTION> <SECTNO>§ 453.3</SECTNO> <SUBJECT>Detention orders and other orders.</SUBJECT> <P>(a) The terms of any detention order or other order issued under § 453.1, to the maximum extent practicable, make provisions to avoid loss or damage to cargo.</P> <P>(b) Written notice of any detention order or other order issued under § 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.</P> <CITA>[45 FR 37217, June 2, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 453.5</SECTNO> <SUBJECT>Termination of detention orders and other orders.</SUBJECT> <P>(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 § 452.3 and a new re-examination date marked on the container in accordance with § 452.1(b) of this subchapter.</P> <P>(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 <PRTPAGE P="17"/>has been brought into compliance. Upon giving such notice, the owner, or his agent, may return the container to service.</P> <CITA>[45 FR 37217, June 2, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 453.7</SECTNO> <SUBJECT>Appeal provisions.</SUBJECT> <P>(a) The owner, his agent, or the custodian of a container subject to a detention order or other order, may petition the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard to review that order.</P> <P>(b) The Chief, Office of Operating and Environmental Standards (G-MSO), 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 Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard affirms, sets aside, or modifies the order.</P> <P>(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.</P> <P>(d) Unless otherwise determined by the Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard, a detention order or other order remains in effect pending the outcome of any petition or appeal of that order.</P> <P>(e) The Chief, Office of Operating and Environmental Standards (G-MSO), U.S. Coast Guard acts on all appeals within ten days of receipt.</P> <CITA>[45 FR 37217, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 FR 58353, Sept. 30, 2004]</CITA> </SECTION> </PART> </SUBCHAP> </CHAPTER> <CHAPTER> <LRH>49 CFR Ch. V (10-1-06 Edition)</LRH> <RRH>Nat'l Highway Traffic Safety Admin., DOT</RRH> <TOC> <TOCHD> <PRTPAGE P="19"/> <HD SOURCE="HED">CHAPTER V—NATIONAL HIGHWAY TRAFFIC</HD> <HD SOURCE="HED">SAFETY ADMINISTRATION, DEPARTMENT</HD> <HD SOURCE="HED">OF TRANSPORTATION</HD> </TOCHD> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>501</PT> <SUBJECT>Organization and delegation of powers and duties</SUBJECT> <PG>23</PG> <PT>509</PT> <SUBJECT>OMB control numbers for information collection requirements</SUBJECT> <PG>28</PG> <PT>510</PT> <SUBJECT>Information gathering powers</SUBJECT> <PG>28</PG> <PT>511</PT> <SUBJECT>Adjudicative procedures</SUBJECT> <PG>34</PG> <PT>512</PT> <SUBJECT>Confidential business information</SUBJECT> <PG>60</PG> <PT>520</PT> <SUBJECT>Procedures for considering environmental impacts</SUBJECT> <PG>68</PG> <PT>523</PT> <SUBJECT>Vehicle classification</SUBJECT> <PG>84</PG> <PT>525</PT> <SUBJECT>Exemptions from average fuel economy standards</SUBJECT> <PG>87</PG> <PT>526</PT> <SUBJECT>Petitions and plans for relief under the Automobile Fuel Efficiency Act of 1980</SUBJECT> <PG>91</PG> <PT>529</PT> <SUBJECT>Manufacturers of multistage automobiles</SUBJECT> <PG>92</PG> <PT>531</PT> <SUBJECT>Passenger automobile average fuel economy standards</SUBJECT> <PG>96</PG> <PT>533</PT> <SUBJECT>Light truck fuel economy standards</SUBJECT> <PG>98</PG> <PT>534</PT> <SUBJECT>Rights and responsibilities of manufacturers in the context of changes in corporate relationships</SUBJECT> <PG>103</PG> <PT>535</PT> <SUBJECT>3-year carryforward and carryback of credits for light trucks</SUBJECT> <PG>104</PG> <PT>537</PT> <SUBJECT>Automotive fuel economy reports</SUBJECT> <PG>106</PG> <PT>538</PT> <SUBJECT>Manufacturing incentives for alternative fuel vehicles</SUBJECT> <PG>111</PG> <PT>541</PT> <SUBJECT>Federal motor vehicle theft prevention standard</SUBJECT> <PG>114</PG> <PT>542</PT> <SUBJECT>Procedures for selecting light duty truck lines to be covered by the theft prevention standard</SUBJECT> <PG>120</PG> <PT>543</PT> <SUBJECT>Exemption from vehicle theft prevention standard</SUBJECT> <PG>122</PG> <PT>544</PT> <SUBJECT>Insurer reporting requirements</SUBJECT> <PG>125</PG> <PT>545</PT> <SUBJECT>Federal motor vehicle theft prevention standard phase-in and small-volume line reporting requirements</SUBJECT> <PG>130</PG> <PT>551</PT> <SUBJECT>Procedural rules</SUBJECT> <PG>132</PG> <PT>552</PT> <SUBJECT>Petitions for rulemaking, defect, and noncompliance orders</SUBJECT> <PG>138<PRTPAGE P="20"/> </PG> <PT>553</PT> <SUBJECT>Rulemaking procedures</SUBJECT> <PG>142</PG> <PT>554</PT> <SUBJECT>Standards enforcement and defects investigation</SUBJECT> <PG>153</PG> <PT>555</PT> <SUBJECT>Temporary exemption from motor vehicle safety and bumper standards</SUBJECT> <PG>155</PG> <PT>556</PT> <SUBJECT>Exemption for inconsequential defect or noncompliance</SUBJECT> <PG>162</PG> <PT>557</PT> <SUBJECT>Petitions for hearings on notification and remedy of defects</SUBJECT> <PG>164</PG> <PT>563</PT> <SUBJECT>Event data recorders</SUBJECT> <PG>165</PG> <PT>564</PT> <SUBJECT>Replaceable light source information</SUBJECT> <PG>173</PG> <PT>565</PT> <SUBJECT>Vehicle identification number requirements</SUBJECT> <PG>177</PG> <PT>566</PT> <SUBJECT>Manufacturer identification</SUBJECT> <PG>182</PG> <PT>567</PT> <SUBJECT>Certification</SUBJECT> <PG>183</PG> <PT>568</PT> <SUBJECT>Vehicles manufactured in two or more stages—All incomplete, intermediate and final-stage manufacturers of vehicles manufactured in two or more stages</SUBJECT> <PG>190</PG> <PT>569</PT> <SUBJECT>Regrooved tires</SUBJECT> <PG>192</PG> <PT>570</PT> <SUBJECT>Vehicle in use inspection standards</SUBJECT> <PG>193</PG> <PT>571</PT> <SUBJECT>Federal motor vehicle safety standards</SUBJECT> <PG>204</PG> <PT>572</PT> <SUBJECT>Anthropomorphic test devices</SUBJECT> <PG>943</PG> <PT>573</PT> <SUBJECT>Defect and noncompliance responsibility and reports</SUBJECT> <PG>1095</PG> <PT>574</PT> <SUBJECT>Tire identification and recordkeeping</SUBJECT> <PG>1108</PG> <PT>575</PT> <SUBJECT>Consumer information</SUBJECT> <PG>1119</PG> <PT>576</PT> <SUBJECT>Record retention</SUBJECT> <PG>1152</PG> <PT>577</PT> <SUBJECT>Defect and noncompliance notification</SUBJECT> <PG>1153</PG> <PT>578</PT> <SUBJECT>Civil and criminal penalties</SUBJECT> <PG>1163</PG> <PT>579</PT> <SUBJECT>Reporting of information and communications about potential defects</SUBJECT> <PG>1166</PG> <PT>580</PT> <SUBJECT>Odometer disclosure requirements</SUBJECT> <PG>1189</PG> <PT>581</PT> <SUBJECT>Bumper standard</SUBJECT> <PG>1199</PG> <PT>582</PT> <SUBJECT>Insurance cost information regulation</SUBJECT> <PG>1202</PG> <PT>583</PT> <SUBJECT>Automobile parts content labeling</SUBJECT> <PG>1203</PG> <PT>585</PT> <SUBJECT>Phase-in reporting requirements</SUBJECT> <PG>1215</PG> <PT>586</PT> <RESERVED>[Reserved]</RESERVED> <PT>587</PT> <SUBJECT>Deformable barriers</SUBJECT> <PG>1228</PG> <PT>588</PT> <SUBJECT>Child restraint systems recordkeeping requirements</SUBJECT> <PG>1237</PG> <PT>589-590</PT> <RESERVED>[Reserved]</RESERVED> <PT>591</PT> <SUBJECT>Importation of vehicles and equipment subject to Federal safety, bumper and theft prevention standards</SUBJECT> <PG>1238</PG> <PT>592</PT> <SUBJECT>Registered importers of vehicles not originally manufactured to conform to the Federal motor vehicle safety standards</SUBJECT> <PG>1249<PRTPAGE P="21"/> </PG> <PT>593</PT> <SUBJECT>Determinations that a vehicle not originally manufactured to conform to the Federal motor vehicle safety standards is eligible for importation</SUBJECT> <PG>1262</PG> <PT>594</PT> <SUBJECT>Schedule of fees authorized by 49 U.S.C. 30141</SUBJECT> <PG>1276</PG> <PT>595</PT> <SUBJECT>Make inoperative exemptions</SUBJECT> <PG>1280</PG> <PT>596-599</PT> <RESERVED> [Reserved]</RESERVED> </CHAPTI> </TOC> <PART> <PRTPAGE P="23"/> <EAR>Pt. 501</EAR> <HD SOURCE="HED">PART 501—ORGANIZATION AND DELEGATION OF POWERS AND DUTIES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>501.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>501.2</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>501.3</SECTNO> <SUBJECT>Organization and general responsibilities.</SUBJECT> <SECTNO>501.4</SECTNO> <SUBJECT>Succession to Administrator.</SUBJECT> <SECTNO>501.5</SECTNO> <SUBJECT>Exercise of authority.</SUBJECT> <SECTNO>501.6</SECTNO> <SUBJECT>Secretary's reservations of authority.</SUBJECT> <SECTNO>501.7</SECTNO> <SUBJECT>Administrator's reservations of authority.</SUBJECT> <SECTNO>501.8</SECTNO> <SUBJECT>Delegations.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. secs. 105 and 322, delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>53 FR 26258, July 12, 1988, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 501.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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”).</P> </SECTION> <SECTION> <SECTNO>§ 501.2</SECTNO> <SUBJECT>General.</SUBJECT> <P>The Administrator is delegated authority by the Secretary of Transportation (49 CFR 1.50) to:</P> <P>(a) Carry out the following chapters or sections of Title 49 of the United States Code:</P> <P>(1) Chapter 301—Motor Vehicle Safety.</P> <P>(2) Chapter 303—National Driver Register.</P> <P>(3) Chapter 305—National Automobile Title Information System.</P> <P>(4) Chapter 321—General.</P> <P>(5) Chapter 323—Consumer Information.</P> <P>(6) Chapter 325—Bumper Standards.</P> <P>(7) Chapter 327—Odometers.</P> <P>(8) Chapter 329—Automobile Fuel Economy.</P> <P>(9) Chapter 331—Theft Prevention.</P> <P>(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.</P> <P>(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.</P> <P>(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)).</P> <P>(d) Carry out the Act of July 14, 1960, as amended (23 U.S.C. 313 note).</P> <P>(e) Administer the following sections of Title 23, United States Code, with the concurrence of the Federal Highway Administrator:</P> <P>(1) Section 141, as it relates to certification of the enforcement of speed limits.</P> <P>(2) Section 153.</P> <P>(3) Section 154(a), (b), (d), and (e).</P> <P>(4) Section 158.</P> <P>(f) Carry out the consultation functions vested in the Secretary by Executive Order 11912 (3 CFR, 1976 Comp., p. 114), as amended.</P> <CITA>[60 FR 43029, Aug. 18, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 501.3</SECTNO> <SUBJECT>Organization and general responsibilities.</SUBJECT> <P>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:</P> <P>(a) <E T="03">Office of the Administrator</E>—(1) <E T="03">Administrator.</E> (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);</P> <P>(ii) Establishes NHTSA program policies, objectives, and priorities and directs development of action plans to accomplish the NHTSA mission;</P> <P>(iii) Directs, controls, and evaluates the organization, program activities, <PRTPAGE P="24"/>performance of NHTSA staff, program and field offices;</P> <P>(iv) Approves broad legislative, budgetary, fiscal and program proposals and plans; and</P> <P>(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.</P> <P>(2) <E T="03">Deputy Administrator.</E> 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.</P> <P>(3) [Reserved]</P> <P>(4) <E T="03">Director, Executive Secretariat.</E> 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.</P> <P>(5) <E T="03">Director, Office of Civil Rights.</E> 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.</P> <P>(6) <E T="03">Director, Intergovernmental Affairs.</E> As the principal advisor to the Administrator and Deputy Administrator on all intergovernmental matters, including communications with Congress, communicates agency policy and coordinates with the Chief Counsel on legislative issues affecting the agency.</P> <P>(b) <E T="03">Chief Counsel.</E> 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.</P> <P>(c) <E T="03">Senior Associate Administrators</E>—(1) <E T="03">Senior Associate Administrator for Policy and Operations.</E> As the principal advisor to the Administrator and Deputy Administrator with regard to core administrative and support services, provides direction and internal management and mission support for such activities. Provides executive direction over the Associate Administrator for Advanced Research and Analysis, the Associate Administrator for Administration, the Associate Administrator for Planning, Evaluation and Budget, the Chief Information Officer and the Office of Communications and Consumer Information.</P> <P>(2) <E T="03">Senior Associate Administrator for Vehicle Safety.</E> As the principal advisor to the Administrator and Deputy Administrator with regard to rulemaking, enforcement and applied research, provides direction and internal management and mission support for such activities. Provides executive direction over the Associate Administrator for Rulemaking, the Associate Administrator for Enforcement, and the Associate Administrator for Applied Research.</P> <P>(3) <E T="03">Senior Associate Administrator for Traffic Injury Control.</E> As the principal advisor to the Administrator and Deputy Administrator with regard to programs to reduce traffic injury, provides direction and internal management and mission support for such activities. Provides executive direction over the Associate Administrator for Program Development and Delivery and the Associate Administrator for Injury Control Operations and Resources.</P> <CITA>[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; 67 FR 44083, 44085, July 1, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 501.4</SECTNO> <SUBJECT>Succession to Administrator.</SUBJECT> <P>(a) 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:<PRTPAGE P="25"/> </P> <P>(1) Deputy Administrator;</P> <P>(2) Chief Counsel;</P> <P>(3) Senior Associate Administrator for Vehicle Safety;</P> <P>(4) Senior Associate Administrator for Traffic Injury Control; and</P> <P>(5) Senior Associate Administrator for Policy and Operations.</P> <P>(b) In order to qualify for the line of succession, officials must be encumbered in their position on a permanent basis.</P> <CITA>[69 FR 63957, Nov. 3, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 501.5</SECTNO> <SUBJECT>Exercise of authority.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 <E T="04">Federal Register</E> when they affect the public.</P> <P>(d) Each officer to whom authority is delegated will administer and perform the functions described in the officer's respective functional statements.</P> <CITA>[53 FR 26258, July 12, 1988, as amended at 58 FR 12545, Mar. 5, 1993]</CITA> </SECTION> <SECTION> <SECTNO>§ 501.6</SECTNO> <SUBJECT>Secretary's reservations of authority.</SUBJECT> <P>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).</P> </SECTION> <SECTION> <SECTNO>§ 501.7</SECTNO> <SUBJECT>Administrator's reservations of authority.</SUBJECT> <P>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 § 501.5(a), to the Deputy Administrator or Executive Director:</P> <P>(a) The authority under chapter 301—Motor Vehicle Safety—of Title 49 of the United States Code to:</P> <P>(1) Issue, amend, or revoke final federal motor vehicle safety standards and regulations;</P> <P>(2) Make final decisions concerning alleged safety-related defects and noncompliances with Federal motor vehicle safety standards;</P> <P>(3) Grant or renew temporary exemptions from federal motor vehicle safety standards; and</P> <P>(4) Grant or deny appeals from determinations upon petitions for inconsequential defect or noncompliance.</P> <P>(b) The authority under 23 U.S.C. chapter 4, as amended, to:</P> <P>(1) Apportion authorization amounts and distribute obligation limitations for State and community highway safety programs under 23 U.S.C. 402;</P> <P>(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;</P> <P>(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;</P> <P>(4) Fix the rate of compensation for non-government members of agency sponsored committees which are entitled to compensation.</P> <P>(c) The authority under chapters 321, 323, 325, and 329 of Title 49 of the United States Code to:</P> <P>(1) Issue, amend, or revoke final rules and regulations, except for final rules issued under section 32902(d); and<PRTPAGE P="26"/> </P> <P>(2) Assess civil penalties and approve manufacturer fuel economy credit plans under chapter 329.</P> <P>(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.</P> <CITA>[60 FR 43030, Aug. 18, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 501.8</SECTNO> <SUBJECT>Delegations.</SUBJECT> <P>(a) <E T="03">Deputy Administrator.</E> 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.</P> <P>(b) [Reserved]</P> <P>(c) <E T="03">Director, Office of Civil Rights.</E> The Director, Office of Civil Rights is delegated authority to:</P> <P>(1) Act as the NHTSA Director of Equal Employment Opportunity.</P> <P>(2) Act as NHTSA Contracts Compliance Officer.</P> <P>(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, 1980 Comp., p. 298), and regulations of the Department of Justice.</P> <P>(d) <E T="03">Chief Counsel.</E> The Chief Counsel is delegated authority to:</P> <P>(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.</P> <P>(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.</P> <P>(3) Exercise the powers of the Administrator under 49 U.S.C. 30166 (c), (g), (h), (i), and (k).</P> <P>(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.</P> <P>(5) Issue authoritative interpretations of the statutes administered by NHTSA and the regulations issued by the agency.</P> <P>(e) <E T="03">Senior Associate Administrator for Policy and Operations.</E> The Senior Associate Administrator for Policy and operations is delegated authority for executive direction of the Associate Administrator for Advanced Research and Analysis; the Associate Administrator for Administration; the Associate Administrator for Planning, Evaluation, and Budget; the Chief Information Officer; and the Director of Communications and Consumer Information. To carry out this direction, the Senior Associate Administrator for Policy and Operations is delegated authority, except for authority reserved to the Administrator, 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. Except for authority reserved to the Senior Associate Administrator for Vehicle Safety, the Senior Associate Administrator for Policy and Operations 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, United States Code, and Chapter 4 of title 23, United States Code, as amended, in coordination with the Senior Associate <PRTPAGE P="27"/>Administrator for Vehicle Safety and the Chief Counsel. The Senior Associate Administrator for Policy and Operations is also delegated authority to exercise procurement authority with respect to NHTSA requirements; administer and conduct NHTSA's personnel management activities; administer NHTSA financial management programs, including systems of funds control and accounts of all financial transactions; and conduct administrative management services in support of NHTSA missions and programs.</P> <P>(f) <E T="03">Senior Associate Administrator for Vehicle Safety.</E> The Senior Associate Administrator for Vehicle Safety is delegated authority for executive direction of the Associate Administrator for Rulemaking, the Associate Administrator for Enforcement and the Associate Administrator for Applied Research. The Senior Associate Administrator for Vehicle Safety exercises executive direction with respect to the setting of standards and regulations for motor vehicle safety, fuel economy, theft prevention, consumer information, and odometer fraud. To carry out this direction, the Senior Associate Administrator for Vehicle Safety is delegated authority, except for authority reserved to the Administrator or the Chief Counsel, 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 odometer fraud regulations authorized under Chapters 301, 323, 325, 327, 329, and 331 of title 49, United States Code. Except for authority reserved to the Senior Associate Administrator for Policy and Operations, the Senior Associate Administrator for Vehicle Safety 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, United States Code, and Chapter 4 of title 23, United States Code, as amended, in coordination with the appropriate Associate Administrators, and the Chief Counsel. The Senior Associate Administrator for Vehicle Safety is also delegated authority to 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 labeling errors; extend comment periods (both self-initiated and in response to a petition for extension of time) for noncontroversial rulemakings; make technical amendments or corrections to a final rule; extend the effective date of a noncontroversial final rule; administer 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 Chapters 301, 323, 325, 327, 329, and 331 of title 49, United States Code; issue regulations relating to the importation of motor vehicles under sections 30141 through 30147 of title 49, United States Code; and grant and deny petitions for import eligibility determinations submitted to NHTSA by motor vehicle manufacturers and registered importers under 49 U.S.C. 30141.</P> <P>(g) <E T="03">Senior Associate Administrator for Traffic Injury Control.</E> The Senior Associate Administrator for Traffic Injury Control is delegated authority for executive direction of the Associate Administrator for Program Development and Delivery and the Associate Administrator for Injury Control Operations and Resources. To carry out this direction, the Senior Associate Administrator for Traffic Injury Control is delegated authority, except for authority reserved to the Administrator, over programs with respect to: Chapter 4 of title 23, United States Code, 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 157(g) of title 23, United States Code; the authority vested by sections 153, 154, 157(except paragraph (g)), 161, 163, and 164 of title <PRTPAGE P="28"/>23, 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 § 501.2(i). The Senior Associate Administrator for Traffic Injury Control is also 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; and to implement 23 U.S.C. 403.</P> <P>(h) <E T="03">Director, Office of Vehicle Safety Compliance, Enforcement.</E> 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).</P> <CITA>[60 FR 43030, Aug. 18, 1995, as amended at 61 FR 26469, May 28, 1996; 67 FR 44084, 44085, July 1, 2002]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 509</EAR> <HD SOURCE="HED">PART 509—OMB CONTROL NUMBERS FOR INFORMATION COLLECTION REQUIREMENTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>509.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>509.2</SECTNO> <SUBJECT>Display.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>44 U.S.C. 3507.</P> </AUTH> <SECTION> <SECTNO>§ 509.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> <CITA>[48 FR 51310, Nov. 8, 1983]</CITA> </SECTION> <SECTION> <SECTNO>§ 509.2</SECTNO> <SUBJECT>Display.</SUBJECT> <GPOTABLE CDEF="s25,10" COLS="2" OPTS="L2,i1"> <BOXHD> <CHED H="1">49 CFR part or section containing information collection requirement</CHED> <CHED H="1">OMB control No.</CHED> </BOXHD> <ROW> <ENT I="01">Part 512</ENT> <ENT>2127-0025</ENT> </ROW> <ROW> <ENT I="01">Part 537</ENT> <ENT>2127-0019</ENT> </ROW> <ROW> <ENT I="01">Part 538</ENT> <ENT>2127-0554</ENT> </ROW> <ROW> <ENT I="01">Part 541</ENT> <ENT>2127-0510</ENT> </ROW> <ROW> <ENT I="01">Part 542</ENT> <ENT>2127-0539</ENT> </ROW> <ROW> <ENT I="01">Part 543</ENT> <ENT>2127-0542</ENT> </ROW> <ROW> <ENT I="01">Part 544</ENT> <ENT>2127-0547</ENT> </ROW> <ROW> <ENT I="01">Section 551.45</ENT> <ENT>2127-0040</ENT> </ROW> <ROW> <ENT I="01">Part 552 and Part 527</ENT> <ENT>2127-0046</ENT> </ROW> <ROW> <ENT I="01">Part 556</ENT> <ENT>2127-0045</ENT> </ROW> <ROW> <ENT I="01">Part 557</ENT> <ENT>2127-0039</ENT> </ROW> <ROW> <ENT I="01">Part 566</ENT> <ENT>2127-0043</ENT> </ROW> <ROW> <ENT I="01">Consolidated owners' manual requirements for vehicles and equipment (§§ 571.126, 571.205 571.208, 571.210, and 575.105)</ENT> <ENT>2127-0541</ENT> </ROW> <ROW> <ENT I="01">Consolidatd labeling requirements for tires and rims (parts 569 and 574, §§ 571.109, 571.110, 571.117, 571,119, and 571.120)</ENT> <ENT>2127-0503</ENT> </ROW> <ROW> <ENT I="01">Consolidated VIN and Theft Prevention Standard and Labeling Requirements (parts 541, 565, 567 and § 571.115)</ENT> <ENT>2127-0510</ENT> </ROW> <ROW> <ENT I="01">Consolidated lighting requirements (part 564 and § 571.108)</ENT> <ENT>2127-0563</ENT> </ROW> <ROW> <ENT I="01">Section 571.106</ENT> <ENT>2127-0052</ENT> </ROW> <ROW> <ENT I="01">Section 571.116</ENT> <ENT>2127-0521</ENT> </ROW> <ROW> <ENT I="01">Section 571.125</ENT> <ENT>2127-0506</ENT> </ROW> <ROW> <ENT I="01">Section 571.205</ENT> <ENT>2127-0038</ENT> </ROW> <ROW> <ENT I="01">Section 571.209</ENT> <ENT>2127-0512</ENT> </ROW> <ROW> <ENT I="01">Section 571.213</ENT> <ENT>2127-0511</ENT> </ROW> <ROW> <ENT I="01">Section 571.214</ENT> <ENT>2127-0558</ENT> </ROW> <ROW> <ENT I="01">Section 571.217</ENT> <ENT>2127-0505</ENT> </ROW> <ROW> <ENT I="01">Section 571.218</ENT> <ENT>2127-0518</ENT> </ROW> <ROW> <ENT I="01">Part 573</ENT> <ENT>2127-0004</ENT> </ROW> <ROW> <ENT I="01">Part 574</ENT> <ENT>2127-0050</ENT> </ROW> <ROW> <ENT I="01">Part 575 excluding UTQGS</ENT> <ENT>2127-0049</ENT> </ROW> <ROW> <ENT I="01">Section 575.104 (UTQGS)</ENT> <ENT>2127-0519</ENT> </ROW> <ROW> <ENT I="01">Part 576</ENT> <ENT>2127-0042</ENT> </ROW> <ROW> <ENT I="01">Part 580</ENT> <ENT>2127-0047</ENT> </ROW> <ROW> <ENT I="01">Part 585</ENT> <ENT>2127-0535</ENT> </ROW> <ROW> <ENT I="01">Parts 591 and 592</ENT> <ENT>2127-0002</ENT> </ROW> </GPOTABLE> <CITA>[57 FR 21215, May 19, 1992]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 510</EAR> <HD SOURCE="HED">PART 510—INFORMATION GATHERING POWERS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>510.1</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> <SECTNO>510.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>510.3</SECTNO> <SUBJECT>Compulsory process, the service thereof, claims for confidential treatment, and terms of compliance.</SUBJECT> <SECTNO>510.4</SECTNO> <SUBJECT>Subpoenas, generally.</SUBJECT> <SECTNO>510.5</SECTNO> <SUBJECT>Information gathering hearings.</SUBJECT> <SECTNO>510.6</SECTNO> <SUBJECT>Administrative depositions.</SUBJECT> <SECTNO>510.7</SECTNO> <SUBJECT>General or special orders.</SUBJECT> <SECTNO>510.8</SECTNO> <SUBJECT>Written requests for the production of documents and things.</SUBJECT> <SECTNO>510.9</SECTNO> <SUBJECT>Motions to modify, limit, or quash process.<PRTPAGE P="29"/> </SUBJECT> <SECTNO>510.10</SECTNO> <SUBJECT>Supplementation of responses to process.</SUBJECT> <SECTNO>510.11</SECTNO> <SUBJECT>Fees.</SUBJECT> <SECTNO>510.12</SECTNO> <SUBJECT>Remedies for failure to comply with compulsory process.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 29042, May 1, 1980, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 510.1</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 510.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">NHTSA</E> means the National Highway Traffic Safety Administration.</P> <P>(b) <E T="03">Administrator</E> means the Administrator of the National Highway Traffic Safety Administration.</P> <P>(c) <E T="03">Chief Counsel</E> means the Chief Counsel of the National Highway Traffic Safety Administration.</P> <P>(d) <E T="03">Deputy Administrator</E> means the Deputy Administrator of the National Highway Traffic Safety Administration.</P> <P>(e) <E T="03">Person</E> includes agents, officers, and employees of sole proprietorships, partnerships, corporations, and other entities.</P> <CITA>[45 FR 29042, May 1, 1980; 45 FR 32001, May 15, 1980]</CITA> </SECTION> <SECTION> <SECTNO>§ 510.3</SECTNO> <SUBJECT>Compulsory process, the service thereof, claims for confidential treatment, and terms of compliance.</SUBJECT> <P>(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 <E T="03">et seq.,</E> and the Motor Vehicle Information and Cost Savings Act, as amended, 15 U.S.C. 1901 <E T="03">et seq.</E>:</P> <P>(1) Subpoenas;</P> <P>(2) Information gathering hearings;</P> <P>(3) Administrative depositions;</P> <P>(4) General or special orders; and</P> <P>(5) Written requests for the production of documents and things.</P> <P>(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:</P> <P>(1) The name of the person, sole proprietorship, partnership, corporation, or other entity to which the process is addressed;</P> <P>(2) The statutory provision under which the compulsory process is issued;</P> <P>(3) The date, time, and place of return;</P> <P>(4) A brief statement of the subject matter of the investigation, inspection, or inquiry; and</P> <P>(5) In the case of a subpoena <E T="03">duces tecum</E> or a written request for the production of documents and things, a reasonably specific description of the documents or things to be produced.</P> <P>(c) Service of the compulsory processes specified in paragraph (a) of this section is effected:</P> <P>(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</P> <P>(2) By mail (registered or certified) or delivery to the last known residence or business address of such person or agent.</P> <P>(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.</P> <P>(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 <PRTPAGE P="30"/>treatment for all or part of that information or for those documents or things.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 510.4</SECTNO> <SUBJECT>Subpoenas, generally.</SUBJECT> <P>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.</P> <CITA>[53 FR 26261, July 12, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 510.5</SECTNO> <SUBJECT>Information gathering hearings.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="31"/>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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 510.6</SECTNO> <SUBJECT>Administrative depositions.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) During an administrative deposition:</P> <P>(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.</P> <P>(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 <PRTPAGE P="32"/>the witness and so forth, as appropriate.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(6) Upon completion of the examination of a witness, the witness may clarify on the record any of his or her answers.</P> <P>(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.</P> <P>(e) The transcript of the testimony of a witness will be inspected by NHTSA to determine if there are any errors in 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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <PRTPAGE P="33"/> <SECTNO>§ 510.7</SECTNO> <SUBJECT>General or special orders.</SUBJECT> <P>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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 510.8</SECTNO> <SUBJECT>Written requests for the production of documents and things.</SUBJECT> <P>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 § 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 § 510.3(b).</P> </SECTION> <SECTION> <SECTNO>§ 510.9</SECTNO> <SUBJECT>Motions to modify, limit, or quash process.</SUBJECT> <P>(a)(1) Any person, sole proprietorship, partnership, corporation, or other entity served with a subpoena issued under § 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 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.</P> <P>(2) The Deputy Administrator may, upon receiving a motion filed pursuant to paragraph (a)(1) of this section:</P> <P>(i) Deny the motion;</P> <P>(ii) Modify the return date of the subpoena;</P> <P>(iii) Modify, limit or quash the subpoena;</P> <P>(iv) Condition granting the motion upon certain requirements; or</P> <P>(v) Take any other action he or she believes to be appropriate in the circumstances.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 510.10</SECTNO> <SUBJECT>Supplementation of responses to process.</SUBJECT> <P>(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 <PRTPAGE P="34"/>that information in the light of after acquired information, except:</P> <P>(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.</P> <P>(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.</P> <P>(b) The requirement to supplement information set forth in paragraph (a) of this section terminates when:</P> <P>(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.</P> <P>(2) The compulsory process stated that it was issued in connection with an enforcement investigation, and the investigation is closed.</P> <P>(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.</P> <P>(c) This section in no way limits NHTSA's authority to obtain supplemental information by specific demands through the means specified in § 510.3.</P> </SECTION> <SECTION> <SECTNO>§ 510.11</SECTNO> <SUBJECT>Fees.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 510.12</SECTNO> <SUBJECT>Remedies for failure to comply with compulsory process.</SUBJECT> <P>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 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.</P> </SECTION> </PART> <PART> <EAR>Pt. 511</EAR> <HD SOURCE="HED">PART 511—ADJUDICATIVE PROCEDURES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Scope of Rules; Nature of Adjudicative Proceedings, Definitions</HD> <SECHD>Sec.</SECHD> <SECTNO>511.1</SECTNO> <SUBJECT>Scope of the rules.</SUBJECT> <SECTNO>511.2</SECTNO> <SUBJECT>Nature of adjudicative proceedings.</SUBJECT> <SECTNO>511.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Pleadings; Form; Execution; Service of Documents</HD> <SECTNO>511.11</SECTNO> <SUBJECT>Commencement of proceedings.</SUBJECT> <SECTNO>511.12</SECTNO> <SUBJECT>Answer.</SUBJECT> <SECTNO>511.13</SECTNO> <SUBJECT>Amendments and supplemental pleadings.</SUBJECT> <SECTNO>511.14</SECTNO> <SUBJECT>Form and filing of documents.</SUBJECT> <SECTNO>511.15</SECTNO> <SUBJECT>Time.</SUBJECT> <SECTNO>511.16</SECTNO> <SUBJECT>Service.</SUBJECT> <SECTNO>511.17</SECTNO> <SUBJECT>Public participation.</SUBJECT> <SECTNO>511.18</SECTNO> <SUBJECT>Joinder of proceedings.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement</HD> <SECTNO>511.21</SECTNO> <SUBJECT>Prehearing conferences.</SUBJECT> <SECTNO>511.22</SECTNO> <SUBJECT>Prehearing briefs.</SUBJECT> <SECTNO>511.23</SECTNO> <SUBJECT>Motions.</SUBJECT> <SECTNO>511.24</SECTNO> <SUBJECT>Interlocutory appeals.</SUBJECT> <SECTNO>511.25</SECTNO> <SUBJECT>Summary decision and order.</SUBJECT> <SECTNO>511.26</SECTNO> <SUBJECT>Settlement.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Discovery; Compulsory Process</HD> <SECTNO>511.31</SECTNO> <SUBJECT>General provisions governing discovery.</SUBJECT> <SECTNO>511.32</SECTNO> <SUBJECT>Written interrogatories to parties.</SUBJECT> <SECTNO>511.33</SECTNO> <SUBJECT>Production of documents and things.</SUBJECT> <SECTNO>511.34</SECTNO> <SUBJECT>Requests for admission.</SUBJECT> <SECTNO>511.35</SECTNO> <SUBJECT>Testimony upon oral examination.</SUBJECT> <SECTNO>511.36</SECTNO> <SUBJECT>Motions to compel discovery.</SUBJECT> <SECTNO>511.37</SECTNO> <SUBJECT>Sanctions for failure to comply with order.</SUBJECT> <SECTNO>511.38</SECTNO> <SUBJECT>Subpoenas.<PRTPAGE P="35"/> </SUBJECT> <SECTNO>511.39</SECTNO> <SUBJECT>Orders requiring witnesses to testify or provide other information and granting immunity.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Hearings</HD> <SECTNO>511.41</SECTNO> <SUBJECT>General rules.</SUBJECT> <SECTNO>511.42</SECTNO> <SUBJECT>Powers and duties of Presiding Officer.</SUBJECT> <SECTNO>511.43</SECTNO> <SUBJECT>Evidence.</SUBJECT> <SECTNO>511.44</SECTNO> <SUBJECT>Expert witnesses.</SUBJECT> <SECTNO>511.45</SECTNO> <SUBJECT>In camera materials.</SUBJECT> <SECTNO>511.46</SECTNO> <SUBJECT>Proposed findings, conclusions, and order.</SUBJECT> <SECTNO>511.47</SECTNO> <SUBJECT>Record.</SUBJECT> <SECTNO>511.48</SECTNO> <SUBJECT>Official docket.</SUBJECT> <SECTNO>511.49</SECTNO> <SUBJECT>Fees.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Decision</HD> <SECTNO>511.51</SECTNO> <SUBJECT>Initial decision.</SUBJECT> <SECTNO>511.52</SECTNO> <SUBJECT>Adoption of initial decision.</SUBJECT> <SECTNO>511.53</SECTNO> <SUBJECT>Appeal from initial decision.</SUBJECT> <SECTNO>511.54</SECTNO> <SUBJECT>Review of initial decision in absence of appeal.</SUBJECT> <SECTNO>511.55</SECTNO> <SUBJECT>Final decision on appeal or review.</SUBJECT> <SECTNO>511.56</SECTNO> <SUBJECT>Reconsideration.</SUBJECT> <SECTNO>511.57</SECTNO> <SUBJECT>Effective date of order.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards</HD> <SECTNO>511.61</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>511.62</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>511.63</SECTNO> <SUBJECT>Criteria for settlement.</SUBJECT> <SECTNO>511.64</SECTNO> <SUBJECT>Petitions for settlement; timing, contents.</SUBJECT> <SECTNO>511.65</SECTNO> <SUBJECT>Public comment.</SUBJECT> <SECTNO>511.66</SECTNO> <SUBJECT>Confidential business information.</SUBJECT> <SECTNO>511.67</SECTNO> <SUBJECT>Settlement order.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Appearances; Standards of Conduct</HD> <SECTNO>511.71</SECTNO> <SUBJECT>Who may make appearances.</SUBJECT> <SECTNO>511.72</SECTNO> <SUBJECT>Authority for representation.</SUBJECT> <SECTNO>511.73</SECTNO> <SUBJECT>Written appearances.</SUBJECT> <SECTNO>511.74</SECTNO> <SUBJECT>Attorneys.</SUBJECT> <SECTNO>511.75</SECTNO> <SUBJECT>Persons not attorneys.</SUBJECT> <SECTNO>511.76</SECTNO> <SUBJECT>Qualifications and standards of conduct.</SUBJECT> <SECTNO>511.77</SECTNO> <SUBJECT>Restrictions as to former members and employees.</SUBJECT> <SECTNO>511.78</SECTNO> <SUBJECT>Prohibited communications.</SUBJECT> <APP>Appendix I to Part 511—Final Prehearing Order</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>15 U.S.C. 2002; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 81578, Dec. 11, 1980, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—Scope of Rules; Nature of Adjudicative Proceedings, Definitions</HD> <SECTION> <SECTNO>§ 511.1</SECTNO> <SUBJECT>Scope of the rules.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.2</SECTNO> <SUBJECT>Nature of adjudicative proceedings.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) As used in this part:</P> <P>(1) The term <E T="03">application</E> means an <E T="03">ex parte</E> request by a party for an order that may be granted or denied without opportunity for response by any other party.</P> <P>(2) The term <E T="03">NHTSA</E> means the National Highway Traffic Safety Administration.</P> <P>(3) The term <E T="03">Administrator</E> means the Administrator of the National Highway Traffic Safety Administration.</P> <P>(4) The term <E T="03">Complaint Counsel</E> means prosecuting counsel for the NHTSA.</P> <P>(5) The term <E T="03">motion</E> 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.</P> <P>(6) The term <E T="03">party</E> means the NHTSA, and any person named as a respondent in a proceeding governed by this part.</P> <P>(7) The term <E T="03">person</E> means any individual, partnership, corporation, association, public or private organization, or Federal, State or municipal governmental entity.<PRTPAGE P="36"/> </P> <P>(8) The term <E T="03">petition</E> 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.</P> <P>(9) The term <E T="03">Presiding Officer</E> 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.</P> <P>(10) The term <E T="03">Respondent</E> means any person against whom a complaint has been issued.</P> <P>(11) The term <E T="03">Office of Hearings</E> means the Officer of Hearings, Department of Transportation.</P> <P>(12) The term <E T="03">staff</E> means the staff of the National Highway Traffic Safety Administration.</P> <P>(13) The term <E T="03">Chief Administrative Law Judge</E> means the Chief Administrative Law Judge of the Office of Hearings, Department of Transportation.</P> <P>(14) The term <E T="03">Docket Section</E> means the Docket Section, Office of the Secretary of Transportation.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Pleadings; Form; Execution; Service of Documents</HD> <SECTION> <SECTNO>§ 511.11</SECTNO> <SUBJECT>Commencement of proceedings.</SUBJECT> <P>(a) <E T="03">Notice of institution of an enforcement proceeding.</E> An adjudicative proceeding under this part is commenced by the issuance of a complaint by the NHTSA.</P> <P>(b) <E T="03">Form and content of complaint.</E> The complaint shall be signed by the Complaint Counsel and shall contain the following:</P> <P>(1) Recital of the legal authority for instituting the proceeding, with specific designation of the statutory provisions involved in each allegation.</P> <P>(2) Identification of each respondent.</P> <P>(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.</P> <P>(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.</P> <P>(5) The right of the respondent to a hearing on the alleged violations.</P> <P>(c) <E T="03">Notice to the public.</E> Once a complaint is issued, notice of it shall be immediately submitted to the <E T="04">Federal Register</E> for publication. The notice in the <E T="04">Federal Register</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.12</SECTNO> <SUBJECT>Answer.</SUBJECT> <P>(a) <E T="03">Time for filing.</E> A respondent shall have twenty (20) days after service of a complaint within which to file an answer.</P> <P>(b) <E T="03">Content of answer.</E> An answer shall conform to the following:</P> <P>(1) <E T="03">Request for hearing.</E> 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.</P> <P>(2) <E T="03">Contested allegations.</E> An answer in which the allegations of a complaint are contested shall contain:</P> <P>(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.</P> <P>(ii) A concise statement of the factual and/or legal defenses to each allegation of the complaint.</P> <P>(3) <E T="03">Admitted allegations.</E> If the respondent admits or fails to deny any <PRTPAGE P="37"/>factual allegation, he or she shall be deemed to have waived a hearing as to such allegation.</P> <P>(c) <E T="03">Default.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.13</SECTNO> <SUBJECT>Amendments and supplemental pleadings.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.14</SECTNO> <SUBJECT>Form and filing of documents.</SUBJECT> <P>(a) <E T="03">Filing.</E> 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.</P> <P>(b) <E T="03">Caption.</E> 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.</P> <P>(c) <E T="03">Copies.</E> 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.</P> <P>(d) <E T="03">Signature.</E> (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.</P> <P>(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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.15</SECTNO> <SUBJECT>Time.</SUBJECT> <P>(a) <E T="03">Computation.</E> 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 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.</P> <P>(b) <E T="03">Additional time after service by mail.</E> 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.</P> <P>(c) <E T="03">Extensions.</E> 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 <PRTPAGE P="38"/>time limit which is the subject of the petition.</P> </SECTION> <SECTION> <SECTNO>§ 511.16</SECTNO> <SUBJECT>Service.</SUBJECT> <P>(a) <E T="03">Mandatory service.</E> 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.</P> <P>(b) <E T="03">Service of complaint, ruling, order, decision, or subpoena.</E> Service of a complaint, ruling, order, decision, or subpoena may be effected as follows:</P> <P>(1) <E T="03">By registered or certified mail.</E> 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</P> <P>(2) <E T="03">By delivery to an individual.</E> 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</P> <P>(3) <E T="03">By delivery to an address.</E> 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.</P> <P>(c) <E T="03">Service of documents with prescribed response periods.</E> 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.</P> <P>(d) <E T="03">Service of other documents.</E> 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.</P> <P>(e) <E T="03">Service on a representative.</E> When a party has appeared by an attorney or other representative, service upon that attorney or other representative shall constitute service on the party.</P> <P>(f) <E T="03">Certificate of service.</E> 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 each party to the proceeding. Certificates of service may be in substantially the following form: </P> <EXTRACT> <P>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.</P> <P>Dated at __________ this __ day of __________, 19__. </P> <FP SOURCE="FP-DASH">(Signature)</FP> <FP SOURCE="FP-DASH">For</FP> </EXTRACT> <P>(g) <E T="03">Date of service.</E> 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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.17</SECTNO> <SUBJECT>Public participation.</SUBJECT> <P> <E T="03">Participant Status.</E> Any person interested in a proceeding commenced pursuant to § 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 § 511.41(d).</P> <CITA>[53 FR 15783, May 3, 1988]</CITA> </SECTION> <SECTION> <PRTPAGE P="39"/> <SECTNO>§ 511.18</SECTNO> <SUBJECT>Joinder of proceedings.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement</HD> <SECTION> <SECTNO>§ 511.21</SECTNO> <SUBJECT>Prehearing conferences.</SUBJECT> <P>(a) <E T="03">When held.</E> (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 <E T="04">Federal Register</E> of the complaint, upon ten (10) days notice to all parties and participants, to consider any or all the following:</P> <P>(i) Motions for consolidation of proceedings;</P> <P>(ii) Identification, simplification and clarification of the issues;</P> <P>(iii) Necessity or desirability of amending the pleadings;</P> <P>(iv) Stipulations and admissions of fact and of the content and authenticity of documents;</P> <P>(v) Oppositions to notices of oral examination;</P> <P>(vi) Motions for protective orders to limit or modify discovery;</P> <P>(vii) Issuance of subpoenas to compel the appearance of witnesses and the production of documents;</P> <P>(viii) Limitation of the number of witnesses, particularly the avoidance of duplicate expert witnesses;</P> <P>(ix) Matters of which official notice will be taken and matters which may be resolved by reliance upon findings of other Federal agencies; and</P> <P>(x) Other matters which may expedite the conduct of the hearing.</P> </SECTION> <SECTION> <SECTNO>§ 511.22</SECTNO> <SUBJECT>Prehearing briefs.</SUBJECT> <P>Not later ten (10) days prior to the hearing, the parties shall, except when 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.23</SECTNO> <SUBJECT>Motions.</SUBJECT> <P>(a) <E T="03">Presentations and dispositions.</E> During the time a proceeding is before a Presiding Officer, all motions, whether oral or written, except those filed under § 511.42(e), shall be addressed to the Presiding Officer, who shall rule upon them promptly after affording an opportunity for response.</P> <P>(b) <E T="03">Written motions.</E> 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.</P> <P>(c) <E T="03">Responses.</E> 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 <PRTPAGE P="40"/>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.</P> <P>(d) <E T="03">Rulings on motions for dismissal.</E> 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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.24</SECTNO> <SUBJECT>Interlocutory appeals.</SUBJECT> <P>(a) <E T="03">General.</E> Rulings of the Presiding Officer may not be appealed to the Administrator prior to the Initial Decision, except as provided herein.</P> <P>(b) <E T="03">Exceptions—</E>(1) <E T="03">Interlocutory appeals to Administrator.</E> The Administrator may, in his or her discretion, entertain interlocutory appeals where a ruling of the Presiding Officer:</P> <P>(i) Requires the production or disclosure of records claimed to be confidential;</P> <P>(ii) Requires the testimony of a supervisory official of the agency other than one especially cognizant of the facts of the matter in adjudication;</P> <P>(iii) Excludes an attorney from participation in a proceeding pursuant to § 511.42(b).</P> <P>(2) <E T="03">Procedures for interlocutory appeals.</E> 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.</P> <P>(3) <E T="03">Interlocutory appeals from all other rulings—</E>(i) <E T="03">Grounds.</E> 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 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.</P> <P>(ii) <E T="03">Form.</E> 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.</P> <P>(c) <E T="03">Proceedings not stayed.</E> 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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.25</SECTNO> <SUBJECT>Summary decision and order.</SUBJECT> <P>(a) <E T="03">Motion.</E> 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) <PRTPAGE P="41"/>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.</P> <P>(b) <E T="03">Response to motion.</E> Any other party may, within ten (10) days after service of the motion, file a response thereto with a supporting memorandum.</P> <P>(c) <E T="03">Grounds.</E> 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.</P> <P>(d) <E T="03">Legal effect.</E> 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 § 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 § 511.24.</P> <P>(e) <E T="03">Case not fully adjudicated on motion.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.26</SECTNO> <SUBJECT>Settlement.</SUBJECT> <P>(a) <E T="03">Applicability.</E> 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.</P> <P>(b) <E T="03">Availability.</E> Any party shall have the opportunity to submit an offer of settlement to the Presiding Officer.</P> <P>(c) <E T="03">Form.</E> 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.</P> <P>(d) <E T="03">Contents.</E> The proposed consent agreement and order which constitute the offer of settlement shall contain the following:</P> <P>(1) An admission of all jurisdictional facts;</P> <P>(2) An express waiver of further procedural steps, and of all rights to seek judicial review or otherwise to contest the validity of the order;</P> <P>(3) A description of the alleged noncompliance, or violation;</P> <P>(4) Provisions to the effect that the allegations of the complaint are resolved by the proposed consent agreement and order;</P> <P>(5) A listing of the acts or practices from which the respondent shall refrain;</P> <P>(6) A detailed statement of the corrective action(s) which the respondent shall excute and the civil penalty, if any, that respondent shall pay.</P> <P>(e) <E T="03">Transmittal.</E> 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.</P> <P>(f) <E T="03">Stay of proceedings.</E> 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.</P> <P>(g) <E T="03">Administrator's ruling.</E> The Administrator will rule upon all transmitted <PRTPAGE P="42"/>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.</P> <P>(h) <E T="03">Rejection.</E> 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.</P> <P>(i) <E T="03">Effect of rejected offer.</E> 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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Discovery; Compulsory Process</HD> <SECTION> <SECTNO>§ 511.31</SECTNO> <SUBJECT>General provisions governing discovery.</SUBJECT> <P>(a) <E T="03">Applicability.</E> 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 § 511.38.</P> <P>(b) <E T="03">Discovery methods.</E> 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.</P> <P>(c) <E T="03">Scope of discovery.</E> The scope of discovery is as follows:</P> <P>(1) <E T="03">In general.</E> 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.</P> <P>(2) <E T="03">Exception.</E> 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.</P> <P>(3) <E T="03">Hearing preparation: Experts.</E> A party may obtain discovery of facts 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.</P> <P>(d) <E T="03">Protective orders.</E> 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 <E T="03">in camera</E> in accordance with § 511.45.</P> <FP>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.<PRTPAGE P="43"/> </FP> <P>(e) <E T="03">Sequence and timing of discovery.</E> 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.</P> <P>(f) <E T="03">Supplementation of responses.</E> A party who has responded to a request for discovery shall supplement the response with information thereafter acquired.</P> <P>(g) <E T="03">Completion of discovery.</E> 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.</P> <P>(h) <E T="03">Service and filing of discovery.</E> 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.</P> <P>(i) <E T="03">Control of discovery.</E> 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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.32</SECTNO> <SUBJECT>Written interrogatories to parties.</SUBJECT> <P>(a) <E T="03">Availability; procedures for use.</E> 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.</P> <P>(b) <E T="03">Procedures for response.</E> 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 § 511.36 with respect to any objection to or other failure to answer an interrogatory.</P> <P>(c) <E T="03">Scope of interrogatories.</E> Interrogatories may relate to any matters which can be inquired into under § 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.</P> <P>(d) <E T="03">Option to produce business records.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.33</SECTNO> <SUBJECT>Production of documents and things.</SUBJECT> <P>(a) <E T="03">Scope.</E> Any party may serve upon any other party a request (1) to produce and permit the party making <PRTPAGE P="44"/>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 § 511.31(c)(1) and which are in the possession, custody or control of the party upon whom the request is served.</P> <P>(b) <E T="03">Procedure for request.</E> 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.</P> <P>(c) <E T="03">Procedure for response.</E> 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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.34</SECTNO> <SUBJECT>Requests for admission.</SUBJECT> <P>(a) <E T="03">Procedure for request.</E> 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 § 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.</P> <P>(b) <E T="03">Procedure for response.</E> 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 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.</P> <FP>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 § 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.<PRTPAGE P="45"/> </FP> <P>(c) <E T="03">Effect of admission.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.35</SECTNO> <SUBJECT>Testimony upon oral examination.</SUBJECT> <P>(a) <E T="03">When testimony may be taken.</E> At any time after the answer is filed under § 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 § 511.38.</P> <P>(b) <E T="03">Notice of oral examination</E>—(1) <E T="03">Examination of a party.</E> 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 <E T="03">duces tecum</E> 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.</P> <P>(2) <E T="03">Examination of a nonparty.</E> A party desiring to examine a person who is not a party to the proceeding shall make application for a subpoena, in accordance with § 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.</P> <P>(3) <E T="03">Opposition to notice.</E> 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 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.</P> <P>(c) <E T="03">Persons before whom examinations may be taken.</E> 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.</P> <P>(d) <E T="03">Procedure—</E>(1) <E T="03">Examination.</E> 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.</P> <P>(2) <E T="03">Motion to terminate or limit examination.</E> 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 <PRTPAGE P="46"/>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 § 511.31(d).</P> <P>(3) <E T="03">Participation by parties not present.</E> 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.</P> <P>(e) <E T="03">Transcription and filing of testimony—</E>(1) <E T="03">Transcription.</E> 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.</P> <P>(2) <E T="03">Certification and filing.</E> 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.</P> <P>(f) <E T="03">Costs of examination.</E> The party who notices the examination shall pay for the examination. The party who requests transcription of the examination shall pay for the transcription.</P> <P>(g) <E T="03">Failure to attend or to serve subpoena; expenses.</E> If a party who notices 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.</P> <P>(h) <E T="03">Examination to preserve testimony—</E>(1) <E T="03">When available.</E> 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.</P> <P>(2) <E T="03">Procedure.</E> 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.<PRTPAGE P="47"/> </P> <P>(i) <E T="03">Use of testimony obtained under this section.</E> 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:</P> <P>(1) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness.</P> <P>(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.</P> <P>(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:</P> <P>(i) That the witness is dead; or</P> <P>(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</P> <P>(iii) That the witness is unable to attend or testify because of age, illness, infirmity, or imprisonment; or</P> <P>(iv) That the party offering the deposition has been unable to procure the attendance of the witness by subpoena; or</P> <P>(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.</P> <P>(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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.36</SECTNO> <SUBJECT>Motions to compel discovery.</SUBJECT> <P>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 would have been empowered to make on a motion pursuant to § 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.37</SECTNO> <SUBJECT>Sanctions for failure to comply with order.</SUBJECT> <P>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:</P> <P>(a) Infer that the admission, testimony, document or other evidence would have been adverse to the party;</P> <P>(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;</P> <P>(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;</P> <P>(d) Order that the party withholding discovery not introduce into evidence or otherwise use at the hearing, information obtained in discovery;</P> <P>(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;</P> <P>(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 <PRTPAGE P="48"/>that decision on the pleadings be rendered against the party, or both; and</P> <P>(g) Exclude the party or representative from proceedings, in accordance with § 511.42(b).</P> <FP>Any such action may be taken by order at any point in the proceedings.</FP> </SECTION> <SECTION> <SECTNO>§ 511.38</SECTNO> <SUBJECT>Subpoenas.</SUBJECT> <P>(a) <E T="03">Availability.</E> 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.</P> <P>(b) <E T="03">Form.</E> 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.</P> <P>(c) <E T="03">How obtained—</E>(1) <E T="03">Content of application.</E> An application for the issuance of a subpoena stating reasons shall be submitted in triplicate to the Presiding Officer.</P> <P>(2) <E T="03">Procedure of application.</E> 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 <E T="03">ex parte,</E> by issuing the subpoena or by issuing an order denying the application.</P> <P>(d) <E T="03">Issuance of a subpoena.</E> 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.</P> <P>(e) <E T="03">Service of a subpoena.</E> A subpoena may be served in person or by certified mail, return receipt requested, as provided in § 511.16(b). Service shall be made by delivery of the signed “duplicate” copy to the person named therein.</P> <P>(f) <E T="03">Return of service.</E> 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.</P> <P>(g) <E T="03">Motion to quash or limit subpoena.</E> 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.</P> <P>(h) <E T="03">Consequences of failure to comply.</E> In the event of failure to comply with a subpoena, the Presiding Officer may take any of the actions enumerated in § 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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 26261, July 12, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.39</SECTNO> <SUBJECT>Orders requiring witnesses to testify or provide other information and granting immunity.</SUBJECT> <P>(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 § 511.22, and shall include a showing:<PRTPAGE P="49"/> </P> <P>(1) That the testimony or other information sought from a witness or prospective witness may be necessary to the public interest; and</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 511.37.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Hearings</HD> <SECTION> <SECTNO>§ 511.41</SECTNO> <SUBJECT>General rules.</SUBJECT> <P>(a) <E T="03">Public hearings.</E> 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 <E T="04">Federal Register</E>.</P> <P>(b) <E T="03">Expedition.</E> 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.</P> <P>(c) <E T="03">Rights of parties.</E> 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.</P> <P>(d) <E T="03">Rights of participants.</E> 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 § 511.17(b).</P> <P>(e) <E T="03">Rights of witnesses.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.42</SECTNO> <SUBJECT>Powers and duties of Presiding Officer.</SUBJECT> <P>(a) <E T="03">General.</E> 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:</P> <P>(1) To administer oaths and affirmations;</P> <P>(2) To compel discovery and to impose appropriate sanctions for failure to make discovery;</P> <P>(3) To issue subpoenas;</P> <P>(4) To rule upon offers of proof and receive relevant and probative evidence;</P> <P>(5) To regulate the course of the hearings and the conduct of the parties and their representatives therein;</P> <P>(6) To hold conferences for simplification of the issues, settlement of the proceedings, or any other proper purposes;</P> <P>(7) To consider and rule, orally or in writing, upon all procedural and other motions appropriate in an adjudicative proceeding;</P> <P>(8) To issue initial decisions, rulings, and orders, as appropriate;</P> <P>(9) To certify questions to the Administrator for determination; and</P> <P>(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.</P> <P>(b) <E T="03">Exclusion of parties by Presiding Officer.</E> A Presiding Officer shall have the authority, for good cause stated on the record, to exclude from participation in a proceeding any party, participant, <PRTPAGE P="50"/>and/or representative who shall violate requirements of § 511.76. Any party, participant and/or representative so excluded may appeal to the Administrator in accordance with the provisions of § 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.</P> <P>(c) <E T="03">Substitution of Presiding Officer.</E> 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.</P> <P>(d) <E T="03">Interference.</E> 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.</P> <P>(e) <E T="03">Disqualification of Presiding Officer.</E> (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.</P> <P>(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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.43</SECTNO> <SUBJECT>Evidence.</SUBJECT> <P>(a) <E T="03">Applicability of Federal Rules of Evidence.</E> The Federal Rules of Evidence shall apply to proceedings held under this part only as a general guide. The Presiding Officer may admit any relevent and probative evidence.</P> <P>(b) <E T="03">Burden of proof.</E> (1) Complaint counsel shall have the burden of sustaining the allegations of any complaint.</P> <P>(2) Any party who is the proponent of a legal and/or factual proposition shall have the burden of sustaining the proposition.</P> <P>(c) <E T="03">Presumptions.</E> 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.</P> <P>(d) <E T="03">Admissibility.</E> 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.</P> <P>(e) <E T="03">Official notice</E>—(1) <E T="03">Definition.</E> 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.</P> <P>(2) <E T="03">Method of taking official notice.</E> The Presiding Officer may at any time take <PRTPAGE P="51"/>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.</P> <P>(3) <E T="03">Opportunity to challenge.</E> 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.</P> <P>(f) <E T="03">Objections and exceptions.</E> 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.</P> <P>(g) <E T="03">Offer of proof.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.44</SECTNO> <SUBJECT>Expert witnesses.</SUBJECT> <P>(a) <E T="03">Definition.</E> 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.</P> <P>(b) <E T="03">Method of presenting testimony of expert witness.</E> 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 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.</P> <P>(c) <E T="03">Cross-examination and redirect examination of expert witness.</E> 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.</P> <P>(d) <E T="03">Failure to file and/or to exchange written statement.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.45</SECTNO> <SUBJECT>In camera materials.</SUBJECT> <P>(a) <E T="03">Definition. In camera</E> 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 <E T="03">in camera</E> materials is specifically reserved.</P> <P>(b) <E T="03">In camera treatment of documents and testimony.</E> The Presiding Officer or the Administrator, as appropriate under this part, shall have authority, <PRTPAGE P="52"/>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 <E T="03">in camera.</E> The order shall specify the length of time for <E T="03">in camera</E> treatment and shall include:</P> <P>(1) A description of the documents and/or testimony;</P> <P>(2) The reasons for granting <E T="03">in camera</E> treatment for the specified length of time.</P> <P>(c) <E T="03">Access and disclosure to parties.</E> (1) The Administrator and Presiding Officer, and their immediate advisory staffs shall have complete access to all <E T="03">in camera</E> materials. All other parties shall also have complete access to all <E T="03">in camera</E> materials, except that these parties may seek access only in accordance with paragraph (c)(2) of this section when:</P> <P>(i) The <E T="03">in camera</E> materials consist of information obtained by the government from persons not parties to the proceeding; or</P> <P>(ii) The <E T="03">in camera</E> materials consist of information provided by one of the parties to the proceeding which is confidential as to the other parties to the proceeding.</P> <P>(2) Any party desiring access to and/or disclosure of the <E T="03">in camera</E> 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 <E T="03">in camera</E> materials and excise portions thereof before disclosing the materials to the moving party.</P> <P>(d) <E T="03">Segregation of</E> in camera <E T="03">materials. In camera</E> materials shall be segregated from the public record and protected from public view.</P> <P>(e) <E T="03">Public release of</E> in camera <E T="03">materials. In camera</E> materials constitute a part of the confidential records of the NHTSA and shall not be released to the public until the expiration of <E T="03">in camera</E> treatment.</P> <P>(f) <E T="03">Reference to</E> in camera <E T="03">materials.</E> In the submission of proposed findings, conclusions, briefs, or other documents, all parties shall refrain from disclosing specific details of <E T="03">in camera</E> materials. Such refraining shall not preclude general references to such materials. To the extent that parties consider it necessary to include specific details of <E T="03">in camera</E> materials, the references shall be incorporated into separate proposed findings, briefs, or other documents marked “CONFIDENTIAL, CONTAINS <E T="03">IN CAMERA</E> MATERIAL,” which shall be placed <E T="03">in camera</E> and become part of the <E T="03">in camera</E> record. These documents shall be served only on parties accorded access to the <E T="03">in camera</E> materials in accordance with paragraph (c)(2) of this section.</P> </SECTION> <SECTION> <SECTNO>§ 511.46</SECTNO> <SUBJECT>Proposed findings, conclusions, and order.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.47</SECTNO> <SUBJECT>Record.</SUBJECT> <P>(a) <E T="03">Reporting and transcription.</E> 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.<PRTPAGE P="53"/> </P> <P>(b) <E T="03">Corrections.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.48</SECTNO> <SUBJECT>Official docket.</SUBJECT> <P>(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.</P> <P>(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).</P> <CITA>[53 FR 15783, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.49</SECTNO> <SUBJECT>Fees.</SUBJECT> <P>(a) <E T="03">Witnesses.</E> 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.</P> <P>(b) <E T="03">Responsibility.</E> The fees and mileage referred to in this section shall be paid by the party at whose instance witnesses appear.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Decision</HD> <SECTION> <SECTNO>§ 511.51</SECTNO> <SUBJECT>Initial decision.</SUBJECT> <P>(a) <E T="03">When filed.</E> 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.</P> <P>(b) <E T="03">Content.</E> 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:</P> <P>(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.</P> <P>(2) An appropriate order.</P> <P>(c) <E T="03">By whom made.</E> The Initial Decision shall be made and filed by the Presiding Officer who presided over the hearing, unless otherwise ordered by the Administrator.</P> <P>(d) <E T="03">Reopening of proceeding by presiding officer; termination of jurisdiction.</E> (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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 511.52</SECTNO> <SUBJECT>Adoption of initial decision.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.53</SECTNO> <SUBJECT>Appeal from initial decision.</SUBJECT> <P>(a) <E T="03">Who may file notice of intention.</E> 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.</P> <P>(b) <E T="03">Appeal brief.</E> 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:<PRTPAGE P="54"/> </P> <P>(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;</P> <P>(2) A concise statement of the case;</P> <P>(3) A specification of the position urged;</P> <P>(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</P> <P>(5) A proposed form of order for the Administrator's consideration in lieu of the order contained in the Initial Decision.</P> <P>(c) <E T="03">Answering brief.</E> 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.</P> <P>(d) <E T="03">Participant's brief.</E> 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).</P> <P>(e) <E T="03">Cross appeal.</E> 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.</P> <P>(f) <E T="03">Reply brief.</E> 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.</P> <P>(g) <E T="03">Oral argument.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.54</SECTNO> <SUBJECT>Review of initial decision in absence of appeal.</SUBJECT> <P>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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.55</SECTNO> <SUBJECT>Final decision on appeal or review.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 511.56</SECTNO> <SUBJECT>Reconsideration.</SUBJECT> <P>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 <PRTPAGE P="55"/>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.57</SECTNO> <SUBJECT>Effective date of order.</SUBJECT> <P>(a) <E T="03">Consent orders.</E> An order which has been issued following acceptance of an offer of settlement in accordance with § 511.26 becomes effective upon issuance.</P> <P>(b) <E T="03">Litigated orders.</E> 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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Settlement Procedure in Cases of Violation of Average Fuel Economy Standards</HD> <SECTION> <SECTNO>§ 511.61</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.62</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">Average fuel economy standard</E> means an average fuel economy standard established by or pursuant to the Motor Vehicle Information and Cost Savings Act.</P> <P> <E T="03">Insolvency</E> means the inability to meet expenses when due.</P> <P> <E T="03">Settlement</E> means a compromise, modification, or remission of a civil penalty assessed under this part for a violation of an average fuel economy standard.</P> </SECTION> <SECTION> <SECTNO>§ 511.63</SECTNO> <SUBJECT>Criteria for settlement.</SUBJECT> <P>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:</P> <P>(a) Necessary to prevent the insolvency or bankruptcy of the person seeking settlement, or</P> <P>(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</P> <P>(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)).</P> </SECTION> <SECTION> <SECTNO>§ 511.64</SECTNO> <SUBJECT>Petitions for settlement; timing, contents.</SUBJECT> <P>(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.</P> <P>(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 § 511.63 is satisfied, and that the public interest would be served by settlement.</P> <P>(2) A petition asserting that settlement is necessary to prevent bankruptcy or insolvency must include:</P> <P>(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</P> <P>(ii) A payment schedule that would allow the petitioner to pay a civil penalty without resulting in insolvency or an act of bankruptcy.</P> <P>(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.<PRTPAGE P="56"/> </P> <P>(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:</P> <P>(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.</P> <P>(ii) The administrative record of any Federal Trade Commission proceeding held in regard to the application, and</P> <P>(iii) The certification by the Federal Trade Commission.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 511.65</SECTNO> <SUBJECT>Public comment.</SUBJECT> <P>Notice and opportunity for comment are provided to the public in regard to settlements under this part. Subject to § 511.66, notice of receipt of a petition for settlement is published in the <E T="04">Federal Register,</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 511.66</SECTNO> <SUBJECT>Confidential business information.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.67</SECTNO> <SUBJECT>Settlement order.</SUBJECT> <P>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 § 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.</P> <CITA>[53 FR 15783, May 3, 1988]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Appearances; Standards of Conduct</HD> <SECTION> <SECTNO>§ 511.71</SECTNO> <SUBJECT>Who may make appearances.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.72</SECTNO> <SUBJECT>Authority for representation.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <PRTPAGE P="57"/> <SECTNO>§ 511.73</SECTNO> <SUBJECT>Written appearances.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.74</SECTNO> <SUBJECT>Attorneys.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.75</SECTNO> <SUBJECT>Persons not attorneys.</SUBJECT> <P>(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.</P> <P>(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 the person is a partner, officer, or regular employee.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 511.76</SECTNO> <SUBJECT>Qualifications and standards of conduct.</SUBJECT> <P>(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.</P> <P>(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 <E T="03">in camera</E> materials when a party or participant publicly releases such materials without authorization.</P> <P>(c) An excluded party, participant, or representative thereof may petition the Administrator to entertain an interlocutory appeal in accordance with § 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.</P> </SECTION> <SECTION> <PRTPAGE P="58"/> <SECTNO>§ 511.77</SECTNO> <SUBJECT>Restrictions as to former members and employees.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 511.78</SECTNO> <SUBJECT>Prohibited communications.</SUBJECT> <P>(a) <E T="03">Applicability.</E> 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.</P> <P>(b) <E T="03">Definitions.</E> (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:</P> <P>(i) The Administrator,</P> <P>(ii) The Administrative Law Judges;</P> <P>(2) “Ex parte communication” means:</P> <P>(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,</P> <P>(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.</P> <P>(c) <E T="03">Prohibited ex parte communications.</E> 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.</P> <P>(d) <E T="03">Permissible ex parte communications.</E> The following communications shall not be prohibited under this section:</P> <P>(1) Ex parte communications authorized by statute or by this part.</P> <P>(2) Any staff communication concerning judicial review or judicial enforcement in any matter pending before or decided by the Administrator.</P> <P>(e) <E T="03">Procedures for handling prohibited ex parte communication.</E> (1) Prohibited written <E T="03">ex parte</E> communication. To the extent possible, a prohibited written <E T="03">ex parte</E> communication received by any NHTSA employee shall be forwarded to the Docket Section rather than to a decisionmaker. A prohibited written <E T="03">ex parte</E> communication which reaches a decisionmaker shall be forwarded by the decisionmaker to the Docket Section. If the circumstances in which a prohibited <E T="03">ex parte</E> written communication was made are not apparent from the communication itself, a statement describing those circumstances shall be forwarded with the communication.</P> <P>(2) Prohibited oral <E T="03">ex parte</E> communication. (i) If a prohibited oral ex 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.</P> <P>(ii) In the event of a prohibited oral <E T="03">ex parte</E> communication, the decisionmaker shall forward to the Docket Section a dated statement containing such of the following information as is known to him/her:</P> <P>(A) The title and docket number of the proceeding;</P> <P>(B) The name and address of the person making the communication and his/her relationship (if any) to the parties to the proceeding;</P> <P>(C) The date and time of the communication, its duration, and the circumstances (telephone call, personal interview, etc.) under which it was made;</P> <P>(D) A brief statement of the substance of the matters discussed;</P> <P>(E) Whether the person making the communication persisted in doing so after being advised that the communication was prohibited.</P> <P>(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.</P> <P>(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 <PRTPAGE P="59"/>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.</P> <P>(5) Service on maker. The Administrator shall forward to the person who made the prohibited <E T="03">ex parte</E> communication a copy of each communication or statement filed under this section.</P> <P>(f) <E T="03">Effect of ex parte communications.</E> 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.</P> <P>(g) <E T="03">Sanctions.</E> 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.</P> <CITA>[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 511, App. I</EAR> <HD SOURCE="HED">Appendix I to Part 511—Final Prehearing Order</HD> <HD SOURCE="HD3">Case Caption</HD> <HD SOURCE="HD3">Final Prehearing Order</HD> <P>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. </P> <P>Counsel appeared as follows: </P> <FP>For the Administration staff:</FP> <FP>For the Respondent(s):</FP> <FP>Others:</FP> <P>1. NATURE OF ACTION AND JURISDICTION.</P> <HD SOURCE="HD3">This is an action for __________</HD> <FP SOURCE="FP-DASH"/> <FP>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:</FP> <P>2. STIPULATIONS AND STATEMENTS. </P> <P>The following stipulations and statements were submitted, attached to, and made a part of this order:</P> <P>(a) A comprehensive written stipulation or statement of all uncontested facts;</P> <P>(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.)</P> <P>(c) Written stipulations or statements setting forth the qualifications of the expert witnesses to be called by each party;</P> <P>(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 <E T="03">may</E> call, and a statement of the subject on which each witness will testify;</P> <P>(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;</P> <P>(f) A list of all depositions to be read into evidence and statements of any objections thereto;</P> <P>(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;</P> <P>(h) Written waivers of claims or defenses which have been abandoned by the parties. </P> <FP>The foregoing were modified at the pretrial conference as follows:</FP> <HD SOURCE="HD3">[To be completed at the conference itself. If none, recite “none”]</HD> <P>3. COMPLAINT COUNSEL'S EVIDENCE.</P> <P>3.1The following exhibits were offered by Complaint Counsel, received in evidence, and marked as follows:</P> <HD SOURCE="HD3">[Identification number and brief description of each exhibit]</HD> <FP>The authenticity of these exhibits has been stipulated.</FP> <P>3.2The 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:</P> <HD SOURCE="HD3">[Identification number and brief description of each exhibit. State briefly ground of objection, e.g., competency, relevancy, materiality]</HD> <P>4. RESPONDENT'S EVIDENCE. <PRTPAGE P="60"/> </P> <P>4.1The following exhibits were offered by the respondent(s), received in evidence, and marked as herein indicated:</P> <HD SOURCE="HD3">[Identification number and brief description of each exhibit]</HD> <FP>The authenticity of these exhibits has been stipulated.</FP> <P>4.2The 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:</P> <FP SOURCE="FP-1">[Identification number and brief description of each exhibit. State briefly ground of objection, e.g., competency, relevancy, materiality]</FP> <P>5. ADDITIONAL ACTIONS. </P> <FP>The following additional action was taken:</FP> <FP SOURCE="FP-1">[Amendments to pleadings, agreements of the parties, disposition of motions, separation of issues of liability and remedy, etc., if necessary]</FP> <P>6. LIMITATIONS AND RESERVATIONS. </P> <P>6.1Each 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.</P> <P>6.2Rebuttal 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.</P> <P>6.3The probable length of hearing is ____ days. The hearings will be commenced on the __ day of _____, 19__, at __ o'clock _ M. at (location) _____.</P> <P>6.4Prehearing 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.</P> <P>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. </P> <FP SOURCE="FP-DASH"/> <FP>(Presiding Officer's Name)</FP> <FP>(Presiding Officer's Title)</FP> <FP>APPROVED AS TO FORM AND SUBSTANCE</FP> <FP>Date: _____.</FP> <FP SOURCE="FP-DASH"/> <FP>Complaint Counsel.</FP> <FP SOURCE="FP-DASH"/> <FP>Attorney for Respondent(s).</FP> <NOTE> <HD SOURCE="HED">Note:</HD> <P>Where intervenors appear pursuant to § 511.17 the prehearing order may be suitably modified; the initial page may be modified to reflect the intervention.</P> </NOTE> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 512</EAR> <HD SOURCE="HED">PART 512—CONFIDENTIAL BUSINESS INFORMATION</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>512.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>512.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>512.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Submission Requirements</HD> <SECTNO>512.4</SECTNO> <SUBJECT>When requesting confidentiality, what should I submit?</SUBJECT> <SECTNO>512.5</SECTNO> <SUBJECT>How many copies should I submit?</SUBJECT> <SECTNO>512.6</SECTNO> <SUBJECT>How should I prepare documents when submitting a claim for confidentiality?</SUBJECT> <SECTNO>512.7</SECTNO> <SUBJECT>Where should I send the information for which I am requesting confidentiality?</SUBJECT> <SECTNO>512.8</SECTNO> <SUBJECT>What supporting information should I submit with my request?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Additional Requirements</HD> <SECTNO>512.9</SECTNO> <SUBJECT>What are the requirements if the information comes from a third party?</SUBJECT> <SECTNO>512.10</SECTNO> <SUBJECT>Duty to amend.</SUBJECT> <SECTNO>512.11</SECTNO> <SUBJECT>What if I need an extension of time?</SUBJECT> <SECTNO>512.12</SECTNO> <SUBJECT>What if I am submitting multiple items of information?</SUBJECT> <SECTNO>512.13</SECTNO> <SUBJECT>What are the consequences for noncompliance with this part?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Agency Determination</HD> <SECTNO>512.14</SECTNO> <SUBJECT>Who makes the confidentiality determination?</SUBJECT> <SECTNO>512.15</SECTNO> <SUBJECT>How will confidentiality determinations be made?</SUBJECT> <SECTNO>512.16</SECTNO> <SUBJECT>Class determinations.</SUBJECT> <SECTNO>512.17</SECTNO> <SUBJECT>How long should it take to determine whether information is entitled to confidential treatment?</SUBJECT> <SECTNO>512.18</SECTNO> <SUBJECT>How will I be notified of the confidentiality determination?</SUBJECT> <SECTNO>512.19</SECTNO> <SUBJECT>What can I do if I disagree with the determination?</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="61"/> <HD SOURCE="HED">Subpart E—Agency Treatment of Information Claimed To Be Confidential</HD> <SECTNO>512.20</SECTNO> <SUBJECT>How does the agency treat information submitted pursuant to this part before a confidentiality determination is made?</SUBJECT> <SECTNO>512.21</SECTNO> <SUBJECT>How is information submitted pursuant to this part treated once a confidentiality determination is made?</SUBJECT> <SECTNO>512.22</SECTNO> <SUBJECT>Under what circumstances may NHTSA modify a grant of confidentiality?</SUBJECT> <SECTNO>512.23</SECTNO> <SUBJECT>Under what circumstances may NHTSA publicly release confidential information?</SUBJECT> <APP>Appendix A to Part 512—Certificate in Support of Request for Confidentiality</APP> <APP>Appendix B to Part 512—General Class Determinations</APP> <APP>Appendix C to Part 512—Early Warning Reporting Class Determinations</APP> <APP>Appendix D to Part 512—OMB Clearance</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322; 5 U.S.C. 552; 49 U.S.C. 30166; 49 U.S.C. 30167; 49 U.S.C. 32307; 49 U.S.C. 32505; 49 U.S.C. 32708; 49 U.S.C. 32910; 49 U.S.C. 33116; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>68 FR 44228, July 28, 2003, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 512.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>The purpose of this part is to establish the procedures and standards by which NHTSA will consider claims that information submitted to the agency is entitled to confidential treatment under 5 U.S.C. 552(b), most often because it constitutes confidential business information as described in 5 U.S.C. 552(b)(4), and to address the treatment of information determined to be entitled to confidential treatment.</P> </SECTION> <SECTION> <SECTNO>§ 512.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>(a) This part applies to all information submitted to NHTSA, except as provided in paragraph (b) of this section, for which a determination is sought that the material is entitled to confidential treatment under 5 U.S.C. 552(b), most often because it constitutes confidential business information as described in 5 U.S.C. 552(b)(4), and should be withheld from public disclosure.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 512.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>Whenever used in this part:</P> <P>(a) <E T="03">Administrator</E> means the Administrator of the National Highway Traffic Safety Administration.</P> <P>(b) <E T="03">Chief Counsel</E> means the Chief Counsel of the National Highway Traffic Safety Administration.</P> <P>(c) <E T="03">Confidential business</E> information means trade secrets or commercial or financial information that is privileged or confidential, as described in 5 U.S.C. 552(b)(4).</P> <P>(1) A <E T="03">trade secret</E> is a secret, commercially valuable plan, formula, process, or device that is used for the making, preparing, compounding, or processing of trade commodities and that can be said to be the end product of either innovation or substantial effort.</P> <P>(2) Commercial or financial information is considered confidential if it has not been publicly disclosed and:</P> <P>(i) If the information was required to be submitted and its release is likely to impair the Government's ability to obtain necessary information in the future, or is likely to cause substantial harm to the competitive position of the person from whom the information was obtained; or</P> <P>(ii) if the information was voluntarily submitted and is the kind of information that is customarily not released to the public by the person from whom it was obtained.</P> <P>(d) NHTSA means the National Highway Traffic Safety Administration.</P> <P>(e) “<E T="03">Substantial competitive harm</E>” includes “<E T="03">significant competitive damage</E>” under Chapter 329 of Title 49 of the United States Code, Automobile Fuel Economy, 49 U.S.C. 32910(c).</P> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="62"/> <HD SOURCE="HED">Subpart B—Submission Requirements</HD> <SECTION> <SECTNO>§ 512.4</SECTNO> <SUBJECT>When requesting confidentiality, what should I submit?</SUBJECT> <P>Any person submitting information to NHTSA, other than information in a class identified in Appendix C of this Part, and requesting that the information be withheld from public disclosure pursuant to 5 U.S.C. 552(b) shall submit the following:</P> <P>(a) The materials for which confidentiality is being requested, in conformance with §§ 512.5, 512.6, and 512.7 of this part;</P> <P>(b) The Certificate, in the form set out in Appendix A to this part;</P> <P>(c) Supporting information, in conformance with § 512.8; and</P> <P>(d) Any request for an extension of time, made in accordance with § 512.11.</P> </SECTION> <SECTION> <SECTNO>§ 512.5</SECTNO> <SUBJECT>How many copies should I submit?</SUBJECT> <P>(a) Except as provided for in subsection (c), a person must send the following in hard copy or electronic format to the Chief Counsel when making a claim for confidential treatment covering submitted material:</P> <P>(1) A complete copy of the submission, and</P> <P>(2) A copy of the submission containing only the portions for which no claim of confidential treatment is made and from which those portions for which confidential treatment is claimed has been redacted, and</P> <P>(3) Either a second complete copy of the submission or, alternatively, those portions of the submission containing the material for which confidential treatment is claimed and any additional information the submitter deems important to the Chief Counsel's consideration of the claim.</P> <P>(4) If submitted in electronic format, a copy of any special software required to review materials for which confidential treatment is requested and user instructions must also be provided.</P> <P>(b) A person filing comments to a rulemaking action must additionally submit to the rulemaking docket a copy of the submission containing only the portions for which no claim of confidential treatment is made and from which those portions for which confidential treatment is claimed has been redacted.</P> <P>(c) Any person submitting blueprints or engineering drawings need only provide an original version with their submission.</P> </SECTION> <SECTION> <SECTNO>§ 512.6</SECTNO> <SUBJECT>How should I prepare documents when submitting a claim for confidentiality?</SUBJECT> <P>(a) Information claimed to be confidential must be clearly identified to enable the agency to distinguish between those portions of the submission claimed to constitute confidential business information and those portions for which no such claim is made.</P> <P>(b) The word “CONFIDENTIAL” must appear on the top of each page containing information claimed to be confidential.</P> <P>(1) If an entire page is claimed to be confidential, the submitter must indicate clearly that the entire page is claimed to be confidential.</P> <P>(2) If the information for which confidentiality is being requested is contained within a page, the submitter shall enclose each item of information that is claimed to be confidential within brackets: “[].”</P> <P>(3) If submitted in electronic format, a comparable method to of identifying the information claimed to be confidential may be used. If submitted on CD-ROM or other format, the item containing the information shall be labeled as containing confidential information.</P> </SECTION> <SECTION> <SECTNO>§ 512.7</SECTNO> <SUBJECT>Where should I send the information for which I am requesting confidentiality?</SUBJECT> <P>A claim for confidential treatment must be submitted in accordance with the provisions of this regulation to the Chief Counsel of the National Highway Traffic Safety Administration, Room 5219, 400 Seventh Street, SW., Washington, DC 20590.</P> </SECTION> <SECTION> <SECTNO>§ 512.8</SECTNO> <SUBJECT>What supporting information should I submit with my request?</SUBJECT> <P>When requesting confidentiality, the submitter shall:</P> <P>(a) Describe the information for which confidentiality is being requested;<PRTPAGE P="63"/> </P> <P>(b) Identify the confidentiality standard(s) under which the confidentiality request should be evaluated, in accordance with § 512.15;</P> <P>(c) Justify the basis for the claim of confidentiality under the confidentiality standard(s) identified pursuant to paragraph (b) of this section by describing:</P> <P>(1) Why the information qualifies as a trade secret, if the basis for confidentiality is that the information is a trade secret;</P> <P>(2) What the harmful effects of disclosure would be and why the effects should be viewed as substantial, if the claim for confidentiality is based upon substantial competitive harm;</P> <P>(3) What significant NHTSA interests will be impaired by disclosure of the information and why disclosure is likely to impair such interests, if the claim for confidentiality is based upon impairment to government interests;</P> <P>(4) What measures have been taken by the submitter to ensure that the information is not customarily disclosed or otherwise made available to the public, if the basis for confidentiality is that the information is voluntarily submitted; and</P> <P>(5) The information is otherwise entitled to protection, pursuant to 5 U.S.C. 552(b).</P> <P>(d) Indicate if any items of information fall within any of the class determinations included in Appendix B to this Part;</P> <P>(e) Indicate the time period during which confidential treatment is sought; and</P> <P>(f) State the name, address, and telephone number of the person to whom NHTSA's response and any inquiries should be directed.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Additional Requirements</HD> <SECTION> <SECTNO>§ 512.9</SECTNO> <SUBJECT>What are the requirements if the information comes from a third party?</SUBJECT> <P>Where confidentiality is claimed for information obtained by the submitter from a third party, such as a supplier, the submitter is responsible for obtaining from the third party the information that is necessary to comply with § 512.4 of this part, including a certificate in the form set out in Appendix A to this Part.</P> </SECTION> <SECTION> <SECTNO>§ 512.10</SECTNO> <SUBJECT>Duty to amend.</SUBJECT> <P>The submitter shall promptly amend any supporting information provided under § 512.4 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 to the agency, is no longer correct and the circumstances are such that a failure to amend the supporting information is in substance a knowing concealment.</P> </SECTION> <SECTION> <SECTNO>§ 512.11</SECTNO> <SUBJECT>What if I need an extension of time?</SUBJECT> <P>If a person is unable to submit the necessary information required under § 512.4 at the time the claimed confidential information is submitted to NHTSA, then that person may request an extension of time. Any request for an extension shall explain the reason for the extension of time and the length of time requested.</P> </SECTION> <SECTION> <SECTNO>§ 512.12</SECTNO> <SUBJECT>What if I am submitting multiple items of information?</SUBJECT> <P>Any certificate provided under § 512.4(b) of this part, and any supporting information provided under § 512.4(c) of this part, may be used to support a claim for confidential treatment of more than one item of information. However, general or nonspecific assertions or analysis may be insufficient to form an adequate basis for the agency to find that the information is entitled to confidential treatment, and may result in the denial of the claim.</P> </SECTION> <SECTION> <SECTNO>§ 512.13</SECTNO> <SUBJECT>What are the consequences for noncompliance with this part?</SUBJECT> <P>(a) If the submitter fails to comply with § 512.4 of this part at the time the information is submitted to NHTSA or does not request an extension of time under § 512.11, the claim for confidentiality may be waived, unless the agency is notified or otherwise becomes aware of the claim before the information is disclosed to the public. If the information is placed in a public docket or file, such placement is disclosure to <PRTPAGE P="64"/>the public within the meaning of this part and may preclude any claim for confidential treatment. The Chief Counsel may notify a submitter of information or, if applicable, a third party from whom the information was obtained, of inadequacies regarding a claim for confidential treatment and may allow the submitter or third party additional time to supplement the submission, but has no obligation to provide either notice or additional time.</P> <P>(b) If the submitter does not provide the certificate required under § 512.4(b) of this part or any supporting information required under § 512.4(c) of this part, or if the information is insufficient to establish that the information should be afforded confidential treatment under the confidentiality standards set out in § 512.15 of this part, a request that such information be treated confidentially 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 has no obligation to provide either notice or additional time.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Agency Determination</HD> <SECTION> <SECTNO>§ 512.14</SECTNO> <SUBJECT>Who makes the confidentiality determination?</SUBJECT> <P>The Chief Counsel will determine whether an item of information will be afforded confidential treatment under this part.</P> </SECTION> <SECTION> <SECTNO>§ 512.15</SECTNO> <SUBJECT>How will confidentiality determinations be made?</SUBJECT> <P>Information may be afforded confidential treatment if the Chief Counsel determines that:</P> <P>(a) The information is a trade secret;</P> <P>(b) Public disclosure of the information would be likely to cause substantial harm to the competitive position of the submitter;</P> <P>(c) Public disclosure of the information would be likely to impair NHTSA's ability to obtain necessary information in the future;</P> <P>(d) The information was provided to NHTSA voluntarily and was not customarily released to the public by the person from whom it was obtained; or</P> <P>(e) The information is otherwise entitled to protection, pursuant to 5 U.S.C. 552(b).</P> </SECTION> <SECTION> <SECTNO>§ 512.16</SECTNO> <SUBJECT>Class determinations.</SUBJECT> <P>(a) The Chief Counsel may issue class determinations of categories of information to be entitled to confidential treatment if the Chief Counsel determines that one or more characteristics common to each item of information in that class, will, in most cases, result in identical treatment, and further that it is appropriate to treat all such items as a class for one or more purposes under this part. Once a class determination is made, the Chief Counsel will publish the new class determination in the <E T="04">Federal Register.</E> </P> <P>(b) The Chief Counsel may amend, modify, or terminate any class determination established under this section. These changes will be published in the <E T="04">Federal Register.</E> </P> <P>(c) Class determinations made by the Chief Counsel are listed in Appendices B and C to this Part.</P> <P>(d) A class determination may state that all of the information in the class:</P> <P>(1) Is or is not governed by a particular section of this part or by a particular set of substantive criteria of this part;</P> <P>(2) Satisfies one or more of the applicable substantive criteria; or</P> <P>(3) Satisfies one or more of the substantive criteria, but only for a certain period of time.</P> </SECTION> <SECTION> <SECTNO>§ 512.17</SECTNO> <SUBJECT>How long should it take to determine whether information is entitled to confidential treatment?</SUBJECT> <P>(a) When information claimed to be confidential is requested under the Freedom of Information Act, the determination will be made within twenty (20) working days after NHTSA receives such a request or within thirty (30) working days in unusual circumstances as provided under 5 U.S.C. 552(a)(6)(A). However, these time periods may be extended by the Chief Counsel for good cause shown or on request from any person. An extension will be made in accordance with 5 U.S.C. 552(a)(6)(A), and will be accompanied by a written statement setting out the reasons for the extension.<PRTPAGE P="65"/> </P> <P>(b) When information claimed to be confidential is not requested under the Freedom of Information Act, the determination of confidentiality will be made within a reasonable period of time, at the discretion of the Chief Counsel.</P> </SECTION> <SECTION> <SECTNO>§ 512.18</SECTNO> <SUBJECT>How will I be notified of the confidentiality determination?</SUBJECT> <P>(a) If a request for confidential treatment is granted, the submitter of the information will be notified in writing of the determination and of any appropriate limitations.</P> <P>(b) If a request for confidential treatment is denied in whole or in part, the submitter of the information will be notified in writing of the determination, and the reasons for the denial, by certified mail, return receipt requested. The information may be made available to the public twenty (20) working days after the submitter of the information has received notice of the denial, unless a request for reconsideration is filed. The information may be released publicly on an 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 date.</P> </SECTION> <SECTION> <SECTNO>§ 512.19</SECTNO> <SUBJECT>What can I do if I disagree with the determination?</SUBJECT> <P>(a) A submitter of information whose request for confidential treatment is denied in whole or in part, may petition for reconsideration of that decision. Petitions for reconsideration shall be addressed to and received by the 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.</P> <P>(b) If a person is unable to submit a petition for reconsideration within twenty (20) working days of receiving notice that a claim for confidential treatment was denied, that person may submit a request for an extension of time. The Chief Counsel must receive any request for an extension of time before the date on which the information would be made available to the public, and the request must be accompanied by an explanation describing the reason for the request and the length of time requested. The Chief Counsel will determine whether to grant or deny the extension and the length of the extension.</P> <P>(c) If a petition for reconsideration is granted, the petitioner will be notified in writing of the determination and of any appropriate limitations.</P> <P>(d) If a petition for reconsideration is denied in whole or in part, or if a request for an extension is denied, the petitioner will be notified in writing of the denial, and the reasons for the denial, and will be informed that the information will be made available to the public not less than twenty (20) working days after the petitioner has received notice of the denial. The information may be released publicly on an earlier date, if the Administrator determines in writing that the public interest requires that the information be made available to the public on such date.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Agency Treatment of Information Claimed To Be Confidential</HD> <SECTION> <SECTNO>§ 512.20</SECTNO> <SUBJECT>How does the agency treat information submitted pursuant to this part before a confidentiality determination is made?</SUBJECT> <P>(a) Information received by NHTSA, for which a properly filed confidentiality request is submitted, will be kept confidential until the Chief Counsel makes a determination regarding its confidentiality. Such information will not be disclosed publicly, except in accordance with this part.</P> <P>(b) Redacted copies of documents submitted to NHTSA under this part will be disclosed to the public.</P> </SECTION> <SECTION> <SECTNO>§ 512.21</SECTNO> <SUBJECT>How is information submitted pursuant to this part treated once a confidentiality determination is made?</SUBJECT> <P>(a) Once the Chief Counsel makes a determination regarding the confidentiality of the submitted information, all materials determined not to be entitled to confidential protection will be disclosed to the public in accordance with the determination, unless a timely petition for reconsideration is received by the agency.<PRTPAGE P="66"/> </P> <P>(b) Upon receipt of a timely petition for reconsideration under § 512.19 of this part, the submitted information will remain confidential, pending a determination regarding the petition.</P> <P>(c) Should the Chief Counsel, after considering a petition for reconsideration, decide that information is not entitled to confidential treatment, the agency may make the information available after twenty (20) working days after the submitter has received notice of that decision from the Chief Counsel unless the agency receives direction from a court not to release the information.</P> <CITA>[68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 512.22</SECTNO> <SUBJECT>Under what circumstances may NHTSA modify a grant of confidentiality?</SUBJECT> <P>(a) The Chief Counsel may modify a grant of confidentiality based upon:</P> <P>(1) Newly discovered or changed facts;</P> <P>(2) A change in the applicable law;</P> <P>(3) A change in class determination, pursuant to § 512.16;</P> <P>(4) The passage of time; or</P> <P>(5) A finding that the prior determination is erroneous.</P> <P>(b) If the Chief Counsel believes that an earlier determination of confidentiality should be modified based on one or more of the factors listed in paragraph (a) of this section, the submitter of the information will be notified in writing that the Chief Counsel has modified its earlier determination and of the reasons for the modification, and will be informed that the information will be made available to the public in not less than twenty (20) working days from the date of receipt of the notice of modification. The information may be released publicly on an earlier date, if the Administrator determines in writing that the public interest requires that the information be made available to the public on such date. The submitter may seek reconsideration of the modification, pursuant to § 512.19.</P> </SECTION> <SECTION> <SECTNO>§ 512.23</SECTNO> <SUBJECT>Under what circumstances may NHTSA publicly release confidential information?</SUBJECT> <P>(a) Information that has been claimed or determined to be confidential under this part may be disclosed to the public by the Administrator notwithstanding such claim or determination, if disclosure would be in the public interest as follows:</P> <P>(1) Information obtained under chapter 325, 327, 329 or 331 of title 49 of the United States Code (formerly under the Motor Vehicle Information and Cost Savings Act) may be disclosed when that information is relevant to a proceeding under the chapter under which the information was obtained.</P> <P>(2) Information obtained under chapter 301 of title 49 of the United States Code (49 U.S.C. § 30101 <E T="03">et seq.</E>), relating to the establishment, amendment, or modification of Federal motor vehicle safety standards, may be disclosed when relevant to a proceeding under the chapter.</P> <P>(3) Except as specified in the next sentence, information obtained under Chapter 301 of title 49 of the United States Code (49 U.S.C. 30101 <E T="03">et seq.</E>), related to a possible defect or noncompliance, shall be disclosed when the Administrator decides the information will assist in carrying out sections 30117(b) and 30118 through 30121 of title 49 or is required to be disclosed under 30118(a) of title 49, except as provided in paragraph (a)(4) of this section.</P> <P>(4) No information will be disclosed under paragraph (a) of 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 will be given at least twenty (20) working days before the day of release, unless the Administrator finds that shorter notice is in the public interest. The notice under this paragraph will include a statement of the Administrator's reasons for deciding to disclose the information, and will afford the submitter of the information an opportunity to comment on the contemplated release of the 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. In making the determination to release information pursuant to this section, the Administrator will consider ways to release the information that will <PRTPAGE P="67"/>cause the least possible adverse effects to the submitter.</P> <P>(b) Notwithstanding any other provision of this part, information that has been determined or claimed to be confidential may be released:</P> <P>(1) To a committee of Congress;</P> <P>(2) Pursuant to an order of a court of competent jurisdiction;</P> <P>(3) To the Office of the Secretary, U.S. Department of Transportation and other Executive branch offices or other Federal agencies in accordance with applicable laws;</P> <P>(4) With the consent of the submitter of the information; and</P> <P>(5) To contractors, if necessary for the performance of a contract with the agency or any Federal agency, with specific prohibitions on further release of the information.</P> </SECTION> <APPENDIX> <EAR>Pt. 512, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 512—Certificate in Support of Request for Confidentiality</HD> <HD SOURCE="HD2">Certificate in Support of Request for Confidentiality</HD> <P>I _____, pursuant to the provisions of 49 CFR part 512, state as follows:</P> <P>(1) I am (official's name, title) and I am authorized by (company) to execute this certificate on its behalf;</P> <P>(2) I certify that 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. 552(b)(4) (as incorporated by reference in and modified by the statute under which the information is being submitted);</P> <P>(3) I hereby request that the information contained in (pertinent document(s)) be protected for (requested period of time);</P> <P>(4) This certification is based on the information provided by 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);</P> <P>(5) Based upon that information, 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);</P> <P>(6) 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 5); and</P> <P>(7) I certify under penalty of perjury that the foregoing is true and correct. Executed on this the ___ day of ___, ___. (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)</P> </APPENDIX> <APPENDIX> <EAR>Pt. 512, App. B</EAR> <HD SOURCE="HED">Appendix B to Part 512—General Class Determinations</HD> <P>The Chief Counsel has determined that the following types of information would presumptively be likely to result in substantial competitive harm if disclosed to the public:</P> <P>(1) Blueprints and engineering drawings containing process and production data where the subject could not be manufactured without the blueprints or engineering drawings except after significant reverse engineering;</P> <P>(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); and</P> <P>(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).</P> <CITA>[68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 512, App. C</EAR> <HD SOURCE="HED">Appendix C to Part 512—Early Warning Reporting Class Determinations</HD> <P>(a) The Chief Counsel has determined that the following information required to be submitted to the agency under 49 CFR 579, subpart C, will cause substantial competitive harm and will impair the government's ability to obtain this information in the future if released:</P> <P>(1) Reports and data relating to warranty claim information;</P> <P>(2) Reports and data relating to field reports, including dealer reports and hard copy reports;</P> <P>(3) Reports and data relating to consumer complaints; and</P> <P>(4) Lists of common green identifiers.</P> <P>(b) In addition, the Chief Counsel has determined that the following information required to be submitted to the agency under 49 CFR 579, subpart C, will cause substantial competitive harm if released: Reports of production numbers for child restraint systems, tires, and vehicles other than light vehicles, as defined in 49 CFR 579.4(c).</P> <P>(c) The Chief Counsel has determined that the disclosure of the last six (6) characters, when disclosed along with the first eleven <PRTPAGE P="68"/>(11) characters, of vehicle identification numbers reported in information on incidents involving death or injury pursuant to the reporting of early warning information requirements of 49 CFR part 579 will constitute a clearly unwarranted invasion of personal privacy within the meaning of 5 U.S.C. 552(b)(6).</P> <CITA>[68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 512, App. D</EAR> <HD SOURCE="HED">Appendix D to Part 512—OMB Clearance</HD> <P>The OMB clearance number for this regulation is 2127-0025.</P> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 520</EAR> <HD SOURCE="HED">PART 520—PROCEDURES FOR CONSIDERING ENVIRONMENTAL IMPACTS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>520.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>520.2</SECTNO> <SUBJECT>Policy.</SUBJECT> <SECTNO>520.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>520.4</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>520.5</SECTNO> <SUBJECT>Guidelines for identifying major actions significantly affecting the environment.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures</HD> <SECTNO>520.21</SECTNO> <SUBJECT>Preparation of environmental reviews, negative declarations, and notices of intent.</SUBJECT> <SECTNO>520.22</SECTNO> <SUBJECT>Maintenance of a list of actions.</SUBJECT> <SECTNO>520.23</SECTNO> <SUBJECT>Preparation of draft environmental impact statements.</SUBJECT> <SECTNO>520.24</SECTNO> <SUBJECT>Internal processing of draft environmental impact statements.</SUBJECT> <SECTNO>520.25</SECTNO> <SUBJECT>External review of draft environmental impact statements.</SUBJECT> <SECTNO>520.26</SECTNO> <SUBJECT>Public hearings.</SUBJECT> <SECTNO>520.27</SECTNO> <SUBJECT>Legislative actions.</SUBJECT> <SECTNO>520.28</SECTNO> <SUBJECT>Preparation of final environmental impact statements.</SUBJECT> <SECTNO>520.29</SECTNO> <SUBJECT>Internal review of final environmental impact statements.</SUBJECT> <SECTNO>520.30</SECTNO> <SUBJECT>Availability of final environmental impact statements.</SUBJECT> <SECTNO>520.31</SECTNO> <SUBJECT>Amendments or supplements.</SUBJECT> <SECTNO>520.32</SECTNO> <SUBJECT>Emergency action procedures.</SUBJECT> <SECTNO>520.33</SECTNO> <SUBJECT>Timing of proposed NHTSA actions.</SUBJECT> <SECTNO>520.34</SECTNO> <SUBJECT>Comments on environmental statements prepared by other agencies.</SUBJECT> <APP>Attachment 1 to Part 520—Form and Content of Statement</APP> <APP>Attachment 2 to Part 520—Areas of Environmental Impact and Federal Agencies and Federal-State Agencies With Jurisdiction by Law or Special Expertise To Comment Thereon [Note]</APP> <APP>Attachment 3 to Part 520—Offices Within Federal Agencies and Federal-State Agencies for Information Regarding the Agencies' Impact Statements for Which Comments Are Requested [Note]</APP> <APP>Attachment 4 to Part 520—State and Local Agency Review of Impact Statements</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>40 FR 52396, Nov. 10, 1975, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 520.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 520.2</SECTNO> <SUBJECT>Policy.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 520.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Environmental assessment</E> is a written analysis describing the environmental impact of a proposed or ongoing agency action, submitted to the agency <PRTPAGE P="69"/>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 § 520.4(b).</P> <P>(b) <E T="03">Environmental review</E> 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.</P> <P>(c) <E T="03">Draft environmental impact statement</E> (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.</P> <P>(d) <E T="03">Final environmental impact statement</E> (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.</P> <P>(e) <E T="03">Negative declaration</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 520.4</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>(a) <E T="03">Scope.</E> This part applies to all elements of NHTSA, including the Regional Offices.</P> <P>(b) <E T="03">Actions covered.</E> 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:</P> <P>(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;</P> <P>(2) Research, development, and demonstration projects; formal approvals of work plans; and associated contracts;</P> <P>(3) Rulemaking and regulatory actions, including Notices of Proposed Rulemaking (NPRM); requests for procurement (RFP); requests for grants (Annual Work Programs); and contracts;</P> <P>(4) All grants, loans or other financial assistance for use in State and Community projects;</P> <P>(5) Annual State Highway Safety Work Programs;</P> <P>(6) Construction; leases; purchases; operation of Federal facilities; and</P> <P>(7) Any other activity, project, or action likely to have a significant effect on the environment.</P> <P>(c) <E T="03">Continuing actions.</E> 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.</P> <P>(d) <E T="03">Environmental assessments.</E> Within the scope of activities listed in § 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.</P> <P>(e) <E T="03">Exceptions.</E> (1) Assistance in the form of general revenue sharing funds, 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;</P> <P>(2) Personnel actions;</P> <P>(3) Administrative procurements (e.g., general supplies) and contracts for personal services;</P> <P>(4) Legislative proposals originating in another agency and relating to matters not within NHTSA's primary areas of responsibility;</P> <P>(5) Project amendments (e.g., increases in costs) which have no environmental significance; and</P> <P>(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.<PRTPAGE P="70"/> </P> <P>(f) <E T="03">Consolidation of statements.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 520.5</SECTNO> <SUBJECT>Guidelines for identifying major actions significantly affecting the environment.</SUBJECT> <P>(a) <E T="03">General guidelines.</E> 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:</P> <P>(1) Proposed actions which are localized in their impact but which have a potential for significantly affecting the environment;</P> <P>(2) Any proposed action which is likely to be controversial on environmental grounds;</P> <P>(3) Any proposed action which has unclear but potentially significant environmental consequences.</P> <P>(b) <E T="03">Specific guidelines.</E> 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:</P> <P>(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;</P> <P>(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;</P> <P>(3) Any action that is likely to affect the preservation and enhancement of sites of historical, architectural, or archaeological significance;</P> <P>(4) Any action that is likely to be highly controversial regarding relocation housing;</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(8) Any action that may directly or indirectly result in a significant increase in the energy or fuel necessary 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;</P> <P>(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;</P> <P>(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;<PRTPAGE P="71"/> </P> <P>(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;</P> <P>(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</P> <P>(13) Any other action that causes significant environment impact by directly or indirectly affecting human beings through adverse impacts on the environment.</P> <P>(c) <E T="03">Research activities.</E> (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:</P> <P>(i) The magnitude of Federal investment in the program;</P> <P>(ii) The likelihood of widespread application of the technology;</P> <P>(iii) The degree of environmental impact which would occur if the technology were widely applied; and</P> <P>(iv) The extent to which continued investment in the new technology is likely to restrict future alternatives.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures</HD> <SECTION> <SECTNO>§ 520.21</SECTNO> <SUBJECT>Preparation of environmental reviews, negative declarations, and notices of intent.</SUBJECT> <P>(a) <E T="03">General responsibilities—</E>(1) <E T="03">Associate Administrators and Chief Counsel.</E> Each Associate Administrator and the Chief Counsel is responsible for determining, in accordance with Subpart A, whether the projects and activities under his jurisdiction require an environmental review, and for preparing all such reviews, negative declarations, and notices of intent.</P> <P>(2) <E T="03">Regional Administrators.</E> 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.</P> <P>(3) <E T="03">Associate Administrator for Planning and Evaluation.</E> 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 <PRTPAGE P="72"/>on any environmental statement prepared by other agencies.</P> <P>(b) <E T="03">Coordination.</E> 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.</P> <P>(c) <E T="03">Applicants.</E> (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.</P> <P>(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.</P> <P>(d) <E T="03">Consultants.</E> 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.</P> <P>(e) <E T="03">Environmental review report.</E> 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:</P> <P>(1) Describes the proposed or ongoing NHTSA action, the environment affected, and the anticipated benefits;</P> <P>(2) Evaluates the potential environmental impact, including those adverse impacts which cannot be avoided, should the proposal be implemented or the action continued;</P> <P>(3) Assesses the alternatives to the proposed or ongoing action and their potential environmental impact;</P> <P>(4) Evaluates the cumulative and long-term environmental effects of the proposed or ongoing action;</P> <P>(5) Describes the irreversible and irretrievable commitments of resources involved in the proposal's implementation or the action's continuance;</P> <P>(6) Identifies any known or potential conflicts with State, regional, or local plans and programs;</P> <P>(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</P> <P>(8) Concludes with a negative declaration or recommends the preparation of a DEIS.</P> <P>(f) <E T="03">Negative declarations.</E> (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: </P> <EXTRACT> <FP>It is the judgment of this agency, based on available information, that no significant environmental impact will result from execution of this action.</FP> </EXTRACT> <P>(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.</P> <P>(3) An index of all negative declarations and a copy of each environmental review report shall be retained by the <PRTPAGE P="73"/>responsible official under whose jurisdiction it was prepared and shall be made available for public inspection upon request.</P> <P>(g) <E T="03">Notice of intent to prepare a draft environmental impact statement.</E> 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 <E T="04">Federal Register</E> a notice of intent to prepare an environmental statement as soon as is practicable after the determination to prepare such a statement.</P> </SECTION> <SECTION> <SECTNO>§ 520.22</SECTNO> <SUBJECT>Maintenance of a list of actions.</SUBJECT> <P>(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.</P> <P>(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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 520.23</SECTNO> <SUBJECT>Preparation of draft environmental impact statements.</SUBJECT> <P>(a) <E T="03">Planning stage.</E> (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.</P> <P>(2) The environmental impacts of proposed activities should be initially assessed concurrently with the initial technical and economic studies.</P> <P>(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 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.</P> <P>(b) <E T="03">Form and content requirements.</E> 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.<PRTPAGE P="74"/> </P> <P>(c) <E T="03">Lead agency.</E> 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.</P> <P>(d) <E T="03">Applicants.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 520.24</SECTNO> <SUBJECT>Internal processing of draft environmental impact statements.</SUBJECT> <P>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:</P> <P>(a) Set forth the basis on which it was determined that a potentially significant environmental effect exists;</P> <P>(b) Attach the DEIS;</P> <P>(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); <SU>1</SU> <FTREF/> and</P> <FTNT> <P> <SU>1</SU> Filed as part of the original document.</P> </FTNT> <P>(d) Include a recommendation on whether a public hearing on the proposed action should be held.</P> </SECTION> <SECTION> <SECTNO>§ 520.25</SECTNO> <SUBJECT>External review of draft environmental impact statements.</SUBJECT> <P>(a) <E T="03">Requirements.</E> The official responsible for the DEIS shall:</P> <P>(1) Transmit 5 copies of the DEIS to the CEQ and 2 copies to TES;</P> <P>(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</P> <P>(3) Inform the public and interested parties of the availability of the DEIS and provide copies as appropriate; and</P> <P>(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 extensions shall be granted whenever possible, and particularly when warranted by the magnitude and complexity of the statement or the extent of citizen interest.</P> <P>(b) <E T="03">Procedures</E>—(1) <E T="03">Federal and Federal-State agency review.</E> (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.</P> <P>(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.</P> <P>(iii) For actions which would affect any property that is included in the <PRTPAGE P="75"/>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.</P> <P>(2) <E T="03">State and local review.</E> 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:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(iv) Generally, environmental statements on legislative and budget proposals may be excluded from State and local review.</P> <P>(3) <E T="03">General public review.</E> (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 <E T="04">Federal Register.</E> 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.</P> <P>(ii) A DEIS should be available to the public at least 30 days prior to the time of a public hearing on the DEIS.</P> <P>(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 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.</P> <P>(iv) A copy of the DEIS should in all cases be sent to any applicant whose project is the subject of the statement.</P> <P>(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 <PRTPAGE P="76"/>explanation of the reason for such substitution.</P> <P>(c) <E T="03">Utilization of comments.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 520.26</SECTNO> <SUBJECT>Public hearings.</SUBJECT> <P>(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:</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(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</P> <P>(5) The extent of potential environmental impact.</P> <P>(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 <E T="04">Federal Register</E> at least 30 days prior to the time of such hearing:</P> <P>(1) Identifying the subject matter of the hearing;</P> <P>(2) Announcing the date, time, and place of the hearing and the procedures to be followed; and</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 520.27</SECTNO> <SUBJECT>Legislative actions.</SUBJECT> <P>(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.</P> <P>(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.”</P> <P>(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 available to the public pending transmittal of the comments as received and the final text.</P> </SECTION> <SECTION> <SECTNO>§ 520.28</SECTNO> <SUBJECT>Preparation of final environmental impact statements.</SUBJECT> <P>(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.</P> <P>(b) The FEIS shall conform to the guidelines for form and content in Attachment 1.<PRTPAGE P="77"/> </P> <P>(c) The FEIS shall then be submitted to the Chief Counsel by the official responsible for the action, for determination of legal sufficiency.</P> </SECTION> <SECTION> <SECTNO>§ 520.29</SECTNO> <SUBJECT>Internal review of final environmental impact statements.</SUBJECT> <P>(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.</P> <P>(b) After concurrence by TES, the FEIS will be transmitted by the Chief Counsel to the Administrator for approval.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 520.30</SECTNO> <SUBJECT>Availability of final environmental impact statements.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <SECAUTH>(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)</SECAUTH> <CITA>[40 FR 52396, Nov. 10, 1975, as amended at 48 FR 44081, Sept. 27, 1983]</CITA> </SECTION> <SECTION> <SECTNO>§ 520.31</SECTNO> <SUBJECT>Amendments or supplements.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <PRTPAGE P="78"/> <SECTNO>§ 520.32</SECTNO> <SUBJECT>Emergency action procedures.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 520.33</SECTNO> <SUBJECT>Timing of proposed NHTSA actions.</SUBJECT> <P>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 <E T="04">Federal Register</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 520.34</SECTNO> <SUBJECT>Comments on environmental statements prepared by other agencies.</SUBJECT> <P>(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.</P> <P>(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 § 520.21(e). NHTSA programs that are environmentally related to the proposed action under review should be identified so interrelationships may receive due consideration.</P> <P>(c) Copies of NHTSA's comments on environmental statements prepared by other agencies shall be distributed as follows:</P> <P>(1) The original and 1 copy to the requesting agency;</P> <P>(2) 1 copy to TES-70; and</P> <P>(3) 5 copies to CEQ.</P> <P>(d) Requests by the public for copies should be referred to the agency originating the statement.</P> </SECTION> <APPENDIX> <EAR>Pt. 520, Attach. 1</EAR> <HD SOURCE="HED">Attachment 1—Form and Content of Statement</HD> <P>1. Form. a. Each statement will be headed as follows:</P> <HD SOURCE="HD1">department of transportation national highway traffic safety administration</HD> <P>(Draft) Environmental Impact Statement Pursuant to section 102(2)(C), Pub. L. 91-190; 83 Stat. 853; 42 U.S.C. 4332(2)(C).</P> <P>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 the National Historic Preservation Act, when appropriate.</P> <P>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.</P> <P>d. The format for the summary to accompany draft and final environmental statements is as follows:</P> <HD SOURCE="HD1">summary</HD> <P>(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.)</P> <P>(1) Name of Action. (Check one) () Administrative Action. () Legislative Action.<PRTPAGE P="79"/> </P> <P>(2) Brief description of action indicating what States (and counties) are particularly affected.</P> <P>(3) Summary of environmental impact and adverse environmental effects.</P> <P>(4) List alternatives considered.</P> <P>(5)(a) (For draft statements) List all Federal, State, and local agencies from which comments have been requested.</P> <P>(b) (For final statements) List all Federal, State, and local agencies and other sources from which written comments have been received.</P> <P>(6) Dates the draft statement and the final statement if issued were made available to the Council on Environmental Quality and the public.</P> <P>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.</P> <P>3. General content. The following points are to be covered:</P> <P>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.</P> <P>(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.</P> <P>(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.</P> <P>(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).</P> <P>(4) The sources of data used to identify, quantify, or evaluate any or all environmental consequences must be expressly noted.</P> <P>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.</P> <P>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.</P> <P>(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 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.</P> <P>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 <PRTPAGE P="80"/>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.)</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="81"/> </P> <P>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.</P> <P>4. Publicly owned parklands, recreational areas, wildlife and waterfowl refuges and historic sites. The following points are to be covered:</P> <P>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.</P> <P>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.”</P> <P>(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.</P> <P>(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.</P> <P>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:</P> <P>[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).</P> <P>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.</P> <P>(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).</P> <P>(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.</P> <P>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.</P> <P>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).</P> <P>g. If land acquired with Federal grant money (Department of Housing and Urban 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.</P> <P>h. TGC will determine application of section 4(f) to public interests in lands, such as easements, reversions, etc.</P> <P>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.</P> <P>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.</P> <P>a. Draft environmental statements should include identification, through consulting <PRTPAGE P="82"/>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 <E T="04">Federal Register.</E> Monthly additions and listings of eligible properties are published in the <E T="04">Federal Register</E> the first Tuesday of each month. The Secretary of the Interior will advise, upon request, whether properties are eligible for the National Register.</P> <P>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).</P> <P>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.</P> <P>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.</P> <P>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).</P> <P>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.</P> <P>(1) An estimate of the households to be displaced including the family characteristics (e.g., minorities, and income levels, tenure, the elderly, large families).</P> <P>(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.</P> <P>(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).</P> <P>(4) An estimate of the businesses to be displaced, and the general effect of business dislocation on the economy of the community.</P> <P>(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.</P> <P>(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.</P> <P>(7) Where necessary, special relocation advisory services to be provided the elderly, handicapped and illiterate regarding interpretations of benefits, assistance in selecting replacement housing and consultation with respect to acquiring, leasing, and occupying replacement housing.</P> <P>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.</P> <P>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.</P> <P>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:<PRTPAGE P="83"/> </P> <P>a. Particular effects of a proposal on the elderly, handicapped, non-drivers, transit dependent, or minorities should be described to the extent reasonably predictable.</P> <P>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.</P> <P>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:</P> <P>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.</P> <P>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.</P> <P>c. Conformity to adopted noise standards, compatible, if appropriate, with different land uses.</P> <P>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.</P> <P>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.</P> <P>12. Considerations relating to wetlands or coastal zones. Where wetlands or coastal zones are involved, the statement should include:</P> <P>a. Information on location, types, and extent of wetlands areas which might be affected by the proposed action.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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:</P> <P>a. Noise impacts from construction and any specifications setting maximum noise levels.</P> <P>b. Disposal of spoil and effect on borrow areas and disposal sites (include specifications where special problems are involved).</P> <P>c. Measures to minimize effects on traffic and pedestrians.</P> <P>14. Land use and urban growth. The statement should include, to the extent relevant and predictable:</P> <P>a. The effect of the project on land use, development patterns, and urban growth.</P> <P>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.</P> </APPENDIX> <APPENDIX> <EAR>Pt. 520, Attach. 2 [Note]</EAR> <HD SOURCE="HED">Attachment 2—Areas of Environmental Impact and Federal Agencies and Federal-State Agencies With Jurisdiction by Law or Special Expertise To Comment Thereon</HD> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Filed as part of the original document. For text see 39 FR 32546, Sept. 30, 1975.</P> </EDNOTE> </APPENDIX> <APPENDIX> <EAR>Pt. 520, Attach. 3 [Note]</EAR> <HD SOURCE="HED">Attachment 3—Offices Within Federal Agencies and Federal-State Agencies for Information Regarding the Agencies' Impact Statements for Which Comments Are Requested</HD> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Filed as part of the original document. For text see 39 FR 35248, Sept. 30, 1975.</P> </EDNOTE> </APPENDIX> <APPENDIX> <PRTPAGE P="84"/> <EAR>Pt. 520, Attach. 4</EAR> <HD SOURCE="HED">Attachment 4—State and Local Agency Review of Impact Statements</HD> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 523</EAR> <HD SOURCE="HED">PART 523—VEHICLE CLASSIFICATION</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>523.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>523.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>523.3</SECTNO> <SUBJECT>Automobile.</SUBJECT> <SECTNO>523.4</SECTNO> <SUBJECT>Passenger automobile.</SUBJECT> <SECTNO>523.5</SECTNO> <SUBJECT>Light truck.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>15 U.S.C. 2002; 49 CFR 1.50.</P> </AUTH> <SECTION> <SECTNO>§ 523.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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 <E T="03">et seq.</E> </P> <SECAUTH>(Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001))</SECAUTH> <CITA>[42 FR 38362, July 28, 1977]</CITA> </SECTION> <SECTION> <SECTNO>§ 523.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">Approach angle</E> 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.</P> <P> <E T="03">Axle clearance</E> 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.</P> <P> <E T="03">Basic vehicle frontal area</E> is used as defined in 40 CFR 86.079-2.</P> <P> <E T="03">Breakover angle</E> 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.</P> <P> <E T="03">Cargo-carrying volume</E> 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 <PRTPAGE P="85"/>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.</P> <P> <E T="03">Curb weight</E> is defined the same as <E T="03">vehicle curb weight</E> in 40 CFR part 86.</P> <P> <E T="03">Departure angle</E> 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.</P> <P> <E T="03">Footprint</E> is defined as the product of track width (measured in inches and rounded to the nearest tenth of an inch) times wheelbase (measured in inches and rounded to the nearest tenth of an inch) divided by 144 and then rounded to the nearest tenth of a square foot. For purposes of this definition, track width is the lateral distance between the centerlines of the base tires at ground, including the camber angle. For purposes of this definition, wheelbase is the longitudinal distance between front and rear wheel centerlines.</P> <P> <E T="03">Gross vehicle weight rating</E> means the value specified by the manufacturer as the loaded weight of a single vehicle.</P> <P> <E T="03">Medium duty passenger vehicle</E> means a vehicle which would satisfy the criteria in § 523.5 (relating to light trucks) but for its gross vehicle weight rating or its curb weight, which is rated at more than 8,500 lbs GVWR or has a vehicle curb weight of more than 6,000 pounds or has a basic vehicle frontal area in excess of 45 square feet, and which is designed primarily to transport passengers, but does not include a vehicle that:</P> <P>(1) Is an “incomplete truck” as defined in this subpart; or</P> <P>(2) Has a seating capacity of more than 12 persons; or</P> <P>(3)Is designed for more than 9 persons in seating rearward of the driver's seat; or</P> <P>(4) Is equipped with an open cargo area (for example, a pick-up truck box or bed) of 72.0 inches in interior length or more. A covered box not readily accessible from the passenger compartment will be considered an open cargo area for purposes of this definition.</P> <P> <E T="03">Passenger-carrying volume</E> 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).</P> <P>(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.</P> <P>(1) H61-Effective head room—front.</P> <P>(2) W3-Shoulder room—front.</P> <P>(3) L34-Maximum effective leg room-accelerator.</P> <P>(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.</P> <P>(1) H63-Effective head room—second.</P> <P>(2) W4-Shoulder room—second.</P> <P>(3) L51-Minimum effective leg room—second.</P> <P> <E T="03">Running clearance</E> means the distance from the surface on which an automobile is standing to the lowest point on the automobile, excluding unsprung weight.</P> <P> <E T="03">Static loaded radius arc</E> 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.<PRTPAGE P="86"/> </P> <P> <E T="03">Temporary living quarters</E> 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.</P> <SECAUTH>(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)</SECAUTH> <CITA>[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 71 FR 17676, Apr. 6, 2006; 71 FR 19450, Apr. 14, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 523.3</SECTNO> <SUBJECT>Automobile.</SUBJECT> <P>(a) An automobile is any 4-wheeled vehicle propelled by fuel which is manufactured primarily for use on public streets, roads, and highways (except any vehicle operated exclusively on a rail or rails), and that either—</P> <P>(1) Is rated at 6,000 pounds gross vehicle weight or less; or</P> <P>(2) Which—</P> <P>(i) Is rated more than 6,000 pounds gross vehicle weight, but less than 10,000 pounds gross vehicle weight,</P> <P>(ii) Is a type of vehicle for which the Administrator determines, under paragraph (b) of this section, average fuel economy standards are feasible, and</P> <P>(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</P> <P>(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.</P> <P>(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:</P> <P>(1) Vehicles which would satisfy the criteria in § 523.4 (relating to passenger automobiles) but for their gross vehicle weight rating.</P> <P>(2) Vehicles which would satisfy the criteria in § 523.5 (relating to light trucks) but for their gross vehicle weight rating, and which</P> <P>(i) Have a basic vehicle frontal area of 45 square feet or less,</P> <P>(ii) Have a curb weight of 6,000 pounds or less,</P> <P>(iii) Have a gross vehicle weight rating of 8,500 pounds or less, and</P> <P>(iv) Are manufactured during the 1980 model year or thereafter.</P> <P>(3) Vehicles that are defined as medium duty passenger vehicles, and which are manufactured during the 2011 model year or thereafter.</P> <SECAUTH>(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)</SECAUTH> <CITA>[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 44 FR 4493, Jan. 2, 1979; 71 FR 17676, Apr. 6, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 523.4</SECTNO> <SUBJECT>Passenger automobile.</SUBJECT> <P>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.</P> <SECAUTH>(Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001))</SECAUTH> <CITA>[42 FR 38362, July 28, 1977]</CITA> </SECTION> <SECTION> <SECTNO>§ 523.5</SECTNO> <SUBJECT>Light truck.</SUBJECT> <P>(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:</P> <P>(1) Transport more than 10 persons;</P> <P>(2) Provide temporary living quarters;</P> <P>(3) Transport property on an open bed;</P> <P>(4) Provide greater cargo-carrying than passenger-carrying volume; or</P> <P>(5) Permit expanded use of the automobile for cargo-carrying purposes or other nonpassenger-carrying purposes through:</P> <P>(i) For light trucks manufactured prior to model year 2012, 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; or<PRTPAGE P="87"/> </P> <P>(ii) For light trucks manufactured in model year 2008 and beyond, for vehicles equipped with at least 3 rows of designated seating positions as standard equipment, permit expanded use of the automobile for cargo-carrying purposes or other nonpassenger-carrying purposes through the removal or stowing of foldable or pivoting seats so as to create a flat, leveled cargo surface extending from the forwardmost point of installation of those seats to the rear of the automobile's interior.</P> <P>(b) An automobile capable of off-highway operation is an automobile—</P> <P>(1)(i) That has 4-wheel drive; or</P> <P>(ii) Is rated at more than 6,000 pounds gross vehicle weight; and</P> <P>(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—</P> <P>(i) Approach angle of not less than 28 degrees.</P> <P>(ii) Breakover angle of not less than 14 degrees.</P> <P>(iii) Departure angle of not less than 20 degrees.</P> <P>(iv) Running clearance of not less than 20 centimeters.</P> <P>(v) Front and rear axle clearances of not less than 18 centimeters each.</P> <SECAUTH>(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)</SECAUTH> <CITA>[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 58 FR 18029, Apr. 7, 1993; 71 FR 17676, Apr. 6, 2006; 71 FR 19450, Apr. 14, 2006]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 525</EAR> <HD SOURCE="HED">PART 525—EXEMPTIONS FROM AVERAGE FUEL ECONOMY STANDARDS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>525.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>525.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>525.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>525.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>525.5</SECTNO> <SUBJECT>Limitation on eligibility.</SUBJECT> <SECTNO>525.6</SECTNO> <SUBJECT>Requirements for petition.</SUBJECT> <SECTNO>525.7</SECTNO> <SUBJECT>Basis for petition.</SUBJECT> <SECTNO>525.8</SECTNO> <SUBJECT>Processing of petitions.</SUBJECT> <SECTNO>525.9</SECTNO> <SUBJECT>Duration of exemption.</SUBJECT> <SECTNO>525.10</SECTNO> <SUBJECT>Renewal of exemption.</SUBJECT> <SECTNO>525.11</SECTNO> <SUBJECT>Termination of exemption; amendment of alternative average fuel economy standard.</SUBJECT> <SECTNO>525.12</SECTNO> <SUBJECT>Public inspection of information.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>15 U.S.C. 2002; 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>42 FR 38376, July 28, 1977, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 525.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 525.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 525.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to passenger automobile manufacturers.</P> </SECTION> <SECTION> <SECTNO>§ 525.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> (1) The terms <E T="03">fuel,</E> <E T="03">manufacture,</E> <E T="03">manufacturer,</E> and <E T="03">model year,</E> are used as defined in section 501 of the Act.</P> <P>(2) The terms <E T="03">average fuel economy, fuel economy,</E> and <E T="03">model type</E> are used as defined in 40 CFR 600.002-77.</P> <P>(3) The term <E T="03">automobile</E> means a vehicle determined by the Administrator under 49 CFR part 523 to be an automobile.</P> <P>(4) The term <E T="03">passenger automobile</E> means an automobile determined by the Administrator under 49 CFR part 523 to be a passenger automobile.</P> <P>(5) The term <E T="03">customs territory of the United States</E> is used as defined in 19 U.S.C. 1202.<PRTPAGE P="88"/> </P> <P>(b) <E T="03">Other terms.</E> (1) The term <E T="03">base level</E> and <E T="03">vehicle configuration</E> are used as defined in 40 CFR 600.002-77.</P> <P>(2) The term <E T="03">vehicle curb weight</E> is used as defined in 40 CFR 85.002.</P> <P>(3) The term <E T="03">interior volume index</E> is used as defined in 40 CFR 600.315-77.</P> <P>(4) The term <E T="03">frontal area</E> is used as defined in 40 CFR 86.129-79.</P> <P>(5) The term <E T="03">basic engine</E> is used as defined in 40 CFR 600.002-77(a)(21).</P> <P>(6) The term <E T="03">designated seating position</E> is defined in 49 CFR 571.3.</P> <P>(7) As used in this part, unless otherwise required by the context:</P> <P> <E T="03">Act</E> 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);</P> <P> <E T="03">Administrator</E> means the Administrator of the National Highway Traffic Safety Administration;</P> <P> <E T="03">Affected model year</E> means a model year for which an exemption and alternative average fuel economy standard are requested under this part;</P> <P> <E T="03">Production mix</E> 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 petitioner plans to manufacture in a model year; and</P> <P> <E T="03">Total drive ratio</E> means the ratio of an automobile's engine rotational speed (in revolutions per minute) to the automobile's forward speed (in miles per hour).</P> <SECAUTH>(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))</SECAUTH> <CITA>[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 525.5</SECTNO> <SUBJECT>Limitation on eligibility.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 525.6</SECTNO> <SUBJECT>Requirements for petition.</SUBJECT> <P>Each petition filed under this part must—</P> <P>(a) Identify the model year or years for which exemption is requested;</P> <P>(b) Be submitted not later than 24 months before the beginning of the affected model year, unless good cause for later submission is shown;</P> <P>(c) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, Washington, DC 20590;</P> <P>(d) Be written in the English language;</P> <P>(e) State the full name, address, and title of the official responsible for preparing the petition, and the name and address of the manufacturer;</P> <P>(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 § 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;</P> <P>(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.</P> <SECAUTH>(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))</SECAUTH> <CITA>[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979; 46 FR 2063, Jan. 8, 1981]</CITA> </SECTION> <SECTION> <SECTNO>§ 525.7</SECTNO> <SUBJECT>Basis for petition.</SUBJECT> <P>(a) The petitioner shall include the information specified in paragraphs (b) through (h) in its petition.</P> <P>(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.</P> <P>(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 <PRTPAGE P="89"/>year immediately preceding each affected model year.</P> <P>(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—</P> <P>(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;</P> <P>(2) Its passenger automobile production capacity for that affected model year;</P> <P>(3) Its efforts to comply with that average fuel economy standard; and</P> <P>(4) Anticipated consumer demand in the United States for passenger automobiles during that affected model year.</P> <P>(e) For each affected model year, a description of the following features of each vehicle configuration of the petitioner's passenger automobiles to be manufactured in that affected model year;</P> <P>(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);</P> <P>(2) Vehicle curb weight;</P> <P>(3) Number of designated seating positions and interior volume index;</P> <P>(4) Basic engine, displacement, and SAE rated net power, kilowatts;</P> <P>(5) Fuel metering system, including the number of carburetor barrels, if applicable;</P> <P>(6) Drive train configuration and total drive ratio;</P> <P>(7) Emission control system;</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(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.</P> <P>(2) A chronological description of the petitioner's past and planned efforts to implement the means described under paragraph (h)(1) of this section.<PRTPAGE P="90"/> </P> <P>(3) A description of the effect of other Federal motor vehicle standards on the fuel economy of the petitioner's automobiles.</P> <P>(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.</P> <P>(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 not making those increases in that affected model year.</P> <SECAUTH>(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))</SECAUTH> <CITA>[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979; 58 FR 18029, Apr. 7, 1993]</CITA> </SECTION> <SECTION> <SECTNO>§ 525.8</SECTNO> <SUBJECT>Processing of petitions.</SUBJECT> <P>(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.</P> <P>(b) The Administrator may request the petitioner to provide information in addition to that required by this part.</P> <P>(c) The Administrator publishes a proposed decision in the <E T="04">Federal Register.</E> 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.</P> <P>(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.</P> <P>(e) After the conclusion of the period for public comment on the proposal, the Administrator publishes a final decision in the <E T="04">Federal Register.</E> 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.</P> <SECAUTH>(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))</SECAUTH> <CITA>[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 525.9</SECTNO> <SUBJECT>Duration of exemption.</SUBJECT> <P>An exemption may be granted under this part for not more than three model years.</P> </SECTION> <SECTION> <SECTNO>§ 525.10</SECTNO> <SUBJECT>Renewal of exemption.</SUBJECT> <P>A manufacturer exempted under this part may request renewal of its exemption by submitting a petition meeting the requirements of §§ 525.6 and 525.7.</P> </SECTION> <SECTION> <SECTNO>§ 525.11</SECTNO> <SUBJECT>Termination of exemption; amendment of alternative average fuel economy standard.</SUBJECT> <P>(a) Any exemption granted under this part for an affected model year does not apply to a manufacturer that is ineligible under § 525.5 for an exemption in that model year.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <PRTPAGE P="91"/> <SECTNO>§ 525.12</SECTNO> <SUBJECT>Public inspection of information.</SUBJECT> <P>(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).</P> <P>(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 § 525.6(g) and is granted 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.</P> <CITA>[46 FR 2063, Jan. 8, 1981]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 526</EAR> <HD SOURCE="HED">PART 526—PETITIONS AND PLANS FOR RELIEF UNDER THE AUTOMOBILE FUEL EFFICIENCY ACT OF 1980</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>526.1</SECTNO> <SUBJECT>General provisions.</SUBJECT> <SECTNO>526.2</SECTNO> <SUBJECT>U.S. production by foreign manufacturer.</SUBJECT> <SECTNO>526.3</SECTNO> <SUBJECT>Transfer of vehicle from non-domestic to domestic fleet.</SUBJECT> <SECTNO>526.4</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>526.5</SECTNO> <SUBJECT>Earning offsetting monetary credits in future model years.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>15 U.S.C. 2002 and 2003; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>47 FR 7248, Feb. 18, 1982, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 526.1</SECTNO> <SUBJECT>General provisions.</SUBJECT> <P>(a) <E T="03">Applicability.</E> 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 <E T="03">et seq.</E> </P> <P>(b) <E T="03">Address.</E> 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.</P> <P>(c) <E T="03">Authority and scope of relief.</E> 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.</P> <CITA>[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 526.2</SECTNO> <SUBJECT>U.S. production by foreign manufacturer.</SUBJECT> <P>Each petition filed under section 503(b)(3) of the Motor Vehicle Information and Cost Savings Act must contain the following information:</P> <P>(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:</P> <P>(1) A description of the model type, including car line designation, engine displacement and type, transmission type, and average fuel economy;</P> <P>(2) U.S. sales projected for the model type;</P> <P>(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</P> <P>(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) <PRTPAGE P="92"/>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.</P> <P>(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.</P> <P>(c) A description of how the petitioner's responses to paragraphs (a) and (b) of this section would differ if the petition were denied.</P> <CITA>[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 526.3</SECTNO> <SUBJECT>Transfer of vehicle from non-domestic to domestic fleet.</SUBJECT> <P>Each plan submitted under section 503(b)(4) of the Motor Vehicle Information and Cost Savings Act must contain the following information:</P> <P>(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:</P> <P>(1) A description of the model type, including engine type and displacement, transmission class, car line designation, and fuel economy;</P> <P>(2) The projected U.S. sales of the model type;</P> <P>(3) The average total manufacturing cost per vehicle for the model type;</P> <P>(4) The percentage of the cost to the manufacturer attributable to value added in the United States or Canada for the model type:</P> <P>(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.</P> <CITA>[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 526.4</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 526.5</SECTNO> <SUBJECT>Earning offsetting monetary credits in future model years.</SUBJECT> <P>Each plan submitted under section 502(l) of the Motor Vehicle Information and Cost Savings Act must contain the following information:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) The fuel economy effect of each product action specified under paragraph (b) of this section per affected vehicle.</P> <CITA>[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 529</EAR> <HD SOURCE="HED">PART 529—MANUFACTURERS OF MULTISTAGE AUTOMOBILES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>529.1</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> <SECTNO>529.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>529.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>529.4</SECTNO> <SUBJECT>Requirements for incomplete automobile manufacturers.</SUBJECT> <SECTNO>529.5</SECTNO> <SUBJECT>Requirements for intermediate manufacturers.</SUBJECT> <SECTNO>529.6</SECTNO> <SUBJECT>Requirements for final-stage manufacturers.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001); delegation of authority at 41 FR 25015, June 22, 1976.</P> </AUTH> <SOURCE> <PRTPAGE P="93"/> <HD SOURCE="HED">Source:</HD> <P>42 FR 38372, July 28, 1977, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 529.1</SECTNO> <SUBJECT>Scope and purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 529.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to incomplete automobile manufacturers, intermediate manufacturers, and final-stage manufacturers of automobiles that are manufactured in two or more stages.</P> </SECTION> <SECTION> <SECTNO>§ 529.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> (1) The term <E T="03">automobile</E> is used as defined in section 501 of the Act and in accordance with the determinations in 49 CFR part 523.</P> <P>(2) The terms <E T="03">manufacture, manufacturer,</E> and <E T="03">fuel economy</E> are used as defined in section 501 of the Act.</P> <P>(b) <E T="03">Other terms.</E> (1) <E T="03">Act</E> 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).</P> <P>(2) <E T="03">Completed automobile</E> 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.</P> <P>(3) <E T="03">Curb weight</E> is defined the same as <E T="03">vehicle curb weight</E> in 40 CFR part 86.</P> <P>(4) <E T="03">Final-stage manufacturer</E> means a person who performs such manufacturing operations on an incomplete automobile that it becomes a completed automobile.</P> <P>(5) <E T="03">Frontal area</E> is used as defined in 40 CFR 86.079-2.</P> <P>(6) <E T="03">Incomplete automobile</E> 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.</P> <P>(7) <E T="03">Incomplete automobile manufacturer</E> means a person who manufactures an incomplete automobile by assembling components none of which, taken separately, constitute a complete automobile.</P> <P>(8) <E T="03">Intermediate manufacturer</E> means a person, other than the incomplete automobile manufacturer or the final-stage manufacturer, who performs manufacturing operations on an incomplete automobile.</P> <CITA>[42 FR 38372, July 28, 1977, as amended at 42 FR 39983, Aug. 8, 1977]</CITA> </SECTION> <SECTION> <SECTNO>§ 529.4</SECTNO> <SUBJECT>Requirements for incomplete automobile manufacturers.</SUBJECT> <P>(a) Except as provided in paragraph (c) of this section, §§ 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.</P> <P>(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—</P> <P>(i) Name and mailing address of the incomplete automobile manufacturer.</P> <P>(ii) Month and year during which the incomplete automobile manufacturer performed its last manufacturing operation on the incomplete automobile.</P> <P>(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.<PRTPAGE P="94"/> </P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(vii) Whether the fuel economy values have been computed with the road load horsepower set to take into account the presence of air conditioning.</P> <P>(2) A fuel economy label conforming with 40 CFR part 600.</P> <P>(c)(1) The incomplete automobile manufacturer shall either attach the document specified in paragraph (b)(1) 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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 529.5</SECTNO> <SUBJECT>Requirements for intermediate manufacturers.</SUBJECT> <P>(a) Except as provided in paragraph (d) of this section and in § 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 § 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.</P> <P>(b) Each intermediate manufacturer of an incomplete automobile shall furnish, in the manner specified in § 529.4(c), to the subsequent manufacturer of that automobile the document required by § 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.</P> <P>(c) Each intermediate manufacturer that is required by paragraph (b) of this section to furnish an addendum to a document required by § 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.</P> <P>(d)(1) If the intermediate manufacturer's manufacturing operations on an <PRTPAGE P="95"/>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 § 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.</P> <P>(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 § 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.</P> <P>(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 § 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.</P> <P>(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:</P> <P>(i) The portion of the body including the windshield and front seat side windows was added to the incomplete automobile by a previous manufacturer;</P> <P>(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</P> <P>(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.</P> <P>(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 § 529.4(b)(1), the intermediate manufacturer shall send that manufacturer a copy of that label.</P> </SECTION> <SECTION> <SECTNO>§ 529.6</SECTNO> <SUBJECT>Requirements for final-stage manufacturers.</SUBJECT> <P>(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 § 529.4(b) and furnished it by the incomplete automobile manufacturer under § 529.4(c)(1) or by the last intermediate manufacturer under § 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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="96"/> </P> <P>(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 § 529.4(c)(2) or by the last intermediate manufacturer under § 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.</P> <P>(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:</P> <P>(i) The portion of the body including the windshield and front seat side windows was added to the completed automobile by a previous manufacturer;</P> <P>(ii) The final-stage manufacturer's manufacturing operations do not cause that automobile to exceed either of the maxima specified in paragraph (c)(1) of this section; and</P> <P>(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.</P> </SECTION> </PART> <PART> <EAR>Pt. 531</EAR> <HD SOURCE="HED">PART 531—PASSENGER AUTOMOBILE AVERAGE FUEL ECONOMY STANDARDS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>531.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>531.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>531.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>531.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>531.5</SECTNO> <SUBJECT>Fuel economy standards.</SUBJECT> <SECTNO>531.6</SECTNO> <SUBJECT>Measurement and calculation procedures.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 32902, delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>42 FR 33552, June 30, 1977, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 531.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> <CITA>[43 FR 28204, June 29, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 531.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 531.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to manufacturers of passenger automobiles.</P> </SECTION> <SECTION> <SECTNO>§ 531.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> (1) The terms <E T="03">average fuel economy, manufacture, manufacturer,</E> and <E T="03">model year</E> are used as defined in section 501 of the Act.</P> <P>(2) The terms <E T="03">automobile</E> and <E T="03">passenger automobile</E> are used as defined in section 501 of the Act and in accordance with the determination in part 523 of this chapter.</P> <P>(b) <E T="03">Other terms.</E> As used in this part, unless otherwise required by the context—</P> <P>(1) <E T="03">Act</E> means the Motor Vehicle Information and Cost Savings Act, as amended by Pub. L. 94-163.</P> </SECTION> <SECTION> <SECTNO>§ 531.5</SECTNO> <SUBJECT>Fuel economy standards.</SUBJECT> <P>(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:</P> <GPOTABLE CDEF="s25,9" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">1978</ENT> <ENT>18.0</ENT> </ROW> <ROW> <ENT I="01">1979</ENT> <ENT>19.0</ENT> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>20.0</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>22.0</ENT> </ROW> <ROW> <ENT I="01">1982</ENT> <ENT>24.0</ENT> </ROW> <ROW> <ENT I="01">1983</ENT> <ENT>26.0</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>27.0</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>27.5</ENT> </ROW> <ROW> <ENT I="01">1986</ENT> <ENT>26.0</ENT> </ROW> <ROW> <ENT I="01">1987</ENT> <ENT>26.0</ENT> </ROW> <ROW> <ENT I="01">1988</ENT> <ENT>26.0</ENT> </ROW> <ROW> <ENT I="01">1989</ENT> <ENT>26.5</ENT> </ROW> <ROW> <ENT I="01">1990 and thereafter</ENT> <ENT>27.5</ENT> </ROW> </GPOTABLE> <P>(b) The following manufacturers shall comply with the standards indicated below for the specified model years:</P> <P>(1) Avanti Motor Corporation.<PRTPAGE P="97"/> </P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">1978</ENT> <ENT>16.1</ENT> </ROW> <ROW> <ENT I="01">1979</ENT> <ENT>14.5</ENT> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>15.8</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>18.2</ENT> </ROW> <ROW> <ENT I="01">1982</ENT> <ENT>18.2</ENT> </ROW> <ROW> <ENT I="01">1983</ENT> <ENT>16.9</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>16.9</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>16.9</ENT> </ROW> </GPOTABLE> <P>(2) Rolls-Royce Motors, Inc.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">1978</ENT> <ENT>10.7</ENT> </ROW> <ROW> <ENT I="01">1979</ENT> <ENT>10.8</ENT> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>11.1</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>10.7</ENT> </ROW> <ROW> <ENT I="01">1982</ENT> <ENT>10.6</ENT> </ROW> <ROW> <ENT I="01">1983</ENT> <ENT>9.9</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>10.0</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>10.0</ENT> </ROW> <ROW> <ENT I="01">1986</ENT> <ENT>11.0</ENT> </ROW> <ROW> <ENT I="01">1987</ENT> <ENT>11.2</ENT> </ROW> <ROW> <ENT I="01">1988</ENT> <ENT>11.2</ENT> </ROW> <ROW> <ENT I="01">1989</ENT> <ENT>11.2</ENT> </ROW> <ROW> <ENT I="01">1990</ENT> <ENT>12.7</ENT> </ROW> <ROW> <ENT I="01">1991</ENT> <ENT>12.7</ENT> </ROW> <ROW> <ENT I="01">1992</ENT> <ENT>13.8</ENT> </ROW> <ROW> <ENT I="01">1993</ENT> <ENT>13.8</ENT> </ROW> <ROW> <ENT I="01">1994</ENT> <ENT>13.8</ENT> </ROW> <ROW> <ENT I="01">1995</ENT> <ENT>14.6</ENT> </ROW> <ROW> <ENT I="01">1996</ENT> <ENT>14.6</ENT> </ROW> <ROW> <ENT I="01">1997</ENT> <ENT>15.1</ENT> </ROW> <ROW> <ENT I="01">1998</ENT> <ENT>16.3</ENT> </ROW> <ROW> <ENT I="01">1999</ENT> <ENT>16.3</ENT> </ROW> </GPOTABLE> <P>(3) Checker Motors Corporation.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">1978</ENT> <ENT>17.6</ENT> </ROW> <ROW> <ENT I="01">1979</ENT> <ENT>16.5</ENT> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>18.5</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>18.3</ENT> </ROW> <ROW> <ENT I="01">1982</ENT> <ENT>18.4</ENT> </ROW> </GPOTABLE> <P>(4) Aston Martin Lagonda, Inc.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">1979</ENT> <ENT>11.5</ENT> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>12.1</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>12.2</ENT> </ROW> <ROW> <ENT I="01">1982</ENT> <ENT>12.2</ENT> </ROW> <ROW> <ENT I="01">1983</ENT> <ENT>11.3</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>11.3</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>11.4</ENT> </ROW> </GPOTABLE> <P>(5) Excalibur Automobile Corporation.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">1978</ENT> <ENT>11.5</ENT> </ROW> <ROW> <ENT I="01">1979</ENT> <ENT>11.5</ENT> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>16.2</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>17.9</ENT> </ROW> <ROW> <ENT I="01">1982</ENT> <ENT>17.9</ENT> </ROW> <ROW> <ENT I="01">1983</ENT> <ENT>16.6</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>16.6</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>16.6</ENT> </ROW> </GPOTABLE> <P>(6) Lotus Cars Ltd.</P> <GPOTABLE CDEF="s25,10" COLS="2" OPTS="L2,i1"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">1994</ENT> <ENT>24.2</ENT> </ROW> <ROW> <ENT I="01">1995</ENT> <ENT>23.3</ENT> </ROW> </GPOTABLE> <P>(7) Officine Alfieri Maserati, S.p.A.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">1978</ENT> <ENT>12.5</ENT> </ROW> <ROW> <ENT I="01">1979</ENT> <ENT>12.5</ENT> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>9.5</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>17.9</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>16.8</ENT> </ROW> </GPOTABLE> <P>(8) Lamborghini of North America.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">1983</ENT> <ENT>13.7</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>13.7</ENT> </ROW> </GPOTABLE> <P>(9) LondonCoach Co., Inc.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">1985</ENT> <ENT>21.0</ENT> </ROW> <ROW> <ENT I="01">1986</ENT> <ENT>21.0</ENT> </ROW> <ROW> <ENT I="01">1987</ENT> <ENT>21.0</ENT> </ROW> </GPOTABLE> <P>(10) Automobili Lamborghini S.p.A./Vector Aeromotive Corporation.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">1995</ENT> <ENT>12.8</ENT> </ROW> <ROW> <ENT I="01">1996</ENT> <ENT>12.6</ENT> </ROW> <ROW> <ENT I="01">1997</ENT> <ENT>12.5</ENT> </ROW> </GPOTABLE> <P>(11) Dutcher Motors, Inc.<PRTPAGE P="98"/> </P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">1986</ENT> <ENT>16.0</ENT> </ROW> <ROW> <ENT I="01">1987</ENT> <ENT>16.0</ENT> </ROW> <ROW> <ENT I="01">1988</ENT> <ENT>16.0</ENT> </ROW> <ROW> <ENT I="01">1992</ENT> <ENT>17.0</ENT> </ROW> <ROW> <ENT I="01">1993</ENT> <ENT>17.0</ENT> </ROW> <ROW> <ENT I="01">1994</ENT> <ENT>17.0</ENT> </ROW> <ROW> <ENT I="01">1995</ENT> <ENT>17.0</ENT> </ROW> </GPOTABLE> <P>(12) MedNet, Inc.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">1996</ENT> <ENT>17.0</ENT> </ROW> <ROW> <ENT I="01">1997</ENT> <ENT>17.0</ENT> </ROW> <ROW> <ENT I="01">1998</ENT> <ENT>17.0</ENT> </ROW> </GPOTABLE> <P>(13) Vector Aeromotive Corporation.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2,i1"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">1998</ENT> <ENT>12.1</ENT> </ROW> </GPOTABLE> <P>(14) Qvale Automotive Group Srl.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2,i1"> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Average fuel economy standard (miles per gallon)</CHED> </BOXHD> <ROW> <ENT I="01">2000</ENT> <ENT>22.0</ENT> </ROW> <ROW> <ENT I="01">2001</ENT> <ENT>22.0</ENT> </ROW> </GPOTABLE> <P>(15) Spyker Automobielen B.V.</P> <GPOTABLE CDEF="s25,10" COLS="2" OPTS="L2"> <TTITLE>Average Fuel Economy Standard</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Miles per gallon</CHED> </BOXHD> <ROW> <ENT I="01">2006</ENT> <ENT>18.9</ENT> </ROW> <ROW> <ENT I="01">2007</ENT> <ENT>18.9</ENT> </ROW> </GPOTABLE> <CITA>[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; 65 FR 58484, Sept. 29, 2000; 72 FR 28620, May 22, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 531.6</SECTNO> <SUBJECT>Measurement and calculation procedures.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[42 FR 33552, June 30, 1977, as amended at 64 FR 27203, May 19, 1999]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 533</EAR> <HD SOURCE="HED">PART 533—LIGHT TRUCK FUEL ECONOMY STANDARDS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>533.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>533.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>533.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>533.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>533.5</SECTNO> <SUBJECT>Requirements.</SUBJECT> <SECTNO>533.6</SECTNO> <SUBJECT>Measurement and calculation procedures.</SUBJECT> <APP>Appendix A to Part 533—Example of Calculating Compliance Under § 533.5 Paragraph (g)</APP> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 32902; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SECTION> <SECTNO>§ 533.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> <CITA>[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 533.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>The purpose of this part is to increase the fuel economy of light trucks <PRTPAGE P="99"/>by establishing minimum levels of average fuel economy for those vehicles.</P> <CITA>[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 533.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to manufacturers of light trucks.</P> <CITA>[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 533.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> (1) The terms <E T="03">average fuel economy, average fuel economy standard, fuel economy, import, manufacture, manufacturer,</E> and <E T="03">model year</E> are used as defined in section 501 of the Act.</P> <P>(2) The term <E T="03">automobile</E> is used as defined in section 501 of the Act and in accordance with the determinations in part 523 of this chapter.</P> <P>(3) The term <E T="03">domestically manufactured</E> is used as defined in section 503(b)(2)(E) of the Act.</P> <P>(b) <E T="03">Other terms.</E> As used in this part, unless otherwise required by the context—</P> <P>(1) <E T="03">Act</E> means the Motor Vehicle Information Cost Savings Act, as amended by Pub. L. 94-163.</P> <P>(2) <E T="03">Light truck</E> is used in accordance with the determinations in part 523 of this chapter.</P> <P> <E T="03">Captive import</E> 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.</P> <P> <E T="03">4-wheel drive, general utility vehicle</E> means a 4-wheel drive, general purpose 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.</P> <P> <E T="03">Basic engine</E> 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.</P> <P> <E T="03">Limited product line light truck</E> 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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 533.5</SECTNO> <SUBJECT>Requirements.</SUBJECT> <P>(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:</P> <GPOTABLE CDEF="s10,6,6,6,6,6" COLS="6" OPTS="L2"> <TTITLE>Table I</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">2-wheel drive light trucks</CHED> <CHED H="2">Captive imports</CHED> <CHED H="2">Other</CHED> <CHED H="1">4-wheel drive light trucks</CHED> <CHED H="2">Captive imports</CHED> <CHED H="2">Other</CHED> <CHED H="1">Limited product line light trucks</CHED> </BOXHD> <ROW> <ENT I="01">1979</ENT> <ENT/> <ENT>17.2</ENT> <ENT/> <ENT>15.8</ENT> <ENT/> </ROW> <ROW> <ENT I="01">1980</ENT> <ENT>16.0</ENT> <ENT>16.0</ENT> <ENT>14.0</ENT> <ENT>14.0</ENT> <ENT>14.0</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>16.7</ENT> <ENT>16.7</ENT> <ENT>15.0</ENT> <ENT>15.0</ENT> <ENT>14.5</ENT> </ROW> </GPOTABLE> <GPOTABLE CDEF="s10,5,5,5,5,5,5" COLS="7" OPTS="L2,i1"> <TTITLE>Table II</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Combined standard</CHED> <CHED H="2">Captive imports</CHED> <CHED H="2">Others</CHED> <CHED H="1">2-wheel drive light trucks</CHED> <CHED H="2">Captive imports</CHED> <CHED H="2">Others</CHED> <CHED H="1">4-wheel drive light trucks</CHED> <CHED H="2">Captive imports</CHED> <CHED H="2">Others</CHED> </BOXHD> <ROW> <ENT I="01">1982</ENT> <ENT>17.5</ENT> <ENT>17.5</ENT> <ENT>18.0</ENT> <ENT>18.0</ENT> <ENT>16.0</ENT> <ENT>16.0</ENT> </ROW> <ROW> <ENT I="01">1983</ENT> <ENT>19.0</ENT> <ENT>19.0</ENT> <ENT>19.5</ENT> <ENT>19.5</ENT> <ENT>17.5</ENT> <ENT>17.5</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>20.0</ENT> <ENT>20.0</ENT> <ENT>20.3</ENT> <ENT>20.3</ENT> <ENT>18.5</ENT> <ENT>18.5</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>19.5</ENT> <ENT>19.5</ENT> <ENT>19.7</ENT> <ENT>19.7</ENT> <ENT>18.9</ENT> <ENT>18.9</ENT> </ROW> <ROW> <ENT I="01">1986</ENT> <ENT>20.0</ENT> <ENT>20.0</ENT> <ENT>20.5</ENT> <ENT>20.5</ENT> <ENT>19.5</ENT> <ENT>19.5</ENT> </ROW> <ROW> <ENT I="01">1987</ENT> <ENT>20.5</ENT> <ENT>20.5</ENT> <ENT>21.0</ENT> <ENT>21.0</ENT> <ENT>19.5</ENT> <ENT>19.5</ENT> </ROW> <ROW> <ENT I="01">1988</ENT> <ENT>20.5</ENT> <ENT>20.5</ENT> <ENT>21.0</ENT> <ENT>21.0</ENT> <ENT>19.5</ENT> <ENT>19.5</ENT> </ROW> <ROW> <ENT I="01">1989</ENT> <ENT>20.5</ENT> <ENT>20.5</ENT> <ENT>21.5</ENT> <ENT>21.5</ENT> <ENT>19.0</ENT> <ENT>19.0</ENT> </ROW> <ROW> <ENT I="01">1990</ENT> <ENT>20.0</ENT> <ENT>20.0</ENT> <ENT>20.5</ENT> <ENT>20.5</ENT> <ENT>19.0</ENT> <ENT>19.0</ENT> </ROW> <ROW> <ENT I="01">1991</ENT> <ENT>20.2</ENT> <ENT>20.2</ENT> <ENT>20.7</ENT> <ENT>20.7</ENT> <ENT>19.1</ENT> <ENT>19.1</ENT> </ROW> </GPOTABLE> <GPOTABLE CDEF="s10,8,6" COLS="3" OPTS="L2,p7,7/8,i1"> <TTITLE>Table III</TTITLE> <BOXHD> <CHED H="1">Model Year</CHED> <CHED H="1">Combined standard</CHED> <CHED H="2">Captive imports</CHED> <CHED H="2">Other</CHED> </BOXHD> <ROW> <ENT I="01">1992</ENT> <ENT>20.2</ENT> <ENT>20.2</ENT> </ROW> <ROW> <ENT I="01">1993</ENT> <ENT>20.4</ENT> <ENT>20.4</ENT> </ROW> <ROW> <ENT I="01">1994</ENT> <ENT>20.5</ENT> <ENT>20.5</ENT> </ROW> <ROW> <ENT I="01">1995</ENT> <ENT>20.6</ENT> <ENT>20.6</ENT> </ROW> </GPOTABLE> <GPOTABLE CDEF="s25,9" COLS="2" OPTS="L2,i1"> <TTITLE>Table IV</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Standard</CHED> </BOXHD> <ROW> <ENT I="01">2001</ENT> <ENT>20.7</ENT> </ROW> <ROW> <ENT I="01">2002</ENT> <ENT>20.7</ENT> </ROW> <ROW> <ENT I="01">2003</ENT> <ENT>20.7</ENT> </ROW> <ROW> <ENT I="01">2004</ENT> <ENT>20.7</ENT> </ROW> <ROW> <ENT I="01">2005</ENT> <ENT>21.0</ENT> </ROW> <ROW> <ENT I="01">2006</ENT> <ENT>21.6</ENT> </ROW> <ROW> <PRTPAGE P="100"/> <ENT I="01">2007</ENT> <ENT>22.2</ENT> </ROW> <ROW> <ENT I="01">2008</ENT> <ENT>22.5</ENT> </ROW> <ROW> <ENT I="01">2009</ENT> <ENT>23.1</ENT> </ROW> <ROW> <ENT I="01">2010</ENT> <ENT>23.5</ENT> </ROW> </GPOTABLE> <GPH DEEP="75" SPAN="2"> <GID>ER14AP06.001</GID> </GPH> <FP SOURCE="FP-2">Where:</FP> <FP SOURCE="FP-2">N is the total number (sum) of light trucks produced by a manufacturer, <E T="03">N</E> <E T="52">i</E> is the number (sum) of the i<E T="51">th</E> light truck model type produced by the manufacturer, and</FP> <FP SOURCE="FP-2">T<E T="52">i</E> is fuel economy target of the i<E T="51">th</E> light truck model type, which is determined according to the following formula, rounded to the nearest hundredth:</FP> <GPH DEEP="80" SPAN="2"> <GID>ER14AP06.000</GID> </GPH> <FP SOURCE="FP-2">Where:</FP> <FP SOURCE="FP-2">Parameters a, b, c, and d are defined in § 533.3 Table V;</FP> <FP SOURCE="FP-2">e = 2.718; and</FP> <FP SOURCE="FP-2">x = footprint (in square feet, rounded to the nearest tenth) of the model type</FP> <GPOTABLE CDEF="s50,12,12,12,12" COLS="5" OPTS="L2"> <TTITLE>Table V.—Parameters for the Reformed CAFE Fuel Economy Targets</TTITLE> <BOXHD> <CHED H="1">Model year</CHED> <CHED H="1">Parameters</CHED> <CHED H="2">a</CHED> <CHED H="2">b</CHED> <CHED H="2">c</CHED> <CHED H="2">d</CHED> </BOXHD> <ROW> <ENT I="01">2008</ENT> <ENT>28.56</ENT> <ENT>19.99</ENT> <ENT>49.30</ENT> <ENT>5.58</ENT> </ROW> <ROW> <ENT I="01">2009</ENT> <ENT>30.07</ENT> <ENT>20.87</ENT> <ENT>48.00</ENT> <ENT>5.81</ENT> </ROW> <ROW> <ENT I="01">2010</ENT> <ENT>29.96</ENT> <ENT>21.20</ENT> <ENT>48.49</ENT> <ENT>5.50</ENT> </ROW> <ROW> <ENT I="01">2011</ENT> <ENT>30.42</ENT> <ENT>21.79</ENT> <ENT>47.74</ENT> <ENT>4.65</ENT> </ROW> </GPOTABLE> <P>(b)(1) For model year 1979, each manufacturer may:</P> <P>(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</P> <P>(ii) Comply separately with the two standards specified in paragraph (a) of this section.<PRTPAGE P="101"/> </P> <P>(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.</P> <P>(c) For model years 1980 and 1981, manufacturers of limited product line light trucks may:</P> <P>(1) Comply with the separate standard for limited product line light trucks, or</P> <P>(2) Comply with the other standards specified in § 533.5(a), as applicable.</P> <P>(d) For model years 1982-91, each manufacture may:</P> <P>(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</P> <P>(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.</P> <P>(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).</P> <P>(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.</P> <P>(g) For model years 2008-2010, at a manufacturer's option, a manufacturer's light truck fleet may comply with the fuel economy level calculated according to Figure I and the appropriate values in Table V, with said option being irrevocably chosen for that model year and reported as specified in § 537.8.</P> <P>(h) For model year 2011, a manufacturer's light truck fleet shall comply with the fuel economy level, calculated according to Figure I and the appropriate values in Table V.</P> <CITA>[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; 65 FR 17778, Apr. 5, 2000; 66 FR 17516, Apr. 2, 2001; 67 FR 16060, Apr. 4, 2002; 68 FR 16899, Apr. 7, 2003; 71 FR 17676, Apr. 6, 2006; 71 FR 19450, Apr. 14, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 533.6</SECTNO> <SUBJECT>Measurement and calculation procedures.</SUBJECT> <P>(a) Any reference to a class of light trucks manufactured by a manufacturer shall be deemed—</P> <P>(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</P> <P>(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.</P> <P>(b) The average fuel economy of all nonpassenger automobiles that are manufactured by a manufacturer and are subject to § 533.5(b) or to § 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.</P> <CITA>[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 533, App. A</EAR> <HD SOURCE="HED">Appendix A—Example of Calculating Compliance Under § 533.5 Paragraph (g)</HD> <P>Assume a hypothetical manufacturer (Manufacturer X) produces a fleet of light trucks in MY 2008 as follows:</P> <GPOTABLE CDEF="s25,8,8,8" COLS="4" OPTS="L2"> <BOXHD> <CHED H="1">Model</CHED> <CHED H="1">Fuel<LI>economy</LI> </CHED> <CHED H="1">Volume</CHED> <CHED H="1">Footprint<LI>(ft<SU>2</SU>)</LI> </CHED> </BOXHD> <ROW> <ENT I="01">A</ENT> <ENT>27.0</ENT> <ENT>1,000</ENT> <ENT>42.0</ENT> </ROW> <ROW> <ENT I="01">B</ENT> <ENT>25.6</ENT> <ENT>1,500</ENT> <ENT>44.0</ENT> </ROW> <ROW> <ENT I="01">C</ENT> <ENT>25.4</ENT> <ENT>1,000</ENT> <ENT>46.0</ENT> </ROW> <ROW> <ENT I="01">D</ENT> <ENT>22.1</ENT> <ENT>2,000</ENT> <ENT>50.0</ENT> </ROW> <ROW> <ENT I="01">E</ENT> <ENT>22.4</ENT> <ENT>3,000</ENT> <ENT>55.0</ENT> </ROW> <ROW> <ENT I="01">F</ENT> <ENT>20.2</ENT> <ENT>1,000</ENT> <ENT>66.0</ENT> </ROW> </GPOTABLE> <NOTE> <PRTPAGE P="102"/> <HD SOURCE="HED">Note to Appendix A Table 1.</HD> <P>Manufacturer X's required corporate average fuel economy level under § 533.5(g) would be calculated by first determining the fuel economy target applicable to each vehicle as illustrated in “Appendix A Figure 1:”</P> </NOTE> <HD SOURCE="HD1">“Appendix A Figure 1”</HD> <GPOTABLE CDEF="s30,12,12" COLS="3" OPTS="L2"> <BOXHD> <CHED H="1">Model</CHED> <CHED H="1">Footprint<LI>(ft<SU>2</SU>)</LI> </CHED> <CHED H="1">MY 2008 fuel<LI>economy</LI> <LI>target (mpg)</LI> </CHED> </BOXHD> <ROW> <ENT I="01">A</ENT> <ENT>42.0</ENT> <ENT>26.20</ENT> </ROW> <ROW> <ENT I="01">B</ENT> <ENT>44.0</ENT> <ENT>25.50</ENT> </ROW> <ROW> <ENT I="01">C</ENT> <ENT>46.0</ENT> <ENT>24.80</ENT> </ROW> <ROW> <ENT I="01">D</ENT> <ENT>50.0</ENT> <ENT>23.30</ENT> </ROW> <ROW> <ENT I="01">E</ENT> <ENT>55.0</ENT> <ENT>21.70</ENT> </ROW> <ROW> <ENT I="01">F</ENT> <ENT>66.0</ENT> <ENT>20.30</ENT> </ROW> </GPOTABLE> <NOTE> <HD SOURCE="HED">Note to Appendix A Figure 1.</HD> <P>Accordingly, vehicle models A, B, C, D, E, and F would be compared to fuel economy values of 26.20, 25.50, 24.80, 23.30, 21.70, and 20.30 mpg, respectively. With the appropriate fuel economy targets calculated, Manufacturer X's required fuel economy would be calculated as illustrated in “Appendix A Figure 2.”</P> </NOTE> <GPH DEEP="140" SPAN="2"> <GID>ER14AP06.002</GID> </GPH> <GPH DEEP="159" SPAN="2"> <GID>ER06AP06.041</GID> </GPH> <NOTE> <HD SOURCE="HED">Note to Appendix A Figure 3.</HD> <P>Since the actual average fuel economy of Manufacturer X's fleet is 23.2 mpg, as compared to its required fuel economy level of 23.1 mpg, Manufacturer X complies with the Reformed CAFE standard for MY 2008 as set forth in § 533.7(g).</P> </NOTE> <CITA>[71 FR 17677, Apr. 6, 2006; 71 FR 19451, Apr. 14, 2006]</CITA> </APPENDIX> </PART> <PART> <PRTPAGE P="103"/> <EAR>Pt. 534</EAR> <HD SOURCE="HED">PART 534—RIGHTS AND RESPONSIBILITIES OF MANUFACTURERS IN THE CONTEXT OF CHANGES IN CORPORATE RELATIONSHIPS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>534.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>534.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>534.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>534.4</SECTNO> <SUBJECT>Successors and predecessors.</SUBJECT> <SECTNO>534.5</SECTNO> <SUBJECT>Manufacturers within control relationships.</SUBJECT> <SECTNO>534.6</SECTNO> <SUBJECT>Reporting corporate transactions.</SUBJECT> <SECTNO>535.7</SECTNO> <SUBJECT>Situations not directly addressed by this part.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 32901; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>69 FR 77671, Dec. 28, 2004, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 534.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>This part defines the rights and responsibilities of manufacturers in the context of changes in corporate relationships for purposes of the automotive fuel economy program established by 49 U.S.C. Chapter 329.</P> </SECTION> <SECTION> <SECTNO>§ 534.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to manufacturers of passenger automobiles and non-passenger automobiles.</P> </SECTION> <SECTION> <SECTNO>§ 534.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory definitions and terms.</E> All terms used in 49 U.S.C. Chapter 329 are used according to their statutory meaning.</P> <P>(b) As used in this part—</P> <P>“Control relationship” means the relationship that exists between manufacturers that control, are controlled by, or are under common control with, one or more other manufacturers.</P> <P>“Predecessor” means a manufacturer whose rights have been vested in and whose burdens have been assumed by another manufacturer.</P> <P>“Successor” means a manufacturer that has become vested with the rights and assumed the burdens of another manufacturer.</P> </SECTION> <SECTION> <SECTNO>§ 534.4</SECTNO> <SUBJECT>Successors and predecessors.</SUBJECT> <P>For purposes of the automotive fuel economy program, “manufacturer” includes “predecessors” and “successors” to the extent specified in paragraphs (a) through (d) of this section.</P> <P>(a) Successors are responsible for any civil penalties that arise out of fuel economy shortfalls incurred and not satisfied by predecessors.</P> <P>(b) If one manufacturer has become the successor of another manufacturer during a model year, all of the vehicles produced by those manufacturers during the model year are treated as though they were manufactured by the same manufacturer. A manufacturer is considered to have become the successor of another manufacturer during a model year if it is the successor on September 30 of the corresponding calendar year and was not the successor for the preceding model year.</P> <P>(c) Credits earned by a predecessor may be used by a successor, subject to availability of the credits and the general three-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward.</P> <P>(d) Credits earned by a successor may be used to offset a predecessor's shortfall, subject to availability of the credits and the general three-year restriction on carrying credits backward.</P> </SECTION> <SECTION> <SECTNO>§ 534.5</SECTNO> <SUBJECT>Manufacturers within control relationships.</SUBJECT> <P>(a) If a civil penalty arises out of a fuel economy shortfall incurred by a group of manufacturers within a control relationship, each manufacturer within that group is jointly and severally liable for the civil penalty.</P> <P>(b) A manufacturer is considered to be within a control relationship for an entire model year if and only if it is within that relationship on September 30 of the calendar year in which the model year ends.</P> <P>(c) Credits of a manufacturer within a control relationship may be used by the group of manufacturers within the control relationship to offset shortfalls, subject to the agreement of the other manufacturers, the availability of the credits, and the general three-year restriction on carrying credits forward or backward.</P> <P>(d) If a manufacturer within a group of manufacturers is sold or otherwise spun off so that it is no longer within that control relationship, the manufacturer may use credits that were earned by the group of manufacturers within <PRTPAGE P="104"/>the control relationship while the manufacturer was within that relationship, subject to the agreement of the other manufacturers, the availability of the credits and the general restriction on carrying credits forward or backward.</P> <P>(e) Agreements among manufacturers in a control relationship related to the allocation of credits or liabilities addressed by this section shall be filed with the agency within 60 days of the end of each model year in the same form as specified in section 534.6. The manufacturers may seek confidential treatment for information provided in the certified report in accordance with 49 CFR Part 512.</P> </SECTION> <SECTION> <SECTNO>§ 534.6</SECTNO> <SUBJECT>Reporting corporate transactions.</SUBJECT> <P>Manufacturers who have entered into written contracts transferring rights and responsibilities such that a different manufacturer owns the controlling stock or exerts control over the design, production or sale of automobiles to which a Corporate Average Fuel Economy standard applies shall report the contract to the agency as follows:</P> <P>(a) The manufacturers must file a certified report with the agency affirmatively stating that the contract transfers rights and responsibilities between them such that one manufacturer has assumed a controlling stock ownership or control over the design, production or sale of vehicles. The report must also specify the first full model year to which the transaction will apply.</P> <P>(b) Each report shall—</P> <P>(i) Identify each manufacturer;</P> <P>(ii) State the full name, title, and address of the official responsible for preparing the report;</P> <P>(iii) Identify the production year being reported on;</P> <P>(iv) Be written in the English language; and</P> <P>(v) Be submitted to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 20590.</P> <P>(c) The manufacturers may seek confidential treatment for information provided in the certified report in accordance with 49 CFR part 512.</P> </SECTION> <SECTION> <SECTNO>§ 534.7</SECTNO> <SUBJECT>Situations not directly addressed by this part.</SUBJECT> <P>To the extent that this part does not directly address an issue concerning the rights and responsibilities of manufacturers in the context of a change in corporate relationships, the agency will make determinations based on interpretation of the statute and the principles reflected in the part.</P> </SECTION> </PART> <PART> <EAR>Pt. 535</EAR> <HD SOURCE="HED">PART 535—3-YEAR CARRYFOR- WARD AND CARRYBACK OF CREDITS FOR LIGHT TRUCKS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>535.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>535.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>535.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>535.4</SECTNO> <SUBJECT>3-year carryforward and carryback of credits.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 83235, Dec. 19, 1980, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 535.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>This part establishes regulations governing 3-year carryforward and carryback of credits for manufacturers of light trucks.</P> </SECTION> <SECTION> <SECTNO>§ 535.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to manufacturers of light trucks.</P> </SECTION> <SECTION> <SECTNO>§ 535.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> The terms <E T="03">average fuel economy, average fuel economy standard, fuel economy, manufacture, manufacturer,</E> and <E T="03">model year</E> are used as defined in section 501 of the Act.</P> <P>(b) <E T="03">Other terms.</E> (1) <E T="03">Act</E> means the Motor Vehicle Information and Cost Savings Act, as amended by Pub. L. 94-163 and 96-425.</P> <P>(2) <E T="03">Administrator</E> means the Administrator of the National Highway Traffic Safety Administration.</P> <P>(3) The term <E T="03">light truck</E> is used in accordance with the determinations in parts 523 and 533 of this chapter.</P> <P>(4) The term <E T="03">class of light trucks</E> is used in accordance with the determinations in part 533 of this chapter.</P> </SECTION> <SECTION> <PRTPAGE P="105"/> <SECTNO>§ 535.4</SECTNO> <SUBJECT>3-year carryforward and carryback of credits</SUBJECT> <P>(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.</P> <P>(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 credit, calculated under paragraph (c) of this section, which—</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(2) Such credits shall be available for the model year involved subject to—</P> <P>(i) The Administrator approving such plan; and</P> <P>(ii) The manufacturer earning credits in accordance with such plan.</P> <P>(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.</P> <P>(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.</P> <P>(d) The amount of credit to which a manufacturer is entitled under this section shall be equal to—</P> <P>(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</P> <P>(2) The total number of light trucks in that class manufactured by such manufacturer during such model year.</P> <P>(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.</P> </SECTION> </PART> <PART> <PRTPAGE P="106"/> <EAR>Pt. 537</EAR> <HD SOURCE="HED">PART 537—AUTOMOTIVE FUEL ECONOMY REPORTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>537.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>537.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>537.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>537.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>537.5</SECTNO> <SUBJECT>General requirements for reports.</SUBJECT> <SECTNO>537.6</SECTNO> <SUBJECT>General content of reports.</SUBJECT> <SECTNO>537.7</SECTNO> <SUBJECT>Pre-model year and mid-model year reports.</SUBJECT> <SECTNO>537.8</SECTNO> <SUBJECT>Supplementary reports.</SUBJECT> <SECTNO>537.9</SECTNO> <SUBJECT>Determination of fuel economy values and average fuel economy.</SUBJECT> <SECTNO>537.10</SECTNO> <SUBJECT>Incorporation by reference.</SUBJECT> <SECTNO>537.11</SECTNO> <SUBJECT>Public inspection of information.</SUBJECT> <SECTNO>537.12</SECTNO> <SUBJECT>Confidential information.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 32907; 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>47 FR 34986, Aug. 12, 1982, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 537.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 537.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 537.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to automobile manufacturers, except for manufacturers subject to an alternate fuel economy standard under section 502(c) of the Act.</P> </SECTION> <SECTION> <SECTNO>§ 537.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> (1) The terms <E T="03">average fuel economy standard, fuel, manufacture,</E> and <E T="03">model year</E> are used as defined in section 501 of the Act.</P> <P>(2) The term <E T="03">manufacturer</E> is used as defined in section 501 of the Act and in accordance with part 529 of this chapter.</P> <P>(3) The terms <E T="03">average fuel economy, fuel economy,</E> and <E T="03">model type</E> are used as defined in subpart A of 40 CFR part 600.</P> <P>(4) The terms <E T="03">automobile, automobile capable of off-highway operation,</E> and <E T="03">passenger automobile</E> are used as defined in section 501 of the Act and in accordance with the determinations in part 523 of this chapter.</P> <P>(b) <E T="03">Other terms.</E> (1) The term <E T="03">loaded vehicle weight</E> is used as defined in subpart A of 40 CFR part 86.</P> <P>(2) The terms <E T="03">axle ratio, base level, body style, car line, combined fuel economy, engine code, equivalent test weight, gross vehicle weight, inertia weight, transmission class,</E> and <E T="03">vehicle configuration</E> are used as defined in subpart A of 40 CFR part 600.</P> <P>(3) The term <E T="03">light truck</E> is used as defined in part 523 of this chapter and in accordance with determinations in that part.</P> <P>(4) The terms <E T="03">approach angle, axle clearance, brakeover angle, cargo carrying volume, departure angle, passenger carrying volume, running clearance,</E> and <E T="03">temporary living quarters</E> are used as defined in part 523 of this chapter.</P> <P>(5) The term <E T="03">incomplete automobile manufacturer</E> is used as defined in part 529 of this chapter.</P> <P>(6) As used in this part, unless otherwise required by the context:</P> <P>(i) <E T="03">Act</E> 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).</P> <P>(ii) <E T="03">Administrator</E> means the Administrator of the National Highway Traffic Safety Administration or the Administrator's delegate.</P> <P>(iii) <E T="03">Current model year</E> means:</P> <P>(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 § 537.5(b) to be submitted.</P> <P>(B) In the case of a mid-model year report, the model year during which that report is required by § 537.5(b) to be submitted.</P> <P>(iv) <E T="03">Average</E> means a production-weighted harmonic average.</P> <P>(v) <E T="03">Total drive ratio</E> means the ratio of an automobile's engine rotational speed (in revolutions per minute) to the automobile's forward speed (in miles per hour).</P> </SECTION> <SECTION> <PRTPAGE P="107"/> <SECTNO>§ 537.5</SECTNO> <SUBJECT>General requirements for reports.</SUBJECT> <P>(a) For each current model year, each manufacturer shall submit a pre-model year report, a mid-model year report, and, as required by § 537.8, supplementary reports.</P> <P>(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).</P> <P>(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).</P> <P>(3) Each supplementary report must be submitted in accordance with § 537.8(c).</P> <P>(c) Each report required by this part must:</P> <P>(1) Identify the report as a pre-model year report, mid-model year report, or supplementary report as appropriate;</P> <P>(2) Identify the manufacturer submitting the report;</P> <P>(3) State the full name, title, and address of the official responsible for preparing the report;</P> <P>(4) Be submitted in 10 copies to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590;</P> <P>(5) Identify the current model year;</P> <P>(6) Be written in the English language; and</P> <P>(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.</P> <P>(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:</P> <P>(A) Show that the item is within the scope of sections 552(b)(4) and 2005(d)(1);</P> <P>(B) Show that disclosure of the item would result in significant competitive damage;</P> <P>(C) Specify the period during which the item must be withheld to avoid that damage; and</P> <P>(D) Show that earlier disclosure would result in that damage.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 537.6</SECTNO> <SUBJECT>General content of reports.</SUBJECT> <P>(a) <E T="03">Pre-model year and mid-model year reports.</E> 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 § 537.7(a).</P> <P>(b) <E T="03">Supplementary report.</E> Each supplementary report must contain the information required by § 537.8(b) (1), (2), or (3), as appropriate.</P> <P>(c) <E T="03">Exceptions.</E> (1) The pre-model year report is not required to contain the information specified in § 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.</P> <P>(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 § 537.7 (c)(4) (xv) through (xviii) and (c)(5). The information provided by the incomplete automobile manufacturer under § 537.7(c) shall be according to base level instead of model type or carline.</P> </SECTION> <SECTION> <SECTNO>§ 537.7</SECTNO> <SUBJECT>Pre-model year and mid-model year reports.</SUBJECT> <P>(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.<PRTPAGE P="108"/> </P> <P>(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.</P> <P>(b) <E T="03">Projected average fuel economy.</E> (1) State the projected average fuel economy for the manufacturer's automobiles determined in accordance with § 537.9 and based upon the fuel economy values and projected sales figures provided under paragraph (c)(2) of this section.</P> <P>(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 the average fuel economy projected under paragraph (b)(1) of this section.</P> <P>(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.</P> <P>(c) <E T="03">Model type and configuration fuel economy and technical information.</E> (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.</P> <P>(2)(i) Combined fuel economy; and</P> <P>(ii) Projected sales for the current model year and total sales of all model types.</P> <P>(3) (<E T="03">Pre-model year report only.</E>) 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.</P> <P>(4)(i) Loaded vehicle weight;</P> <P>(ii) Equivalent test weight;</P> <P>(iii) Engine displacement, liters;</P> <P>(iv) SAE net rated power, kilowatts;</P> <P>(v) SAE net horsepower;</P> <P>(vi) Engine code;</P> <P>(vii) Fuel system (number of carburetor barrels or, if fuel injection is used, so indicate);</P> <P>(viii) Emission control system;</P> <P>(ix) Transmission class;<PRTPAGE P="109"/> </P> <P>(x) Number of forward speeds;</P> <P>(xi) Existence of overdrive (indicate yes or no);</P> <P>(xii) Total drive ratio (N/V);</P> <P>(xiii) Axle ratio;</P> <P>(xiv) Combined fuel economy;</P> <P>(xv) Projected sales for the current model year;</P> <P>(xvi)(A) In the case of passenger automobiles:</P> <P>(<E T="03">1</E>) Interior volume index, determined in accordance with subpart D of 40 CFR part 600, and</P> <P>(<E T="03">2</E>) Body style;</P> <P>(B) In the case of light trucks:</P> <P>(<E T="03">1</E>) Passenger-carrying volume,</P> <P>(<E T="03">2</E>) Cargo-carrying volume;</P> <P>(<E T="03">3</E>) Beginning model year 2008, track width as defined in 49 CFR 523.2,</P> <P>(<E T="03">4</E>) Beginning model year 2008, wheelbase as defined in 49 CFR 523.2, and</P> <P>(<E T="03">5</E>) Beginning model year 2008, footprint as defined in 49 CFR 523.2</P> <P>(xvii) Performance of the function described in § 523.5(a)(5) of this chapter (indicate yes or no);</P> <P>(xviii) Existence of temporary living quarters (indicate yes or no);</P> <P>(xix) Frontal area;</P> <P>(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);</P> <P>(xxi) Optional equipment that 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.</P> <P>(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:</P> <P>(i) Approach angle;</P> <P>(ii) Departure angle;</P> <P>(iii) Breakover angle;</P> <P>(iv) Axle clearance;</P> <P>(v) Minimum running clearance; and</P> <P>(vi) Existence of 4-wheel drive (indicate yes or no).</P> <P>(6) The fuel economy values provided under paragraphs (c) (2) and (4) of this section shall be determined in accordance with § 537.9.</P> <CITA>[47 FR 34986, Aug. 12, 1982, as amended at 58 FR 18029, Apr. 7, 1993; 71 FR 17678, Apr. 6, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 537.8</SECTNO> <SUBJECT>Supplementary reports.</SUBJECT> <P>(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 § 537.7(b)(2) or, if no average fuel economy was projected under that section, under § 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.</P> <P>(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 § 537.7(b)(2) or, if no average fuel economy was projected under that section, as projected under § 537.7(b)(1), is less representative than the manufacturer previously reported it to be under § 537.7(b)(3), this section, or both, shall file a supplementary report containing the information specified in paragraph (b)(2) of this section.</P> <P>(3) Each manufacturer whose pre-model year report omits any of the information specified in § 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.</P> <P>(b)(1) The supplementary report required by paragraph (a)(1) of this section must contain:</P> <P>(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—</P> <P>(A) To reflect the decrease and its cause;</P> <P>(B) To indicate a new projected average fuel economy based upon these additional measures.</P> <P>(ii) An explanation of the cause of the decrease in average fuel economy <PRTPAGE P="110"/>that led to the manufacturer's having to submit the supplementary report required by paragraph (a)(1) of this section.</P> <P>(2) The supplementary report required by paragraph (a)(2) of this section must contain:</P> <P>(i) A statement of the specific nature of and reason for the insufficiency in the representativeness of the projected average fuel economy;</P> <P>(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</P> <P>(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.</P> <P>(3) The supplementary report required by paragraph (a)(3) of this section must contain:</P> <P>(i) All of the information omitted from the pre-model year report under § 537.6(c)(2); and</P> <P>(ii) Such revisions of and additions to the information submitted by the manufacturer in its pre-model year report 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.</P> <P>(c)(1) Each report required by paragraph (a) (1) or (2) of this section must be submitted in accordance with § 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.</P> <P>(2) Each report required by paragraph (a)(3) of this section must be submitted in accordance with § 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.</P> <P>(d) A supplementary report is not required to be submitted by the manufacturer under paragraph (a) (1) or (2) of this section:</P> <P>(1) With respect to information submitted under this part before the most recent semiannual report submitted by the manufacturer under this part, or</P> <P>(2) When the date specified in paragraph (c) of this section occurs:</P> <P>(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</P> <P>(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.</P> <P>(e) <E T="03">Reporting compliance option in model years 2008-2010.</E> For model years 2008, 2009, and 2010, each manufacturer of light trucks, as that term is defined in 49 CFR 523.5, shall submit a report, not later than 45 days following the end of the model year, indicating whether the manufacturer is opting to comply with 49 CFR 533.5(f) or 49 CFR 533.5(g).</P> <CITA>[47 FR 34986, Aug. 12, 1982, as amended at 71 FR 17678, Apr. 6, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 537.9</SECTNO> <SUBJECT>Determination of fuel economy values and average fuel economy.</SUBJECT> <P>(a) <E T="03">Vehicle configuration fuel economy values.</E> (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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="111"/> </P> <P>(b) <E T="03">Base level and model type fuel economy values.</E> 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.</P> <P>(c) <E T="03">Average fuel economy.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 537.10</SECTNO> <SUBJECT>Incorporation by reference.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 which and the person by whom the document was submitted to this agency.</P> </SECTION> <SECTION> <SECTNO>§ 537.11</SECTNO> <SUBJECT>Public inspection of information.</SUBJECT> <P>Except as provided in § 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.</P> </SECTION> <SECTION> <SECTNO>§ 537.12</SECTNO> <SUBJECT>Confidential information.</SUBJECT> <P>(a) Information made available under § 537.11 for public inspection does not include information for which confidentiality is requested under § 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.</P> <P>(b) <E T="03">Denial of confidential treatment.</E> When the Administrator denies a manufacturer's request under § 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.</P> <P>(c) <E T="03">Release of confidential information.</E> 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 § 537.5(c)(7).</P> </SECTION> </PART> <PART> <EAR>Pt. 538</EAR> <HD SOURCE="HED">PART 538—MANUFACTURING INCENTIVES FOR ALTERNATIVE FUEL VEHICLES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>538.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>538.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>538.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>538.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>538.5</SECTNO> <SUBJECT>Minimum driving range.</SUBJECT> <SECTNO>538.6</SECTNO> <SUBJECT>Measurement of driving range.</SUBJECT> <SECTNO>538.7</SECTNO> <SUBJECT>Petitions for reduction of minimum driving range.</SUBJECT> <SECTNO>538.8</SECTNO> <SUBJECT>Gallon Equivalents for Gaseous Fuels.</SUBJECT> <SECTNO>538.9</SECTNO> <SUBJECT>Dual fuel vehicle incentive.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 32901, 32905, and 32906; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>61 FR 14511, Apr. 2, 1996, unless otherwise noted.</P> </SOURCE> <SECTION> <PRTPAGE P="112"/> <SECTNO>§ 538.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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. This part also extends the dual-fuel incentive program.</P> <CITA>[69 FR 7703, Feb. 19, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 538.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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. This part also specifies the model years after 2004 in which the fuel economy of dual-fueled automobiles may be calculated under the special incentive provisions found in 49 U.S.C. 32905(b) and (d).</P> <CITA>[69 FR 7703, Feb. 19, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 538.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to manufacturers of automobiles.</P> </SECTION> <SECTION> <SECTNO>§ 538.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> (1) The terms <E T="03">alternative fuel, alternative fueled automobile,</E> and <E T="03">dual fueled automobile,</E> are used as defined in 49 U.S.C. 32901(a).</P> <P>(2) The terms <E T="03">automobile</E> and <E T="03">passenger automobile,</E> are used as defined in 49 U.S.C. 32901(a), and in accordance with the determinations in part 523 of this chapter.</P> <P>(3) The term <E T="03">manufacturer</E> is used as defined in 49 U.S.C. 32901(a)(13), and in accordance with part 529 of this chapter.</P> <P>(4) The term <E T="03">model year</E> is used as defined in 49 U.S.C. 32901(a)(15).</P> <P>(b)(1) Other terms. The terms <E T="03">average fuel economy, fuel economy,</E> and <E T="03">model type</E> are used as defined in subpart A of 40 CFR part 600.</P> <P>(2) The term <E T="03">EPA</E> means the U.S. Environmental Protection Agency.</P> </SECTION> <SECTION> <SECTNO>§ 538.5</SECTNO> <SUBJECT>Minimum driving range.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[61 FR 14511, Apr. 2, 1996, as amended at 63 FR 66068, Dec. 1, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 538.6</SECTNO> <SUBJECT>Measurement of driving range.</SUBJECT> <P>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 <PRTPAGE P="113"/>deemed to have met the minimum range requirement.</P> <CITA>[63 FR 66069, Dec. 1, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 538.7</SECTNO> <SUBJECT>Petitions for reduction of minimum driving range.</SUBJECT> <P>(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.</P> <P>(b) Each petition shall:</P> <P>(1) Be addressed to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street SW, Washington, DC 20590.</P> <P>(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.</P> <P>(3) Be written in the English language.</P> <P>(4) State the full name, address, and title of the official responsible for preparing the petition, and the name and address of the petitioner.</P> <P>(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.</P> <P>(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.</P> <P>(c) Each petitioner shall include the following information in its petition:</P> <P>(1) Identification of the model type or types for which a lower driving range is sought under this section.</P> <P>(2) For each model type identified in accordance with paragraph (c)(1) of this section:</P> <P>(i) The driving range sought for that model type.</P> <P>(ii) The number of years for which that driving range is sought.</P> <P>(iii) A description of the model type, including car line designation, engine displacement and type, electric storage capacity, transmission type, and average fuel economy when operating on:</P> <P>(A) Electricity; and</P> <P>(B) Gasoline or diesel fuel.</P> <P>(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.</P> <P>(3) A discussion of why granting the petition would be consistent with the following factors:</P> <P>(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;</P> <P>(ii) Consumer acceptability;</P> <P>(iii) Economic practicability;</P> <P>(iv) Technology;</P> <P>(v) Environmental impact;</P> <P>(vi) Safety;</P> <P>(vii) Driveability; and</P> <P>(viii) Performance.</P> <P>(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.</P> <P>(e) The Administrator may request the petitioner to provide information in addition to that required by this section.</P> <P>(f) The Administrator publishes in the <E T="04">Federal Register</E> a notice of receipt for each petition containing the information required by this section. Any interested person may submit written comments regarding the petition.</P> <P>(g) In reaching a determination on a petition submitted under this section, the Administrator takes into account:</P> <P>(1) The purposes of 49 U.S.C. chapter 329, including encouraging the development and widespread use of alternative <PRTPAGE P="114"/>fuels as transportation fuels by consumers, and the production of alternative fuel powered motor vehicles;</P> <P>(2) Consumer acceptability;</P> <P>(3) Economic practicability;</P> <P>(4) Technology;</P> <P>(5) Environmental impact;</P> <P>(6) Safety;</P> <P>(7) Driveability; and</P> <P>(8) Performance.</P> <P>(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 <E T="04">Federal Register</E> and the reasons for the grant.</P> <P>(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 <E T="04">Federal Register</E> and the reasons for the denial.</P> <CITA>[63 FR 66069, Dec. 1, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 538.8</SECTNO> <SUBJECT>Gallon Equivalents for Gaseous Fuels.</SUBJECT> <P>The gallon equivalent of gaseous fuels, for purposes of calculations made under 49 U.S.C. 32905, are listed in Table I:</P> <GPOTABLE CDEF="s40,7.7" COLS="2" OPTS="L2,i1"> <TTITLE>Table I—Gallon Equivalent Measurements for Gaseous Fuels per 100 Standard Cubic Feet</TTITLE> <BOXHD> <CHED H="1">Fuel</CHED> <CHED H="1">Gallon equivalent measurement</CHED> </BOXHD> <ROW> <ENT I="01">Compressed Natural Gas</ENT> <ENT>0.823</ENT> </ROW> <ROW> <ENT I="01">Liquefied Natural Gas</ENT> <ENT>0.823</ENT> </ROW> <ROW> <ENT I="01">Liquefied Petroleum Gas (Grade HD-5)*</ENT> <ENT>0.726</ENT> </ROW> <ROW> <ENT I="01">Hydrogen</ENT> <ENT>0.259</ENT> </ROW> <ROW> <ENT I="01">Hythane (Hy5)</ENT> <ENT>0.741</ENT> </ROW> <TNOTE>* Per gallon unit of measure.</TNOTE> </GPOTABLE> </SECTION> <SECTION> <SECTNO>§ 538.9</SECTNO> <SUBJECT>Dual fuel vehicle incentive.</SUBJECT> <P>The application of 49 U.S.C. 32905(b) and (d) to qualifying dual fuel vehicles is extended to the 2005, 2006, 2007, and 2008 model years.</P> <CITA>[69 FR 7703, Feb. 19, 2004]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 541</EAR> <HD SOURCE="HED">PART 541—FEDERAL MOTOR VEHICLE THEFT PREVENTION STANDARD</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>541.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>541.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>541.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>541.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>541.5</SECTNO> <SUBJECT>Requirements for passenger motor vehicles.</SUBJECT> <SECTNO>541.6</SECTNO> <SUBJECT>Requirements for replacement parts.</SUBJECT> <APP>Appendix A to Part 541—Light Duty Truck Lines Subject to the Requirements of This Standard</APP> <APP>Appendix A-I to Part 541—Lines With Antitheft Devices Which are Exempted From the Parts—Marking Requirements of This Standard Pursuant to 49 CFR Part 543 </APP> <APP>Appendix A-II to Part 541—Lines with Antitheft Devices which are Exempted in-Part from the Parts-Marking Requirements of this Standard Pursuant to 49 CFR Part 543</APP> <APP>Appendix B to Part 541—Light Duty Truck Lines With Theft Rates below the 1990/91 Median Theft Rate, Subject to the Requirements of This Standard</APP> <APP>Appendix C to Part 541—Appendix C to Part 541—Criteria for Selecting Light Duty Truck Lines Likely To Have High Theft Rates</APP> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 33101, 33102, 33103, 33105; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>50 FR 43190, Oct. 24, 1985, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 541.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>This standard specifies performance requirements for identifying numbers or symbols to be placed on major parts of certain passenger motor vehicles.</P> </SECTION> <SECTION> <SECTNO>§ 541.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 541.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>(a) Except as provided in paragraph (b) and (c) of this section, this standard applies to the following:</P> <P>(1) Passenger motor vehicle parts identified in § 541.5(a) that are present in:</P> <P>(i) Passenger cars; and</P> <P>(ii) Multipurpose passenger vehicles with a gross vehicle weight rating of 6,000 pounds or less; and<PRTPAGE P="115"/> </P> <P>(iii) Light-duty trucks with a gross vehicle weight rating of 6,000 pounds or less, that NHTSA has determined to be high theft in accordance with 49 CFR 542.1; and</P> <P>(iv) Light duty trucks with a gross vehicle weight rating of 6,000 pounds or less, that NHTSA has determined to be subject to the requirements of this section in accordance with 49 CFR 542.2.</P> <P>(2) Replacement passenger motor vehicle parts identified in § 541.5(a) for vehicles listed in paragraphs (1)(i) to (iv) of this section.</P> <P>(b) <E T="03">Exclusions.</E> This standard does not apply to the following:</P> <P>(1) Passenger motor vehicle parts identified in § 541.5(a) that are present in vehicles manufactured by a motor vehicle manufacturer that manufactures fewer than 5,000 vehicles for sale in the United States each year.</P> <P>(2) Passenger motor vehicle parts identified in § 541.5(a) that are present in a line with an annual production of not more than 3,500 vehicles.</P> <P>(3) Passenger motor vehicle parts identified in § 541.5(a) that are present in light-duty trucks with a gross vehicle weight rating of 6,000 pounds or less, that NHTSA has determined to be subject to the requirements of this section in accordance with 49 CFR 542.2, if the vehicle line with which these light-duty trucks share majority of major interchangeable parts is exempt from parts marking requirements pursuant to part 543.</P> <P>(c) For vehicles listed in subparagraphs (1)(i) to (iv) of this section that are (1) not subject to the requirements of this standard until September 1, 2006, and (2) manufactured between September 1, 2006 and August 31, 2007; a manufacturer needs to meet the requirements of this part only for lines representing at least 50% of a manufacturer's total production of these vehicles.</P> <CITA>[70 FR 28851, May 19, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 541.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> 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.</P> <P>(b) <E T="03">Other definitions.</E> (1) <E T="03">Interior surface</E> means, with respect to a vehicle part, a surface that is not directly exposed to sun and precipitation.</P> <P>(2) <E T="03">Light-duty truck (LDT)</E> 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.</P> <P>(3) <E T="03">Line</E> 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.</P> <P>(4) <E T="03">1990/91 median theft rate</E> means 3.5826 thefts per thousand vehicles produced.</P> <P>(5) <E T="03">Multipurpose passenger vehicle (MPV)</E> 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.</P> <P>(6) <E T="03">Passenger car</E> is used as defined in § 571.3 of this chapter.</P> <P>(7) <E T="03">VIN</E> means the vehicle identification number required by part 565 of this chapter.</P> <CITA>[59 FR 64168, Dec. 13, 1994, as amended at 61 FR 29033, June 7, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 541.5</SECTNO> <SUBJECT>Requirements for passenger motor vehicles.</SUBJECT> <P>(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. 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. </P> <FP SOURCE="FP-1">(1) Engine.</FP> <FP SOURCE="FP-1">(2) Transmission.</FP> <FP SOURCE="FP-1">(3) Right front fender.</FP> <FP SOURCE="FP-1">(4) Left front fender.<PRTPAGE P="116"/> </FP> <FP SOURCE="FP-1">(5) Hood.</FP> <FP SOURCE="FP-1">(6) Right front door.</FP> <FP SOURCE="FP-1">(7) Left front door.</FP> <FP SOURCE="FP-1">(8) Right rear door.</FP> <FP SOURCE="FP-1">(9) Left rear door.</FP> <FP SOURCE="FP-1">(10) Sliding or cargo door(s).</FP> <FP SOURCE="FP-1">(11) Front bumper.</FP> <FP SOURCE="FP-1">(12) Rear bumper.</FP> <FP SOURCE="FP-1">(13) Right rear quarter panel (passenger cars).</FP> <FP SOURCE="FP-1">(14) Left rear quarter panel (passenger cars).</FP> <FP SOURCE="FP-1">(15) Right-side assembly (MPVs).</FP> <FP SOURCE="FP-1">(16) Left-side assembly (MPVs).</FP> <FP SOURCE="FP-1">(17) Pickup box, and/or cargo box (LDTs).</FP> <FP SOURCE="FP-1">(18) Rear door(s) (both doors in case of double doors), decklid, tailgate, or hatchback (whichever is present).</FP> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 567.4(g) of this chapter.</P> <P>(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.</P> <P>(1) <E T="03">Labels.</E> (i) The number must be printed indelibly on a label, and the label must be permanently affixed to the passenger motor vehicle's part.</P> <P>(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:</P> <P>(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;</P> <P>(B) Is on a portion of the part not likely to be damaged in a collision; and</P> <P>(C) Will not be damaged or obscured during normal dealer preparation operations (including rustproofing and undercoating).</P> <P>(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.</P> <P>(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.</P> <P>(v) Removal of the label must—</P> <P>(A) Cause the label to self-destruct by tearing or rendering the number on the label illegible, and</P> <P>(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.</P> <P>(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.</P> <P>(vii) The label and the number shall be resistant to counterfeiting.</P> <P>(viii) The logo or some other unique identifier of the vehicle manufacturer 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.</P> <P>(2) <E T="03">Other means of identification.</E> (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.</P> <P>(ii) The number must be placed on each part specified in paragraph (a) of this section in a location that is visible <PRTPAGE P="117"/>without further disassembly once the part has been removed from the vehicle.</P> <P>(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.</P> <P>(e) <E T="03">Target areas.</E> (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.</P> <P>(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 subject to this standard. The information should be submitted to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, SW, Washington, DC 20590.</P> <P>(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.</P> <CITA>[59 FR 64168, Dec. 13, 1994, as amended at 69 FR 17967, Apr. 6, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 541.6</SECTNO> <SUBJECT>Requirements for replacement parts.</SUBJECT> <P>(a) Each replacement part for a part specified in § 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 § 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 § 541.5(d)(2), except as provided in paragraph (d) of this section.</P> <P>(b) A replacement part subject to paragraph (a) of this section shall not be marked pursuant to § 541.5.</P> <P>(c) The trademark and the letter “R” required by paragraph (a) of this section must be at least one centimeter high.</P> <P>(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.</P> <P>(e) <E T="03">Target areas.</E> (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.</P> <P>(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 § 541.5(e) of this part.</P> <P>(3) Each manufacturer subject to paragraph (e)(1) of this section shall inform NHTSA in writing of the target 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 § 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.<PRTPAGE P="118"/> </P> <P>(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.</P> <P>(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.</P> </SECTION> <APPENDIX> <EAR>Pt. 541, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 541—Light Duty Truck Lines Subject to the Requirements of This Standard</HD> <GPOTABLE CDEF="s30,r40" COLS="2" OPTS="L2,tp0"> <BOXHD> <CHED H="1">Manufacturer</CHED> <CHED H="1">Subject lines</CHED> </BOXHD> <ROW> <ENT I="01">General Motors</ENT> <ENT>Chevrolet S-10 Pickup.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>GMC Sonoma Pickup.</ENT> </ROW> </GPOTABLE> <CITA>[69 FR 17967, Apr. 6, 2004]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 541, App. A-I</EAR> <HD SOURCE="HED">Appendix A-I to Part 541—Lines With Antitheft Devices Which are Exempted From the Parts—Marking Requirements of This Standard Pursuant to 49 CFR Part 543</HD> <GPOTABLE CDEF="s45,xs95" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Manufacturer</CHED> <CHED H="1">Subject lines</CHED> </BOXHD> <ROW> <ENT I="01">BMW</ENT> <ENT>MINI.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>X5.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Z4.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>1 Car Line.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="22"/> <ENT>3 Car Line.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>5 Car Line.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>6 Car Line.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>7 Car Line.</ENT> </ROW> <ROW> <ENT I="01">Chrysler <SU>1</SU> </ENT> <ENT>300C.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Jeep Grand Cherokee.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Conquest.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Town and Country MPV.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Dodge Charger.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Dodge Magnum.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="01">Ford Motor Co</ENT> <ENT>Ford Five Hundred.<SU>3</SU> </ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Ford Focus.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Lincoln Town Car.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Mustang.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Mercury Sable (2001-2004).</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Mercury Grand Marquis.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Taurus (2000-2004).</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Taurus X.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="01">General Motors</ENT> <ENT>Buick Lucerne.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Buick LeSabre.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Buick LaCrosse/Century.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Buick Park Avenue.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Buick Regal/Century.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Cadillac DTS/Deville.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Cadillac STS/Seville.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Cavalier.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Classic.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Cobalt.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Corvette.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Impala/Monte Carlo.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Lumina/Monte Carlo (1996-1999).</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Malibu (2001-2003).</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Malibu/Malibu Maxx.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Uplander.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Venture (2002-2004).</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Oldsmobile Alero.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Oldsmobile Aurora.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Pontiac Bonneville.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Pontiac G6.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Pontiac Grand Am.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Pontiac Grand Prix.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Pontiac Sunfire.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Saturn Aura.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="01">Honda</ENT> <ENT>Acura CL.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Acura NSX.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Acura RL.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Acura TL.</ENT> </ROW> <ROW> <ENT I="01">Hyundai</ENT> <ENT>Azera.</ENT> </ROW> <ROW> <ENT I="01">Isuzu</ENT> <ENT>Axiom.</ENT> </ROW> <ROW> <ENT I="01">Jaguar</ENT> <ENT>XK.</ENT> </ROW> <ROW> <ENT I="01">Mazda</ENT> <ENT>3.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>6.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>CX-7.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>CX-9.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="22"/> <ENT>MX-5 Miata.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Millenia.</ENT> </ROW> <ROW> <ENT I="01">Mercedes-Benz</ENT> <ENT>SL-Class (the models within this line are):</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>300SL.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>500SL.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>600SL.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>SL500.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>SL550.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>SL600.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>SL55.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>SL65.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>S-Class/CL-Class (the models within this line are):</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>S450.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>S500.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>S550.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>S600.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>S55.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>S65.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CL500.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CL600.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CL55.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CL65.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>C-Class/CLK-Class <SU>2</SU> (the models within this line are):</ENT> </ROW> <ROW> <PRTPAGE P="119"/> <ENT I="22" O="oi2"/> <ENT>C240.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>C300.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>C350.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CLK 350.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CLK 550.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CLK 63AMG.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>E-Class/CLS Class (the models within this line are):</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>E320/E320DT CDi.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>E350/E500/E55.</ENT> </ROW> <ROW> <ENT I="22" O="oi2"/> <ENT>CLS500/CLS55.</ENT> </ROW> <ROW> <ENT I="01">Mitsubishi</ENT> <ENT>Eclipse.<SU>3</SU> </ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Endeavor.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Galant.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Diamante.</ENT> </ROW> <ROW> <ENT I="01">Nissan</ENT> <ENT>Altima.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Maxima.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Pathfinder.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Quest.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Sentra.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Versa.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="22"/> <ENT>350Z.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Infiniti G35.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Infiniti I30.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Infiniti J30.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Infiniti M30.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Infiniti M45.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Infiniti QX4.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Infiniti Q45.</ENT> </ROW> <ROW> <ENT I="01">Porsche</ENT> <ENT>911.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Boxster/Cayman.</ENT> </ROW> <ROW> <ENT I="01">Saab</ENT> <ENT>9-3.</ENT> </ROW> <ROW> <ENT I="01">Subaru</ENT> <ENT>Impreza.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="22"/> <ENT>B9 Tribeca.</ENT> </ROW> <ROW> <ENT I="01">Suzuki</ENT> <ENT>XL-7.</ENT> </ROW> <ROW> <ENT I="01">Toyota</ENT> <ENT>Lexus GS.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Lexus LS.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Lexus SC.</ENT> </ROW> <ROW> <ENT I="01">Volkswagen</ENT> <ENT>Audi 5000S.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Audi A4.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Audi Allroad.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>A6.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>New Beetle.<SU>2</SU> </ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Cabrio.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Golf/GTI.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Jetta.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Passat.</ENT> </ROW> <TNOTE> <SU>1</SU> Formerly known as DaimlerChrysler.</TNOTE> <TNOTE> <SU>2</SU> Granted an exemption from the parts marking requirements beginning with MY 2008.</TNOTE> <TNOTE> <SU>3</SU> Granted an exemption from the parts marking requirements beginning with MY 2007.</TNOTE> </GPOTABLE> <CITA>[72 FR 54602, Sept. 26, 2007]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 541, App. A-II</EAR> <HD SOURCE="HED">Appendix A-II to Part 541—Lines with Antitheft Devices which are Exempted in-Part from the Parts-Marking Requirements of this Standard Pursuant to 49 CFR Part 543</HD> <GPOTABLE CDEF="s75,r75,xs60" COLS="3" OPTS="L2,i1"> <BOXHD> <CHED H="1">Manufacturers</CHED> <CHED H="1">Subject lines</CHED> <CHED H="1">Parts to be marked</CHED> </BOXHD> <ROW> <ENT I="01">General Motors</ENT> <ENT>Cadillac Eldorado</ENT> <ENT>Engine, Transmission.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Cadillac Concours</ENT> <ENT>Engine, Transmission.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Oldsmobile Ninety-Eight</ENT> <ENT>Engine, Transmission.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Pontiac Firebird</ENT> <ENT>Engine, Transmission.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Chevrolet Camaro</ENT> <ENT>Engine, Transmission.</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>Oldsmobile Eighty-Eight</ENT> <ENT>Engine, Transmission.</ENT> </ROW> </GPOTABLE> <CITA>[66 FR 40625, Aug. 3, 2001]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 541, App. B</EAR> <HD SOURCE="HED">Appendix B to Part 541—Light Duty Truck Lines With Theft Rates below the 1990/91 Median Theft Rate, Subject to the Requirements of This Standard</HD> <GPOTABLE CDEF="s30,r40" COLS="2" OPTS="L2,tp0"> <BOXHD> <CHED H="1">Manufacturer</CHED> <CHED H="1">Subject lines</CHED> </BOXHD> <ROW> <ENT I="11">None</ENT> </ROW> </GPOTABLE> <CITA>[69 FR 17967, Apr. 6, 2004]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 541, App. C</EAR> <HD SOURCE="HED">Appendix C to Part 541—Criteria for Selecting Light Duty Truck Lines Likely To Have High Theft Rates</HD> <HD SOURCE="HD2">Scope</HD> <P>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.</P> <HD SOURCE="HD2">Purpose</HD> <P>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.</P> <HD SOURCE="HD2">Application</HD> <P>These criteria apply to lines of passenger motor vehicles initially introduced into commerce on or after September 1, 2006.</P> <HD SOURCE="HD2">Methodology</HD> <P>These criteria will be applied to each line initially introduced into commerce on or after September 1, 2006. The likely theft rate for such lines will be determined in relation to the national median theft rate for 1990 <PRTPAGE P="120"/>and 1991. 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.</P> <HD SOURCE="HD2">Criteria</HD> <P>1. Retail price of the vehicle line.</P> <P>2. Vehicle image or marketing strategy.</P> <P>3. Vehicle lines with which the new line is intended to compete, and the theft rates of such lines.</P> <P>4. Vehicle line(s), if any, which the new line is intended to replace, and the theft rate(s) of such line(s).</P> <P>5. Presence or absence of any new theft prevention devices or systems.</P> <P>6. Preliminary theft rate for the line, if it can be determined on the basis of currently available data.</P> <CITA>[50 FR 43190, Oct. 24, 1985, as amended at 69 FR 17967, Apr. 6, 2004; 69 FR 34613, June 22, 2004]</CITA> </APPENDIX> </PART> <PART> <EAR>Pt. 542</EAR> <HD SOURCE="HED">PART 542—PROCEDURES FOR SELECTING LIGHT DUTY TRUCK LINES TO BE COVERED BY THE THEFT PREVENTION STANDARD </HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>542.1</SECTNO> <SUBJECT>Procedures for selecting new light duty truck lines that are likely to have high or low theft rates.</SUBJECT> <SECTNO>542.2</SECTNO> <SUBJECT>Procedures for selecting low theft light duty truck lines with a majority of major parts interchangeable with those of a passenger motor vehicle line.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 33101, 33102, 33103, 33104, 33105; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>59 FR 21672, Apr. 26, 1994, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 542.1</SECTNO> <SUBJECT>Procedures for selecting new light duty truck lines that are likely to have high or low theft rates.</SUBJECT> <P>(a) Scope. This section sets forth the procedures for motor vehicle manufacturers and NHTSA to follow in the determination of whether any new light duty truck line is likely to have a theft rate above or below the 1990/91 median theft rate.</P> <P>(b) Application. These procedures apply to each manufacturer that plans to introduce a new light duty truck line into commerce in the United States on or after September 1, 2006, and to each of those new lines.</P> <P>(c) Procedures. (1) Each manufacturer shall use the criteria in Appendix C of part 541 of this chapter to evaluate each new light duty truck line and to conclude whether the new line is likely to have a theft rate above or below the 1990/91 median theft rate.</P> <P>(2) For each new light duty truck line, the manufacturer shall submit its evaluations and conclusions made under paragraph (c) 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.</P> <P>(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 light duty truck 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 § 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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="121"/>and its response to the request for reconsideration.</P> <CITA>[69 FR 17967, Apr. 6, 2004; 69 FR 34613, June 22, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 542.2</SECTNO> <SUBJECT>Procedures for selecting low theft light duty truck lines with a majority of major parts interchangeable with those of a passenger motor vehicle line.</SUBJECT> <P>(a) Scope. This section sets forth the procedures for motor vehicle manufacturers and NHTSA to follow in the determination of whether any light duty truck lines that have or are likely to have a low theft rate have major parts interchangeable with a majority of the covered major parts of a passenger motor vehicle line.</P> <P>(b) Application. These procedures apply to:</P> <P>(1) Each manufacturer that produces—</P> <P>(i) At least one passenger motor vehicle line identified in 49 CFR 541.3(a)(1) and (2) that has been or will be introduced into commerce in the United States, and</P> <P>(ii) At least one light duty truck line that has been or will be introduced into commerce in the United States and that the manufacturer identifies as likely to have a theft rate below the median theft rate; and</P> <P>(2) Each of those likely sub-median theft rate light duty truck lines.</P> <P>(c) Procedures. (1) For each light duty truck line that a manufacturer identifies under appendix C of part 541 of this chapter as having or 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 of its passenger motor vehicle lines.</P> <P>(2) If the manufacturer concludes that a light duty truck line that has or is likely to have a theft rate below the median theft rate has major parts that are interchangeable with a majority of the covered major parts of a passenger motor vehicle line, the manufacturer determines whether all the vehicles of those lines with sub-median or likely sub-median theft rates will account for more than 90 percent of the total annual production of all of the manufacturer's lines with those interchangeable parts.</P> <P>(3) The manufacturer submits its evaluations and conclusions made under paragraphs (c)(1) and (2) 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 manufacturer may request a meeting with the agency to further explain the bases for its evaluations and conclusions.</P> <P>(4) Within 90 days after its receipt of the manufacturer's submission under paragraph (c)(3) of this section, NHTSA considers that submission, if any, and independently makes, on a preliminary basis, the determinations of those light duty truck lines with sub-median or likely sub-median theft rates which should or should not be subject to § 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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="122"/>those determinations and its response to the request for reconsideration.</P> <CITA>[69 FR 17968, Apr. 6, 2004]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 543</EAR> <HD SOURCE="HED">PART 543—EXEMPTION FROM VEHICLE THEFT PREVENTION STANDARD</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>543.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>543.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>543.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>543.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>543.5</SECTNO> <SUBJECT>Petition: General requirements.</SUBJECT> <SECTNO>543.6</SECTNO> <SUBJECT>Petition: Specific content requirements.</SUBJECT> <SECTNO>543.7</SECTNO> <SUBJECT>Processing an exemption petition.</SUBJECT> <SECTNO>543.8</SECTNO> <SUBJECT>Duration of exemption.</SUBJECT> <SECTNO>543.9</SECTNO> <SUBJECT>Terminating or modifying an exemption.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 33101, 33102, 33103, 33104, 33105; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>52 FR 33829, Sept. 8, 1987, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 543.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 543.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 543.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This part applies to manufacturers of vehicles subject to the requirements of part 541 of this chapter, and to any interested person who seeks to have NHTSA terminate an exemption.</P> <CITA>[70 FR 28851, May 19, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 543.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> 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.</P> <P>(b) <E T="03">Other definitions.</E> </P> <P> <E T="03">Line</E> or <E T="03">car line</E> 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.</P> <P> <E T="03">NHTSA</E> means the National Highway Traffic Safety Administration.</P> </SECTION> <SECTION> <SECTNO>§ 543.5</SECTNO> <SUBJECT>Petition: General requirements.</SUBJECT> <P>(a) For each model year, a manufacturer may petition NHTSA for an exemption of one car line from the requirements of part 541 of this chapter. However, for car lines not subject to the requirements of part 541 of this chapter until September 1, 2006, a manufacturer may not petition NHTSA for an exemption for model years before model year 2006.</P> <P>(b) Each petition filed under this part for an exemption must—</P> <P>(1) Be written in the English language;</P> <P>(2) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 20590;</P> <P>(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;</P> <P>(4) Be submitted at least 8 months before the commencement of production of the lines specified under paragraph (5) of § 543.5(b) for the first model year in which the petitioner wishes those lines to be exempted, and identify that model year;</P> <P>(5) Identify the passenger motor vehicle line or lines for which exemption is sought;<PRTPAGE P="123"/> </P> <P>(6) Set forth in full the data, views, and arguments of the petitioner supporting the exemption, including the information specified in § 543.6; and</P> <P>(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, <E T="03">Confidential Business Information,</E> of this chapter.</P> <CITA>[52 FR 33829, Sept. 8, 1987, as amended at 59 FR 10758, Mar. 8, 1994; 70 FR 28851, May 19, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 543.6</SECTNO> <SUBJECT>Petition: Specific content requirements.</SUBJECT> <P>(a) Each petition for exemption filed under this part must include:</P> <P>(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;</P> <P>(2) A list naming each component in the antitheft system, and a diagram showing the location of each of those components within the vehicle;</P> <P>(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—</P> <P>(i) Facilitate or encourage its activation by motorists,</P> <P>(ii) Attract attention to the efforts of an unauthorized person to enter or move a vehicle by means other than a key,</P> <P>(iii) Prevent defeating or circumventing the device by an unauthorized person attempting to enter a vehicle by means other than a key,</P> <P>(iv) Prevent the operation of a vehicle which an unauthorized person has entered using means other than a key, and</P> <P>(v) Ensure the reliability and durability of the device;</P> <P>(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;</P> <P>(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.</P> <P>(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 representative and reliable to warrant NHTSA's reliance upon them.</P> <CITA>[52 FR 33829, Sept. 8, 1987, as amended at 59 FR 10758, Mar. 8, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 543.7</SECTNO> <SUBJECT>Processing an exemption petition.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(f) NHTSA publishes a notice of its decision to grant or deny an exemption <PRTPAGE P="124"/>petition in the <E T="04">Federal Register,</E> and notifies the petitioner in writing of the agency's decision.</P> </SECTION> <SECTION> <SECTNO>§ 543.8</SECTNO> <SUBJECT>Duration of exemption.</SUBJECT> <P>Each exemption under this part continues in effect unless it is modified or terminated under § 543.9, or the manufacturer ceases production of the exempted line.</P> </SECTION> <SECTION> <SECTNO>§ 543.9</SECTNO> <SUBJECT>Terminating or modifying an exemption.</SUBJECT> <P>(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.</P> <P>(b) Any interested person may petition the agency to commence a proceeding to terminate or modify an exemption.</P> <P>(c)(1) In a petition to terminate an exemption, the petitioner must:</P> <P>(i) Identify the vehicle line or lines that are the subject of the exemption;</P> <P>(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;</P> <P>(iii) Comply with § 543.5, paragraphs (b) (1) through (3) and (7).</P> <P>(2) In a petition to modify an exemption, the petitioner must:</P> <P>(i) Identify the vehicle line or lines that are the subject of the exemption;</P> <P>(ii) Request permission to use an antitheft device similar to, but different from the standard equipment antitheft device which is installed under the exemption;</P> <P>(iii) Comply with § 543.5, paragraphs (b) (1) through (3) and (7); and</P> <P>(iv) Provide the same information for the modified device that is required under § 543.6 for a new device, except that the information specified by § 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.</P> <P>(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.</P> <P>(e) If NHTSA denies a petition requesting a proceeding to terminate or modify an exemption, the agency notifies the petitioner by letter.</P> <P>(f) If NHTSA commences a termination proceeding on its own initiative 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.</P> <P>(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.</P> <P>(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:</P> <P>(i) The last day of the model year in which NHTSA issues the termination decision, or</P> <P>(ii) Six months after the manufacturer receives written notice of the termination.</P> <P>(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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="125"/> </P> <P>(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.</P> <P>(i) [Reserved]</P> <P>(j) NHTSA publishes notice in the <E T="04">Federal Register</E> of any agency decision terminating or modifying an exemption, and notifies the affected manufacturer in writing.</P> </SECTION> </PART> <PART> <EAR>Pt. 544</EAR> <HD SOURCE="HED">PART 544—INSURER REPORTING REQUIREMENTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>544.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>544.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>544.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>544.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>544.5</SECTNO> <SUBJECT>General requirements for reports.</SUBJECT> <SECTNO>544.6</SECTNO> <SUBJECT>Contents of insurer reports.</SUBJECT> <SECTNO>544.7</SECTNO> <SUBJECT>Incorporating previously filed documents.</SUBJECT> <APP>Appendix A—Insurers of Motor Vehicle Insurance Policies Subject to the Reporting Requirements in Each State in Which They Do Business</APP> <APP>Appendix B—Issuers of Motor Vehicle Insurance Policies Subject to the Reporting Requirements Only in Designated States</APP> <APP>Appendix C—Motor Vehicle Rental and Leasing Companies (Including Licensees and Franchisees) Subject to the Reporting Requirements of Part 544</APP> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 33112; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>52 FR 76, Jan. 2, 1987, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 544.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 544.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> <CITA>[62 FR 33756, June 23, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 544.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This part applies to the motor vehicle insurance policy issuers listed in appendices A or B, and to the motor vehicle rental and leasing companies listed in appendix C.</P> <CITA>[55 FR 25609, June 22, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 544.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory terms.</E> 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.</P> <P>(b) <E T="03">Other definitions.</E> (1) <E T="03">Comprehensive insurance coverage</E> 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.</P> <P>(2) <E T="03">Gross vehicle weight rating</E> is used as defined at § 571.3 of this chapter.</P> <P>(3) <E T="03">Heavy truck</E> means a truck with a gross vehicle weight rating of more than 10,000 pounds.</P> <P>(4) <E T="03">Light truck</E> means a truck with a gross vehicle weight rating of 10,000 pounds or less.</P> <P>(5) <E T="03">Major part</E> means—</P> <P>(i) In the case of passenger motor vehicles, any part listed in § 541.5(a) (1) through (14) of this chapter;</P> <P>(ii) In the case of light trucks, any part listed in § 541.4(a) (1) through (14) of this chapter, or the cargo bed or transfer case;</P> <P>(iii) In the case of heavy trucks, any part listed in § 541.5(a) (1) through (14) of this chapter, or the cargo bed, drive axle assembly, fifth wheel, sleeper, or the transfer case;</P> <P>(iv) In the case of multipurpose passenger vehicles, any part listed in § 541.5(a) (1) through (14) of this chapter, or the cargo bed or transfer case; and<PRTPAGE P="126"/> </P> <P>(v) In the case of motorcycles, the crankcase, engine, frame, front fork, or transmission.</P> <P>(6) <E T="03">Motorcycle</E> is used as defined at § 571.3 of this chapter.</P> <P>(7) <E T="03">Motorcycle vehicle</E> means a passenger motor vehicle, multipurpose passenger vehicle, truck, or motorcycle.</P> <P>(8) <E T="03">Multipurpose passenger vehicle</E> is used as defined at § 571.3 of this chapter.</P> <P>(9) <E T="03">Recovery</E> 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.</P> <P>(10) <E T="03">Recovery-in-part</E> means a recovery in which one or more of the recovered vehicle's major parts is missing at the time of recovery.</P> <P>(11) <E T="03">Recovery intact</E> 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.</P> <P>(12) <E T="03">Recovery-in-whole</E> 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.</P> <P>(13) <E T="03">Reporting period</E> means the calendar year covered by a report submitted under this part.</P> <P>(14) <E T="03">Truck</E> is used as defined at § 571.3 of this chapter.</P> <P>(15)(i) In the case of insurers that issue motor vehicle insurance policies, <E T="03">vehicle theft</E> 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.</P> <P>(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 the removal of component parts, accessories, or personal belongings from a motor vehicle which is not moved.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 544.5</SECTNO> <SUBJECT>General requirements for reports.</SUBJECT> <P>(a) Each insurer to which this part applies shall submit a report annually before October 25, beginning on October 25, 1986.This report shall contain the information required by § 544.6 of this part for the calendar year 3 years previous to the year in which the report is filed (e.g., the report due by October 25, 2007 will contain the required information for the 2004 calendar year).</P> <P>(b) Each report required by this part must:</P> <P>(1) Have a heading preceding its text that includes the words “Insurer Report”;</P> <P>(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;</P> <P>(3) Identify the State or States in which the insurer did business during the reporting period;</P> <P>(4) State the full name and title of the official responsible for preparing the report, and the address of the insurer;</P> <P>(5) Identify the reporting period covered by the report;</P> <P>(6) Be written in the English language;</P> <P>(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;<PRTPAGE P="127"/> </P> <P>(8) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 20590; and</P> <P>(9) If the insurer wishes to submit certain information under a claim of confidentiality, be submitted in accordance with part 512 of this chapter.</P> <CITA>[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; 65 FR 49507, Aug. 14, 2000; 66 FR 53733, Oct. 24, 2001; 67 FR 46611, July 16, 2002; 68 FR 59135, Oct. 14, 2003; 69 FR 41976, July 13, 2004; 70 FR 42507, July 25, 2005; 71 FR 52293, Sept. 5, 2006; 72 FR 50080, Aug. 30, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 544.6</SECTNO> <SUBJECT>Contents of insurer reports.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(1) Passenger cars.</P> <P>(2) Multipurpose passenger vehicles.</P> <P>(3) Light trucks.</P> <P>(4) Heavy trucks.</P> <P>(5) Motorcycles.</P> <P>(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.</P> <P>(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:</P> <P>(i) Recoveries intact;</P> <P>(ii) Recoveries-in-whole; and</P> <P>(iii) Recoveries-in-part.</P> <P>(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 that these data are accurate and timely.</P> <P>(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.</P> <P>(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).</P> <P>(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:</P> <P>(i) The total number of comprehensive insurance claims paid by the insurer during the reporting period;</P> <P>(ii)(A) The total number of claims listed in (d)(2)(i) of this section that arose from a theft;</P> <P>(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;<PRTPAGE P="128"/> </P> <P>(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;</P> <P>(iv)(A) In the case of insurers listed in appendix A or B, provide—</P> <P>(<E T="03">1</E>) 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</P> <P>(<E T="03">2</E>) 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;</P> <P>(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;</P> <P>(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.</P> <P>(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;</P> <P>(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;</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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 State insurance regulatory officials and clearly indicating which information in those sections is being submitted in compliance with this paragraph.</P> <P>(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:</P> <P>(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.);</P> <P>(2) State the number of the insurer's policyholders and the total number of vehicles insured by the insurer that received this reduction; and</P> <P>(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.</P> <P>(f) In the case of an insurer that offered a reduction in its comprehensive insurance premiums for vehicles equipped with antitheft devices, provide:</P> <P>(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.);</P> <P>(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</P> <P>(3) The total number of recoveries of vehicles manufactured in the 1983 or subsequent model years that received a <PRTPAGE P="129"/>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—</P> <P>(i) Recoveries intact;</P> <P>(ii) Recoveries-in-whole; and</P> <P>(iii) Recoveries-in-part.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 76, Jan. 2, 1987, as amended at 55 FR 25610, June 22, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 544.7</SECTNO> <SUBJECT>Incorporating previously filed documents.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <APPENDIX> <HD SOURCE="HED">Appendix A—Insurers of Motor Vehicle Insurance Policies Subject to the Reporting Requirements in Each State in Which They Do Business</HD> <FP SOURCE="FP-1">Allstate Insurance Group</FP> <FP SOURCE="FP-1">American Family Insurance Group</FP> <FP SOURCE="FP-1">American International Group</FP> <FP SOURCE="FP-1">Auto-Owners Insurance Group</FP> <FP SOURCE="FP-1">CNA Insurance Companies</FP> <FP SOURCE="FP-1">Erie Insurance Group</FP> <FP SOURCE="FP-1">Berkshire Hathaway/GEICO Corporation Group</FP> <FP SOURCE="FP-1">Hartford Insurance Group</FP> <FP SOURCE="FP-1">Liberty Mutual Insurance Companies</FP> <FP SOURCE="FP-1">Metropolitan Life Auto & Home Group</FP> <FP SOURCE="FP-1">Mercury General Group</FP> <FP SOURCE="FP-1">Nationwide Group</FP> <FP SOURCE="FP-1">Progressive Group</FP> <FP SOURCE="FP-1">Safeco Insurance Companies</FP> <FP SOURCE="FP-1">State Farm Group</FP> <FP SOURCE="FP-1">St Paul Travelers Companies <SU>1</SU> <FTREF/> </FP> <FTNT> <P> <SU>1</SU> Indicates a newly listed company which must file a report beginning with the report due October 25, 2007.</P> </FTNT> <FP SOURCE="FP-1">USAA Group</FP> <FP SOURCE="FP-1">Farmers Insurance Group</FP> <CITA>72 FR 50080, Aug. 30, 2007]</CITA> </APPENDIX> <APPENDIX> <HD SOURCE="HED">Appendix B—Issuers of Motor Vehicle Insurance Policies Subject to the Reporting Requirements Only in Designated States</HD> <FP SOURCE="FP-1">Alfa Insurance Group (Alabama)</FP> <FP SOURCE="FP-1">Auto Club (Michigan)</FP> <FP SOURCE="FP-1">Commerce Group, Inc. (Massachusetts)</FP> <FP SOURCE="FP-1">Farm Bureau of Idaho Group (Idaho)<SU>1</SU> <FTREF/> </FP> <FTNT> <P> <SU>1</SU> Indicates a newly listed company which must file a report beginning with the report due October 25, 2007.</P> </FTNT> <FP SOURCE="FP-1">Kentucky Farm Bureau Group (Kentucky)</FP> <FP SOURCE="FP-1">New Jersey Manufacturers Group (New Jersey)</FP> <FP SOURCE="FP-1">Safety Group (Massachusetts)</FP> <FP SOURCE="FP-1">Southern Farm Bureau Group (Arkansas, Mississippi)</FP> <FP SOURCE="FP-1">Tennessee Farmers Companies (Tennessee)</FP> <CITA>72 FR 50080, Aug. 30, 2007]</CITA> </APPENDIX> <APPENDIX> <HD SOURCE="HED">Appendix C—Motor Vehicle Rental and Leasing Companies (Including Licensees and Franchisees) Subject to the Reporting Requirements of Part 544</HD> <FP SOURCE="FP-1">Cendant Car Rental</FP> <FP SOURCE="FP-1">Dollar Thrifty Automotive Group<PRTPAGE P="130"/> </FP> <FP SOURCE="FP-1">EmKay, Inc.<SU>1</SU> <FTREF/> </FP> <FP SOURCE="FP-1">Enterprise Rent-A-Car</FP> <FP SOURCE="FP-1">Enterprise Fleet Services</FP> <FP SOURCE="FP-1">Hertz Rent-A-Car Division (subsidiary of The Hertz Corporation)</FP> <FP SOURCE="FP-1">U-Haul International, Inc. (Subsidiary of AMERCO)</FP> <FP SOURCE="FP-1">Vanguard Car Rental USA</FP> <FTNT> <P> <SU>1</SU> Indicates a newly listed company which must file a report beginning with the report due October 25, 2007.</P> </FTNT> <CITA>72 FR 50080, Aug. 30, 2007]</CITA> </APPENDIX> </PART> <PART> <HD SOURCE="HED">PART 545—FEDERAL MOTOR VEHICLE THEFT PREVENTION STANDARD PHASE-IN AND SMALL-VOLUME LINE REPORTING REQUIREMENTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>545.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>545.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>545.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>545.4</SECTNO> <SUBJECT>Response to inquiries.</SUBJECT> <SECTNO>545.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>545.6</SECTNO> <SUBJECT>Reporting requirements for vehicles listed in § 541.3(a)(1).</SUBJECT> <SECTNO>545.7</SECTNO> <SUBJECT>Reporting requirements for vehicles listed in § 541.3(b)(2).</SUBJECT> <SECTNO>545.8</SECTNO> <SUBJECT>Records.</SUBJECT> <SECTNO>545.9</SECTNO> <SUBJECT>Petition to extend period to file report.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 33101, 33102, 33103, 33104, 33105; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>70 FR 28851, May 19, 2005, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 545.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>This part establishes requirements for manufacturers of motor vehicles to respond to NHTSA inquiries, to submit reports, and to maintain records related to the reports, concerning the number of vehicles that meet the requirements of 49 CFR part 541, and the number of vehicles that are excluded from the requirements of 49 CFR part 541 pursuant to 49 CFR 541.3(b)(2).</P> <CITA>[72 FR 46176, Aug. 17, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 545.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>The purpose of these requirements is to assist the National Highway Traffic Safety Administration in determining whether a manufacturer has complied with the requirements of 49 CFR 541.5.</P> </SECTION> <SECTION> <SECTNO>§ 545.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This subpart applies to manufacturers of motor vehicles.</P> </SECTION> <SECTION> <SECTNO>§ 545.4</SECTNO> <SUBJECT>Response to inquiries.</SUBJECT> <P>(a) At any time prior to August 31, 2007, each manufacturer must, upon request from the Office of Vehicle Safety Compliance, provide information identifying the vehicles (by make, model, and vehicle identification number) that have been certified as complying with the requirements of 49 CFR part 541. The manufacturers designation of a vehicle as a certified vehicle is irrevocable.</P> <P>(b) At any time prior to August 31, 2007, each manufacturer must, upon request from the Office of Vehicle Safety Compliance, provide information identifying the vehicles (by make, model, and vehicle identification number) that are excluded from the requirements of 49 CFR part 541 pursuant to 49 CFR 541.3(b)(2).</P> <CITA>[70 FR 28851, May 19, 2005, as amended at 72 FR 46176, Aug. 17, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 545.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">Production year</E> means the 12-month period between September 1 of 2006 and August 31, 2007, inclusive.</P> <P> <E T="03">Small-volume line</E> means a line with an annual production of not more than 3,500 vehicles.</P> </SECTION> <SECTION> <SECTNO>§ 545.6</SECTNO> <SUBJECT>Reporting requirements for vehicles listed in § 541.3(a)(1).</SUBJECT> <P>(a) <E T="03">General reporting requirements.</E> Within 60 days after the end of the production year ending August 31, 2007, each manufacturer shall submit a report to the National Highway Traffic Safety Administration concerning its compliance with 49 CFR part 541 for vehicles listed in § 541.3(a)(1) that were manufactured between September 1, <PRTPAGE P="131"/>2006 and August 31, 2007. Each report must—</P> <P>(1) Identify the manufacturer;</P> <P>(2) State the full name, title, and address of the official responsible for preparing the report;</P> <P>(3) Identify the production year being reported on;</P> <P>(4) Contain a statement regarding whether or not the manufacturer complied with the requirements of 49 CFR part 541 for the period covered by the report, and the basis for that statement;</P> <P>(5) Provide the information specified in paragraph (b) of this section;</P> <P>(6) Be written in the English language; and</P> <P>(7) Be submitted to: Administrator, National Highway Traffic Safety Administration, Room, 400 7th Street, SW., Washington, DC 20590.</P> <P>(b) <E T="03">Report content</E>—(1) <E T="03">Basis for Statement of Compliance.</E> Each manufacturer shall provide the number of motor vehicles listed in § 541.3(a)(1) that were manufactured between September 1, 2006 and August 31, 2007 (excluding those motor vehicles that were subject to the requirements of 49 CFR part 541 before September 1, 2006).</P> <P>(2) <E T="03">Production.</E> Each manufacturer shall provide (1) the number of motor vehicles manufactured between September 1, 2006 and August 31, 2007 (excluding those motor vehicles that were subject to the requirements of 49 CFR part 541 before September 1, 2006), that meet the requirements of 49 CFR 541.5; and (2) the number of motor vehicles manufactured between September 1, 2006 and August 31, 2007 (excluding those motor vehicles that were subject to the requirements of 49 CFR part 541 before September 1, 2006), that are exempt from 49 CFR part 541 pursuant to 49 CFR part 543.</P> <P>(3) <E T="03">Statement regarding compliance.</E> Each manufacturer must provide a statement regarding whether or not the manufacturer complied with 49 CFR 541.5 requirements as applicable to the period covered by the report, and the basis for that statement.</P> <CITA>[70 FR 28851, May 19, 2005, as amended at 72 FR 46176, Aug. 17, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 545.7</SECTNO> <SUBJECT>Reporting requirements for vehicles listed in § 541.3(b)(2).</SUBJECT> <P>(a) <E T="03">General reporting requirements.</E> Within 60 days after the end of the production year ending August 31, 2007, each manufacturer must submit a report to the National Highway Traffic Safety Administration concerning small-volume lines that were manufactured between September 1, 2006 and August 31, 2007. Each report must—</P> <P>(1) Identify the manufacturer;</P> <P>(2) State the full name, title, and address of the official responsible for preparing the report;</P> <P>(3) Identify the production year being reported on;</P> <P>(4) Provide the information specified in paragraph (b) of this section;</P> <P>(5) Be written in the English language; and</P> <P>(6) Be submitted to: Administrator, National Highway Traffic Safety Administration, Room, 400 7th Street, SW., Washington, DC 20590.</P> <P>(b) <E T="03">Report content.</E> Within 60 days after the end of the production year ending August 31, 2007, each manufacturer shall provide: (1) The name of each small-volume line the manufacturer produces; (2) the number of motor vehicles in each small-volume line the manufacturer produced.</P> <CITA>[70 FR 28851, May 19, 2005, as amended at 72 FR 46176, Aug. 17, 2007]</CITA> </SECTION> <SECTION> <SECTNO>§ 545.8</SECTNO> <SUBJECT>Records.</SUBJECT> <P>Each manufacturer shall maintain records of the Vehicle Identification Number for each vehicle for which information is reported under § 545.6(b)(2) and § 545.7(b)(2) until December 31, 2008.</P> </SECTION> <SECTION> <SECTNO>§ 545.9</SECTNO> <SUBJECT>Petition to extend period to file report.</SUBJECT> <P>A manufacturer may petition for extension of time to submit a report under this part. A petition will be granted only if the petitioner shows good cause for the extension and if the extension is consistent with the public interest. The petition must be received not later than 15 days before expiration of the time stated in § 545.5(a). The filing of a petition does not automatically extend the time for filing a report. The petition must be submitted to: Administrator, National Highway <PRTPAGE P="132"/>Traffic Safety Administration, 400 7th Street, SW., Washington, DC 20590.</P> </SECTION> </PART> <PART> <EAR>Pt. 551</EAR> <HD SOURCE="HED">PART 551—PROCEDURAL RULES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>551.1</SECTNO> <SUBJECT>Scope.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Submittals in Writing</HD> <SECTNO>551.31</SECTNO> <SUBJECT>Form of communications.</SUBJECT> <SECTNO>551.33</SECTNO> <SUBJECT>Address of communications.</SUBJECT> <SECTNO>551.35</SECTNO> <SUBJECT>Subscription of communications.</SUBJECT> <SECTNO>551.37</SECTNO> <SUBJECT>Language of communications.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Service of Process on Foreign Manufacturers and Importers</HD> <SUBJGRP> <HD SOURCE="HED">Designation of an Agent for Service of Process</HD> <SECTNO>551.45</SECTNO> <SUBJECT>What is the purpose of this subpart?</SUBJECT> <SECTNO>551.46</SECTNO> <SUBJECT>Who must comply with this subpart and when?</SUBJECT> <SECTNO>551.47</SECTNO> <SUBJECT>Who may serve as an agent for a foreign manufacturer?</SUBJECT> <SECTNO>551.48</SECTNO> <SUBJECT>May an official of a foreign manufacturer serve as its agent?</SUBJECT> <SECTNO>551.49</SECTNO> <SUBJECT>May a foreign manufacturer replace its agent?</SUBJECT> <SECTNO>551.50</SECTNO> <SUBJECT>May more than one foreign manufacturer designate the same person as agent?</SUBJECT> <SECTNO>551.51</SECTNO> <SUBJECT>May an agent assign performance of its functions to another individual or entity?</SUBJECT> <SECTNO>551.52</SECTNO> <SUBJECT>How long will a foreign manufacturer's designation of agent remain in effect?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Form and Contents of Designation</HD> <SECTNO>551.53</SECTNO> <SUBJECT>What is the required format for a designation?</SUBJECT> <SECTNO>551.54</SECTNO> <SUBJECT>What are the required contents for a designation?</SUBJECT> <SECTNO>551.55</SECTNO> <SUBJECT>What information must a Designation by Foreign Manufacturer contain?</SUBJECT> <SECTNO>551.56</SECTNO> <SUBJECT>What information must an Acceptance by Agent contain?</SUBJECT> <SECTNO>551.57</SECTNO> <SUBJECT>Who may sign the Designation by Foreign Manufacturer?</SUBJECT> <SECTNO>551.58</SECTNO> <SUBJECT>Who may sign the Acceptance by Agent?</SUBJECT> <SECTNO>551.59</SECTNO> <SUBJECT>May the same individual sign both the Designation by Foreign Manufacturer and Acceptance by Agent?</SUBJECT> <SECTNO>551.60</SECTNO> <SUBJECT>When must the Designation by Foreign Manufacturer be signed?</SUBJECT> <SECTNO>551.61</SECTNO> <SUBJECT>When must the Acceptance by Agent be signed?</SUBJECT> <SECTNO>551.62</SECTNO> <SUBJECT>Where should a foreign manufacturer mail the designation?</SUBJECT> <SECTNO>551.63</SECTNO> <SUBJECT>May a foreign manufacturer submit a designation by email or facsimile?</SUBJECT> <SECTNO>551.64</SECTNO> <SUBJECT>What if designation documents submitted by a foreign manufacturer do not comply with this subpart?</SUBJECT> <SECTNO>551.65</SECTNO> <SUBJECT>What if a foreign manufacturer changes its name, address or product names or marks?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Method of Service of Process</HD> <SECTNO>551.66</SECTNO> <SUBJECT>What is the legal effect of service of process on an agent?</SUBJECT> <SECTNO>551.67</SECTNO> <SUBJECT>Where and how may an agent be served?</SUBJECT> <SECTNO>551.68</SECTNO> <SUBJECT>What if an agent cannot be served?</SUBJECT> </SUBJGRP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>33 FR 19700, Dec. 25, 1968, unless otherwise noted. Redesignated at 35 FR 5118, Mar. 26, 1970.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 551.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> <CITA>[33 FR 19700, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970, and amended at 38 FR 20086, July 27, 1973]</CITA> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart B [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Submittals in Writing</HD> <SECTION> <SECTNO>§ 551.31</SECTNO> <SUBJECT>Form of communications.</SUBJECT> <P>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<FR>1/2</FR> inches wide, and if a communication is bound, it shall be bound on the left side. All copies submitted shall be legible.</P> </SECTION> <SECTION> <PRTPAGE P="133"/> <SECTNO>§ 551.33</SECTNO> <SUBJECT>Address of communications.</SUBJECT> <P>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.</P> <CITA>[36 FR 1147, Jan. 23, 1971; 38 FR 20086, July 27, 1973]</CITA> </SECTION> <SECTION> <SECTNO>§ 551.35</SECTNO> <SUBJECT>Subscription of communications.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 551.37</SECTNO> <SUBJECT>Language of communications.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Service of Process on Foreign Manufacturers and Importers</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>70 FR 45567, Aug. 8, 2005, unless otherwise noted.</P> </SOURCE> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 30164.</P> </AUTH> <SUBJGRP> <HD SOURCE="HED">Designation of an Agent for Service of Process</HD> <SECTION> <SECTNO>§ 551.45</SECTNO> <SUBJECT>What is the purpose of this subpart?</SUBJECT> <P>The purpose of this subpart is to establish a procedure for foreign manufacturers, assemblers and importers of motor vehicles and motor vehicle equipment to designate an agent in the United States on whom service of administrative or judicial notices or processes may be made.</P> </SECTION> <SECTION> <SECTNO>§ 551.46</SECTNO> <SUBJECT>Who must comply with this subpart and when?</SUBJECT> <P>(a) All foreign manufacturers, assemblers, and importers of motor vehicles or motor vehicle equipment (hereinafter referred to as “foreign manufacturers”) must comply with this subpart before offering a motor vehicle or item of motor vehicle equipment for importation into the United States.</P> <P>(b) Unless and until a foreign manufacturer appoints an agent in accordance with the requirements of this subpart, it may not import motor vehicles or motor vehicle equipment into the United States.</P> </SECTION> <SECTION> <SECTNO>§ 551.47</SECTNO> <SUBJECT>Who may serve as an agent for a foreign manufacturer?</SUBJECT> <P>Only an individual, a domestic firm or a domestic corporation that is a permanent resident of the United States may serve as an agent under this subpart.</P> </SECTION> <SECTION> <SECTNO>§ 551.48</SECTNO> <SUBJECT>May an official of a foreign manufacturer serve as its agent?</SUBJECT> <P>(a) Generally no; an agent must be a permanent resident of the United States. Typically officials of foreign manufacturers and importers are not United States residents.</P> <P>(b) Occasionally an official of a foreign manufacturer also serves as an official of a domestic firm or corporation or is a permanent resident of the United States. In such cases, the official may serve as agent and sign the designation documents both on behalf of the foreign manufacturer and as agent. However, the foreign manufacturer must submit to NHTSA, along with the designation documents, a letter explaining that the individual signing the designation is both an official of the foreign manufacturer with authority to appoint an agent and a permanent resident of the United States or official of a domestic firm or corporation. If NHTSA does not receive an explanatory letter at the same time it receives the designation, the agency will deem the designation insufficient under this subpart and reject the submission.</P> </SECTION> <SECTION> <PRTPAGE P="134"/> <SECTNO>§ 551.49</SECTNO> <SUBJECT>May a foreign manufacturer replace its agent?</SUBJECT> <P>(a) Yes, a foreign manufacturer may replace its agent in the same way it originally designated the agent. It must submit designation documents that meet the form and content requirements identified in the following section of this subpart. Until NHTSA receives designation documents meeting those requirements or a letter withdrawing an existing designation, the individual or domestic corporation originally designated will continue to serve as its agent for service of process.</P> <P>(b) A foreign manufacturer that has withdrawn but not replaced its agent may not continue to import motor vehicles or motor vehicle equipment into the United States. In order to do so, it must appoint a new agent in accordance with the requirements of this subpart.</P> </SECTION> <SECTION> <SECTNO>§ 551.50</SECTNO> <SUBJECT>May more than one foreign manufacturer designate the same person as agent?</SUBJECT> <P>Yes, any number of foreign manufacturers separately may designate the same person as agent.</P> </SECTION> <SECTION> <SECTNO>§ 551.51</SECTNO> <SUBJECT>May an agent assign performance of its functions to another individual or entity?</SUBJECT> <P>No, an agent may not assign performance of its functions.</P> </SECTION> <SECTION> <SECTNO>§ 551.52</SECTNO> <SUBJECT>How long will a foreign manufacturer's designation of agent remain in effect?</SUBJECT> <P>(a) A designation of agent remains in effect until replaced or withdrawn by a foreign manufacturer.</P> <P>(b) A foreign manufacturer that has withdrawn but not replaced its agent may not continue to import motor vehicles or motor vehicle equipment into the United States. In order to do so, it must appoint a new agent in accordance with the requirements of this subpart.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Form and Contents of Designation</HD> <SECTION> <SECTNO>§ 551.53</SECTNO> <SUBJECT>What is the required format for a designation?</SUBJECT> <P>(a) All documents submitted under this subpart must be:</P> <P>(1) Original documents;</P> <P>(2) Written in English; and</P> <P>(3) Signed in ink.</P> <P>(b) For each signature, the document must indicate in English:</P> <P>(1) The date of signature; and</P> <P>(2) The name and title of the individual who signed the document.</P> <P>(c) As long as documents submitted by a foreign manufacturer and its agent contain all required information (identified in §§ 551.54, 551.55 and 551.56 below), there is no mandatory format for the designation</P> <P>(d) NHTSA encourages foreign manufacturers to use the suggested designation form set forth in the Appendix to this subpart. If completed and executed properly by both a foreign manufacturer and its agent, this form will comply fully with the requirements of §§ 551.53 through 551.65.</P> </SECTION> <SECTION> <SECTNO>§ 551.54</SECTNO> <SUBJECT>What are the required contents for a designation?</SUBJECT> <P>The suggested designation form set forth in the Appendix, if completed and signed properly by a foreign manufacturer and its agent, contains all of the information necessary to create a valid designation under this subpart. Specifically, a valid designation must contain:</P> <P>(a) A Designation by Foreign Manufacturer; and</P> <P>(b) An Acceptance by Agent.</P> </SECTION> <SECTION> <SECTNO>§ 551.55</SECTNO> <SUBJECT>What information must a Designation by Foreign Manufacturer contain?</SUBJECT> <P>A Designation by Foreign Manufacturer must contain:</P> <P>(a) A statement that the designation is in valid form and binding on the foreign manufacturer under the laws, corporate bylaws or other requirements governing the making of designations at the place and time where it is made;</P> <P>(b) The full legal name, principal place of business and mailing address of the foreign manufacturer;</P> <P>(c) All trade or brand names, marks, logos or other designations of origin under which the foreign manufacturer's products will be sold; and</P> <P>(d) The signature in ink, and the name and title of the official or employee signing the designation on behalf of the foreign manufacturer, who <PRTPAGE P="135"/>must have authority to appoint an agent.</P> </SECTION> <SECTION> <SECTNO>§ 551.56</SECTNO> <SUBJECT>What information must an Acceptance by Agent contain?</SUBJECT> <P>An Acceptance by Agent must contain:</P> <P>(a) The full legal name, mailing address and telephone number of the agent;</P> <P>(b) A statement that the agent accepts the designation and understands that (s)he may not assign performance of the agent's functions under the designation to another person or entity, and that the designation shall remain in effect until it is withdrawn or replaced by the foreign manufacturer;</P> <P>(c) The signature in ink of the agent, or an official or employee of the domestic firm or corporation serving as the agent, who must authority to sign for the firm or corporation; and</P> <P>(d) The name and title of the individual signing the acceptance.</P> </SECTION> <SECTION> <SECTNO>§ 551.57</SECTNO> <SUBJECT>Who may sign the Designation by Foreign Manufacturer?</SUBJECT> <P>Only an official or employee of the foreign manufacturer with authority to appoint an agent may sign the Designation by Foreign Manufacturer.</P> </SECTION> <SECTION> <SECTNO>§ 551.58</SECTNO> <SUBJECT>Who may sign the Acceptance by Agent?</SUBJECT> <P>Only the agent, in the case of an individual, or an official or employee, in the case of a domestic firm or corporation serving as the agent with authority to sign for that firm of corporation, may sign the Acceptance of Agent.</P> </SECTION> <SECTION> <SECTNO>§ 551.59</SECTNO> <SUBJECT>May the same individual sign both the Designation by Foreign Manufacturer and Acceptance by Agent?</SUBJECT> <P>(a) Generally no; the Designation by Manufacturer must be signed by an official or employee of the foreign manufacturer and the Acceptance by Agent must be signed by the foreign manufacturer's agent, in the case of an individual, or by an official or employee, in the case of a domestic firm or corporation serving as its agent.</P> <P>(b) Occasionally an official of a foreign manufacturer also serves as an official of a domestic firm or corporation or is a permanent resident of the United States. In such cases, the official may serve as agent and sign the designation documents both on behalf of the foreign manufacturer and as agent. However, the foreign manufacturer must submit to NHTSA, along with the designation documents, a letter explaining that the individual signing the designation is both an official of the foreign manufacturer with authority to appoint an agent and a permanent resident of the United States or official of a domestic firm or corporation. If NHTSA does not receive an explanatory letter at the same time it receives the designation, the agency will deem the designation insufficient under this subpart and reject the submission.</P> </SECTION> <SECTION> <SECTNO>§ 551.60</SECTNO> <SUBJECT>When must the Designation by Foreign Manufacturer be signed?</SUBJECT> <P>(a) The foreign manufacturer must sign the Designation by Foreign Manufacturer on or before the date that the agent signs the Acceptance by Agent. It is not possible for an individual or entity to accept a designation as agent until on or after the date on which a foreign manufacturer makes the designation.</P> <P>(b) If the Designation by Foreign Manufacturer is dated after the Acceptance by Agent, NHTSA will deem the designation insufficient under this subpart and reject the submission.</P> </SECTION> <SECTION> <SECTNO>§ 551.61</SECTNO> <SUBJECT>When must the Acceptance by Agent be signed?</SUBJECT> <P>(a) The agent, in the case of an individual, or an employee or official, in the case of a domestic firm or corporation serving as agent, must sign the Acceptance by Agent on or after the date that the manufacturer signs the Designation by Foreign Manufacturer. It is not possible for an individual or entity to accept a designation as agent until on or after the date on which the foreign manufacturer makes the designation.</P> <P>(b) If the Acceptance by Agent is dated before the Designation by Foreign Manufacturer, NHTSA will deem the designation insufficient under this subpart and reject the submission.</P> </SECTION> <SECTION> <PRTPAGE P="136"/> <SECTNO>§ 551.62</SECTNO> <SUBJECT>Where should a foreign manufacturer mail the designation?</SUBJECT> <P>Foreign manufacturers must mail their designations to the Office of the Executive Secretariat, National Highway Traffic Safety Administration, Room 5221, 400 Seventh Street, SW, Washington, DC 20590. No other NHTSA office is authorized to accept designation documents. To avoid delays, the agency suggests using express mail services.</P> </SECTION> <SECTION> <SECTNO>§ 551.63</SECTNO> <SUBJECT>May a foreign manufacturer submit a designation by email or facsimile?</SUBJECT> <P>No, the statute requires designation documents submitted by foreign manufacturers to contain original ink signatures. NHTSA will reject designation documents submitted via email or facsimile, as they do not satisfy this requirement.</P> </SECTION> <SECTION> <SECTNO>§ 551.64</SECTNO> <SUBJECT>What if designation documents submitted by a foreign manufacturer do not comply with this subpart?</SUBJECT> <P>Designations of agent are binding on the foreign manufacturer even when their form and contents do not comply with this subpart, unless rejected by the agency.</P> </SECTION> <SECTION> <SECTNO>§ 551.65</SECTNO> <SUBJECT>What if a foreign manufacturer changes its name, address or product names or marks?</SUBJECT> <P>(a) A foreign manufacturer must provide written notice to NHTSA of any changes in its name, address or marks, trade names, or other designations of origin appearing on its products.</P> <P>(b) Foreign manufacturers should mail notices to the Office of the Executive Secretariat, National Highway Traffic Safety Administration, Room 5221, 400 Seventh Street, SW., Washington, DC 20590. To avoid delays, the agency suggests using express mail services.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Method of Service of Process</HD> <SECTION> <SECTNO>§ 551.66</SECTNO> <SUBJECT>What is the legal effect of service of process on an agent?</SUBJECT> <P>Service on an agent of administrative or judicial notices or process is deemed to be service on a manufacturer.</P> </SECTION> <SECTION> <SECTNO>§ 551.67</SECTNO> <SUBJECT>Where and how may an agent be served?</SUBJECT> <P>An agent may be served at the agent's office or usual place of residence, by registered or certified mail addressed to the agent with return receipt requested, or by any other manner authorized by law.</P> </SECTION> <SECTION> <SECTNO>§ 551.68</SECTNO> <SUBJECT>What if an agent cannot be served?</SUBJECT> <P>If an agent cannot be served because the agent cannot be located, has ceased to exist or does not receive correctly addressed mail, service may be made by posting the notice or process in the Office of the Secretary of Transportation. </P> <GPH DEEP="470" SPAN="2"> <PRTPAGE P="137"/> <GID>ER08AU05.043</GID> </GPH> </SECTION> </SUBJGRP> </SUBPART> </PART> <PART> <PRTPAGE P="138"/> <EAR>Pt. 552</EAR> <HD SOURCE="HED">PART 552—PETITIONS FOR RULEMAKING, DEFECT, AND NONCOMPLIANCE ORDERS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>552.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>552.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>552.3</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>552.4</SECTNO> <SUBJECT>Requirements for petition.</SUBJECT> <SECTNO>552.5</SECTNO> <SUBJECT>Improperly filed petitions.</SUBJECT> <SECTNO>552.6</SECTNO> <SUBJECT>Technical review.</SUBJECT> <SECTNO>552.7</SECTNO> <SUBJECT>Public meeting.</SUBJECT> <SECTNO>552.8</SECTNO> <SUBJECT>Notification of agency action on the petition.</SUBJECT> <SECTNO>552.9</SECTNO> <SUBJECT>Grant of petition.</SUBJECT> <SECTNO>552.10</SECTNO> <SUBJECT>Denial of petition.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Petitions for Expedited Rulemaking To Establish Dynamic Automatic Suppression System Test Procedures for Federal Motor Vehicle Safety Standard No. 208, Occupant Crash Protection</HD> <SECTNO>552.11</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>552.12</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>552.13</SECTNO> <SUBJECT>Form of petition.</SUBJECT> <SECTNO>552.14</SECTNO> <SUBJECT>Content of petition.</SUBJECT> <SECTNO>552.15</SECTNO> <SUBJECT>Processing of petition.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 30111, 30118, 30162; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>40 FR 42014, Sept. 10, 1975, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 552.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> <CITA>[60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 552.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> <CITA>[60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 552.3</SECTNO> <SUBJECT>General.</SUBJECT> <P>Any interested person may file with the Administrator a petition requesting him:</P> <P>(a) To commence a proceeding respecting the issuance, amendment or revocation of a motor vehicle safety standard, or</P> <P>(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.</P> <CITA>[60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 552.4</SECTNO> <SUBJECT>Requirements for petition.</SUBJECT> <P>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:</P> <P>(a) Be written in the English language;</P> <P>(b) Have, preceding its text, a heading that includes the word “Petition”;</P> <P>(c) Set forth facts which it is claimed establish that an order is necessary;</P> <P>(d) Set forth a brief description of the substance of the order which it is claimed should be issued; and</P> <P>(e) Contain the name and address of the petitioner.</P> </SECTION> <SECTION> <SECTNO>§ 552.5</SECTNO> <SUBJECT>Improperly filed petitions.</SUBJECT> <P>(a) A petition that is not addressed as specified in § 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.</P> <P>(b) A document that fails to conform to one or more of the requirements of § 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 <PRTPAGE P="139"/>will be considered at the discretion of the Administrator or his delegate.</P> </SECTION> <SECTION> <SECTNO>§ 552.6</SECTNO> <SUBJECT>Technical review.</SUBJECT> <P>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 § 552.7.</P> <CITA>[60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 552.7</SECTNO> <SUBJECT>Public meeting.</SUBJECT> <P>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 <E T="04">Federal Register</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 552.8</SECTNO> <SUBJECT>Notification of agency action on the petition.</SUBJECT> <P>After considering the technical review conducted under § 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.</P> <CITA>[60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 552.9</SECTNO> <SUBJECT>Grant of petition.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 552.10</SECTNO> <SUBJECT>Denial of petition.</SUBJECT> <P>If a petition is denied, a <E T="04">Federal Register</E> notice of the denial is issued within 45 days of the denial, setting forth the reasons for denial of the petition.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Petitions for Expedited Rulemaking To Establish Dynamic Automatic Suppression System Test Procedures for Federal Motor Vehicle Safety Standard No. 208, Occupant Crash Protection</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>65 FR 30744, May 12, 2000, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 552.11</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This subpart establishes procedures for the submission and disposition of petitions filed by interested parties to initiate rulemaking to add a test procedure to 49 CFR 571.208, S28.</P> </SECTION> <SECTION> <SECTNO>§ 552.12</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>For purposes of this subpart, the following definitions apply:</P> <P>(a) <E T="03">Dynamic automatic suppression system (DASS)</E> means a portion of an air bag system that automatically controls whether or not the air bag deploys during a crash by:</P> <P>(1) Sensing the location of an occupant, moving or still, in relation to the air bag;<PRTPAGE P="140"/> </P> <P>(2) Interpreting the occupant characteristics and location information to determine whether or not the air bag should deploy; and</P> <P>(3) Activating or suppressing the air bag system based on the interpretation of characteristics and occupant location information.</P> <P>(b) <E T="03">Automatic suppression zone (ASZ)</E> means a three-dimensional zone adjacent to the air bag cover, specified by the vehicle manufacturer, where air bag deployment will be suppressed by the DASS if a vehicle occupant enters the zone under specified conditions.</P> <P>(c) <E T="03">Standard No. 208</E> means 49 CFR 571.208.</P> </SECTION> <SECTION> <SECTNO>§ 552.13</SECTNO> <SUBJECT>Form of petition.</SUBJECT> <P>Each petition filed under this subpart shall—</P> <P>(a) Be submitted to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, S.W., Washington, DC 20590.</P> <P>(b) Be written in the English language.</P> <P>(c) State the name and address of the petitioner.</P> <P>(d) Set forth in full the data, views and arguments of the petitioner supporting the requested test procedure, including all of the content information specified by § 552.14. Any documents incorporated by reference in the procedure shall be submitted with the petition.</P> <P>(e) Specify and segregate any part of the information and data submitted that the petitioner wishes to have withheld from public disclosure in accordance with Part 512 of this chapter including, if requested, the name and address of the petitioner.</P> <P>(f) Not request confidential treatment for the requested test procedure and, to the extent confidential treatment is requested concerning a particular DASS or data and analysis submitted in support of the petition, provide a general non-confidential description of the operation of the DASS and of the data and analysis supporting the petition.</P> <P>(g) Set forth a requested effective date and be submitted at least nine months before that date.</P> </SECTION> <SECTION> <SECTNO>§ 552.14</SECTNO> <SUBJECT>Content of petition.</SUBJECT> <P>The petitioner shall provide the following information:</P> <P>(a) A set of proposed test procedures for S28.1, S28.2, S28.3, and S28.4 of Standard No. 208 which the petitioner believes are appropriate for assessing a particular DASS.</P> <P>(1) For S28.1 of Standard No. 208, the petitioner shall specify at least one specific position for the Part 572, subpart O 5th percentile female dummy that is:</P> <P>(i) Outside but adjacent to the ASZ, and</P> <P>(ii) Representative of an unbelted occupant position that is likely to occur during a frontal crash.</P> <P>(2) For S28.2 of Standard No. 208, the petitioner shall specify at least one specific position for the Part 572 Subpart P 3-year-old child dummy and at least one specific position for the Part 572 Subpart N 6-year-old child dummy that are:</P> <P>(i) Outside but adjacent to the ASZ, and</P> <P>(ii) Representative of unbelted occupant positions that are likely to occur during a frontal crash where pre-crash braking occurs.</P> <P>(3) For S28.3 of Standard No. 208, the petitioner shall specify a procedure which tests the operation of the DASS by moving a test device toward the driver air bag in a manner that simulates the motion of an unbelted occupant during pre-crash braking or other pre-crash maneuver. The petitioner shall include a complete description, including drawings and instrumentation, of the test device employed in the proposed test. The petitioner shall include in the procedure a means for determining whether the driver air bag was suppressed before any portion of the specified test device entered the ASZ during the test. The procedure shall also include a means of determining when the specified test device occupies the ASZ.</P> <P>(4) For S28.4 of Standard No. 208, the petitioner shall specify a procedure which tests the operation of the DASS by moving a test device toward the passenger air bag in a manner that simulates the motion of an unbelted occupant during pre-crash braking or <PRTPAGE P="141"/>other pre-crash maneuver. The petitioner shall include a complete description, including drawings and instrumentation, of the test device employed in the proposed test. The petitioner shall include in the procedure a means for determining whether the passenger air bag was suppressed before any portion of the specified test device entered the ASZ during the test. The procedure shall also include a means of determining when the specified test device occupies the ASZ.</P> <P>(b) A complete description and explanation of the particular DASS that the petitioner believes will be appropriately assessed by the recommended test procedures. This shall include:</P> <P>(1) A description of the logic used by the DASS in determining whether to suppress the air bag or allow it to deploy. Such description shall include flow charts or similar materials outlining the operation of the system logic, the system reaction time, the time duration used to evaluate whether the air bag should be suppressed or deployed, changes, if any, in system performance based on the size of an occupant and vehicle speed, and a description of the size and shape of the zone where under similar circumstances and conditions the DASS may either allow or suppress deployment. Such description shall also address whether and how the DASS discriminates between an occupant's torso or head entering the ASZ as compared to an occupant's hand or arm, and whether and how the DASS discriminates between an occupant entering the ASZ and an inanimate object such as a newspaper or ball entering the ASZ.</P> <P>(2) Detailed specifications for the size and shape of the ASZ, including whether the suppression zone is designed to change size or shape depending on the vehicle speed, occupant size, or other factors.</P> <P>(c) Analysis and data supporting the appropriateness, repeatability, reproducibility and practicability of each of the proposed test procedures.</P> <P>(1) For the procedures proposed for inclusion in S28.1 and S28.2 of Standard No. 208, the petitioner shall provide the basis for the proposed dummy positions, including but not limited to, why the positions are representative of what is likely to occur in real world crashes.</P> <P>(2) For the procedures proposed for inclusion in S28.3 and S28.4 of Standard No. 208, the petitioner shall provide:</P> <P>(i) A complete explanation of the means used in the proposed test to ascertain whether the air bag is suppressed or activated during the test.</P> <P>(ii) A complete description of the means used to evaluate the ability of the DASS to detect and respond to an occupant moving toward an air bag, including the method used to move a test device toward an air bag at speeds representative of occupant movement during pre-crash braking or other pre-crash maneuver.</P> <P>(iii) The procedure used for locating the test device inside a test vehicle in preparation for testing, including an accounting of the reference points used to specify such location.</P> <P>(iv) An explanation of the methods used to measure the amount of time needed by a suppression system to suppress an air bag once a suppression triggering event occurs.</P> <P>(v) High speed film or video of at least two tests of the DASS using the proposed test procedure.</P> <P>(vi) Data generated from not less than two tests of the DASS using the proposed test procedure, including an account of the data streams monitored during testing and complete samples of these data streams from not less than two tests performed under the proposed procedure.</P> <P>(d) Analysis concerning the variety of potential DASS designs for which the requested test procedure is appropriate; e.g., whether the test procedures are appropriate only for the specific DASS design contemplated by the petitioner, for all DASS designs incorporating the same technologies, or for all DASS designs.</P> </SECTION> <SECTION> <SECTNO>§ 552.15</SECTNO> <SUBJECT>Processing of petition.</SUBJECT> <P>(a) NHTSA will process any petition that contains the information specified by this subpart. If a petition fails to provide any of the information, NHTSA will not process the petition but will advise the petitioner of the information that shall be provided if the agency is to process the petition. The agency will seek to notify the petitioner of <PRTPAGE P="142"/>any such deficiency within 30 days after receipt of the petition.</P> <P>(b) At any time during the agency's consideration of a petition submitted under this Part, the Administrator may request the petitioner to provide additional supporting information and data and/or provide a demonstration of any of the requested test procedures. The agency will seek to make any such request within 60 days after receipt of the petition. Such demonstration may be at either an agency designated facility or one chosen by the petitioner, provided that, in either case, the facility shall be located in North America. If such a request is not honored to the satisfaction of the agency, the petition will not receive further consideration until the requested information is submitted.</P> <P>(c) The agency will publish in the <E T="04">Federal Register</E> either a Notice of Proposed Rulemaking proposing adoption of the requested test procedures, possibly with changes and/or additions, or a notice denying the petition. The agency will seek to issue either notice within 120 days after receipt of a complete petition. However, this time period may be extended by any time period during which the agency is awaiting additional information it requests from the petitioner or is awaiting a requested demonstration. The agency contemplates a 30 to 60 day comment period for any Notice of Proposed Rulemaking, and will endeavor to issue a final rule within 60 days thereafter.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 553</EAR> <HD SOURCE="HED">PART 553—RULEMAKING PROCEDURES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>553.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>553.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>553.5</SECTNO> <SUBJECT>Regulatory docket.</SUBJECT> <SECTNO>553.7</SECTNO> <SUBJECT>Records.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures for Adoption of Rules</HD> <SECTNO>553.11</SECTNO> <SUBJECT>Initiation of rulemaking.</SUBJECT> <SECTNO>553.13</SECTNO> <SUBJECT>Notice of proposed rulemaking.</SUBJECT> <SECTNO>553.15</SECTNO> <SUBJECT>Contents of notices of proposed rulemaking.</SUBJECT> <SECTNO>553.17</SECTNO> <SUBJECT>Participation of interested persons.</SUBJECT> <SECTNO>553.19</SECTNO> <SUBJECT>Petitions for extension of time to comment.</SUBJECT> <SECTNO>553.21</SECTNO> <SUBJECT>Contents of written comments.</SUBJECT> <SECTNO>553.23</SECTNO> <SUBJECT>Consideration of comments received.</SUBJECT> <SECTNO>553.25</SECTNO> <SUBJECT>Additional rulemaking proceedings.</SUBJECT> <SECTNO>553.27</SECTNO> <SUBJECT>Hearings.</SUBJECT> <SECTNO>553.29</SECTNO> <SUBJECT>Adoption of final rules.</SUBJECT> <SECTNO>553.31-553.33</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>553.35</SECTNO> <SUBJECT>Petitions for reconsideration.</SUBJECT> <SECTNO>553.37</SECTNO> <SUBJECT>Proceedings on petitions for reconsideration.</SUBJECT> <SECTNO>553.39</SECTNO> <SUBJECT>Effect of petition for reconsideration on time for seeking judicial review.</SUBJECT> <APP>Appendix A to Part 553—Statement of Policy: Action on Petitions for Reconsideration</APP> <APP>Appendix B to Part 553—Statement of Policy: Rulemakings Involving the Assessment of the Functional Equivalence of Safety Standards</APP> <APP>Appendix C to Part 553—Statement of Policy: Implementation of the United Nations/Economic Commission for Europe (UN/ECE) 1998 Agreement on Global Technical Regulations—Agency Policy Goals and Public Participation</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>60 FR 62222, Dec. 5, 1995, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 553.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>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, <E T="03">et seq.</E>).</P> </SECTION> <SECTION> <SECTNO>§ 553.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">Administrator</E> means the Administrator of the National Highway Traffic Safety Administration or a person to whom he has delegated final authority in the matter concerned.</P> <P> <E T="03">Rule</E> includes any order, regulation, or Federal motor vehicle safety standard issued under Title 49.</P> <P> <E T="03">Title 49</E> means 49 U.S.C. 30101, <E T="03">et seq.</E> </P> </SECTION> <SECTION> <SECTNO>§ 553.5</SECTNO> <SUBJECT>Regulatory docket.</SUBJECT> <P>(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 <PRTPAGE P="143"/>reconsideration; records of additional rulemaking proceedings under § 553.25; and final rules are maintained in the Docket Room, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 553.7</SECTNO> <SUBJECT>Records.</SUBJECT> <P>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).</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures for Adoption of Rules</HD> <SECTION> <SECTNO>§ 553.11</SECTNO> <SUBJECT>Initiation of rulemaking.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 553.13</SECTNO> <SUBJECT>Notice of proposed rulemaking.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 553.15</SECTNO> <SUBJECT>Contents of notices of proposed rulemaking.</SUBJECT> <P>(a) Each notice of proposed rulemaking is published in the <E T="04">Federal Register,</E> unless all persons subject to it are named and are personally served with a copy of it.</P> <P>(b) Each notice, whether published in the <E T="04">Federal Register</E> or personally served, includes</P> <P>(1) A statement of the time, place, and nature of the proposed rulemaking proceeding;</P> <P>(2) A reference to the authority under which it is issued;</P> <P>(3) A description of the subjects and issues involved or the substance and terms of the proposed rule;</P> <P>(4) A statement of the time within which written comments must be submitted; and</P> <P>(5) A statement of how and to what extent interested persons may participate in the proceedings.</P> </SECTION> <SECTION> <SECTNO>§ 553.17</SECTNO> <SUBJECT>Participation of interested persons.</SUBJECT> <P>(a) Any interested person may participate in rulemaking proceeding by submitting comments in writing containing information, views or arguments.</P> <P>(b) In his discretion, the Administrator may invite any interested person to participate in the rulemaking procedures described in § 553.25.</P> </SECTION> <SECTION> <SECTNO>§ 553.19</SECTNO> <SUBJECT>Petitions for extension of time to comment.</SUBJECT> <P>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 <E T="04">Federal Register.</E> </P> </SECTION> <SECTION> <SECTNO>§ 553.21</SECTNO> <SUBJECT>Contents of written comments.</SUBJECT> <P>All written comments shall be in English. Unless otherwise specified in a <PRTPAGE P="144"/>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.</P> </SECTION> <SECTION> <SECTNO>§ 553.23</SECTNO> <SUBJECT>Consideration of comments received.</SUBJECT> <P>All timely comments are considered before final action is taken on a rulemaking proposal. Late filed comments may be considered as far as practicable.</P> </SECTION> <SECTION> <SECTNO>§ 553.25</SECTNO> <SUBJECT>Additional rulemaking proceedings.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 553.27</SECTNO> <SUBJECT>Hearings.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 553.29</SECTNO> <SUBJECT>Adoption of final rules.</SUBJECT> <P>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 <E T="04">Federal Register,</E> unless all persons subject to it are named and are personally served with a copy of it.</P> </SECTION> <SECTION> <SECTNO>§§ 553.31-553.33</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 553.35</SECTNO> <SUBJECT>Petitions for reconsideration.</SUBJECT> <P>(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 <E T="04">Federal Register.</E> 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.</P> <P>(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.</P> <P>(c) The Administrator does not consider repetitious petitions.</P> <P>(d) Unless the Administrator otherwise provides, the filing of a petition under this section does not stay the effectiveness of the rule.</P> </SECTION> <SECTION> <SECTNO>§ 553.37</SECTNO> <SUBJECT>Proceedings on petitions for reconsideration.</SUBJECT> <P>The Administrator may grant or deny, in whole or in part, any petition <PRTPAGE P="145"/>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.</P> </SECTION> <SECTION> <SECTNO>§ 553.39</SECTNO> <SUBJECT>Effect of petition for reconsideration on time for seeking judicial review.</SUBJECT> <P>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.</P> <CITA>[60 FR 63651, Dec. 12, 1995]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 553, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 553—Statement of Policy: Action on Petitions for Reconsideration</HD> <P>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 <E T="04">Federal Register.</E> </P> </APPENDIX> <APPENDIX> <EAR>Pt. 553, App. B</EAR> <HD SOURCE="HED">Appendix B to Part 553—Statement of Policy: Rulemakings Involving The Assessment of The Functional Equivalence of Safety Standards</HD> <P>(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 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.</P> <P>(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.</P> <P>(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.</P> <GPH DEEP="470" SPAN="2"> <PRTPAGE P="146"/> <GID>ER13MY98.017</GID> </GPH> <PRTPAGE P="147"/> <HD SOURCE="HD1">Explanation of Flowchart</HD> <HD SOURCE="HD2">A. Ultimate Goal</HD> <P>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.</P> <HD SOURCE="HD2">B. Guiding Principles</HD> <HD SOURCE="HD3">Best Practices</HD> <P>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.)</P> <HD SOURCE="HD3">Conservatism</HD> <P>1. NHTSA places priority on preserving the safety benefits of the FMVSSs.</P> <P>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.</P> <HD SOURCE="HD3">Best Available Evidence</HD> <P>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.</P> <P>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.</P> <HD SOURCE="HD3">Sufficiency of Evidence</HD> <P>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.</P> <P>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.</P> <HD SOURCE="HD3">Reciprocity</HD> <P>1. NHTSA will take steps to encourage reciprocity by other countries in the making of functional equivalence determinations.</P> <P>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 <PRTPAGE P="148"/>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.</P> <HD SOURCE="HD2">C. Agency Decisions in Which Flowchart Is Used</HD> <P>This flowchart guides agency decisions in connection with a rulemaking proceeding that involves the issue of relative benefits and functional equivalence.</P> <P>1. <E T="03">Decision whether to grant a rulemaking petition.</E> 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.</P> <P>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.</P> <P>2. <E T="03">Decision whether to issue a notice of proposed rulemaking.</E> 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.</P> <P>This comparison could have a variety of possible outcomes:</P> <P>a. <E T="03">The comparison may indicate that the foreign standard's safety benefits are less than those of the counterpart FMVSS.</E> If NHTSA determines that the foreign standard results in fewer safety benefits than the counterpart FMVSS, it will terminate the rulemaking proceeding.</P> <P>b. <E T="03">The comparison may indicate that the foreign standard's safety benefits are approximately equal to those of the counterpart FMVSS.</E> 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.</P> <P>c. <E T="03">The comparison may indicate that the foreign standard's safety benefits are greater than those of the counterpart FMVSS.</E> 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.</P> <FP>If NHTSA issues an NPRM, it would request comment on the tentative determination and the proposed amendment.</FP> <P>3. <E T="03">Decision whether to issue a final rule.</E> 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.</P> <CITA>[63 FR 26514, May 13, 1998]</CITA> </APPENDIX> <APPENDIX> <PRTPAGE P="149"/> <EAR>Pt. 553, App. C</EAR> <HD SOURCE="HED">Appendix C to Part 553—Statement of Policy: Implementation of the United Nations/Economic Commission for Europe (UN/ECE) 1998 Agreement on Global Technical Regulations—Agency Policy Goals and Public Participation</HD> <HD SOURCE="HD1">I. Agency Policy Goals for the 1998 Global Agreement and International Motor Vehicle Safety Harmonization</HD> <HD SOURCE="HD2">A. Paramount Policy Goal Under the 1998 Global Agreement</HD> <P>Continuously improve safety and seek high levels of safety, particularly by developing and adopting new global technical regulations reflecting consideration of current and anticipated technology and safety problems.</P> <HD SOURCE="HD2">B. Other Policy Goals</HD> <P>1. Adopt and maintain U.S. standards that fully meet the need in the U.S. for vehicle safety.</P> <P>2. Harmonize U.S. standards with those of other countries or regions, particularly by raising U.S. standards at least to the level of the best practices in those other safety standards.</P> <P>3. Enhance regulatory effectiveness through regulatory cooperation with other countries and regions, thereby providing greater safety protection with available government resources.</P> <HD SOURCE="HD1">II. Public Participation and the Establishing of Global Technical Regulations for Motor Vehicle Safety, Theft, and Energy Efficiency</HD> <HD SOURCE="HD2">A. Summary of the Process Under the 1998 Global Agreement for Establishing Global Technical Regulations</HD> <HD SOURCE="HD3">1. Proposal Stage</HD> <P>A Contracting Party submits a proposal for either a harmonized or new global technical regulation to the Executive Committee of the 1998 Global Agreement (<E T="03">i.e.,</E> the Contracting Parties to the Agreement). If appropriate, the Committee then refers the proposal to a working party of experts to develop the technical elements of the regulation.</P> <HD SOURCE="HD3">2. Recommendation Stage</HD> <P>When a working party of experts recommends a harmonized or new global technical regulation, it sends a report and the recommended regulation to the Executive Committee. The Committee then determines whether the recommendations are adequate and considers the establishment of the recommended regulation.</P> <HD SOURCE="HD3">3. Establishment Stage</HD> <P>If the Executive Committee reaches consensus in favor of that recommended global technical regulation, the global technical regulation is established in the Global Registry.</P> <HD SOURCE="HD2">B. Notice of Annual Work Program of WP.29</HD> <P>Each year, NHTSA will publish a notice concerning the motor vehicle safety, theft, and energy efficiency aspects of the annual program of work for the UN/ECE's World Forum for Harmonization of Vehicle Regulations (WP.29). Each notice will include:</P> <P>1. A calendar of scheduled meetings of WP.29 participants and working parties of experts, and meetings of the Executive Committee; and</P> <P>2. A list of the global technical regulations that:</P> <P>a. Have been proposed and referred to a working party of experts, or</P> <P>b. Have been recommended by a working party of experts. </P> <FP>Periodically, the notice will also include a request for public comments on the subjects for which global technical regulations should be established under the 1998 Global Agreement. The agency will publish a subsequent notice identifying the priorities on which NHTSA will focus in the future under the 1998 Global Agreement.</FP> <HD SOURCE="HD2">C. Public Meetings</HD> <P>NHTSA will hold periodic public meetings on its activities under the 1998 Global Agreement. If the extent of recent and anticipated significant developments concerning those activities so warrant, NHTSA will hold a public meeting within the 60-day period before each of the three sessions of WP.29 held annually. At each of these public meetings, NHTSA will:</P> <P>1. Brief the public on the significant developments that occurred at the session of WP.29, the meetings of the working parties of experts and the meetings of the Executive Committee since the previous public meeting;</P> <P>2. Based on the availability of provisional agendas, inform the public about the significant issues to be addressed at upcoming session of WP.29 and meetings of the working parties of experts and any votes scheduled at the next session of the Executive Committee on recommended global technical regulations; and</P> <P>3. Invite public comment and questions concerning those past developments and upcoming issues and votes and the general positions that the U.S. could take regarding those votes, and concerning any other significant developments and upcoming matters relating to pending proposed or recommended global technical regulations. <PRTPAGE P="150"/> </P> <FP>Appropriate agency officials will participate in the public meetings. These public meetings may be held separately from or in conjunction with the agency's quarterly meetings on its vehicle rulemaking and research and development programs. The agency may hold additional public meetings.</FP> <HD SOURCE="HD2">D. Notices Concerning Individual Global Technical Regulations</HD> <HD SOURCE="HD3">1. Notice Requesting Written Comment on Proposed Global Technical Regulations</HD> <P>a. <E T="03">Proposals by the U.S.</E> (See Figure 1.)</P> <P>Before submitting a draft U.S. proposal for a global technical regulation to WP.29, NHTSA will publish a notice requesting public comments on the draft proposed global technical regulation. In the case of a draft proposal for a harmonized global technical regulation, the notice will compare that regulation with any existing, comparable U.S. standard, including the relative impacts of the regulation and standard. In the case of a draft proposal for a new global technical regulation, the notice will generally discuss the problem addressed by the proposal, the rationale for the proposed approach for addressing the problem, and the impacts of the proposal. NHTSA will consider the public comments and, as it deems appropriate, revise the proposal and any of its supporting documentation and then submit the proposal to WP.29.</P> <P>b. <E T="03">Proposals by a Contracting Party other than the U.S.</E> (See Figure 2.)</P> <P>After a proposal by a Contracting Party other than the U.S. has been referred to a working party of experts and has been made available in English by WP.29, NHTSA will make the draft proposal available in the DOT docket (<E T="03">http://dms.dot.gov/</E>). The agency will then publish a notice requesting public comment on the draft proposal and will consider the comments in developing a U.S. position on the proposal.</P> <HD SOURCE="HD3">2. Notice Requesting Written Comment on Recommended Global Technical Regulations</HD> <P>If a working party of experts recommends a global technical regulation and sends a report and the recommended regulation to the Executive Committee, NHTSA will make an English language version of the report and the regulation available in the DOT docket (<E T="03">http://dms.dot.gov/</E>) after they are made available by WP.29. The agency will publish a notice requesting public comment on the report and regulation. Before participating in a vote of the Executive Committee regarding the establishment of the regulation, the agency will consider the comments and develop a U.S. position on the recommended technical regulation.</P> <HD SOURCE="HD3">3. Notice Requesting Written Comment on Established Global Technical Regulations</HD> <P>If a global technical regulation is established in the Global Registry by a consensus vote of the Executive Committee, and if the U.S. voted for establishment, NHTSA will publish a notice requesting public comment on adopting the regulation as a U.S. standard. Any decision by NHTSA whether to issue a final rule adopting the regulation or to issue a notice terminating consideration of that regulation will be made in accordance with applicable U.S. law and only after careful consideration and analysis of public comments.</P> <HD SOURCE="HD2">E. Availability of Documents</HD> <P>As we obtain English versions of key documents relating to motor vehicle safety, theft or energy conservation that are generated under the 1998 Agreement (e.g., proposals referred to a working party of experts, and reports and recommendations issued by a working party), we will place them in the internet-accessible DOT docket (<E T="03">http://dms.dot.gov/</E>). Within the limits of available resources, we will also place the documents on an international activities page that will be included in our Website (<E T="03">http://www.nhtsa.dot.gov/cars/rules/international/index.html</E>).</P> <GPH DEEP="470" SPAN="2"> <PRTPAGE P="151"/> <GID>ER23AU00.000</GID> </GPH> <GPH DEEP="470" SPAN="2"> <PRTPAGE P="152"/> <GID>ER23AU00.001</GID> </GPH> <CITA>[65 FR 51245, Aug. 23, 2000]</CITA> </APPENDIX> </SUBPART> </PART> <PART> <PRTPAGE P="153"/> <EAR>Pt. 554</EAR> <HD SOURCE="HED">PART 554—STANDARDS ENFORCEMENT AND DEFECTS INVESTIGATION</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>554.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>554.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>554.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>554.4</SECTNO> <SUBJECT>Office of Vehicle Safety Compliance.</SUBJECT> <SECTNO>554.5</SECTNO> <SUBJECT>Office of Defects Investigation.</SUBJECT> <SECTNO>554.6</SECTNO> <SUBJECT>Opening an investigation.</SUBJECT> <SECTNO>554.7</SECTNO> <SUBJECT>Investigation priorities.</SUBJECT> <SECTNO>554.8</SECTNO> <SUBJECT>Monthly reports.</SUBJECT> <SECTNO>554.9</SECTNO> <SUBJECT>Availability of files.</SUBJECT> <SECTNO>554.10</SECTNO> <SUBJECT>Initial determinations and public meetings.</SUBJECT> <SECTNO>554.11</SECTNO> <SUBJECT>Final decisions.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 30102-103, 30111-112, 30117-121, 30162, 30165-67; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 10797, Feb. 19, 1980, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 554.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 554.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> <CITA>[60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 554.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>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.</P> <CITA>[60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 554.4</SECTNO> <SUBJECT>Office of Vehicle Safety Compliance.</SUBJECT> <P>The Office of Vehicle Safety Compliance, investigates compliance with Federal motor vehicle safety standards and associated regulations, and to this end may:</P> <P>(a) Verify that manufacturers certify compliance with all applicable safety standards;</P> <P>(b) Collect field reports from all sources;</P> <P>(c) Inspect manufacturers' certification test data and other supporting evidence, including dealer communications;</P> <P>(d) Inspect vehicles and equipment already in use or new vehicles and equipment at any stage of the manufacturing, distribution and sales chain;</P> <P>(e) Conduct selective compliance tests; and</P> <P>(f) Utilize other means necessary to conduct investigations.</P> </SECTION> <SECTION> <SECTNO>§ 554.5</SECTNO> <SUBJECT>Office of Defects Investigation.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 554.6</SECTNO> <SUBJECT>Opening an investigation.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 554.7</SECTNO> <SUBJECT>Investigation priorities.</SUBJECT> <P>(a) Compliance investigation priorities are reviewed annually and are set according to the following criteria:</P> <P>(1) Prior compliance test data;</P> <P>(2) Accident data;</P> <P>(3) Engineering analysis of vehicle and equipment designs;</P> <P>(4) Consumer complaints; and</P> <P>(5) Market share.</P> <P>(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.</P> </SECTION> <SECTION> <PRTPAGE P="154"/> <SECTNO>§ 554.8</SECTNO> <SUBJECT>Monthly reports.</SUBJECT> <P>(a) <E T="03">Compliance.</E> A monthly compliance report is issued which lists investigations opened, closed, and pending during that month, identifies compliance test reports accepted, and indicates how individual reports may be obtained.</P> <P>(b) <E T="03">Defects.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 554.9</SECTNO> <SUBJECT>Availability of files.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 554.10</SECTNO> <SUBJECT>Initial determinations and public meetings.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) Public notice of an initial decision is made in a <E T="04">Federal Register</E> notice that—</P> <P>(1) Identifies the motor vehicle or item of equipment and its manufacturer;</P> <P>(2) Summarizes the information on which the decision is based.</P> <P>(3) Gives the location of all information available for public examination; and</P> <P>(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.</P> <P>(d) A transcript of the public meeting is kept and exhibits may be offered. There is no cross-examination of witnesses.</P> <CITA>[45 FR 10797, Feb. 19, 1980, as amended at 60 FR 17267, Apr. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 554.11</SECTNO> <SUBJECT>Final decisions.</SUBJECT> <P>(a) The Administrator bases his final decision on the completed investigative file and on information, views, and arguments submitted at the public meeting.</P> <P>(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.</P> <P>(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 <E T="04">Federal Register</E>.</P> <P>(d) A statement of the Administrator's final decision and the reasons for it appears in each completed public file.</P> <CITA>[60 FR 17268, Apr. 5, 1995]</CITA> </SECTION> </PART> <PART> <PRTPAGE P="155"/> <EAR>Pt. 555</EAR> <HD SOURCE="HED">PART 555—TEMPORARY EXEMPTION FROM MOTOR VEHICLE SAFETY AND BUMPER STANDARDS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>555.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>555.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>555.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>555.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>555.5</SECTNO> <SUBJECT>Application for exemption.</SUBJECT> <SECTNO>555.6</SECTNO> <SUBJECT>Basis for application.</SUBJECT> <SECTNO>555.7</SECTNO> <SUBJECT>Processing of applications.</SUBJECT> <SECTNO>555.8</SECTNO> <SUBJECT>Termination of temporary exemptions.</SUBJECT> <SECTNO>555.9</SECTNO> <SUBJECT>Temporary exemption labels.</SUBJECT> <SECTNO>555.10</SECTNO> <SUBJECT>Availability for public inspection.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Vehicles Built In Two or More Stages and Altered Vehicles</HD> <SECTNO>555.11</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>555.12</SECTNO> <SUBJECT>Petition for exemption.</SUBJECT> <SECTNO>555.13</SECTNO> <SUBJECT>Basis for petition.</SUBJECT> <SECTNO>555.14</SECTNO> <SUBJECT>Processing of petitions.</SUBJECT> <SECTNO>555.15</SECTNO> <SUBJECT>Time period for exemptions.</SUBJECT> <SECTNO>555.16</SECTNO> <SUBJECT>Renewal of exemptions.</SUBJECT> <SECTNO>555.17</SECTNO> <SUBJECT>Termination of temporary exemptions.</SUBJECT> <SECTNO>555.18</SECTNO> <SUBJECT>Temporary exemption labels.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 30113, 32502, Pub. L. 105-277; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>38 FR 2694, Jan. 29, 1973, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 555.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> <CITA>[64 FR 2861, Jan. 19, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[38 FR 2694, Jan. 29, 1973, as amended at 64 FR 2861, Jan. 19, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This part applies to manufacturers of motor vehicles and passenger motor vehicles.</P> <CITA>[64 FR 2861, Jan. 19, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">Administrator</E> means the National Highway Traffic Safety Administrator or his delegate.</P> <P> <E T="03">Passenger motor vehicle</E> 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.</P> <P> <E T="03">United States</E> means the several States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, the Virgin Islands, the Canal Zone, and American Samoa.</P> <CITA>[38 FR 2694, Jan. 29, 1973, as amended at 64 FR 2861, Jan. 19, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.5</SECTNO> <SUBJECT>Application for exemption.</SUBJECT> <P>(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.<PRTPAGE P="156"/> </P> <P>(b) Each application filed under this part for an exemption or its renewal must—</P> <P>(1) Be written in the English language;</P> <P>(2) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, Washington, DC 20590;</P> <P>(3) State the full name and address of the applicant, 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;</P> <P>(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;</P> <P>(5) Set forth the basis for the application and the information required by § 555.6(a), (b), (c), or (d) as appropriate.</P> <P>(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.</P> <P>(i) The information and data which petitioner requests be withheld from public disclosure must be submitted in accordance with § 512.4 of this chapter.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[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; 70 FR 7429, Feb. 14, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.6</SECTNO> <SUBJECT>Basis for application.</SUBJECT> <P>(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:</P> <P>(1) Engineering and financial information demonstrating in detail how compliance or failure to obtain an exemption would cause substantial economic hardship, including—</P> <P>(i) A list or description of each item of motor vehicle equipment that would have to be modified in order to achieve compliance;</P> <P>(ii) The itemized estimated cost to modify each such item of motor vehicle equipment if compliance were to be achieved—</P> <P>(A) As soon as possible,</P> <P>(B) At the end of a 1-year exemption period (if the petition is for 1 year or more),</P> <P>(C) At the end of a 2-year exemption period (if the petition is for 2 years or more),</P> <P>(D) At the end of a 3-year exemption period (if the petition is for 3 years),</P> <P>(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;</P> <P>(iv) Corporate balance sheets and income statements for the three fiscal years immediately preceding the filing of the application;</P> <P>(v) Projected balance sheet and income statement for the fiscal year following a denial of the application; and</P> <P>(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.</P> <P>(2) A description of its efforts to comply with the standards, including—</P> <P>(i) A chronological analysis of such efforts showing its relationship to the rule making history of the standard from which exemption is sought;</P> <P>(ii) A discussion of alternate means of compliance considered and the reasons for rejection of each;</P> <P>(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 <PRTPAGE P="157"/>tried in good faith to comply with the standard;</P> <P>(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</P> <P>(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 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.)</P> <P>(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:</P> <P>(1) A description of the safety or impact protection features, and research, development, and testing documentation establishing the innovational nature of such features.</P> <P>(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—</P> <P>(i) A detailed description of how a vehicle equipped with the safety or impact protection feature differs from one that complies with the standard;</P> <P>(ii) If applicant is presently manufacturing a vehicle conforming to the standard, the results of tests conducted to substantiate certification to the standard; and</P> <P>(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.</P> <P>(3) Substantiation that a temporary exemption would facilitate the development or field evaluation of the vehicle.</P> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(1) Substantiation that the vehicle is a low-emission vehicle as defined by 49 U.S.C. 30113(a).</P> <P>(2) Research, development, and testing documentation establishing that a temporary exemption would not unreasonably degrade the safety or impact protection of the vehicle, including—</P> <P>(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;</P> <P>(ii) If the applicant is presently manufacturing a vehicle conforming to the standard, the results of tests conducted to substantiate certification to the standard;</P> <P>(iii) The results of any tests conducted on the vehicle that demonstrate its failure to meet the standard, expressed as comparative performance levels; and</P> <P>(iv) Reasons why the failure to meet the standard does not unreasonably degrade the safety or impact protection of the vehicle.</P> <P>(3) Substantiation that a temporary exemption would facilitate the development or field evaluation of the vehicle.</P> <P>(4) A statement whether, at the end of the exemption period, the manufacturer intends to conform with the standard.</P> <P>(5) A statement that not more than 2,500 exempted vehicles will be sold in <PRTPAGE P="158"/>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.</P> <P>(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 equal to that of a nonexempted vehicle, the applicant shall provide—</P> <P>(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—</P> <P>(i) A detailed description of how the motor vehicle, if exempted, differs from one that conforms to the standard;</P> <P>(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;</P> <P>(iii) The results of any tests conducted on the vehicle demonstrating that it fails to meet the standard, expressed as comparative performance levels;</P> <P>(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.</P> <P>(v) Other arguments that the overall level of safety or impact protection of the vehicle is at least equal to that of nonexempted vehicles.</P> <P>(2) Substantiation that compliance would prevent the sale of the vehicle.</P> <P>(3) A statement whether, at the end of the exemption period, the manufacturer intends to comply with the standard.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.7</SECTNO> <SUBJECT>Processing of applications.</SUBJECT> <P>(a) The NHTSA publishes in the <E T="04">Federal Register,</E> 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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <E T="04">Federal Register</E> a notice of the denial and the reasons for it.</P> <P>(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 <E T="04">Federal Register</E> a notice of the grant and the reasons for it.</P> <P>(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 <E T="04">Federal Register</E> and exempts vehicles manufactured on and after the effective date.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <PRTPAGE P="159"/> <SECTNO>§ 555.8</SECTNO> <SUBJECT>Termination of temporary exemptions.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) The Administrator terminates or modifies a temporary exemption if he determines that—</P> <P>(1) The temporary exemption is no longer consistent with the public interest and the objectives of the Act; or</P> <P>(2) The temporary exemption was granted on the basis of false, fraudulent, or misleading representations or information.</P> <P>(e) If an application for renewal of a temporary exemption that meets the requirements of § 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.</P> <P>(f) The Administrator publishes in the <E T="04">Federal Register</E> a notice of:</P> <P>(1) An application for termination or modification of an exemption and the action taken in response to it; and</P> <P>(2) Any termination or modification of an exemption pursuant to the Administrator's own motion.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.9</SECTNO> <SUBJECT>Temporary exemption labels.</SUBJECT> <P>A manufacturer of an exempted vehicle shall—</P> <P>(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;</P> <P>(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.</P> <P>(c) Meet all applicable requirements of part 567 of this chapter, except that—</P> <P>(1) The statement required by § 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. ________.”</P> <P>(2) Instead of the statement required by § 567.5(c)(7)(iii), the following statement shall appear: </P> <EXTRACT> <P>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. ______.</P> </EXTRACT> <SECAUTH>(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)</SECAUTH> <CITA>[38 FR 2694, Jan. 29, 1973, as amended at 50 FR 10772, Mar. 18, 1985; 60 FR 1750, Jan. 5, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.10</SECTNO> <SUBJECT>Availability for public inspection.</SUBJECT> <P>(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).<PRTPAGE P="160"/> </P> <P>(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.).</P> <CITA>[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]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Vehicles Built in Two or More Stages and Altered Vehicles</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>70 FR 7429, Feb. 14, 2005, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 555.11</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This subpart applies to alterers and manufacturers of motor vehicles built in two or more stages to which one or more standards are applicable. No manufacturer or alterer that produces or alters a total exceeding 10,000 motor vehicles annually shall be eligible for a temporary exemption under this subpart. Any exemption granted under this subpart shall be limited, per manufacturer, to 2,500 vehicles to be sold in the United States in any 12 consecutive month period. Incomplete vehicle manufacturers and intermediate manufacturers that do not intend to certify the vehicles in accordance with 49 CFR 567.5(f) or (g), and instead furnish Incomplete Vehicle Documents to final-stage manufacturers in accordance with 49 CFR 568.4 or 49 CFR 568.5, are not eligible for temporary exemptions under this subpart.</P> <CITA>[71 FR 28196, May 15, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.12</SECTNO> <SUBJECT>Petition for exemption.</SUBJECT> <P>An alterer; an incomplete vehicle manufacturer intending to certify the vehicle in accordance with 49 CFR 567.5(f); an intermediate manufacturer intending to certify the vehicle in accordance with 49 CFR 567.5(g); a final-stage manufacturer; or an industry trade association representing a group of alterers, incomplete vehicle manufacturers, intermediate manufacturers and/or final-stage manufacturers may seek, as to any vehicle configuration altered and/or built in two or more stages, a temporary exemption or a renewal of a temporary exemption from any performance requirement for which a Federal motor vehicle safety standard specifies the use of a dynamic test procedure to determine compliance. Each petition for an exemption under this section must be submitted to NHTSA and must:</P> <P>(a) Be written in the English language;</P> <P>(b) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, 400 Seventh St., SW., Washington, DC 20590;</P> <P>(c) State the full name and address of the applicant, the nature of its organization (e.g., individual, partnership, corporation, or trade association), the name of the State or country under the laws of which it is organized, and the name of each alterer, incomplete vehicle manufacturer, intermediate manufacturer and/or final-stage manufacturer for which the exemption is sought;</P> <P>(d) State the number, title, paragraph designation, and the text or substance of the portion(s) of the standard(s) from which the exemption is sought;</P> <P>(e) Describe by type and use each vehicle configuration (or range of vehicle configurations) for which the exemption is sought;</P> <P>(f) State the estimated number of units of each vehicle configuration to be produced annually by each of the manufacturer(s) for whom the exemption is sought;</P> <P>(g) Specify any part of the information and data submitted that the petitioner requests be withheld from public disclosure in accordance with part 512 of this chapter, as provided by § 555.5(b)(6).</P> <P>(1) The information and data which petitioner requests be withheld from public disclosure must be submitted in accordance with § 512.4 of this chapter.</P> <P>(2) 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.</P> <CITA>[71 FR 28196, May 15, 2006]</CITA> </SECTION> <SECTION> <PRTPAGE P="161"/> <SECTNO>§ 555.13</SECTNO> <SUBJECT>Basis for petition.</SUBJECT> <P>The petition shall:</P> <P>(a) Discuss any factors (e.g., demand for the vehicle configuration, loss of market, difficulty in procuring goods and services necessary to conduct dynamic tests) that the applicant desires NHTSA to consider in deciding whether to grant the application based on economic hardship.</P> <P>(b) Explain the grounds on which the applicant asserts that the application of the dynamic test requirements of the standard(s) in question to the vehicles covered by the application would cause substantial economic hardship to each of the manufacturers on whose behalf the application is filed, providing a complete financial statement for each manufacturer and a complete description of each manufacturer's good faith efforts to comply with the standards, including a discussion of:</P> <P>(1) The extent that no Type (1) or Type (2) statement with respect to such standard is available in the incomplete vehicle document furnished, per part 568 of this chapter, by the incomplete vehicle manufacturer or by a prior intermediate-stage manufacturer or why, if one is available, it cannot be followed;</P> <P>(2) A description of the incomplete vehicle to be used to manufacture the vehicle(s) subject to the petition. This description must identify the manufacturer of the incomplete vehicle, state the incomplete vehicle's GVWR, and provide other available specifications;</P> <P>(3) The availability of alternative incomplete vehicles, including incomplete vehicles of different size, GVWR, and number of axles, from the same and other incomplete vehicle manufacturers, that could allow the petitioner to rely on Incomplete Vehicle Documents when certifying the completed vehicle, instead of petitioning under this subpart;</P> <P>(4) The existence, or lack thereof, of generic or cooperative testing that would provide a basis for demonstrating compliance with the standard(s); and</P> <P>(c) Explain why the requested temporary exemption would not unreasonably degrade safety.</P> <CITA>[71 FR 28196, May 15, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 555.14</SECTNO> <SUBJECT>Processing of petitions.</SUBJECT> <P>The Administrator shall notify the petitioner whether the petition is complete within 30 days of receipt. The Administrator shall attempt to approve or deny any complete petition submitted under this subpart within 120 days after the agency acknowledges that the application is complete. Upon good cause shown, the Administrator may review a petition on an expedited basis.</P> </SECTION> <SECTION> <SECTNO>§ 555.15</SECTNO> <SUBJECT>Time period for exemptions.</SUBJECT> <P>Subject to § 555.16, each temporary exemption granted by the Administrator under this subpart shall be in effect for a period of three years from the effective date. The Administrator shall identify each exemption by a unique number.</P> </SECTION> <SECTION> <SECTNO>§ 555.16</SECTNO> <SUBJECT>Renewal of exemptions.</SUBJECT> <P>An alterer, intermediate or final-stage manufacturer or a trade association representing a group of alterers or, intermediate and/or final-stage manufacturers may apply for a renewal of a temporary exemption. Any such renewal petition shall be filed at least 60 days prior to the termination date of the existing exemption and shall include all the information required in an initial petition. If a petition for renewal of a temporary exemption that meets the requirements of this subpart 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 petition for renewal.</P> </SECTION> <SECTION> <SECTNO>§ 555.17</SECTNO> <SUBJECT>Termination of temporary exemptions.</SUBJECT> <P>The Administrator may terminate or modify a temporary exemption if (s)he determines that:</P> <P>(a) The temporary exemption was granted on the basis of false, fraudulent, or misleading representations or information; or</P> <P>(b) The temporary exemption is no longer consistent with the public interest and the objectives of the Act.</P> </SECTION> <SECTION> <SECTNO>§ 555.18</SECTNO> <SUBJECT>Temporary exemption labels.</SUBJECT> <P>An alterer or final-stage manufacturer of a vehicle that is covered by <PRTPAGE P="162"/>one or more exemptions issued under this sub-part shall affix a label that meets meet all the requirements of 49 CFR 555.9.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 556</EAR> <HD SOURCE="HED">PART 556—EXEMPTION FOR INCONSEQUENTIAL DEFECT OR NONCOMPLIANCE</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>556.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>556.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>556.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>556.4</SECTNO> <SUBJECT>Petition for exemption.</SUBJECT> <SECTNO>556.5</SECTNO> <SUBJECT>Processing of petition.</SUBJECT> <SECTNO>556.6</SECTNO> <SUBJECT>Meetings.</SUBJECT> <SECTNO>556.7</SECTNO> <SUBJECT>Disposition of petition.</SUBJECT> <SECTNO>556.8</SECTNO> <SUBJECT>Rescission of decision.</SUBJECT> <SECTNO>556.9</SECTNO> <SUBJECT>Public inspection of relevant information.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Sec. 157, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1417); delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>42 FR 7145, Feb. 7, 1977, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 556.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 556.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 556.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This part applies to manufacturers of motor vehicles and replacement equipment.</P> </SECTION> <SECTION> <SECTNO>§ 556.4</SECTNO> <SUBJECT>Petition for exemption.</SUBJECT> <P>(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.</P> <P>(b) Each petition submitted under this part shall—</P> <P>(1) Be written in the English language;</P> <P>(2) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, Washington, DC 20590;</P> <P>(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.</P> <P>(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</P> <P>(5) Set forth all data, views, and arguments of the petitioner supporting his petition.</P> <P>(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.</P> <P>(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 <PRTPAGE P="163"/>constitute a concession by the manufacturer of, nor will it be considered relevant to, the existence of a defect related to motor vehicle safety or a nonconformity.</P> <CITA>[42 FR 7145, Feb. 7, 1977, as amended at 56 FR 66376, Dec. 23, 1991]</CITA> </SECTION> <SECTION> <SECTNO>§ 556.5</SECTNO> <SUBJECT>Processing of petition.</SUBJECT> <P>(a) The NHTSA publishes a notice of each petition in the <E T="04">Federal Register.</E> Such notice includes:</P> <P>(1) A brief summary of the petition;</P> <P>(2) A statement of the availability of the petition and other relevant information for public inspection; and</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 556.6</SECTNO> <SUBJECT>Meetings.</SUBJECT> <P>(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 <E T="04">Federal Register</E> notice is inconsequential as it relates to motor vehicle safety.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 556.7</SECTNO> <SUBJECT>Disposition of petition.</SUBJECT> <P>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 <E T="04">Federal Register.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 556.8</SECTNO> <SUBJECT>Rescission of decision.</SUBJECT> <P>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 §§ 556.5 and 556.7.</P> </SECTION> <SECTION> <SECTNO>§ 556.9</SECTNO> <SUBJECT>Public inspection of relevant information.</SUBJECT> <P>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 <PRTPAGE P="164"/>of the Secretary of Transportation (49 CFR part 7).</P> <SECAUTH>(Authority: Sec. 104, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1417))</SECAUTH> <CITA>[42 FR 7145, Feb. 7, 1977, as amended at 48 FR 44081, Sept. 27, 1983]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 557</EAR> <HD SOURCE="HED">PART 557—PETITIONS FOR HEARINGS ON NOTIFICATION AND REMEDY OF DEFECTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>557.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>557.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>557.3</SECTNO> <SUBJECT>General.</SUBJECT> <SECTNO>557.4</SECTNO> <SUBJECT>Requirements for petition.</SUBJECT> <SECTNO>557.5</SECTNO> <SUBJECT>Improperly filed petitions.</SUBJECT> <SECTNO>557.6</SECTNO> <SUBJECT>Determination whether to hold a public hearing.</SUBJECT> <SECTNO>557.7</SECTNO> <SUBJECT>Public hearing.</SUBJECT> <SECTNO>557.8</SECTNO> <SUBJECT>Determination of manufacturer's obligation.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>41 FR 56812, Dec. 30, 1976, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 557.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 557.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 557.3</SECTNO> <SUBJECT>General.</SUBJECT> <P>Any interested person may file with the Administrator a petition requesting him to hold a hearing on—</P> <P>(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;</P> <P>(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;</P> <P>(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</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 557.4</SECTNO> <SUBJECT>Requirements for petition.</SUBJECT> <P>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—</P> <P>(a) Be written in the English or Spanish language;</P> <P>(b) Have, preceding its text, the word “Petition”;</P> <P>(c) Contain a brief statement concerning the alleged failure of a manufacturer to meet reasonably his obligation to notify or remedy;</P> <P>(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;</P> <P>(e) Specifically request a hearing.</P> </SECTION> <SECTION> <SECTNO>§ 557.5</SECTNO> <SUBJECT>Improperly filed petitions.</SUBJECT> <P>(a) A petition that is not addressed as specified in § 557.4, but that meets the other requirements of that section, will <PRTPAGE P="165"/>be treated as a properly filed petition, received as of the time it is discovered and identified.</P> <P>(b) A document that fails to conform to one or more of the requirements of § 557.4(a) (1) through (5) will not be treated as a petition under this part. 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.</P> </SECTION> <SECTION> <SECTNO>§ 557.6</SECTNO> <SUBJECT>Determination whether to hold a public hearing.</SUBJECT> <P>(a) The Administrator considers the following factors in determining whether to hold a hearing:</P> <P>(1) The nature of the complaint;</P> <P>(2) The seriousness of the alleged breach of obligation to remedy;</P> <P>(3) The existence of similar complaints;</P> <P>(4) The ability of the NHTSA to resolve the problem without holding a hearing; and</P> <P>(5) Other pertinent matters.</P> <P>(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.</P> <P>(c) If a petition submitted under this part is denied, a <E T="04">Federal Register</E> notice of the denial is issued within 45 days of the denial, setting forth the reasons for it.</P> <P>(d) The Administrator may conduct a hearing under this part on his own motion.</P> </SECTION> <SECTION> <SECTNO>§ 557.7</SECTNO> <SUBJECT>Public hearing.</SUBJECT> <P>If the Administrator decides that a public hearing under this part is necessary, he issues a notice of public hearing in the <E T="04">Federal Register,</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 557.8</SECTNO> <SUBJECT>Determination of manufacturer's obligation.</SUBJECT> <P>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.</P> </SECTION> </PART> <PART> <EAR>Pt. 563</EAR> <HD SOURCE="HED">PART 563—EVENT DATA RECORDERS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>563.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>563.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>563.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>563.4</SECTNO> <SUBJECT>Incorporation by reference.</SUBJECT> <SECTNO>563.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>563.6</SECTNO> <SUBJECT>Requirements for vehicles.</SUBJECT> <SECTNO>563.7</SECTNO> <SUBJECT>Data elements.</SUBJECT> <SECTNO>563.8</SECTNO> <SUBJECT>Data format.</SUBJECT> <SECTNO>563.9</SECTNO> <SUBJECT>Data capture.</SUBJECT> <SECTNO>563.10</SECTNO> <SUBJECT>Crash test performance and survivability.</SUBJECT> <SECTNO>563.11</SECTNO> <SUBJECT>Information in owner's manual.</SUBJECT> <SECTNO>563.12</SECTNO> <SUBJECT>Data retrieval tools.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 30101, 30111, 30115, 30117, 30166, 30168; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>71 FR 51043, Aug. 28, 2006, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 563.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>This part specifies uniform, national requirements for vehicles equipped with event data recorders (EDRs) concerning the collection, storage, and retrievability of onboard motor vehicle crash event data. It also specifies requirements for vehicle manufacturers <PRTPAGE P="166"/>to make tools and/or methods commercially available so that crash investigators and researchers are able to retrieve data from EDRs.</P> </SECTION> <SECTION> <SECTNO>§ 563.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>The purpose of this part is to help ensure that EDRs record, in a readily usable manner, data valuable for effective crash investigations and for analysis of safety equipment performance (e.g., advanced restraint systems). These data will help provide a better understanding of the circumstances in which crashes and injuries occur and will lead to safer vehicle designs.</P> </SECTION> <SECTION> <SECTNO>§ 563.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This part applies to the following vehicles manufactured on or after September 1, 2010, if they are equipped with an event data recorder: passenger cars, multipurpose passenger vehicles, trucks, and buses with a GVWR of 3,855 kg (8,500 pounds) or less and an unloaded vehicle weight of 2,495 kg (5,500 pounds) or less, except for walk-in van-type trucks or vehicles designed to be sold exclusively to the U.S. Postal Service. This part also applies to manufacturers of those vehicles. However, vehicles manufactured before September 1, 2011 that are manufactured in two or more stages or that are altered (within the meaning of 49 CFR 567.7) after having been previously certified to the Federal motor vehicle safety standards in accordance with Part 567 of this chapter need not meet the requirements of this part.</P> </SECTION> <SECTION> <SECTNO>§ 563.4</SECTNO> <SUBJECT>Incorporation by reference.</SUBJECT> <P>The materials listed in this section are incorporated by reference in the corresponding sections as noted. These incorporations by reference were approved by the Director of the Federal Register in accordance with 5 U.S.C. 522(a) and 1 CFR part 51. Copies of these materials may be inspected at the National Highway Traffic Safety Administration, Technical Information Services, 400 Seventh Street, SW., Plaza Level, Room 403, Washington, DC 20590, or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 741-6030, or go to: <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html</E>.</P> <P>(a) The following materials are available for purchase from the Society of Automotive Engineers, Inc., 400 Commonwealth Drive, Warrendale, PA 15096-0001.</P> <P>(1) Society of Automotive Engineers (SAE) Recommended Practice J211-1 rev. March 1995, “Instrumentation For Impact Test—Part 1—Electronic Instrumentation” SAE J211-1 (rev. March 1995) is incorporated by reference in Table 3 of § 563.8;</P> <P>(2) [Reserved]</P> <P>(b) [Reserved]</P> </SECTION> <SECTION> <SECTNO>§ 563.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Motor vehicle safety standard definitions.</E> Unless otherwise indicated, all terms that are used in this part and are defined in the Motor Vehicle Safety Standards, part 571 of this subchapter, are used as defined therein.</P> <P>(b) <E T="03">Other definitions</E>.</P> <P> <E T="03">ABS activity</E> means the anti-lock brake system (ABS) is actively controlling the vehicle's brakes.</P> <P> <E T="03">Air bag warning lamp status</E> means whether the warning lamp required by FMVSS No. 208 is on or off.</P> <P> <E T="03">Capture</E> means the process of buffering EDR data in a temporary, volatile storage medium where it is continuously updated at regular time intervals.</P> <P> <E T="03">Delta-V, lateral</E> means the cumulative change in velocity, as recorded by the EDR of the vehicle, along the lateral axis, starting from crash time zero and ending at 0.25 seconds, and recorded every 0.01 seconds.</P> <P> <E T="03">Delta-V, longitudinal</E> means the cumulative change in velocity, as recorded by the EDR of the vehicle, along the longitudinal axis, starting from crash time zero and ending at 0.25 seconds, recorded every 0.01 seconds.</P> <P> <E T="03">Deployment time, frontal air bag</E> means (for both driver and right front passenger) the elapsed time from crash time zero to the deployment command or for multi-staged air bag systems, the deployment command for the first stage.</P> <P> <E T="03">Disposal</E> means the deployment command of the second (or higher, if present) stage of a frontal air bag for <PRTPAGE P="167"/>the purpose of disposing the propellant from the air bag device.</P> <P> <E T="03">End of event time</E> means the moment at which the cumulative delta-V within a 20 ms time period becomes 0.8 km/h (0.5 mph) or less.</P> <P> <E T="03">Engine RPM</E> means, for vehicles powered by internal combustion engines, the number of revolutions per minute of the main crankshaft of the vehicle's engine, and for vehicles not powered by internal combustion engines, the number of revolutions per minute of the motor shaft at the point at which it enters the vehicle transmission gearbox.</P> <P> <E T="03">Engine throttle, percent full</E> means the driver requested acceleration as measured by the throttle position sensor on the accelerator pedal compared to the fully depressed position.</P> <P> <E T="03">Event</E> means a crash or other physical occurrence that causes the trigger threshold to be met or exceeded.</P> <P> <E T="03">Event data recorder</E> (EDR) means a device or function in a vehicle that records the vehicle's dynamic, time-series data during the time period just prior to a crash event (e.g., vehicle speed vs. time) or during a crash event (e.g., delta-V vs. time), intended for retrieval after the crash event. For the purposes of this definition, the event data do not include audio and video data.</P> <P> <E T="03">Frontal air bag</E> means an inflatable restraint system that requires no action by vehicle occupants and is used to meet the applicable frontal crash protection requirements of FMVSS No. 208.</P> <P> <E T="03">Ignition cycle,</E> crash means the number (count) of power cycles applied to the recording device at the time when the crash event occurred since the first use of the EDR.</P> <P> <E T="03">Ignition cycle download</E> means the number (count) of power cycles applied to the recording device at the time when the data was downloaded since the first use of the EDR.</P> <P> <E T="03">Lateral acceleration</E> means the component of the vector acceleration of a point in the vehicle in the y-direction. The lateral acceleration is positive from left to right, from the perspective of the driver when seated in the vehicle facing the direction of forward vehicle travel.</P> <P> <E T="03">Longitudinal acceleration</E> means the component of the vector acceleration of a point in the vehicle in the x-direction. The longitudinal acceleration is positive in the direction of forward vehicle travel.</P> <P> <E T="03">Maximum delta-V, lateral</E> means the maximum value of the cumulative change in velocity, as recorded by the EDR, of the vehicle along the lateral axis, starting from crash time zero and ending at 0.3 seconds.</P> <P> <E T="03">Maximum delta-V, longitudinal</E> means the maximum value of the cumulative change in velocity, as recorded by the EDR, of the vehicle along the longitudinal axis, starting from crash time zero and ending at 0.3 seconds.</P> <P> <E T="03">Multi-event crash</E> means the occurrence of 2 events, the first and last of which begin not more than 5 seconds apart.</P> <P> <E T="03">Non-volatile memory</E> means the memory reserved for maintaining recorded EDR data in a semi-permanent fashion. Data recorded in non-volatile memory is retained after a loss of power and can be retrieved with EDR data extraction tools and methods.</P> <P> <E T="03">Normal acceleration</E> means the component of the vector acceleration of a point in the vehicle in the z-direction. The normal acceleration is positive in a downward direction and is zero when the accelerometer is at rest.</P> <P> <E T="03">Occupant position classification</E> means the classification indicating that the seating posture of a front outboard occupant (both driver and right front passenger) is determined as being out-of-position.</P> <P> <E T="03">Occupant size classification</E> means, for right front passenger, the classification of an occupant as an adult and not a child, and for driver, the classification of the driver as not being of small stature.</P> <P> <E T="03">Pretensioner</E> means a device that is activated by a vehicle's crash sensing system and removes slack from a vehicle safety belt system.</P> <P> <E T="03">Record</E> means the process of saving captured EDR data into a non-volatile device for subsequent retrieval.</P> <P> <E T="03">Safety belt status</E> means the feedback from the safety system that is used to determine than an occupant's safety belt (for both driver and right front passenger) is fastened or not fastened.<PRTPAGE P="168"/> </P> <P> <E T="03">Seat track position switch, foremost, status</E> means the status of the switch that is installed to detect whether the seat is moved to a forward position.</P> <P> <E T="03">Service brake, on and off</E> means the status of the device that is installed in or connected to the brake pedal system to detect whether the pedal was pressed. The device can include the brake pedal switch or other driver-operated service brake control.</P> <P> <E T="03">Side air bag</E> means any inflatable occupant restraint device that is mounted to the seat or side structure of the vehicle interior, and that is designed to deploy in a side impact crash to help mitigate occupant injury and/or ejection.</P> <P> <E T="03">Side curtain/tube air bag</E> means any inflatable occupant restraint device that is mounted to the side structure of the vehicle interior, and that is designed to deploy in a side impact crash or rollover and to help mitigate occupant injury and/or ejection.</P> <P> <E T="03">Speed, vehicle indicated</E> means the vehicle speed indicated by a manufacturer-designated subsystem designed to indicate the vehicle's ground travel speed during vehicle operation.</P> <P> <E T="03">Stability control</E> means any device that is not directly controlled by the operator (e.g., steering or brakes) and is intended to prevent loss of vehicle control by sensing, interpreting, and adjusting a vehicle's driving and handling characteristics, is controlling or assisting the driver in controlling the vehicle.</P> <P> <E T="03">Steering wheel angle</E> means the angular displacement of the steering wheel measured from the straight-ahead position (position corresponding to zero average steer angle of a pair of steered wheels).</P> <P> <E T="03">Suppression switch status</E> means the status of the switch indicating whether an air bag suppression system is on or off.</P> <P> <E T="03">Time from event 1 to 2</E> means the elapsed time from time zero of the first event to time zero of the second event.</P> <P> <E T="03">Time, maximum delta-V, longitudinal</E> means the time from crash time zero to the point where the maximum value of the cumulative change in velocity is found, as recorded by the EDR, along the longitudinal axis.</P> <P> <E T="03">Time to deploy, pretensioner</E> means the elapsed time from crash time zero to the deployment command for the safety belt pretensioner (for both driver and right front passenger).</P> <P> <E T="03">Time to deploy, side air bag/curtain</E> means the elapsed time from crash time zero to the deployment command for a side air bag or a side curtain/tube air bag (for both driver and right front passenger).</P> <P> <E T="03">Time to first stage</E> means the elapsed time between time zero and the time when the first stage of a frontal air bag is commanded to fire.</P> <P> <E T="03">Time to maximum delta-V, lateral</E> means time from crash time zero to the point where the maximum value of the cumulative change in velocity is found, as recorded by the EDR, along the lateral axis.</P> <P> <E T="03">Time to n</E> <E T="51">th</E> stage means the elapsed time from the crash time zero to the deployment command for the nth stage of a frontal air bag (for both driver and right front passenger).</P> <P> <E T="03">Time zero</E> means for systems with “wake-up” air bag control systems, the time occupant restraint control algorithm is activated; for continuously running algorithms, the first point in the interval where a longitudinal, cumulative delta-V of over 0.8 km/h (0.5 mph) is reached within a 20 ms time period; or for vehicles that record “delta-V, lateral,” the first point in the interval where a lateral, cumulative delta-V of over 0.8 km/h (0.5 mph) is reached within a 5 ms time period.</P> <P> <E T="03">Trigger threshold</E> means a change in vehicle velocity, in the longitudinal direction, that equals or exceeds 8 km/h within a 150 ms interval. For vehicles that record “delta-V, lateral,” trigger threshold means a change in vehicle velocity, in either the longitudinal or lateral direction that equals or exceeds 8 km/h within a 150 ms interval.</P> <P> <E T="03">Vehicle roll angle</E> means the angle between the vehicle y-axis and the ground plane.</P> <P> <E T="03">Volatile memory</E> means the memory reserved for buffering of captured EDR data. The memory is not capable of retaining data in a semi-permanent fashion. Data captured in a volatile memory is continuously overwritten and is not retained in the event of a power <PRTPAGE P="169"/>loss or retrievable with EDR data extraction tools.</P> <P> <E T="03">X-direction</E> means in the direction of the vehicle X-axis, which is parallel to the vehicle's longitudinal centerline. The X-direction is positive in the direction of forward vehicle travel.</P> <P> <E T="03">Y-direction</E> means in the direction of the vehicle Y-axis, which is perpendicular to its X-axis and in the same horizontal plane as that axis. The Y-direction is positive from left to right, from the perspective of the driver when seated in the vehicle facing the direction of forward vehicle travel.</P> <P> <E T="03">Z-direction</E> means in the direction of the vehicle Z-axis, which is perpendicular to the X- and Y-axes. The Z-direction is positive in a downward direction.</P> </SECTION> <SECTION> <SECTNO>§ 563.6</SECTNO> <SUBJECT>Requirements for vehicles.</SUBJECT> <P>Each vehicle equipped with an EDR must meet the requirements specified in § 563.7 for data elements, § 563.8 for data format, § 563.9 for data capture, § 563.10 for crash test performance and survivability, and § 563.11 for information in owner's manual.</P> </SECTION> <SECTION> <SECTNO>§ 563.7</SECTNO> <SUBJECT>Data elements.</SUBJECT> <P>(a) <E T="03">Data elements required for all vehicles.</E> Each vehicle equipped with an EDR must record all of the data elements listed in Table I, during the interval/time and at the sample rate specified in that table.</P> <GPOTABLE CDEF="s150,r50,12" COLS="3" OPTS="L2"> <TTITLE>Table I.—Data Elements Required for all Vehicles Equipped With an EDR</TTITLE> <BOXHD> <CHED H="1">Data element</CHED> <CHED H="1">Recording interval/time <SU>1</SU> <LI>(relative to time zero)</LI> </CHED> <CHED H="1">Data sample rate samples per second</CHED> </BOXHD> <ROW> <ENT I="01">Delta-V, longitudinal</ENT> <ENT>0 to 250 ms</ENT> <ENT>100</ENT> </ROW> <ROW> <ENT I="01">Maximum delta-V, longitudinal</ENT> <ENT>0-300 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Time, maximum delta-V</ENT> <ENT>0-300 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Speed, vehicle indicated</ENT> <ENT>−5.0 to 0 sec</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">Engine throttle, % full (or accelerator pedal, % full)</ENT> <ENT>−5.0 to 0 sec</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">Service brake, on/off</ENT> <ENT>−5.0 to 0 sec</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">Ignition cycle, crash</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Ignition cycle, download</ENT> <ENT>At time of download</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Safety belt status, driver</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag warning lamp, on/off</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to deploy, in the case of a single stage air bag, or time to first stage deployment, in the case of a multi-stage air bag, driver</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to deploy, in the case of a single stage air bag, or time to first stage deployment, in the case of a multi-stage air bag, right front passenger</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Multi-event, number of events (1,2)</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Time from event 1 to 2</ENT> <ENT>As needed</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Complete file recorded (yes, no)</ENT> <ENT>Following other data</ENT> <ENT>N.A.</ENT> </ROW> <TNOTE> <SU>1</SU> Pre-crash data and crash data are asynchronous. The sample time accuracy requirement for pre-crash time is −0.1 to 1.0 sec (e.g., T = −1 would need to occur between −1.1 and 0 seconds.)</TNOTE> </GPOTABLE> <P>(b) <E T="03">Data elements required for vehicles under specified conditions.</E> Each vehicle equipped with an EDR must record each of the data elements listed in column 1 of Table II for which the vehicle meets the condition specified in column 2 of that table, during the interval/time and at the sample rate specified in that table.</P> <GPOTABLE CDEF="s150,r50,r50,12" COLS="4" OPTS="L2"> <TTITLE>Table II.—Data Elements Required for Vehicles Under Specified Conditions</TTITLE> <BOXHD> <CHED H="1">Data element name</CHED> <CHED H="1">Condition for<LI>requirement</LI> </CHED> <CHED H="1"> Recording interval/time <SU>1</SU> <LI>(relative to time zero)</LI> </CHED> <CHED H="1">Data sample rate<LI>(per second)</LI> </CHED> </BOXHD> <ROW> <ENT I="01">Lateral acceleration</ENT> <ENT>If recorded <SU>2</SU> </ENT> <ENT>0-250 ms</ENT> <ENT>500</ENT> </ROW> <ROW> <ENT I="01">Longitudinal acceleration</ENT> <ENT>If recorded</ENT> <ENT>0-250 ms</ENT> <ENT>500</ENT> </ROW> <ROW> <ENT I="01">Normal acceleration</ENT> <ENT>If recorded</ENT> <ENT>0-250 ms</ENT> <ENT>500</ENT> </ROW> <ROW> <ENT I="01">Delta-V, lateral</ENT> <ENT>If recorded</ENT> <ENT>0-250 ms</ENT> <ENT>100</ENT> </ROW> <ROW> <ENT I="01">Maximum delta-V, lateral</ENT> <ENT>If recorded</ENT> <ENT>0-300 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Time maximum delta-V, lateral</ENT> <ENT>If recorded</ENT> <ENT>0-300 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Time for maximum delta-V, resultant</ENT> <ENT>If recorded</ENT> <ENT>0-300 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Engine rpm</ENT> <ENT>If recorded</ENT> <ENT>−5.0 to 0 sec</ENT> <ENT>2</ENT> </ROW> <ROW> <PRTPAGE P="170"/> <ENT I="01">Vehicle roll angle</ENT> <ENT>If recorded</ENT> <ENT>−1.0 up to 5.0 sec <SU>3</SU> </ENT> <ENT>10</ENT> </ROW> <ROW> <ENT I="01">ABS activity (engaged, non-engaged)</ENT> <ENT>If recorded</ENT> <ENT>−5.0 to 0 sec</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">Stability control (on, off, engaged)</ENT> <ENT>If recorded</ENT> <ENT>−5.0 to 0 sec</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">Steering input</ENT> <ENT>If recorded</ENT> <ENT>−5.0 to 0 sec</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">Safety belt status, right front passenger (buckled, not buckled)</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag suppression switch status, right front passenger (on, off, or auto)</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to n<E T="51">th</E> stage, driver <SU>4</SU> </ENT> <ENT>If equipped with a driver's frontal air bag with a multi-stage inlator</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to n<E T="51">th</E> stage, right front passenger <SU>4</SU> </ENT> <ENT>If equipped with a right front passenger's frontal air bag with a multi-stage inflator</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, n<E T="51">th</E> stage disposal, driver, Y/N (whether the n<E T="51">th</E> stage deployment was for occupant restraint or propellant disposal purposes)</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, n<E T="51">th</E> stage disposal, right front passenger, Y/N (whether the n<E T="51">th</E> stage deployment was for occupant restraint or propellant disposal purposes)</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side air bag deployment, time to deploy, driver</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side air bag deployment, time to deploy, right front passenger</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side curtain/tube air bag deployment, time to deploy, driver side</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side curtain/tube air bag deployment, time to deploy, right side</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Pretensioner deployment, time to fire, driver</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Pretensioner deployment, time to fire, right front passenger</ENT> <ENT>If recorded</ENT> <ENT>Event</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Seat track position switch, foremost, status, driver</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Seat track position switch, foremost, status, right front passenger</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant size classification, driver</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant size classification, right front passenger</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant position classification, driver</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant position classification, right front passenger</ENT> <ENT>If recorded</ENT> <ENT>−1.0 sec</ENT> <ENT>N.A.</ENT> </ROW> <TNOTE> <SU>1</SU> Pre-crash data and crash data are asynchronous. The sample time accuracy requirement for pre-crash time is −0.1 to 1.0 sec (e.g. T = −1 would need to occur between −1.1 and 0 seconds.)</TNOTE> <TNOTE> <SU>2</SU> “If recorded” means if the data is recorded in non-volatile memory for the purpose of subsequent downloading.</TNOTE> <TNOTE> <SU>3</SU> “Vehicle roll angle” may be recorded in any time duration, −1.0 sec to 5.0 sec is suggested.</TNOTE> <TNOTE> <SU>4</SU> List this element n−1 times, once for each stage of a multi-stage air bag system.</TNOTE> </GPOTABLE> </SECTION> <SECTION> <SECTNO>§ 563.8</SECTNO> <SUBJECT>Data format.</SUBJECT> <P>(a) The data elements listed in Tables I and II, as applicable, must be recorded in accordance with the range, accuracy, resolution, and filter class specified in Table III.</P> <GPOTABLE CDEF="s75,r50,r50,r50,r50" COLS="5" OPTS="L2"> <TTITLE>Table III.—Recorded Data Element Format</TTITLE> <BOXHD> <CHED H="1">Data element</CHED> <CHED H="1">Range</CHED> <CHED H="1">Accuracy</CHED> <CHED H="1">Resolution</CHED> <CHED H="1">Filter class</CHED> </BOXHD> <ROW> <ENT I="01">Lateral acceleration</ENT> <ENT>−50 g to + 50 g</ENT> <ENT>±5%</ENT> <ENT>0.01 g</ENT> <ENT>SAE J211-1,<SU>1</SU> Class 60.</ENT> </ROW> <ROW> <ENT I="01">Longitudinal acceleration</ENT> <ENT>−50 g to + 50 g</ENT> <ENT>±5%</ENT> <ENT>0.01 g</ENT> <ENT>SAE J211-1,<SU>1</SU> Class 60.</ENT> </ROW> <ROW> <ENT I="01">Normal Acceleration</ENT> <ENT>−50 g to + 50 g</ENT> <ENT>±5%</ENT> <ENT>0.01 g</ENT> <ENT>SAE J211-1,<SU>1</SU> Class 60.</ENT> </ROW> <ROW> <ENT I="01">Longitudinal delta-V</ENT> <ENT>−100 km/h + 100 km/h</ENT> <ENT>±5%</ENT> <ENT>1 km/h</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Lateral delta-V</ENT> <ENT>−100 km/h to + 100 km/h</ENT> <ENT>±5%</ENT> <ENT>1 km/h</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Maximum delta-V, longitudinal</ENT> <ENT>+ 100 km/h + 100 km/h</ENT> <ENT>±5%</ENT> <ENT>1 km/h</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Maximum delta-V, lateral</ENT> <ENT>−100 km/h to + 100 km/h</ENT> <ENT>±5%</ENT> <ENT>1 km/h</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Time, maximum delta-V, longitudinal</ENT> <ENT>0-300 ms</ENT> <ENT>±3 ms</ENT> <ENT>2.5 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Time, maximum delta-V, lateral</ENT> <ENT>0-300 ms</ENT> <ENT>±3 ms</ENT> <ENT>2.5 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <PRTPAGE P="171"/> <ENT I="01">Time, maximum delta-V, resultant</ENT> <ENT>0-300 ms</ENT> <ENT>±3 ms</ENT> <ENT>2.5 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Vehicle Roll Angle</ENT> <ENT>−1080 deg to + 1080 deg</ENT> <ENT>±10 deg</ENT> <ENT>10 deg</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Speed, vehicle indicated</ENT> <ENT>0 km/h to 200 km/h</ENT> <ENT>±1 km/h</ENT> <ENT>1 km/h</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Engine throttle, percent full (accelerator pedal percent full)</ENT> <ENT>0 to 100%</ENT> <ENT>±5%</ENT> <ENT>1%</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Engine rpm</ENT> <ENT>0 to 10,000 rpm</ENT> <ENT>±100 rpm</ENT> <ENT>100 rpm</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Service brake, on, off</ENT> <ENT>On and Off</ENT> <ENT>N.A</ENT> <ENT>On and Off</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">ABS activity</ENT> <ENT>On and Off</ENT> <ENT>N.A</ENT> <ENT>On and Off</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Stability control (on, off, engaged)</ENT> <ENT>On, Off, Engaged</ENT> <ENT>N.A</ENT> <ENT>On, Off, Engaged</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Steering wheel angle</ENT> <ENT>−250 deg CW to + 250 deg CCW</ENT> <ENT>±5 deg</ENT> <ENT>5 deg</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Ignition cycle, crash</ENT> <ENT>0 to 60,000</ENT> <ENT>±1 cycle</ENT> <ENT>1 cycle</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Ignition cycle, download</ENT> <ENT>0 to 60,000</ENT> <ENT>±1 cycle</ENT> <ENT>1 cycle</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Safety belt status, driver</ENT> <ENT>On or Off</ENT> <ENT>N.A</ENT> <ENT>On or Off</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Safety belt status, right front passenger</ENT> <ENT>On or Off</ENT> <ENT>N.A</ENT> <ENT>On or Off</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag warning lamp (on, off)</ENT> <ENT>On or Off</ENT> <ENT>N.A</ENT> <ENT>On or Off</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag suppression switch status</ENT> <ENT>On or Off</ENT> <ENT>N.A</ENT> <ENT>On or Off</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to deploy/first stage, driver</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to deploy/first stage, right front passenger</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to n<E T="51">th</E> stage, driver</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, time to n<E T="51">th</E> stage, right front passenger</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, n<E T="51">th</E> stage disposal, driver, y/n</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Frontal air bag deployment, n<E T="51">th</E> stage disposal, right front passenger, y/n</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side air bag deployment, time to deploy, driver</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side air bag deployment, time to deploy, right front passenger</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side curtain/tube air bag deployment, time to deploy, driver side</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Side curtain/tube air bag deployment, time to deploy, right side</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Pretensioner deployment, time to fire, driver</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Pretensioner deployment, time to fire, right front passenger</ENT> <ENT>0 to 250 ms</ENT> <ENT>±2 ms</ENT> <ENT>1 ms</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Seat track position switch, foremost, status, driver</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Seat track position switch, foremost, status, right front passenger</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant size driver occupant 5th female size y/n</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant size right front passenger child y/n</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant position classification, driver oop y/n</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Occupant position classification, right front passenger oop y/n</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Multi-event, number of events (1, 2)</ENT> <ENT>1 or 2</ENT> <ENT>N.A</ENT> <ENT>1 or 2</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Time from event 1 to 2</ENT> <ENT>0 to 5.0 sec</ENT> <ENT>0.1 sec</ENT> <ENT>0.1 sec</ENT> <ENT>N.A.</ENT> </ROW> <ROW> <ENT I="01">Complete file recorded (yes/no)</ENT> <ENT>Yes/No</ENT> <ENT>N.A</ENT> <ENT>Yes/No</ENT> <ENT>N.A.</ENT> </ROW> <TNOTE> <SU>1</SU> Incorporated by reference, <E T="03">see</E> § 563.4.</TNOTE> </GPOTABLE> <PRTPAGE P="172"/> <P>(b) Acceleration Time-History data and format: The longitudinal, lateral, and normal acceleration time-history data, as applicable, must be filtered in accordance with the filter class specified in Table III either during the recording phase or during the data downloading phase to include:</P> <P>(1) The Time Step (TS) that is the inverse of the sampling frequency of the acceleration data and which has units of seconds;</P> <P>(2) The number of the first point (NFP), which is an integer that when multiplied by the TS equals the time relative to time zero of the first acceleration data point;</P> <P>(3) The number of the last point (NLP), which is an integer that when multiplied by the TS equals the time relative to time zero of the last acceleration data point; and</P> <P>(4) NLP−NFP+1 acceleration values sequentially beginning with the acceleration at time NFP*TS and continue sampling the acceleration at TS increments in time until the time NLP*TS is reached.</P> </SECTION> <SECTION> <SECTNO>§ 563.9</SECTNO> <SUBJECT>Data capture.</SUBJECT> <P>The EDR must capture and record the data elements for events in accordance with the following conditions and circumstances:</P> <P>(a) In an air bag deployment crash, the data recorded from any previous crash must be deleted (both events). The data related to the deployment must be captured and recorded. The memory must be locked to prevent any future overwriting of these data.</P> <P>(b) In an air bag non-deployment crash that meets the trigger threshold, delete all previously recorded data in the EDR's memory. Capture and record the current data, up to two events. In the case of two events, detection of the second event starts after the End of Event Time for event 1.</P> </SECTION> <SECTION> <SECTNO>§ 563.10</SECTNO> <SUBJECT>Crash test performance and survivability.</SUBJECT> <P>(a) Each vehicle subject to the requirements of S5, S14.5, S15, or S17 of 49 CFR 571.208, <E T="03">Occupant crash protection,</E> must comply with the requirements in subpart (c) of this section when tested according to S8, S16, and S18 of 49 CFR 571.208.</P> <P>(b) Each vehicle subject to the requirements of 49 CFR 571.214, <E T="03">Side impact protection,</E> that meets a trigger threshold or has a frontal air bag deployment, must comply with the requirements of subpart (c) of this section when tested according to the conditions specified in 49 CFR 571.214 for a moving deformable barrier test.</P> <P>(c) The data elements required by § 563.7, except for the “Engine throttle, percent full,” “engine RPM,” and “service brake, on/off,” must be recorded in the format specified by § 563.8, exist at the completion of the crash test, and be retrievable by the methodology specified by the vehicle manufacturer under § 563.12 for not less than 10 days after the test, and the complete data recorded element must read “yes” after the test.</P> </SECTION> <SECTION> <SECTNO>§ 563.11</SECTNO> <SUBJECT>Information in owner's manual.</SUBJECT> <P>(a) The owner's manual in each vehicle covered under this regulation must provide the following statement in English: </P> <EXTRACT> <P>This vehicle is equipped with an event data recorder (EDR). The main purpose of an EDR is to record, in certain crash or near crash-like situations, such as an air bag deployment or hitting a road obstacle, data that will assist in understanding how a vehicle's systems performed. The EDR is designed to record data related to vehicle dynamics and safety systems for a short period of time, typically 30 seconds or less. The EDR in this vehicle is designed to record such data as:</P> <P>• How various systems in your vehicle were operating;</P> <P>• Whether or not the driver and passenger safety belts were buckled/fastened;</P> <P>• How far (if at all) the driver was depressing the accelerator and/or brake pedal; and,</P> <P>• How fast the vehicle was traveling.</P> <P>These data can help provide a better understanding of the circumstances in which crashes and injuries occur. NOTE: EDR data are recorded by your vehicle only if a non-trivial crash situation occurs; no data are recorded by the EDR under normal driving conditions and no personal data (e.g., name, gender, age, and crash location) are recorded. However, other parties, such as law enforcement, could combine the EDR data with the type of personally identifying data routinely acquired during a crash investigation.</P> <P>To read data recorded by an EDR, special equipment is required, and access to the vehicle or the EDR is needed. In addition to the vehicle manufacturer, other parties, such as law enforcement, that have the special <PRTPAGE P="173"/>equipment, can read the information if they have access to the vehicle or the EDR.</P> </EXTRACT> <P>(b) The owner's manual may include additional information about the form, function, and capabilities of the EDR, in supplement to the required statement in § 563.11(a).</P> </SECTION> <SECTION> <SECTNO>§ 563.12</SECTNO> <SUBJECT>Data retrieval tools.</SUBJECT> <P>Each manufacturer of a motor vehicle equipped with an EDR shall ensure by licensing agreement or other means that a tool(s) is commercially available that is capable of accessing and retrieving the data stored in the EDR that are required by this part. The tool(s) shall be commercially available not later than 90 days after the first sale of the motor vehicle for purposes other than resale.</P> </SECTION> </PART> <PART> <EAR>Pt. 564</EAR> <HD SOURCE="HED">PART 564—REPLACEABLE LIGHT SOURCE INFORMATION</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>564.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>564.2</SECTNO> <SUBJECT>Purposes.</SUBJECT> <SECTNO>564.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>564.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>564.5</SECTNO> <SUBJECT>Information filing; agency processing of filings.</SUBJECT> <APP>Appendix A to Part 564—Information To Be Submitted for Replaceable Light Sources</APP> <APP>Appendix B to Part 564—Information To Be Submitted for Long Life Replaceable Light Sources of Limited Definition</APP> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 30111, 30115, 30117, 30166; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>58 FR 3860, Jan. 12, 1993, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 564.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> <CITA>[61 FR 20500, May 7, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 564.2</SECTNO> <SUBJECT>Purposes.</SUBJECT> <P>The purposes of this part are achieved through its Appendices:</P> <P>(a) The purposes of Appendix A of this part are to ensure</P> <P>(1) The availability to replacement light source manufacturers of the manufacturing specifications of original equipment light sources so that replacement light sources are interchangeable with original equipment light sources and provide equivalent performance, and</P> <P>(2) That redesigned or newly developed light sources are designated as distinct, different, and noninterchangeable with previously existing light sources.</P> <P>(b) The purposes of Appendix B of this part are to ensure</P> <P>(1) That original equipment light sources are replaceable and that replacement light sources provide equivalent performance, and</P> <P>(2) That redesignated or newly developed light sources are designated as distinct, different, and noninterchangeable with previously existing light sources.</P> <CITA>[61 FR 20500, May 7, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 564.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies to replaceable light sources used as original equipment in motor vehicle headlighting systems.</P> <CITA>[60 FR 14228, Mar. 16, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 564.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>All terms defined in the Act and the regulations and standards issued under its authority are used as defined therein.</P> </SECTION> <SECTION> <SECTNO>§ 564.5</SECTNO> <SUBJECT>Information filing; agency processing of filings.</SUBJECT> <P>(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 <PRTPAGE P="174"/>Light Source Information (unless the agency has already filed such information in Docket No. NHTSA 98-3397).</P> <P>(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<FR>1/2</FR> by 11-inch paper.</P> <P>(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.</P> <P>(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 § 564.5(c). A request for modification shall contain the following:</P> <P>(1) All the information specified in Appendix A or Appendix B of this part that is relevant to the modification requested,</P> <P>(2) The reason for the requested modification,</P> <P>(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</P> <P>(4) Information demonstrating that the modification would not adversely affect interchangeability with the original light source.</P> <P>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 <E T="04">Federal Register</E> 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.</P> <P>(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.</P> <CITA>[60 FR 14228, Mar. 16, 1995, as amended at 61 FR 20500, May 7, 1996; 63 FR 42587, Aug. 10, 1998]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 564, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 564—Information To Be Submitted for Replaceable Light Sources</HD> <HD SOURCE="HD1">I. <E T="03">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.</E> </HD> <P>A. Lower beam filament dimensions or filament tolerance box dimensions and relation of these to the bulb base reference plane and centerline.</P> <P>1. Axial location of the filament centerline or the filament tolerance box relative to the bulb base reference plane.</P> <P>2. Vertical location of the filament centerline or the filament tolerance box relative to the bulb base centerline.<PRTPAGE P="175"/> </P> <P>3. Transverse location of the filament centerline or the filament tolerance box relative to the bulb base centerline.</P> <P>4. Filament tolerance box dimensions, if used.</P> <P>B. Upper beam filament dimensions or the filament tolerance box dimensions, and relation of these to the bulb base reference plane and centerline.</P> <P>1. Axial location of the filament centerline or the filament tolerance box relative to the bulb base reference plane.</P> <P>2. Vertical location of the filament centerline or the filament tolerance box relative to the bulb base centerline.</P> <P>3. Transverse location of the filament centerline or the filament tolerance box relative to the bulb base centerline.</P> <P>4. Filament tolerance box dimensions, if used.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD1">II. <E T="03">Dimensions Pertaining to Filament Capsule and Capsule Supports</E> </HD> <P>A. Maximum length from bulb base reference plane to tip of filament capsule.</P> <P>B. Maximum radial distances from bulb base centerline to periphery of filament capsule and/or supports.</P> <P>C. Location of black cap relative to low beam filament centerline, filament tolerance box or other to-be-specified reference.</P> <P>D. Size, length, shape, or other pertinent features and dimensions for providing undistorted walls for the filament capsule.</P> <HD SOURCE="HD1">III. <E T="03">Bulb Base Interchangeability Dimensions and Tolerance</E> </HD> <P>A. Angular locations, diameters, key/keyway sizes, and any other interchangeability dimensions for indexing the bulb base in the bulb holder.</P> <P>B. Diameter, width, depth, and surface finish of seal groove, surface, or other pertinent sealing features.</P> <P>C. Diameter of the bulb base at the interface of the base and its perpendicular reference surface.</P> <P>D. Dimensions of features related to retention of the bulb base in the bulb holder such as tabs, keys, keyways, surfaces, etc.</P> <HD SOURCE="HD1">IV. <E T="03">Bulb Holder Interchangeability Dimensions and Tolerance</E> </HD> <P>A. Mating angular locations, diameters, key/keyway sizes, and any other interchangeability dimensions for indexing the bulb base in the bulb holder.</P> <P>B. Mating diameter, width, depth, and surface finish of seal groove, surface, or other pertinent sealing features.</P> <P>C. Mating diameter of the bulb holder at the interface of the bulb base aperture and its perpendicular reference surface.</P> <P>D. Mating dimensions of features related to retention of the bulb base in the bulb holder such as tabs, keys, keyways, surfaces, etc.</P> <HD SOURCE="HD1">V. <E T="03">Wiring Harness Connector to Bulb Base Interchangeability Dimensions and Tolerances</E> </HD> <P>A. Maximum depth of harness connector insertion into bulb base.</P> <P>B. Location of electrical pins in bulb base.</P> <P>C. Dimensions of electrical pins in bulb base—length, diameter, width, thickness and etc.</P> <P>D. Fit of harness connector into bulb base providing all necessary dimensions, key/keyway controls, and dimensions, tapers etc.</P> <P>E. Dimensions and location of locking features for wiring harness connector to bulb base.</P> <P>F. Identification of upper beam, lower beam, and common terminals.</P> <HD SOURCE="HD1">VI. Seal Specifications (if replaceable light source is intended to be of a sealed base design)</HD> <P>A. Type.</P> <P>B. Material.</P> <P>C. Dimensions.</P> <HD SOURCE="HD1">VII. <E T="03">Electrical Specifications for Each Filament at 12.8 Volts</E> </HD> <P>A. Maximum power (in watts).</P> <P>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).<PRTPAGE P="176"/> </P> <HD SOURCE="HD1">VIII. <E T="03">Bulb Markings/Designation—</E> ANSI Number, ECE Identifier, Manufacturer's Part Number, Individually or in Any Combination</HD> <HD SOURCE="HD1">IX. <E T="03">All other information, dimensions or performance specifications necessary for interchangeability, replaceability, or system test purposes not listed in sections I through VIII.</E> 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.</HD> <CITA>[58 FR 3860, Jan. 12, 1993, as amended at 61 FR 20500, 20501, May 7, 1996]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 564, App. B</EAR> <HD SOURCE="HED">Appendix B to Part 564—Information To Be Submitted for Long Life Replaceable Light Sources of Limited Definition</HD> <HD SOURCE="HD1">I. <E T="03">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.</E> </HD> <P>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.</P> <P>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.</P> <P>2. Vertical location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.</P> <P>3. Transverse location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.</P> <P>4. Filament or discharge arc tolerance box dimensions, if used.</P> <P>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.</P> <P>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.</P> <P>2. Vertical location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.</P> <P>3. Transverse location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.</P> <P>4. Filament or discharge arc tolerance box dimensions, if used.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD1">II. <E T="03">Bulb Base Interchangeability Dimensions and Tolerance.</E> </HD> <P>A. Angular locations, diameters, key/keyway sizes, and any other interchangeability dimensions for indexing the bulb base in the bulb holder.</P> <P>B. Diameter, width, depth, and surface finish of seal groove, surface, or other pertinent sealing features.</P> <P>C. Diameter of the bulb base at the interface of the base and its perpendicular reference surface.</P> <P>D. Dimensions of features related to retention of the bulb base in the bulb holder such as tabs, keys, keyways, surface, etc.</P> <HD SOURCE="HD1">III. <E T="03">Bulb Holder Interchangeability Dimensions and Tolerances.</E> </HD> <P>A. Mating angular locations, diameters, key/keyway sizes, any other interchangeability dimensions for indexing the bulb base in the bulb holder.</P> <P>B. Mating diameter, width, depth, and surface, or other pertinent sealing features.</P> <P>C. Mating diameter of the bulb holder at the interface of the bulb base aperture and its perpendicular reference surface.</P> <P>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.</P> <HD SOURCE="HD1">IV. <E T="03">Electrical Specifications for Each Light Source that Operates With a Ballast and Rated Life of the Light Source/Ballast Combination.</E> </HD> <P>A. Maximum power (in watts).</P> <P>B. Luminous Flux (in lumens).</P> <P>C. Rated laboratory life of the light source/ballast combination (not less than 2,000 hours).<PRTPAGE P="177"/> </P> <HD SOURCE="HD1">V. <E T="03">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.</E> </HD> <P>A. Manufacturer's part number for the ballast.</P> <P>B. Any other characteristics necessary for system operation.</P> <HD SOURCE="HD1">VI. <E T="03">Bulb Markings/Designation—</E> ANSI Number, ECE Identifier, Manufacturer's Part Number, Individual or in Any Combination.</HD> <HD SOURCE="HD1">VII. <E T="03">All other identification, dimensions or performance specifications necessary for replaceability or systems test not listed in sections I through VI.</E> </HD> <CITA>[61 FR 20500, May 7, 1996]</CITA> </APPENDIX> </PART> <PART> <EAR>Pt. 565</EAR> <HD SOURCE="HED">PART 565—VEHICLE IDENTIFICATION NUMBER REQUIREMENTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>565.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>565.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>565.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>565.4</SECTNO> <SUBJECT>General requirements.</SUBJECT> <SECTNO>565.5</SECTNO> <SUBJECT>Motor vehicles imported into the United States.</SUBJECT> <SECTNO>565.6</SECTNO> <SUBJECT>Content requirements.</SUBJECT> <SECTNO>565.7</SECTNO> <SUBJECT>Reporting requirements.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 30111, 30115, 30117, 30141, 30146, 30166, and 30168; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>61 FR 29033, June 7, 1996, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 565.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 565.2</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>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 § 565.4(b), § 565.4(c), § 565.4(g), § 565.4(h), § 565.5 and § 565.6.</P> </SECTION> <SECTION> <SECTNO>§ 565.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Federal Motor Vehicle Safety Standards Definitions.</E> 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.</P> <P>(b) <E T="03">Body type</E> 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).</P> <P>(c) <E T="03">Check digit</E> means a single number or the letter X used to verify the accuracy of the transcription of the vehicle identification number.</P> <P>(d) <E T="03">Engine type</E> 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.</P> <P>(e) <E T="03">Incomplete vehicle</E> 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.</P> <P>(f) <E T="03">Line</E> 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.</P> <P>(g) <E T="03">Make</E> means a name that a manufacturer applies to a group of vehicles or engines.</P> <P>(h) <E T="03">Manufacturer</E> means a person—</P> <P>(1) <E T="03">Manufacturing</E> or assembling motor vehicles or motor vehicle equipment; or</P> <P>(2) Importing motor vehicles or motor vehicle equipment for resale.</P> <P>(i) <E T="03">Model</E> means a name that a manufacturer applies to a family of vehicles of the same type, make, line, series and body type.<PRTPAGE P="178"/> </P> <P>(j) <E T="03">Model Year</E> means the year used to designate a discrete vehicle model, irrespective of the calendar year in which the vehicle was actually produced, provided that the production period does not exceed 24 months.</P> <P>(k) <E T="03">Plant of manufacture</E> means the plant where the manufacturer affixes the VIN.</P> <P>(l) <E T="03">Series</E> 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.</P> <P>(m) <E T="03">Trailer kit</E> 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.</P> <P>(n) <E T="03">Type</E> 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.</P> <P>(o) <E T="03">VIN</E> means a series of Arabic numbers and Roman letters that is assigned to a motor vehicle for identification purposes.</P> <CITA>[61 FR 29033, June 7, 1996, as amended at 70 FR 23939, May 6, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 565.4</SECTNO> <SUBJECT>General requirements.</SUBJECT> <P>(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.</P> <P>(b) Each VIN shall consist of seventeen (17) characters.</P> <P>(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.</P> <P>(d) The VINs of any two vehicles manufactured within a 30-year period shall not be identical.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 565.5.</P> <P>(h) All spaces provided for in the VIN must be occupied by a character specified in paragraph (g) of this section.</P> <P>(i) The type face utilized for each VIN shall consist of capital, sanserif characters.</P> </SECTION> <SECTION> <SECTNO>§ 565.5</SECTNO> <SUBJECT>Motor vehicles imported into the United States.</SUBJECT> <P>(a) Importers shall utilize the VIN assigned by the original manufacturer of the motor vehicle.</P> <P>(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 § 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 <PRTPAGE P="179"/>original manufacturer. Passenger cars conforming to Canadian Motor Vehicle Safety Standard 115 are exempt from this paragraph.</P> </SECTION> <SECTION> <SECTNO>§ 565.6</SECTNO> <SUBJECT>Content requirements.</SUBJECT> <P>The VIN shall consist of four sections of characters which shall be grouped accordingly:</P> <P>(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 § 565.7(a).</P> <P>(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 § 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:</P> <HD SOURCE="HD1">Table I—Type of Vehicle and Information Decipherable</HD> <FP SOURCE="FP-2"> <E T="03">Passenger car:</E> Line, series, body type, engine type and restraint system type.</FP> <FP SOURCE="FP-2"> <E T="03">Multipurpose passenger vehicle:</E> Line, series, body type, engine type, gross vehicle weight rating.</FP> <FP SOURCE="FP-2"> <E T="03">Truck:</E> Model or line, series, chassis, cab type, engine type, brake system and gross vehicle weight rating.</FP> <FP SOURCE="FP-2"> <E T="03">Bus:</E> Model or line, series, body type, engine type, and brake system</FP> <FP SOURCE="FP-2"> <E T="03">Trailer, including trailer kits and incomplete trailer:</E> Type of trailer, body type, length and axle configuration.</FP> <FP SOURCE="FP-2"> <E T="03">Motorcycle:</E> Type of motorcycle, line, engine type, and net brake horsepower.</FP> <FP SOURCE="FP-2"> <E T="03">Incomplete Vehicle other than a trailer:</E> Model or line, series, cab type, engine type and brake system.</FP> <NOTE> <HD SOURCE="HED">Note to Table I:</HD> <P>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.</P> </NOTE> <HD SOURCE="HD1">Table II—Gross Vehicle Weight Rating Classes</HD> <EXTRACT> <P>Class A—Not greater than 1360 kg. (3,000 lbs.)</P> <P>Class B—Greater than 1360 kg. to 1814 kg. (3,001-4,000 lbs.)</P> <P>Class C—Greater than 1814 kg. to 2268 kg. (4,001-5,000 lbs.)</P> <P>Class D—Greater than 2268 kg. to 2722 kg. (5,001-6,000 lbs.)</P> <P>Class E—Greater than 2722 kg. to 3175 kg. (6,001-7,000 lbs.)</P> <P>Class F—Greater than 3175 kg. to 3629 kg. (7,001-8,000 lbs.)</P> <P>Class G—Greater than 3629 kg. to 4082 kg. (8,001-9,000 lbs.)</P> <P>Class H—Greater than 4082 kg. to 4536 kg. (9,001-10,000 lbs.)</P> <P>Class 3—Greater than 4536 kg. to 6350 kg. (10,001-14,000 lbs.)</P> <P>Class 4—Greater than 6350 kg. to 7257 kg. (14,001-16,000 lbs.)</P> <P>Class 5—Greater than 7257 kg. to 8845 kg. (16,001-19,500 lbs.)</P> <P>Class 6—Greater than 8845 kg. to 11793 kg. (19,501-26,000 lbs.)</P> <P>Class 7—Greater than 11793 kg. to 14968 kg.(26,001-33,000 lbs.)</P> <P>Class 8—Greater than 14968 kg. (33,001 lbs. and over)</P> </EXTRACT> <P>(c) The third section shall consist of one character, which occupies position nine (9) in the VIN. This section shall <PRTPAGE P="180"/>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.</P> <P>(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:</P> <HD SOURCE="HD1">Table III—Assigned Values</HD> <LDRWK> <FL-2>A = 1</FL-2> <FL-2>B = 2</FL-2> <FL-2>C = 3</FL-2> <FL-2>D = 4</FL-2> <FL-2>E = 5</FL-2> <FL-2>F = 6</FL-2> <FL-2>G = 7</FL-2> <FL-2>H = 8</FL-2> <FL-2>J = 1</FL-2> <FL-2>K = 2</FL-2> <FL-2>L = 3</FL-2> <FL-2>M = 4</FL-2> <FL-2>N = 5</FL-2> <FL-2>P = 7</FL-2> <FL-2>R = 9</FL-2> <FL-2>S = 2</FL-2> <FL-2>T = 3</FL-2> <FL-2>U = 4</FL-2> <FL-2>V = 5</FL-2> <FL-2>W = 6</FL-2> <FL-2>X = 7</FL-2> <FL-2>Y = 8</FL-2> <FL-2>Z = 9</FL-2> </LDRWK> <P>(2) Multiply the assigned value for each character in the VIN by the position weight factor specified in Table IV, as follows:</P> <HD SOURCE="HD1">Table IV—VIN Position and Weight Factor</HD> <LDRWK> <FL-2>1st</FL-2> <LDRFIG>8</LDRFIG> <FL-2>2d</FL-2> <LDRFIG>7</LDRFIG> <FL-2>3d</FL-2> <LDRFIG>6</LDRFIG> <FL-2>4th</FL-2> <LDRFIG>5</LDRFIG> <FL-2>5th</FL-2> <LDRFIG>4</LDRFIG> <FL-2>6th</FL-2> <LDRFIG>3</LDRFIG> <FL-2>7th</FL-2> <LDRFIG>2</LDRFIG> <FL-2>8th</FL-2> <LDRFIG>10</LDRFIG> <FL-2>9th</FL-2> <LDRFIG>(check digit)</LDRFIG> <FL-2>10th</FL-2> <LDRFIG>9</LDRFIG> <FL-2>11th</FL-2> <LDRFIG>8</LDRFIG> <FL-2>12th</FL-2> <LDRFIG>7</LDRFIG> <FL-2>13th</FL-2> <LDRFIG>6</LDRFIG> <FL-2>14th</FL-2> <LDRFIG>5</LDRFIG> <FL-2>15th</FL-2> <LDRFIG>4</LDRFIG> <FL-2>16th</FL-2> <LDRFIG>3</LDRFIG> <FL-2>17th</FL-2> <LDRFIG>2</LDRFIG> </LDRWK> <P>(3) Add the resulting products and divide the total by 11.</P> <P>(4) The numerical remainder is the check digit. If the remainder is 10 the 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).</P> <P>(5) A sample check digit calculation is shown in Table V as follows:</P> <GPOTABLE CDEF="s10,2,2,2,2,2,2,2,2,2,2,2,2,2,2,2,2,2" COLS="18" OPTS="L0,6/7,f6,i1"> <TTITLE>Table V—Calculation of a Check Digit</TTITLE> <ROW> <ENT I="01">VIN Position</ENT> <ENT>1</ENT> <ENT>2</ENT> <ENT>3</ENT> <ENT>4</ENT> <ENT>5</ENT> <ENT>6</ENT> <ENT>7</ENT> <ENT>8</ENT> <ENT>9</ENT> <ENT>10</ENT> <ENT>11</ENT> <ENT>12</ENT> <ENT>13</ENT> <ENT>14</ENT> <ENT>15</ENT> <ENT>16</ENT> <ENT>17</ENT> </ROW> <ROW> <ENT I="01">Sample VIN</ENT> <ENT>1</ENT> <ENT>G</ENT> <ENT>4</ENT> <ENT>A</ENT> <ENT>H</ENT> <ENT>5</ENT> <ENT>9</ENT> <ENT>H</ENT> <ENT>...</ENT> <ENT>5</ENT> <ENT>G</ENT> <ENT>1</ENT> <ENT>1</ENT> <ENT>8</ENT> <ENT>3</ENT> <ENT>4</ENT> <ENT>1</ENT> </ROW> <ROW> <ENT I="01">Assigned Value</ENT> <ENT>1</ENT> <ENT>7</ENT> <ENT>4</ENT> <ENT>1</ENT> <ENT>8</ENT> <ENT>5</ENT> <ENT>9</ENT> <ENT>8</ENT> <ENT>...</ENT> <ENT>5</ENT> <ENT>7</ENT> <ENT>1</ENT> <ENT>1</ENT> <ENT>8</ENT> <ENT>3</ENT> <ENT>4</ENT> <ENT>1</ENT> </ROW> <ROW> <ENT I="01">Weight Factor</ENT> <ENT>8</ENT> <ENT>7</ENT> <ENT>6</ENT> <ENT>5</ENT> <ENT>4</ENT> <ENT>3</ENT> <ENT>2</ENT> <ENT>10</ENT> <ENT>0</ENT> <ENT>9</ENT> <ENT>8</ENT> <ENT>7</ENT> <ENT>6</ENT> <ENT>5</ENT> <ENT>4</ENT> <ENT>3</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">Multiply Assigned value times weight factor</ENT> <ENT>8</ENT> <ENT>49</ENT> <ENT>24</ENT> <ENT>5</ENT> <ENT>32</ENT> <ENT>15</ENT> <ENT>18</ENT> <ENT>80</ENT> <ENT>0</ENT> <ENT>45</ENT> <ENT>56</ENT> <ENT>7</ENT> <ENT>6</ENT> <ENT>40</ENT> <ENT>12</ENT> <ENT>12</ENT> <ENT>2</ENT> </ROW> <TNOTE>Add products: 8+49+24+5+32+15+18+80+0+45+56+7+6+40+12+12+2 = 411</TNOTE> <TNOTE>Divide by 11: 411/11 = 37 4/11</TNOTE> <TNOTE>The remainder is 4; this is the check digit to be inserted in position nine (9) of the VIN</TNOTE> </GPOTABLE> <P>(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.</P> <P>(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:</P> <GPOTABLE CDEF="s25,10C" COLS="2" OPTS="L2,i1"> <TTITLE>Table VI—Year Codes for VIN</TTITLE> <BOXHD> <CHED H="1">Year</CHED> <CHED H="1">Code</CHED> </BOXHD> <ROW> <ENT I="01">1980</ENT> <ENT>A</ENT> </ROW> <ROW> <ENT I="01">1981</ENT> <ENT>B</ENT> </ROW> <ROW> <ENT I="01">1982</ENT> <ENT>C</ENT> </ROW> <ROW> <ENT I="01">1983</ENT> <ENT>D</ENT> </ROW> <ROW> <ENT I="01">1984</ENT> <ENT>E</ENT> </ROW> <ROW> <ENT I="01">1985</ENT> <ENT>F</ENT> </ROW> <ROW> <ENT I="01">1986</ENT> <ENT>G</ENT> </ROW> <ROW> <ENT I="01">1987</ENT> <ENT>H</ENT> </ROW> <ROW> <ENT I="01">1988</ENT> <ENT>J</ENT> </ROW> <ROW> <ENT I="01">1989</ENT> <ENT>K</ENT> </ROW> <ROW> <PRTPAGE P="181"/> <ENT I="01">1990</ENT> <ENT>L</ENT> </ROW> <ROW> <ENT I="01">1991</ENT> <ENT>M</ENT> </ROW> <ROW> <ENT I="01">1992</ENT> <ENT>N</ENT> </ROW> <ROW> <ENT I="01">1993</ENT> <ENT>P</ENT> </ROW> <ROW> <ENT I="01">1994</ENT> <ENT>R</ENT> </ROW> <ROW> <ENT I="01">1995</ENT> <ENT>S</ENT> </ROW> <ROW> <ENT I="01">1996</ENT> <ENT>T</ENT> </ROW> <ROW> <ENT I="01">1997</ENT> <ENT>V</ENT> </ROW> <ROW> <ENT I="01">1998</ENT> <ENT>W</ENT> </ROW> <ROW> <ENT I="01">1999</ENT> <ENT>X</ENT> </ROW> <ROW> <ENT I="01">2000</ENT> <ENT>Y</ENT> </ROW> <ROW> <ENT I="01">2001</ENT> <ENT>1</ENT> </ROW> <ROW> <ENT I="01">2002</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">2003</ENT> <ENT>3</ENT> </ROW> <ROW> <ENT I="01">2004</ENT> <ENT>4</ENT> </ROW> <ROW> <ENT I="01">2005</ENT> <ENT>5</ENT> </ROW> <ROW> <ENT I="01">2006</ENT> <ENT>6</ENT> </ROW> <ROW> <ENT I="01">2007</ENT> <ENT>7</ENT> </ROW> <ROW> <ENT I="01">2008</ENT> <ENT>8</ENT> </ROW> <ROW> <ENT I="01">2009</ENT> <ENT>9</ENT> </ROW> <ROW> <ENT I="01">2010</ENT> <ENT>A</ENT> </ROW> <ROW> <ENT I="01">2011</ENT> <ENT>B</ENT> </ROW> <ROW> <ENT I="01">2012</ENT> <ENT>C</ENT> </ROW> <ROW> <ENT I="01">2013</ENT> <ENT>D</ENT> </ROW> </GPOTABLE> <P>(2) The second character of the fourth section shall represent the plant of manufacture.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 565.7</SECTNO> <SUBJECT>Reporting requirements.</SUBJECT> <P>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 <E T="03">et seq.</E>) and have been assigned OMB Control Number 2127-0510.</P> <P>(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, 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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> </PART> <PART> <PRTPAGE P="182"/> <EAR>Pt. 566</EAR> <HD SOURCE="HED">PART 566—MANUFACTURER IDENTIFICATION</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>566.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>566.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>566.3</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>566.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>566.5</SECTNO> <SUBJECT>Requirements.</SUBJECT> <SECTNO>566.6</SECTNO> <SUBJECT>Submittal of information.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SECTION> <SECTNO>§ 566.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> <CITA>[36 FR 20978, Nov. 2, 1971]</CITA> </SECTION> <SECTION> <SECTNO>§ 566.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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.</P> <CITA>[36 FR 20978, Nov. 2, 1971]</CITA> </SECTION> <SECTION> <SECTNO>§ 566.3</SECTNO> <SUBJECT>Application.</SUBJECT> <P>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”).</P> <CITA>[36 FR 22063, Nov. 19, 1971]</CITA> </SECTION> <SECTION> <SECTNO>§ 566.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>All terms defined in the Act and the rules and standards issued under its authority are used as defined therein. Specifically, <E T="03">incomplete vehicle, intermediate manufacturer,</E> and <E T="03">final-stage manufacturer</E> are used as defined in Part 568—Vehicles Manufactured in Two or More Stages.</P> <SECAUTH>(Authority: 15 U.S.C. 1392, 1397)</SECAUTH> <CITA>[37 FR 1364, Jan. 28, 1972]</CITA> </SECTION> <SECTION> <SECTNO>§ 566.5</SECTNO> <SUBJECT>Requirements.</SUBJECT> <P>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.</P> <P>(a) Full individual, partnership, or corporate name of the manufacturer.</P> <P>(b) Residence address of the manufacturer and State of incorporation if applicable.</P> <P>(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.</P> <P>(1) Except as noted below, the description may be of general types, such as “passenger cars” or “brake fluid.”</P> <P>(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.”</P> <P>(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. </P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>“Incomplete vehicle manufacturer—Chassis-cab intended for completion as van-type truck.”</P> </EXAMPLE> <FP>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.</FP> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>“Multipurpose passenger vehicles: Motor homes with GVWR from 8,000 to 12,000 pounds. Final-stage manufacturer—add body to bare chassis.”</P> </EXAMPLE> <SECAUTH>(15 U.S.C. 1392, 1397)</SECAUTH> <CITA>[36 FR 20978, Nov. 2, 1971, as amended at 37 FR 1364, Jan. 28, 1972]</CITA> </SECTION> <SECTION> <SECTNO>§ 566.6</SECTNO> <SUBJECT>Submittal of information.</SUBJECT> <P>Each manufacturer required to submit information under § 566.5 shall submit the information not later than February 1, 1972. After that date, each person who begins to manufacture a <PRTPAGE P="183"/>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 § 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.</P> <CITA>[36 FR 20978, Nov. 2, 1971, as amended at 53 FR 20119, June 2, 1988]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 567</EAR> <HD SOURCE="HED">PART 567—CERTIFICATION</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>567.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>567.2</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>567.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>567.4</SECTNO> <SUBJECT>Requirements for manufacturers of motor vehicles.</SUBJECT> <SECTNO>567.5</SECTNO> <SUBJECT>Requirements for manufacturers of vehicles manufactured in two or more stages.</SUBJECT> <SECTNO>567.6</SECTNO> <SUBJECT>Requirements for persons who do not alter certified vehicles or do so with readily attachable components.</SUBJECT> <SECTNO>567.7</SECTNO> <SUBJECT>Requirements for persons who alter certified vehicles.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 30111, 30115, 30117, 30166, 32502, 32504, 33101-33104, 33108, and 33109; delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>70 FR 7430, Feb. 14, 2005, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 567.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>The purpose of this part is to specify the content and location of, and other requirements for, the certification label to be affixed to motor vehicles as required by the National Traffic and Motor Vehicle Safety Act, as amended (the Vehicle Safety Act) (49 U.S.C. 30115) and the Motor Vehicle Information and Cost Savings Act, as amended (the Cost Savings Act), (49 U.S.C. 30254 and 33109), to address certification-related duties and liabilities, 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), Bumper Standards (part 581 of this chapter), and Federal Theft Prevention Standards (part 541 of this chapter), are applicable to the vehicle.</P> </SECTION> <SECTION> <SECTNO>§ 567.2</SECTNO> <SUBJECT>Application.</SUBJECT> <P>(a) This part applies to manufacturers including alterers of motor vehicles to which one or more standards are applicable.</P> <P>(b) In the case of imported motor vehicles that do not have the label required by 49 CFR 567.4, Registered Importers of vehicles admitted into the United States under 49 U.S.C. 30141-30147 and 49 CFR part 591 must affix a label as required by 49 CFR 567.4, after the vehicle has been brought into conformity with the applicable Safety, Bumper and Theft Prevention Standards.</P> </SECTION> <SECTION> <SECTNO>§ 567.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>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.</P> <P> <E T="03">Addendum</E> means the document described in § 568.5 of this chapter.</P> <P> <E T="03">Altered vehicle</E> means a completed vehicle previously certified in accordance with § 567.4 or § 567.5 that has been altered other than by the addition, substitution, or removal of readily attachable components, such as mirrors or tire and rim assemblies, or by minor finishing operations such as painting, before the first purchase of the vehicle other than for resale, in such a manner as may affect the conformity of the vehicle with one or more Federal Motor Vehicle Safety Standard(s) or the validity of the vehicle's stated weight ratings or vehicle type classification.</P> <P> <E T="03">Alterer</E> means a person who alters by addition, substitution, or removal of components (other than readily attachable components) a certified vehicle before the first purchase of the vehicle other than for resale.</P> <P> <E T="03">Chassis-cab</E> 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.</P> <P> <E T="03">Completed vehicle</E> means a vehicle that requires no further manufacturing operations to perform its intended function.<PRTPAGE P="184"/> </P> <P> <E T="03">Final-stage manufacturer</E> means a person who performs such manufacturing operations on an incomplete vehicle that it becomes a completed vehicle.</P> <P> <E T="03">Incomplete trailer</E> means a vehicle that is capable of being drawn and that consists, at a minimum, of a chassis (including the frame) structure and suspension system but needs further manufacturing operations performed on it to become a completed vehicle.</P> <P> <E T="03">Incomplete vehicle</E> means</P> <P>(1) An assemblage consisting, at a minimum, of chassis (including the frame) structure, power train, steering system, suspension system, and braking system, in the state that those systems are to be part of the completed vehicle, but requires further manufacturing operations to become a completed vehicle; or</P> <P>(2) An incomplete trailer.</P> <P> <E T="03">Incomplete vehicle document</E> or <E T="03">IVD</E> means the document described in 49 CFR 568.4(a) and (b).</P> <P> <E T="03">Incomplete vehicle manufacturer</E> means a person who manufactures an incomplete vehicle by assembling components none of which, taken separately, constitute an incomplete vehicle.</P> <P> <E T="03">Intermediate manufacturer</E> means a person, other than the incomplete vehicle manufacturer or the final-stage manufacturer, who performs manufacturing operations on a vehicle manufactured in two or more stages.</P> </SECTION> <SECTION> <SECTNO>§ 567.4</SECTNO> <SUBJECT>Requirements for manufacturers of motor vehicles.</SUBJECT> <P>(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.</P> <P>(b) The label shall be riveted or permanently affixed in such a manner that it cannot be removed without destroying or defacing it.</P> <P>(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, D.C. 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.</P> <P>(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.</P> <P>(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.</P> <P>(f) The lettering on the label shall be of a color that contrasts with the background of the label.</P> <P>(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:</P> <P>(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 to which 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 actual assembler.</P> <P>(i) If a vehicle is assembled by a corporation that is controlled by another <PRTPAGE P="185"/>corporation that assumes responsibility for conformity with the standards, the name of the controlling corporation may be used.</P> <P>(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.</P> <P>(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.”</P> <P>(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 2000”, or expressed in numerals, as “6/00”.</P> <P>(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 number of the vehicle's designated seating positions. However, for school buses the minimum occupant weight allowance shall be 120 pounds per passenger and 150 pounds for the driver.</P> <P>(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 identical 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 the label indicating to which axles the ratings apply. </P> <EXTRACT> <FP> <E T="03">Examples of combined ratings:</E> </FP> <FP>GAWR:</FP> <P>(a) All axles—2,400 kg (5,290 lb) with LT245/75R16(E) tires.</P> <P>(b) Front—5,215 kg (11,500 lb) with 295/75R22.5(G) tires.</P> <P>First intermediate to rear—9,070 kg (20,000 lb) with 295/75R22.5(G) tires.</P> </EXTRACT> <P>(5) One of the following statements, as appropriate:</P> <P>(i) For passenger cars, the statement: “This vehicle conforms to all applicable Federal motor vehicle safety, bumper, and theft prevention 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”.</P> <P>(ii) In the case of multipurpose passenger vehicles (MPVs) and trucks with a GVWR of 6,000 pounds or less, the statement: “This vehicle conforms to all applicable Federal motor vehicle safety and theft prevention 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”).</P> <P>(iii) In the case of multipurpose passenger vehicles (MPVs) and trucks with a GVWR of over 6,000 pounds, 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”.</P> <P>(6) Vehicle identification number.</P> <P>(7) The type classification of the vehicle as defined in § 571.3 of this chapter (e.g., truck, MPV, bus, trailer).</P> <P>(h) <E T="03">Multiple GVWR-GAWR ratings.</E> (1) (For passenger cars only) In cases in which different tire sizes are offered as a customer option, a manufacturer may at its option list more than one set of values for GVWR and GAWR, to meet 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 its option, list one or more tire sizes where only one set of weight ratings is provided. </P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>Passenger Car</P> <P>GVWR: 4,400 lb with P195/65R15 tires; 4,800 lb with P205/75R15 tires.</P> <P>GAWR: Front—2,000 lb with P195/65R15 tires at 24 psi; 2,200 lb with P205/75R15 tires at 24 psi. Rear—2,400 lb with P195/65R15 tires at 28 psi; 2,600 lb with P205/75R15 tires at 28 psi.</P> </EXAMPLE> <PRTPAGE P="186"/> <P>(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 contains the tire-rim combination installed as original equipment on the vehicle by the manufacturer and conforms in content and format to the requirements for tire-rim-inflation information set forth in Standard Nos. 110, 120, 129 and 139 (§§ 571.110, 571.120, 571.129 and 571.139 of this chapter).</P> <P>(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.</P> <P>(i) [Reserved]</P> <P>(j) A manufacturer may, at its option, provide information concerning which tables in the document that accompanies the vehicle pursuant to § 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.</P> <P>(k) In the case of passenger cars imported into the United States under 49 CFR 591.5(f) to which the label required by this section has not been affixed by the original assembler of the passenger car, a label meeting the requirements of this paragraph shall be affixed 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.</P> <P>(1) The label shall be riveted or permanently affixed in such a manner that it cannot be removed without destroying or defacing it.</P> <P>(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.</P> <P>(3) The lettering on the label shall be of a color that contrasts with the background of the label.</P> <P>(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:</P> <P>(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 § 565.3(h) of this chapter. “Line” is used as defined in § 541.4 of this chapter.</P> <P>(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”.</P> <P>(iii) The statement: “This vehicle conforms to the applicable Federal motor vehicle theft prevention standard in effect on the date of manufacture.”</P> <P>(l)(1) In the case of a passenger car imported into the United States under 49 CFR 591.5(f) which does not have a vehicle 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.</P> <P>(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 ___.</P> </SECTION> <SECTION> <PRTPAGE P="187"/> <SECTNO>§ 567.5</SECTNO> <SUBJECT>Requirements for manufacturers of vehicles manufactured in two or more stages.</SUBJECT> <P>(a) <E T="03">Location of information labels for incomplete vehicles.</E> Each incomplete vehicle manufacturer or intermediate vehicle manufacturer shall permanently affix a label to each incomplete vehicle, in the location and form specified in § 567.4, and in a manner that does not obscure other labels. If the locations specified in 49 CFR 567.4(c) are not practicable, the label may be provided as part of the IVD package so that it can be permanently affixed in the acceptable locations provided for in that subsection when the vehicle is sufficiently manufactured to allow placement in accordance therewith.</P> <P>(b) <E T="03">Incomplete vehicle manufacturers.</E> (1) Except as provided in paragraph (f) of this section and notwithstanding the certification of a final-stage manufacturer under 49 CFR 567.5(d)(2)(v), each manufacturer of an incomplete vehicle assumes legal responsibility for all certification-related duties and liabilities under the Vehicle Safety Act with respect to:</P> <P>(i) Components and systems it installs or supplies for installation on the incomplete vehicle, unless changed by a subsequent manufacturer;</P> <P>(ii) The vehicle as further manufactured or completed by an intermediate or final-stage manufacturer, to the extent that the vehicle is completed in accordance with the IVD; and</P> <P>(iii) The accuracy of the information contained in the IVD.</P> <P>(2) Except as provided in paragraph (f) of this section, each incomplete vehicle manufacturer shall affix an information label to each incomplete vehicle that contains the following statements:</P> <P>(i) Name of incomplete vehicle manufacturer preceded by the words “incomplete vehicle MANUFACTURED BY” or “incomplete vehicle MFD BY”.</P> <P>(ii) Month and year of manufacture of the incomplete vehicle. This may be spelled out, as in “JUNE 2000”, or expressed in numerals, as in “6/00”. No preface is required.</P> <P>(iii) “Gross Vehicle Weight Rating” or “GVWR” followed by the appropriate value in kilograms and (pounds), which shall not be less than the sum of the unloaded vehicle weight, rated cargo load, and 150 pounds times the number of the vehicle's designated seating positions, if known. However, for school buses the minimum occupant weight allowance shall be 120 pounds per passenger and 150 pounds for the driver.</P> <P>(iv) “Gross Axle Weight Rating” or “GAWR,” followed by the appropriate value in kilograms and (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 ratings apply.</P> <P>(v) Vehicle Identification Number.</P> <P>(c) <E T="03">Intermediate manufacturers.</E> (1) Except as provided in paragraphs (f) and (g) of this section and notwithstanding the certification of a final-stage manufacturer under § 567.5(d)(2)(v), each intermediate manufacturer of a vehicle manufactured in two or more stages assumes legal responsibility for all certification-related duties and liabilities under the Vehicle Safety Act with respect to:</P> <P>(i) Components and systems it installs or supplies for installation on the incomplete vehicle, unless changed by a subsequent manufacturer;</P> <P>(ii) The vehicle as further manufactured or completed by an intermediate or final-stage manufacturer, to the extent that the vehicle is completed in accordance with the addendum to the IVD furnished by the intermediate vehicle manufacturer;</P> <P>(iii) Any work done by the intermediate manufacturer on the incomplete vehicle that was not performed in accordance with the IVD or an addendum of a prior intermediate manufacturer; and</P> <P>(iv) The accuracy of the information in any addendum to the IVD furnished by the intermediate vehicle manufacturer.</P> <P>(2) Except as provided in paragraphs (f) and (g) of this section, each intermediate manufacturer of an incomplete vehicle shall affix an information <PRTPAGE P="188"/>label, in a manner that does not obscure the labels applied by previous stage manufacturers, to each incomplete vehicle, which contains the following statements:</P> <P>(i) Name of intermediate manufacturer, preceded by the words “INTERMEDIATE MANUFACTURE BY” or “INTERMEDIATE MFR”.</P> <P>(ii) Month and year in which the intermediate manufacturer performed its last manufacturing operation on the incomplete vehicle. This may be spelled out, as “JUNE 2000”, or expressed as numerals, as “6/00”. No preface is required.</P> <P>(iii) “Gross Vehicle Weight Rating” or “GVWR”, followed by the appropriate value in kilograms and (pounds), if different from that identified by the incomplete vehicle manufacturer.</P> <P>(iv) “Gross Axle Weight Rating” or “GAWR” followed by the appropriate value in kilograms and (pounds), if different from that identified by the incomplete vehicle manufacturer.</P> <P>(v) Vehicle identification number.</P> <P>(d) <E T="03">Final-stage manufacturers.</E> (1) Except as provided in paragraphs (f) and (g) of this section, each final-stage manufacturer of a vehicle manufactured in two or more stages assumes legal responsibility for all certification-related duties and liabilities under the Vehicle Safety Act, except to the extent that the incomplete vehicle manufacturer or an intermediate manufacturer has provided equipment subject to a safety standard or expressly assumed responsibility for standards related to systems and components it supplied and except to the extent that the final-stage manufacturer completed the vehicle in accordance with the prior manufacturers' IVD or any addendum furnished pursuant to 49 CFR part 568, as to the Federal motor vehicle safety standards fully addressed therein.</P> <P>(2) Except as provided in paragraphs (f) and (g) of this section, each final-stage manufacturer shall affix a certification label to each vehicle, in a manner that does not obscure the labels applied by previous stage manufacturers, and that contains the following statements:</P> <P>(i) Name of final-stage manufacturer, preceded by the words “MANUFACTURED BY” or “MFD BY”.</P> <P>(ii) Month and year in which final-stage manufacture is completed. This may be spelled out, as in “JUNE 2000”, or expressed in numerals, as in “6/00”. No preface is required.</P> <P>(iii) “Gross Vehicle Weight Rating” or “GVWR” followed by the appropriate value in kilograms and (pounds), which shall not be less than the sum of the unloaded vehicle weight, rated cargo load, and 150 pounds times the number of the vehicle's designated seating positions. However, for school buses the minimum occupant weight allowance shall be 120 pounds per passenger and 150 pounds for the driver.</P> <P>(iv) “GROSS AXLE WEIGHT RATING” or “GAWR”, followed by the appropriate value in kilograms and (pounds) for each axle, identified in order from front to rear (<E T="03">e.g.</E>, 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 ratings apply. </P> <EXAMPLE> <HD SOURCE="HED">Examples of combined ratings:</HD> <P>(a) All axles—2,400 kg (5,290 lb) with LT245/75R16(E) tires;</P> <P>(b) Front—5,215 kg (11,500 lb) with 295/75R22.5(G) tires;</P> <P>(c) First intermediate to rear—9,070 kg (20,000 lb) with 295/75R22.5(G) tires.</P> </EXAMPLE> <P>(v)(A) One of the following alternative certification statements:</P> <P>(<E T="03">1</E>) “This vehicle conforms to all applicable Federal Motor Vehicle Safety Standards, [and Bumper and Theft Prevention Standards, if applicable] in effect in (month, year).”</P> <P>(<E T="03">2</E>) “This vehicle has been completed in accordance with the prior manufacturers' IVD, where applicable. This vehicle conforms to all applicable Federal Motor Vehicle Safety Standards, [and Bumper and Theft Prevention Standards, if applicable] in effect in (month, year).”</P> <P>(<E T="03">3</E>) “This vehicle has been completed in accordance with the prior manufacturers' IVD, where applicable, except for [insert FMVSS(s)]. This vehicle conforms to all applicable Federal Motor Vehicle Safety Standards, [and <PRTPAGE P="189"/>Bumper and Theft Prevention Standards if applicable] in effect in (month, year).”</P> <P>(B) The date shown in the statement required in paragraph (d)(2)(v)(A) of this section shall not be earlier than the manufacturing date provided by the incomplete or intermediate stage manufacturer and not later than the date of completion of the final-stage manufacture.</P> <P>(C) Notwithstanding the certification statements in paragraph (d)(2)(v)(A) of this section, the legal responsibilities and liabilities for certification under the Vehicle Safety Act shall be allocated among the vehicle manufacturers as provided in 567.5(b)(1), (c)(1), and (d)(1), and 49 CFR 568.4(a)(9).</P> <P>(vi) Vehicle identification number.</P> <P>(vii) The type classification of the vehicle as defined in 49 CFR 571.3 (<E T="03">e.g.</E>, truck, MPV, bus, trailer).</P> <P>(e) 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 (d)(2)(iii) and (iv) of this section, as provided in § 567.4(h).</P> <P>(f) If an incomplete vehicle manufacturer assumes legal responsibility for all duties and liabilities for certification under the Vehicle Safety 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 (d) 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 (d)(2)(i) of this section.</P> <P>(g) If an intermediate manufacturer of a vehicle assumes legal responsibility for all duties and liabilities for certification under the Vehicle Safety 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 (d) 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 (f) of this section.</P> </SECTION> <SECTION> <SECTNO>§ 567.6</SECTNO> <SUBJECT>Requirements for persons who do not alter certified vehicles or do so with readily attachable components.</SUBJECT> <P>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 Vehicle Safety Act.</P> </SECTION> <SECTION> <SECTNO>§ 567.7</SECTNO> <SUBJECT>Requirements for persons who alter certified vehicles.</SUBJECT> <P>(a) With respect to the vehicle alterations it performs, an alterer:</P> <P>(1) Has a duty to determine continued conformity of the altered vehicle with applicable Federal motor vehicle safety, Bumper, and Theft Prevention standards, and</P> <P>(2) Assumes legal responsibility for all duties and liabilities for certification under the Vehicle Safety Act.</P> <P>(b) The vehicle manufacturer's certification label and any information labels shall remain affixed to the vehicle and the alterer shall affix to the vehicle an additional label in the manner and location specified in § 567.4, in a manner that does not obscure any previously applied labels, and containing the following information:</P> <P>(1) 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, Bumper and Theft Prevention Standards affected by the alteration and in effect in (month, year).” The second date shall be no earlier than the date of manufacture of the certified vehicle (as specified on <PRTPAGE P="190"/>the certification label), and no later than the date alterations were completed.</P> <P>(2) 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 § 567.4(g)(3) and (4).</P> <P>(3) 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.</P> </SECTION> </PART> <PART> <EAR>Pt. 568</EAR> <HD SOURCE="HED">PART 568—VEHICLES MANUFACTURED IN TWO OR MORE STAGES—ALL INCOMPLETE, INTERMEDIATE AND FINAL-STAGE MANUFACTURERS OF VEHICLES MANUFACTURED IN TWO OR MORE STAGES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>568.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>568.2</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>568.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>568.4</SECTNO> <SUBJECT>Requirements for incomplete vehicle manufacturers.</SUBJECT> <SECTNO>568.5</SECTNO> <SUBJECT>Requirements for intermediate manufacturers.</SUBJECT> <SECTNO>568.6</SECTNO> <SUBJECT>Requirements for final-stage manufacturers.</SUBJECT> <SECTNO>568.7</SECTNO> <SUBJECT>Requirements for manufacturers who assume legal responsibility for a vehicle.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 30111, 30115, 30117, 30166 delegation of authority at 49 CFR 1.50.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>70 FR 7434, Feb. 14, 2005, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 568.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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, as amended (49 U.S.C. § 30115) and the Motor Vehicle Information and Cost Savings Act, as amended (49 U.S.C. 32504 and 33108(c)).</P> </SECTION> <SECTION> <SECTNO>§ 568.2</SECTNO> <SUBJECT>Application.</SUBJECT> <P>This part applies to incomplete vehicle manufacturers, intermediate manufacturers, and final-stage manufacturers of vehicles manufactured in two or more stages.</P> </SECTION> <SECTION> <SECTNO>§ 568.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>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. The definitions contained in 49 CFR Part 567 apply to this part.</P> </SECTION> <SECTION> <SECTNO>§ 568.4</SECTNO> <SUBJECT>Requirements for incomplete vehicle manufacturers.</SUBJECT> <P>(a) The incomplete vehicle manufacturer shall furnish for each incomplete vehicle, at or before the time of delivery, an incomplete vehicle document (“IVD”) that contains the following statements, in the order shown, and all other information required by this part to be included therein:</P> <P>(1) Name and mailing address of the incomplete vehicle manufacturer.</P> <P>(2) Month and year during which the incomplete vehicle manufacturer performed its last manufacturing operation on the incomplete vehicle.</P> <P>(3) Identification of the incomplete vehicle(s) to which the document applies. The identification shall be by vehicle identification number (VIN) or groups of VINs to permit a person to ascertain positively that a document applies to a particular incomplete vehicle after the document has been removed from the vehicle.</P> <P>(4) Gross vehicle weight rating (GVWR) of the completed vehicle for which the incomplete vehicle is intended.</P> <P>(5) Gross axle weight rating (GAWR) for each axle of the completed vehicle for which the incomplete vehicle is intended, listed and identified in order from front to rear (<E T="03">e.g.</E>, 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, at the option of the incomplete vehicle manufacturer, be stated as a single value, with the label indicating to which axles the ratings apply. </P> <EXAMPLE> <PRTPAGE P="191"/> <HD SOURCE="HED">Examples of combined ratings:</HD> <P>(a) All axles—2,400 kg (5,290 lb) with LT245/75R16(E) tires;</P> <P>(b) Front—5,215 kg (11,500 lb) with 295/75R22.5(G) tires.</P> <P>(c) First intermediate to rear—9,070 kg (20,000 lb) with 295/75R22.5(G) tires.</P> </EXAMPLE> <P>(6) Listing of the vehicle types as defined in 49 CFR 571.3 (<E T="03">e.g.</E>, truck, MPV, bus, trailer) into which the incomplete vehicle may appropriately be manufactured.</P> <P>(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 paragraph (a)(6) of this section, followed in each case by one of the following three types of statement, as applicable:</P> <P>(i) Type 1—A statement that the vehicle when completed will conform to the standard if no alterations are made in identified components of the incomplete vehicle. </P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>104-This vehicle when completed will conform to FMVSS No. 104, Windshield Wiping and Washing Systems, if no alterations are made in the windshield wiper components.</P> </EXAMPLE> <P>(ii) Type 2—A statement of specific conditions of final manufacture under which the manufacturer specifies that the completed vehicle will conform to the standard. </P> <EXAMPLE> <HD SOURCE="HED">Example:</HD> <P>121—This vehicle when completed will conform to FMVSS No. 121, Air Brake Systems, 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.</P> </EXAMPLE> <P>(iii) Type 3—A statement that conformity with the standard cannot be determined based upon the components supplied on the incomplete vehicle, and that the incomplete vehicle manufacturer makes no representation as to conformity with the standard.</P> <P>(8) Each document shall contain a table of contents or chart summarizing all the standards applicable to the vehicle pursuant to 49 CFR 568.4(a)(7).</P> <P>(9) A certification that the statements contained in the incomplete vehicle document are accurate as of the date of manufacture of the incomplete vehicle and can be used and relied on by any intermediate and/or final-stage manufacturer as a basis for certification.</P> <P>(b) To the extent the IVD expressly incorporates by reference body builder or other design and engineering guidance (Reference Material), the incomplete vehicle manufacturer shall make such Reference Material readily available to subsequent manufacturers. Reference Materials incorporated by reference in the IVD shall be deemed to be part of the IVD.</P> <P>(c) The IVD 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. The Reference Material in paragraph (b) of this section need not be attached to each vehicle.</P> <CITA>[70 FR 7434, Feb. 14, 2005, as amended at 71 FR 28197, May 15, 2006]</CITA> </SECTION> <SECTION> <SECTNO>§ 568.5</SECTNO> <SUBJECT>Requirements for intermediate manufacturers.</SUBJECT> <P>Each intermediate manufacturer of a vehicle manufactured in two or more stages shall furnish to the final-stage manufacturer the document required by 49 CFR 568.4 in the manner specified in that section. If any of the changes in the vehicle made by the intermediate manufacturer affects the validity of the statements in the IVD, that manufacturer shall furnish an addendum to the IVD that contains its name and mailing address and an indication of all changes that should be made in the IVD to reflect changes that it made to the vehicle. The addendum shall contain a certification by the intermediate manufacturer that the statements contained in the addendum are accurate as of the date of manufacture by the intermediate manufacturer and can be used and relied on by any subsequent intermediate manufacturer(s) and the final-stage manufacturer as a basis for certification.</P> </SECTION> <SECTION> <SECTNO>§ 568.6</SECTNO> <SUBJECT>Requirements for final-stage manufacturers.</SUBJECT> <P>Each final-stage manufacturer shall complete the vehicle in such a manner that it conforms to the applicable standards in effect on the date selected <PRTPAGE P="192"/>by the final-stage manufacturer, including 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.</P> </SECTION> <SECTION> <SECTNO>§ 568.7</SECTNO> <SUBJECT>Requirements for manufacturers who assume legal responsibility for a vehicle.</SUBJECT> <P>(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, as amended (49 U.S.C. chapter 301) (hereafter referred to as the Act), with respect to a vehicle as finally manufactured, the requirements of §§ 568.4, 568.5 and 568.6 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 49 CFR 567.5(f).</P> <P>(b) If an intermediate manufacturer of a vehicle assumes legal responsibility for all duties and liabilities imposed on manufacturers by the Vehicle Safety Act, with respect to the vehicle as finally manufactured, §§ 568.5 and 568.6 do not apply to that vehicle. In such a case, the intermediate manufacturer shall ensure that a label is affixed to the final vehicle in conformity with 49 CFR 567.5(g). The assumption of responsibility by an intermediate manufacturer does not, however, change the requirements for incomplete vehicle manufacturers in § 568.4.</P> </SECTION> </PART> <PART> <EAR>Pt. 569</EAR> <HD SOURCE="HED">PART 569—REGROOVED TIRES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>569.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>569.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>569.5</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>569.7</SECTNO> <SUBJECT>Requirements.</SUBJECT> <SECTNO>569.9</SECTNO> <SUBJECT>Labeling of regroovable tires.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Secs. 119, 204, 80 Stat. 728, 729 (15 U.S.C. 1407, 1424); and Secretary's delegation of authority, 49 CFR 1.4(c).</P> </AUTH> <SECTION> <SECTNO>§ 569.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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.</P> <CITA>[42 FR 21613, Apr. 28, 1977]</CITA> </SECTION> <SECTION> <SECTNO>§ 569.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) <E T="03">Regroovable tire</E> 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.</P> <P>(d) <E T="03">Regrooved tire</E> 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.</P> <CITA>[34 FR 1150, Jan. 24, 1969. Redesignated at 35 FR 5118, Mar. 26, 1970]</CITA> </SECTION> <SECTION> <SECTNO>§ 569.5</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>(a) <E T="03">General.</E> 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.</P> <P>(b) <E T="03">Export.</E> This part does not apply to regrooved or regroovable tires intended solely for export and so labeled or tagged.</P> <CITA>[34 FR 1150, Jan. 24, 1969. Redesignated at 35 FR 5118, Mar. 26, 1970]</CITA> </SECTION> <SECTION> <SECTNO>§ 569.7</SECTNO> <SUBJECT>Requirements.</SUBJECT> <P>(a) <E T="03">Regrooved tires.</E> (1) Except as permitted by paragraph (a)(2) of this section, no person shall sell, offer for sale, or introduce or deliver for introduction <PRTPAGE P="193"/>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.</P> <P>(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:</P> <P>(i) The tire being regrooved shall be a regroovable tire;</P> <P>(ii) After regrooving, cord material below the grooves shall have a protective covering of tread material at least <FR>3/32</FR>-inch thick;</P> <P>(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;</P> <P>(iv) After regrooving, the new groove width generated into the tread material shall be a minimum of <FR>3/16</FR>-inch and a maximum of <FR>5/16</FR>-inch;</P> <P>(v) After regrooving, all new grooves cut into the tread shall provide unobstructed fluid escape passages; and</P> <P>(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:</P> <P>(A) Cracking which extends to the fabric,</P> <P>(B) Groove cracks or wear extending to the fabric, or</P> <P>(C) Evidence of ply, tread, or sidewall separation;</P> <P>(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.</P> <P>(b) <E T="03">Siped regroovable tires.</E> 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.</P> <CITA>[39 FR 15039, Apr. 30, 1974, as amended at 42 FR 21613, Apr. 28, 1977]</CITA> </SECTION> <SECTION> <SECTNO>§ 569.9</SECTNO> <SUBJECT>Labeling of regroovable tires.</SUBJECT> <P>(a) <E T="03">Regroovable tires.</E> 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.</P> <CITA>[34 FR 1150, Jan. 24, 1969; 34 FR 1830, Feb. 7, 1969]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 570</EAR> <HD SOURCE="HED">PART 570—VEHICLE IN USE INSPECTION STANDARDS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Vehicles With GVWR of 10,000 Pounds or Less</HD> <SECHD>Sec.</SECHD> <SECTNO>570.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>570.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>570.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>570.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>570.5</SECTNO> <SUBJECT>Service brake system.</SUBJECT> <SECTNO>570.6</SECTNO> <SUBJECT>Brake power unit.</SUBJECT> <SECTNO>570.7</SECTNO> <SUBJECT>Steering systems.</SUBJECT> <SECTNO>570.8</SECTNO> <SUBJECT>Suspension systems.</SUBJECT> <SECTNO>570.9</SECTNO> <SUBJECT>Tires.</SUBJECT> <SECTNO>570.10</SECTNO> <SUBJECT>Wheel assemblies.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Vehicles With GVWR of More Than 10,000 Pounds</HD> <SECTNO>570.51</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>570.52</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>570.53</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>570.54</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>570.55</SECTNO> <SUBJECT>Hydraulic brake system.</SUBJECT> <SECTNO>570.56</SECTNO> <SUBJECT>Vacuum brake assist unit and vacuum brake system.</SUBJECT> <SECTNO>570.57</SECTNO> <SUBJECT>Air brake system and air-over-hydraulic brake subsystem.</SUBJECT> <SECTNO>570.58</SECTNO> <SUBJECT>Electric brake system.</SUBJECT> <SECTNO>570.59</SECTNO> <SUBJECT>Service brake system.</SUBJECT> <SECTNO>570.60</SECTNO> <SUBJECT>Steering system.</SUBJECT> <SECTNO>570.61</SECTNO> <SUBJECT>Suspension system.</SUBJECT> <SECTNO>570.62</SECTNO> <SUBJECT>Tires.<PRTPAGE P="194"/> </SUBJECT> <SECTNO>570.63</SECTNO> <SUBJECT>Wheel assemblies.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SUBPART> <HD SOURCE="HED">Subpart A—Vehicles With GVWR of 10,000 Pounds or Less</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>38 FR 23950, Sept. 5, 1973, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 570.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 570.2</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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 attributable to failure or inadequate performance of motor vehicle systems.</P> </SECTION> <SECTION> <SECTNO>§ 570.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 570.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 570.5</SECTNO> <SUBJECT>Service brake system.</SUBJECT> <P>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.</P> <P>(a) <E T="03">Failure indicator.</E> 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.)</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(b) <E T="03">Brake system integrity.</E> 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.</P> <P>(1) <E T="03">Inspection procedures.</E> 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.</P> <P>(c) <E T="03">Brake pedal reserve.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <FP>Determine the percentage as</FP> <FP SOURCE="FP-1">[(A−B)/A]×100.</FP> <FP>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.</FP> <P>(d) <E T="03">Service brake performance.</E> Compliance with one of the following performance criteria will satisfy the requirements of this section. Verify that tire <PRTPAGE P="195"/>inflation pressure is within the limits recommended by vehicle manufacturer before conducting either of the following tests.</P> <P>(1) <E T="03">Roller-type or drive-on platform tests.</E> 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.</P> <P>(i) <E T="03">Inspection procedure.</E> 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.</P> <P>(2) <E T="03">Road test.</E> The service brake system shall stop the vehicle in a distance of 25 feet or less from a speed of 20 miles per hour without leaving a 12-foot-wide lane.</P> <P>(i) <E T="03">Inspection procedure.</E> 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.</P> <P>(e) <E T="03">Brake hoses and assemblies.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually, inspecting front brake hoses through all wheel positions from full left to full right for conditions indicated.</P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>To inspect for paragraphs (f), (g), and (h) of this section, remove at a minimum one front wheel and one rear wheel.</P> </NOTE> <P>(f) <E T="03">Disc and drum condition.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for condition indicated, measuring as necessary.</P> <P>(g) <E T="03">Friction materials.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(h) <E T="03">Structural and mechanical parts.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for conditions indicated.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 570.6</SECTNO> <SUBJECT>Brake power unit.</SUBJECT> <P>(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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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 <PRTPAGE P="196"/>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.</P> </SECTION> <SECTION> <SECTNO>§ 570.7</SECTNO> <SUBJECT>Steering systems.</SUBJECT> <P>(a) <E T="03">System play.</E> Lash or free play in the steering system shall not exceed values shown in Table 1.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Table 1—Steering System Free Play Values</TTITLE> <BOXHD> <CHED H="1">Steering wheel diameter (inches)</CHED> <CHED H="1">Lash (inches)</CHED> </BOXHD> <ROW> <ENT I="01">16 or less</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">18</ENT> <ENT>2<FR>1/4</FR> </ENT> </ROW> <ROW> <ENT I="01">20</ENT> <ENT>2<FR>1/2</FR> </ENT> </ROW> <ROW> <ENT I="01">22</ENT> <ENT>2<FR>3/4</FR> </ENT> </ROW> </GPOTABLE> <P>(b) <E T="03">Linkage play.</E> Free play in the steering linkage shall not exceed one-quarter of an inch.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(c) <E T="03">Free turning.</E> Steering wheels shall turn freely through the limit of travel in both directions.</P> <P>(1) <E T="03">Inspection procedure.</E> Turn off steering wheel through the limit of travel in both directions. Feel for binding or jamming in the steering gear mechanism.</P> <P>(d) <E T="03">Alignment.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <GPOTABLE CDEF="s10,7,7,7,7,7,7,7,7,7,7" COLS="11" OPTS="L2"> <TTITLE>Table I—Toe-in Settings From Vehicle MFR's Service Specifications</TTITLE> <BOXHD> <CHED H="1">Wheel size (inches)</CHED> <CHED H="1">Nominal tire diameter (inches)</CHED> <CHED H="1">Readings in feet per mile sideslip</CHED> <CHED H="2"> <FR>1/16</FR> in</CHED> <CHED H="2"> <FR>1/8</FR> in</CHED> <CHED H="2"> <FR>3/16</FR> in</CHED> <CHED H="2"> <FR>1/4</FR> in</CHED> <CHED H="2"> <FR>5/16</FR> in</CHED> <CHED H="2"> <FR>3/8</FR> in</CHED> <CHED H="2"> <FR>7/16</FR> in</CHED> <CHED H="2"> <FR>1/2</FR> in</CHED> <CHED H="2"> <FR>9/16</FR> in</CHED> </BOXHD> <ROW> <ENT I="01">13</ENT> <ENT>25.2</ENT> <ENT>13.1</ENT> <ENT>26.2</ENT> <ENT>39.3</ENT> <ENT>52.4</ENT> <ENT>65.5</ENT> <ENT>78.6</ENT> <ENT>91.7</ENT> <ENT>104.8</ENT> <ENT>117.9</ENT> </ROW> <ROW> <ENT I="01">14</ENT> <ENT>26.4</ENT> <ENT>12.5</ENT> <ENT>25.0</ENT> <ENT>37.5</ENT> <ENT>50.0</ENT> <ENT>62.5</ENT> <ENT>75.0</ENT> <ENT>87.5</ENT> <ENT>100.0</ENT> <ENT>112.5</ENT> </ROW> <ROW> <ENT I="01">15</ENT> <ENT>28.5</ENT> <ENT>11.5</ENT> <ENT>23.0</ENT> <ENT>34.5</ENT> <ENT>46.0</ENT> <ENT>57.5</ENT> <ENT>69.0</ENT> <ENT>80.5</ENT> <ENT>92.0</ENT> <ENT>103.5</ENT> </ROW> <ROW> <ENT I="01">16</ENT> <ENT>35.6</ENT> <ENT>9.3</ENT> <ENT>18.6</ENT> <ENT>27.9</ENT> <ENT>37.2</ENT> <ENT>46.5</ENT> <ENT>55.8</ENT> <ENT>65.1</ENT> <ENT>74.4</ENT> <ENT>83.7</ENT> </ROW> </GPOTABLE> <P>(e) <E T="03">Power steering system.</E> The power steering system shall not have cracked or slipping belts, or insufficient fluid in the reservoir.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine fluid reservoir and pump belts for conditions indicated.</P> <CITA>[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974]</CITA> </SECTION> <SECTION> <SECTNO>§ 570.8</SECTNO> <SUBJECT>Suspension systems.</SUBJECT> <P>(a) <E T="03">Suspension condition.</E> 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 <PRTPAGE P="197"/>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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine front and rear end suspension parts for conditions indicated.</P> <P>(b) <E T="03">Shock absorber condition.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <CITA>[38 FR 23950, Sept. 5, 1973, as amended at 44 FR 68470, Nov. 29, 1979]</CITA> </SECTION> <SECTION> <SECTNO>§ 570.9</SECTNO> <SUBJECT>Tires.</SUBJECT> <P>(a) <E T="03">Tread depth.</E> The tread on each tire shall be not less than two thirty-seconds of an inch deep.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(b) <E T="03">Type.</E> Vehicle shall be equipped with tires on the same axle that are matched in tire size designation, construction, and profile.</P> <P>(1) <E T="03">Inspection procedures.</E> 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.</P> <P>(c) <E T="03">General condition.</E> Tires shall be free from chunking, bumps, knots, or bulges evidencing cord, ply, or tread separation from the casing or other adjacent materials.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for conditions indicated.</P> <P>(d) <E T="03">Damage.</E> Tire cords or belting materials shall not be exposed, either to the naked eye or when cuts or abrasions on the tire are probed.</P> <P>(1) <E T="03">Inspection procedures.</E> Examine visually for conditions indicated, using a blunt instrument if necessary to probe cuts or abrasions.</P> <CITA>[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974; 39 FR 19781, June 4, 1974]</CITA> </SECTION> <SECTION> <SECTNO>§ 570.10</SECTNO> <SUBJECT>Wheel assemblies.</SUBJECT> <P>(a) <E T="03">Wheel integrity.</E> A tire rim, wheel disc, or spider shall have no visible cracks, elongated bolt holes, or indication of repair by welding.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for conditions indicated.</P> <P>(b) <E T="03">Deformation.</E> The lateral and radial runout of each rim bead area shall not exceed one-eighth of an inch of total indicated runout.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(c) <E T="03">Mounting.</E> All wheel nuts and bolts shall be in place and tight.</P> <P>(1) <E T="03">Inspection procedure.</E> Check wheel retention for conditions indicated.</P> <CITA>[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Vehicles With GVWR of More Than 10,000 Pounds</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>39 FR 26027, July 16, 1974, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 570.51</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 570.52</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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 <PRTPAGE P="198"/>injuries attributable to failure or inadequate performance of the motor vehicle systems covered by this part.</P> </SECTION> <SECTION> <SECTNO>§ 570.53</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>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.</P> <CITA>[39 FR 28980, Aug. 13, 1974]</CITA> </SECTION> <SECTION> <SECTNO>§ 570.54</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>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.</P> <P> <E T="03">Air-over-hydraulic brake subsystem</E> means a subsystem of the air brake that uses compressed air to transmit a force from the driver control to a hydraulic brake system to actuate the service brakes.</P> <P> <E T="03">Electric brake system</E> means a system that uses electric current to actuate the service brake.</P> <P> <E T="03">Vacuum brake system</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 570.55</SECTNO> <SUBJECT>Hydraulic brake system.</SUBJECT> <P>The following requirements apply to vehicles with hydraulic brake systems.</P> <P>(a) <E T="03">Brake system failure indicator.</E> The hydraulic brake system failure indicator lamp, if part of a vehicle's original equipment, shall be operable.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(b) <E T="03">Brake system integrity.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(c) <E T="03">Brake pedal reserve.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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 </P> <FP SOURCE="FP-1">[(A − B) / A] × 100</FP> <FP>The engine must be operating when power-assisted brakes are checked.</FP> <P>(d) <E T="03">Brake hoses, master cylinder, tubes and tube assemblies.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually brake master cylinder, hoses and tubes, including front brake hoses, <PRTPAGE P="199"/>through all wheel positions from full left turn to full right turn for conditions indicated.</P> <CITA>[39 FR 26027, July 16, 1974, as amended at 40 FR 5160, Feb. 4, 1975]</CITA> </SECTION> <SECTION> <SECTNO>§ 570.56</SECTNO> <SUBJECT>Vacuum brake assist unit and vacuum brake system.</SUBJECT> <P>The following requirements apply to vehicles with vacuum brake assist units and vacuum brake systems.</P> <P>(a) <E T="03">Vacuum brake assist unit integrity.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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 force when the engine starts, there is a malfunction in the power assist unit.</P> <P>(b) <E T="03">Low-vacuum indicator.</E> If the vehicle has a low-vacuum indicator, the indicator activation level shall not be less than 8 inches of mercury.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(c) <E T="03">Vacuum brake system integrity.</E> (1) The vacuum brake system shall demonstrate integrity by meeting the following requirements:</P> <P>(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.</P> <P>(ii) Trailer vacuum brakes shall operate in conjunction with the truck or truck tractor brake pedal.</P> <P>(2) <E T="03">Inspection procedure.</E> (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.</P> <P>(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.</P> <P>(d) <E T="03">Vacuum system hoses, tubes and connections.</E> Vacuum hoses, tubes and connections shall be in place and properly supported. Vacuum hoses shall not be collapsed, cracked or abraded.</P> <P>(1) <E T="03">Inspection procedure.</E> With the engine running, examine hoses and tubes for the conditions indicated and note broken or missing clamps.</P> </SECTION> <SECTION> <SECTNO>§ 570.57</SECTNO> <SUBJECT>Air brake system and air-over-hydraulic brake subsystem.</SUBJECT> <P>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.</P> <P>(a) <E T="03">Air brake system integrity.</E> The air brake system shall demonstrate integrity by meeting the following requirements:</P> <P>(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.</P> <P>(2) The air brake system compressor shall increase the air pressure in the reservoir(s) from the level developed after the test prescribed in § 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 <PRTPAGE P="200"/>vehicles, manufactured on or after March 1, 1975, the time allowed for air pressure buildup shall not exceed 45 seconds.</P> <P>(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.</P> <P>(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.</P> <P>(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 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.</P> <P>(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.</P> <P>(7) The compressor drive belt shall not be badly worn or frayed and belt-tension shall be sufficient to prevent slippage.</P> <FP> <E T="03">Inspection procedure.</E> 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.</FP> <P>(b) <E T="03">Air brake system hoses, tubes and connections.</E> Air system tubes, hoses and connections shall not be restricted, cracked or improperly supported, and the air hose shall not be abraded.</P> <P>(1) <E T="03">Inspection procedure.</E> Stop the engine and examine air hoses, tubes and connections visually for conditions specified.</P> <P>(c) <E T="03">Air-over-hydraulic brake subsystem integrity.</E> The air-over-hydraulic brake subsystem shall demonstrate integrity by meeting the following requirements:</P> <P>(1) The air brake system compressor shall increase the air pressure in the reservoir(s) from the level developed after the test prescribed in § 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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="201"/>applied. Allow a 1-psi pressure drop in 1 minute for each additional towed vehicle.</P> <P>(6) The compressor drive belt shall not be badly worn or frayed and belt tension shall be sufficient to prevent slippage.</P> <FP> <E T="03">Inspection procedure.</E> 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 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.</FP> <P>(d) <E T="03">Air-over-hydraulic brake subsystem hoses, master cylinder, tubes and connections.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Stop the engine and examine air and hydraulic brake hoses, brake master cylinder, tubes and connections visually for conditions specified.</P> <CITA>[39 FR 26027, July 16, 1974, as amended at 40 FR 5160, Feb. 4, 1975; 41 FR 13924, Apr. 1, 1976]</CITA> </SECTION> <SECTION> <SECTNO>§ 570.58</SECTNO> <SUBJECT>Electric brake system.</SUBJECT> <P>(a) <E T="03">Electric brake system integrity.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(b) <E T="03">Electric brake wiring condition.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for conditions specified.</P> </SECTION> <SECTION> <SECTNO>§ 570.59</SECTNO> <SUBJECT>Service brake system.</SUBJECT> <P>(a) <E T="03">Service brake performance.</E> 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.</P> <P>(1) <E T="03">Roller-type or drive-on platform tests.</E> 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.</P> <P>(i) <E T="03">Inspection procedure.</E> 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.</P> <P>(2) <E T="03">Road test.</E> 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 <PRTPAGE P="202"/>speed of 20 mph, without leaving a 12-foot-wide lane.</P> <P>(i) <E T="03">Inspection procedure.</E> 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. </P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>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.</P> </NOTE> <P>(b) <E T="03">Disc and drum condition.</E> 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 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for the condition indicated, measuring as necessary.</P> <P>(c) <E T="03">Friction materials.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(d) <E T="03">Structural and mechanical parts.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for conditions indicated.</P> </SECTION> <SECTION> <SECTNO>§ 570.60</SECTNO> <SUBJECT>Steering system.</SUBJECT> <P>(a) <E T="03">System play.</E> Lash or free play in the steering system shall not exceed the values shown in Table 2.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Table 2. Steering Wheel Free Play Values</TTITLE> <BOXHD> <CHED H="1">Steering wheel diameter (inches)</CHED> <CHED H="1">Lash (inches)</CHED> </BOXHD> <ROW> <ENT I="01">16 or less</ENT> <ENT>2</ENT> </ROW> <ROW> <ENT I="01">18</ENT> <ENT>2<FR>1/4</FR> </ENT> </ROW> <ROW> <ENT I="01">20</ENT> <ENT>2<FR>1/2</FR> </ENT> </ROW> <ROW> <ENT I="01">22</ENT> <ENT>2<FR>3/4</FR> </ENT> </ROW> </GPOTABLE> <P>(b) <E T="03">Linkage play.</E> Free play in the steering linkage shall not exceed the values shown in Table 3.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Table 3. Front Wheel Steering Linkage Free Play</TTITLE> <BOXHD> <CHED H="1">Nominal bead diameter or rim size (inches)</CHED> <CHED H="1">Play (inches)</CHED> </BOXHD> <ROW> <ENT I="01">16 or less</ENT> <ENT> <FR>1/4</FR> </ENT> </ROW> <ROW> <ENT I="01">16.01 through 18.00</ENT> <ENT> <FR>3/8</FR> </ENT> </ROW> <ROW> <ENT I="01">18.01 or more</ENT> <ENT> <FR>1/2</FR> </ENT> </ROW> </GPOTABLE> <P>(c) <E T="03">Free turning.</E> Steering wheels shall turn freely through the limit of travel in both directions.</P> <P>(1) <E T="03">Inspection procedure.</E> With the engine running on a vehicle with power <PRTPAGE P="203"/>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.</P> <P>(d) <E T="03">Alignment.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(e) <E T="03">Power steering system.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine fluid reservoir, hoses and pump belts for the conditions indicated.</P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>Inspection of the suspension system must not precede the service brake performance test.</P> </NOTE> </SECTION> <SECTION> <SECTNO>§ 570.61</SECTNO> <SUBJECT>Suspension system.</SUBJECT> <P>(a) <E T="03">Suspension condition.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine front and rear end suspension parts for the conditions indicated.</P> <P>(b) <E T="03">Shock absorber condition.</E> There shall be no oil on the shock absorber housings attributable to leakage by the seal.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine shock absorbers for oil leakage from within.</P> </SECTION> <SECTION> <SECTNO>§ 570.62</SECTNO> <SUBJECT>Tires.</SUBJECT> <P>(a) <E T="03">Tread depth.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> For tires with treadwear indicators, check for indicators in any two adjacent major grooves at three locations spaced approximately 120° 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° apart around the circumference of the tire at the area of greatest wear.</P> <P>(b) <E T="03">Type.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> 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.</P> <P>(c) <E T="03">General condition.</E> Tires shall be free from chunking, bumps, knots, or bulges evidencing cord, ply or tread separation from the casing.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for the conditions indicated.</P> <P>(d) <E T="03">Damage.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for the conditions indicated, using a blunt instrument if necessary to probe cuts and abrasions.</P> <P>(e) <E T="03">Special purpose tires.</E> 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.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for tires labeled with specific restrictions.</P> </SECTION> <SECTION> <PRTPAGE P="204"/> <SECTNO>§ 570.63</SECTNO> <SUBJECT>Wheel assemblies.</SUBJECT> <P>(a) <E T="03">Wheel integrity.</E> A tire rim, wheel disc or spider shall have no visible cracks, elongated bolt holes, or indications of in-service repair by welding.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for the conditions indicated.</P> <P>(b) <E T="03">Cast wheels.</E> Cast wheels shall not be cracked or show evidence of excessive wear in the clamp area.</P> <P>(1) <E T="03">Inspection procedure.</E> Examine visually for the conditions indicated.</P> <P>(c) <E T="03">Mounting.</E> All wheel nuts shall be in place and tight.</P> <P>(1) <E T="03">Inspection procedure.</E> Check wheel retention for the conditions indicated.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 571</EAR> <HD SOURCE="HED">PART 571—FEDERAL MOTOR VEHICLE SAFETY STANDARDS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>571.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>571.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>571.4</SECTNO> <SUBJECT>Explanation of usage.</SUBJECT> <SECTNO>571.5</SECTNO> <SUBJECT>Matter incorporated by reference.</SUBJECT> <SECTNO>571.7</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>571.8</SECTNO> <SUBJECT>Effective date.</SUBJECT> <SECTNO>571.9</SECTNO> <SUBJECT>Separability.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Federal Motor Vehicle Safety Standards</HD> <SECTNO>571.101</SECTNO> <SUBJECT>Standard No. 101; Controls and displays.</SUBJECT> <SECTNO>571.102</SECTNO> <SUBJECT>Standard No. 102; Transmission shift position sequence, starter interlock, and transmission braking effect.</SUBJECT> <SECTNO>571.103</SECTNO> <SUBJECT>Standard No. 103; Windshield defrosting and defogging systems.</SUBJECT> <SECTNO>571.104</SECTNO> <SUBJECT>Standard No. 104; Windshield wiping and washing systems.</SUBJECT> <SECTNO>571.105</SECTNO> <SUBJECT>Standard No. 105; Hydraulic and electric brake systems.</SUBJECT> <SECTNO>571.106</SECTNO> <SUBJECT>Standard No. 106; Brake hoses.</SUBJECT> <SECTNO>571.107</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>571.108</SECTNO> <SUBJECT>Standard No. 108; Lamps, reflective devices, and associated equipment.</SUBJECT> <SECTNO>571.109</SECTNO> <SUBJECT>Standard No. 109; New pneumatic and certain specialty tires.</SUBJECT> <SECTNO>571.110</SECTNO> <SUBJECT>Standard No. 110; Tire selection and rims for motor vehicles with a GVWR of 4,536 kilograms (10,000 pounds) or less.</SUBJECT> <SECTNO>571.111</SECTNO> <SUBJECT>Standard No. 111; Rearview mirrors.</SUBJECT> <SECTNO>571.112</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>571.113</SECTNO> <SUBJECT>Standard No. 113; Hood latch system.</SUBJECT> <SECTNO>571.114</SECTNO> <SUBJECT>Standard No. 114; Theft protection.</SUBJECT> <SECTNO>571.115</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>571.116</SECTNO> <SUBJECT>Standard No. 116; Motor vehicle brake fluids.</SUBJECT> <SECTNO>571.117</SECTNO> <SUBJECT>Standard No. 117; Retreaded pneumatic tires.</SUBJECT> <SECTNO>571.118</SECTNO> <SUBJECT>Standard No. 118; Power-operated window, partition, and roof panel systems.</SUBJECT> <SECTNO>571.119</SECTNO> <SUBJECT> Standard No. 119; New pneumatic tires for motor vehicles with a GVWR of more than 4,536 kilograms (10,000 pounds) and motorcycles.</SUBJECT> <SECTNO>571.120</SECTNO> <SUBJECT> Standard No. 120; Tire selection and rims for motor vehicles with a GVWR of more than 4,536 kilograms (10,000 pounds).</SUBJECT> <SECTNO>571.121</SECTNO> <SUBJECT>Standard No. 121; Air brake systems.</SUBJECT> <SECTNO>571.122</SECTNO> <SUBJECT>Standard No. 122; Motorcycle brake systems.</SUBJECT> <SECTNO>571.123</SECTNO> <SUBJECT>Standard No. 123; Motorcycle controls and displays.</SUBJECT> <SECTNO>571.124</SECTNO> <SUBJECT>Standard No. 124; Accelerator control systems.</SUBJECT> <SECTNO>571.125</SECTNO> <SUBJECT>Standard No. 125; Warning devices.</SUBJECT> <SECTNO>571.126</SECTNO> <SUBJECT>Standard No. 126; Electronic stability control systems.</SUBJECT> <SECTNO>571.127-571.128</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>571.129</SECTNO> <SUBJECT>Standard No. 129; New non-pneumatic tires for passenger cars.</SUBJECT> <SECTNO>571.131</SECTNO> <SUBJECT>Standard No. 131; School bus pedestrian safety devices.</SUBJECT> <SECTNO>571.135</SECTNO> <SUBJECT>Standard No. 135; Light vehicle brake systems.</SUBJECT> <SECTNO>571.138</SECTNO> <SUBJECT>Standard No. 138; Tire pressure monitoring systems.</SUBJECT> <SECTNO>571.139</SECTNO> <SUBJECT>Standard No. 139; New pneumatic radial tires for light vehicles.</SUBJECT> <SECTNO>571.201</SECTNO> <SUBJECT>Standard No. 201; Occupant protection in interior impact.</SUBJECT> <SECTNO>571.202</SECTNO> <SUBJECT>Standard No. 202; Head restraints; Applicable at the manufacturers option until September 1, 2009.</SUBJECT> <SECTNO>571.202a</SECTNO> <SUBJECT>Standard No. 202a; Head restraints; Mandatory applicability begins on September 1, 2009.</SUBJECT> <SECTNO>571.203</SECTNO> <SUBJECT>Standard No. 203; Impact protection for the driver from the steering control system.</SUBJECT> <SECTNO>571.204</SECTNO> <SUBJECT>Standard No. 204; Steering control rearward displacement.</SUBJECT> <SECTNO>571.205</SECTNO> <SUBJECT>Standard No. 205; Glazing materials.</SUBJECT> <SECTNO>571.205(a)</SECTNO> <SUBJECT>Glazing equipment manufactured before September 1, 2006 and glazing materials used in vehicles manufactured before November 1, 2006.</SUBJECT> <SECTNO>571.206</SECTNO> <SUBJECT>Standard No. 206; Door locks and door retention components.</SUBJECT> <SECTNO>571.207</SECTNO> <SUBJECT>Standard No. 207; Seating systems.</SUBJECT> <SECTNO>571.208</SECTNO> <SUBJECT>Standard No. 208; Occupant crash protection.</SUBJECT> <SECTNO>571.208a</SECTNO> <SUBJECT>Optional test procedures for vehicles manufactured between January 27, 2004 and August 31, 2004.</SUBJECT> <SECTNO>571.209</SECTNO> <SUBJECT>Standard No. 209; Seat belt assemblies.</SUBJECT> <SECTNO>571.210</SECTNO> <SUBJECT>Standard No. 210; Seat belt assembly anchorages.</SUBJECT> <SECTNO>571.211</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>571.212</SECTNO> <SUBJECT>Standard No. 212; Windshield mounting.</SUBJECT> <SECTNO>571.213</SECTNO> <SUBJECT>Standard No. 213; Child restraint systems.<PRTPAGE P="205"/> </SUBJECT> <SECTNO>571.214</SECTNO> <SUBJECT>Standard No. 214; Side impact protection.</SUBJECT> <SECTNO>571.215</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>571.216</SECTNO> <SUBJECT>Standard No. 216; Roof crush resistance.</SUBJECT> <SECTNO>571.217</SECTNO> <SUBJECT>Standard No. 217; Bus emergency exits and window retention and release.</SUBJECT> <SECTNO>571.218</SECTNO> <SUBJECT>Standard No. 218; Motorcycle helmets.</SUBJECT> <SECTNO>571.219</SECTNO> <SUBJECT>Standard No. 219; Windshield zone intrusion.</SUBJECT> <SECTNO>571.220</SECTNO> <SUBJECT>Standard No. 220; School bus rollover protection.</SUBJECT> <SECTNO>571.221</SECTNO> <SUBJECT>Standard No. 221; School bus body joint strength.</SUBJECT> <SECTNO>571.222</SECTNO> <SUBJECT>Standard No. 222; School bus passenger seating and crash protection.</SUBJECT> <SECTNO>571.223</SECTNO> <SUBJECT>Standard No. 223; Rear impact guards.</SUBJECT> <SECTNO>571.224</SECTNO> <SUBJECT>Standard No. 224; Rear impact protection.</SUBJECT> <SECTNO>571.225</SECTNO> <SUBJECT>Standard No. 225; Child restraint anchorage systems.</SUBJECT> <SECTNO>571.301</SECTNO> <SUBJECT>Standard No. 301; Fuel system integrity.</SUBJECT> <SECTNO>571.302</SECTNO> <SUBJECT>Standard No. 302; Flammability of interior materials.</SUBJECT> <SECTNO>571.303</SECTNO> <SUBJECT>Standard No. 303; Fuel system integrity of compressed natural gas vehicles.</SUBJECT> <SECTNO>571.304</SECTNO> <SUBJECT>Standard No. 304; Compressed natural gas fuel container integrity.</SUBJECT> <SECTNO>571.305</SECTNO> <SUBJECT>Standard No. 305; Electric-powered vehicles: electrolyte spillage and electrical shock protection.</SUBJECT> <SECTNO>571.401</SECTNO> <SUBJECT>Standard No. 401; Internal trunk release.</SUBJECT> <SECTNO>571.403</SECTNO> <SUBJECT>Standard No. 403; Platform lift systems for motor vehicles.</SUBJECT> <SECTNO>571.404</SECTNO> <SUBJECT>Standard No. 404; Platform lift installations in motor vehicles.</SUBJECT> <SECTNO>571.500</SECTNO> <SUBJECT>Standard No. 500; Low-speed vehicles.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 322, 30111, 30115, 30166 and 30177; delegation of authority at 49 CFR 1.50.</P> </AUTH> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 571 appear at 69 FR 18803, Apr. 9, 2004.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 571.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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).</P> <CITA>[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]</CITA> </SECTION> <SECTION> <SECTNO>§ 571.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory definitions.</E> All terms defined in section 102 of the Act are used in their statutory meaning.</P> <P>(b) <E T="03">Other definitions.</E> As used in this chapter—</P> <P> <E T="03">Act</E> means the National Traffic and Motor Vehicle Safety Act of 1966 (80 Stat. 718).</P> <P> <E T="03">Approved,</E> unless used with reference to another person, means approved by the Secretary.</P> <P> <E T="03">Boat trailer</E> 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.</P> <P> <E T="03">Bus</E> means a motor vehicle with motive power, except a trailer, designed for carrying more than 10 persons.</P> <P> <E T="03">Curb weight</E> 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.</P> <P> <E T="03">Designated seating capacity</E> means the number of designated seating positions provided.</P> <P> <E T="03">Designated seating position</E> 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 <PRTPAGE P="206"/>occupied wheelchair during vehicle operation shall be regarded as four designated seating positions.</P> <P> <E T="03">Driver</E> means the occupant of a motor vehicle seated immediately behind the steering control system.</P> <P> <E T="03">Emergency brake</E> means a mechanism designed to stop a motor vehicle after a failure of the service brake system.</P> <P> <E T="03">5th percentile adult female</E> 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.”</P> <P> <E T="03">Firefighting vehicle</E> means a vehicle designed exclusively for the purpose of fighting fires.</P> <P> <E T="03">Fixed collision barrier</E> means a flat, vertical, unyielding surface with the following characteristics:</P> <P>(1) The surface is sufficiently large that when struck by a tested vehicle, no portion of the vehicle projects or passes beyond the surface.</P> <P>(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.</P> <P>(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.</P> <P> <E T="03">Forward control</E> 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.</P> <P> <E T="03">Full trailer</E> means a trailer, except a pole trailer, that is equipped with two or more axles that support the entire weight of the trailer.</P> <P> <E T="03">Gross axle weight rating</E> or <E T="03">GAWR</E> 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.</P> <P> <E T="03">Gross combination weight rating</E> or <E T="03">GCWR</E> means the value specified by the manufacturer as the loaded weight of a combination vehicle.</P> <P> <E T="03">Gross vehicle weight rating</E> or <E T="03">GVWR</E> means the value specified by the manufacturer as the loaded weight of a single vehicle.</P> <P> <E T="03">H point</E> 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.</P> <P> <E T="03">Head impact area</E> 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:</P> <P>(a) At each designated seating position, place the pivot point of the measuring device—</P> <P>(1) For seats that are adjustable fore and aft, at—</P> <P>(i) The seating reference point; and</P> <P>(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</P> <P>(2) For seats that are not adjustable fore and aft, at the seating reference point.</P> <P>(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.</P> <P>(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° 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.<PRTPAGE P="207"/> </P> <P> <E T="03">Interior compartment door</E> means any door in the interior of the vehicle installed by the manufacturer as a cover for storage space normally used for personal effects.</P> <P> <E T="03">Longitudinal</E> or <E T="03">longitudinally</E> means parallel to the longitudinal centerline of the vehicle.</P> <P> <E T="03">Low-speed vehicle (LSV)</E> means a motor vehicle,</P> <P>(1) That is 4-wheeled,</P> <P>(2) 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, and</P> <P>(3) Whose GVWR is less than 1,361 kilograms (3,000 pounds).</P> <P> <E T="03">Motorcycle</E> 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.</P> <P> <E T="03">Motor-driven cycle</E> means a motorcycle with a motor that produces 5-brake horsepower or less.</P> <P> <E T="03">Motor home</E> means a multi-purpose 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 electrical power supply and/or an LP gas supply.</P> <P> <E T="03">Multifunction school activity bus</E> (MFSAB) means a school bus whose purposes do not include transporting students to and from home or school bus stops.</P> <P> <E T="03">Multipurpose passenger vehicle</E> 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.</P> <P> <E T="03">Open-body type vehicle</E> 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.</P> <P> <E T="03">Outboard designated seating position</E> 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.</P> <P> <E T="03">Overall vehicle width</E> 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.</P> <P> <E T="03">Parking brake</E> means a mechanism designed to prevent the movement of a stationary motor vehicle.</P> <P> <E T="03">Passenger car</E> 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.</P> <P> <E T="03">Pelvic impact area</E> 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.</P> <P> <E T="03">Pole trailer</E> 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.</P> <P> <E T="03">School bus</E> 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.</P> <P> <E T="03">Seating reference point</E> (SgRP) means the unique design H-point, as defined in SAE J1100 (June 1984), which:</P> <P>(a) Establishes the rearmost normal design driving or riding position of each designated seating position, which <PRTPAGE P="208"/>includes consideration of all modes of adjustment, horizontal, vertical, and tilt, in a vehicle;</P> <P>(b) Has X, Y, and Z coordinates, as defined in SAE J1100 (June 1984), established relative to the designed vehicle structure;</P> <P>(c) Simulates the position of the pivot center of the human torso and thigh; and</P> <P>(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.</P> <P> <E T="03">Semitrailer</E> 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.</P> <P> <E T="03">Service brake</E> means the primary mechanism designed to stop a motor vehicle.</P> <P> <E T="03">Speed attainable in 1 mile</E> means the speed attainable by accelerating at maximum rate from a standing start for 1 mile, on a level surface.</P> <P> <E T="03">Speed attainable in 2 miles</E> means the speed attainable by accelerating at maximum rate from a standing start for 2 miles, on a level surface.</P> <P> <E T="03">Torso line</E> 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.</P> <P> <E T="03">Trailer</E> means a motor vehicle with or without motive power, designed for carrying persons or property and for being drawn by another motor vehicle.</P> <P> <E T="03">Trailer converter dolly</E> means a trailer chassis equipped with one or more axles, a lower half of a fifth wheel and a drawbar.</P> <P> <E T="03">Truck</E> means a motor vehicle with motive power, except a trailer, designed primarily for the transportation of property or special purpose equipment.</P> <P> <E T="03">Truck tractor</E> 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.</P> <P> <E T="03">Unloaded vehicle weight</E> 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.</P> <P> <E T="03">95th percentile adult male</E> 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.”</P> <P> <E T="03">Vehicle fuel tank capacity</E> 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.</P> <CITA>[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>For <E T="04">Federal Register</E> citations affecting § 571.3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.</P> </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 571.4</SECTNO> <SUBJECT>Explanation of usage.</SUBJECT> <P>The word <E T="03">any,</E> 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. </P> <EXAMPLE> <HD SOURCE="HED">Examples:</HD> <P>“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.</P> <P>“Each tire shall be capable of meeting the requirements of this standard when mounted <PRTPAGE P="209"/>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.</P> <P>“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.</P> </EXAMPLE> <CITA>[36 FR 2511, Feb. 5, 1971]</CITA> </SECTION> <SECTION> <SECTNO>§ 571.5</SECTNO> <SUBJECT>Matter incorporated by reference.</SUBJECT> <P>(a) <E T="03">Incorporation.</E> 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 <E T="04">Federal Register.</E> 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.</P> <P>(b) <E T="03">Availability.</E> The materials incorporated by reference, other than acts of Congress and matter published elsewhere in the <E T="04">Federal Register,</E> are available as follows:</P> <P>(1) <E T="03">Standards of the Society of Automotive Engineers</E> (<E T="03">SAE</E>). 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.</P> <P>(2) <E T="03">Standards of the American Society for Testing and Materials (ASTM).</E> They are published by the American Society for Testing and Materials. Information and copies may be obtained by writing to: ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959.</P> <P>(3) <E T="03">Standards of the American National Standards Institute (ANSI).</E> They are published by the American National Standards Institute. Information and copies may be obtained by writing to: RESNA, 1700 North Moore St., Suite 1540, Arlington, VA 22209-1903.</P> <P>(4) <E T="03">Data on the Weight Height and Selected Body Dimensions of Adults.</E> They are published by the National Center for Health Statistics, Centers for Disease Control (CDC). Information and copies may be obtained on the CDC web site at <E T="03">http://www.cdc.gov/nchs</E> or by writing to National Division for Health Statistics, Division of Data Services, Hyattsville, MD 20782-2003.</P> <P>(5) <E T="03">Test Methods of the American Association of Textile Chemists and Colorists (AATCC).</E> They are published by the American Association of Textile Chemists and Colorists. Information and copies may be obtained by writing to: AATCC, 1 Davis Dr., P.O. Box 12215, Research Triangle Park, NC 27709.</P> <P>(6) <E T="03">Test methods of the Illuminating Engineering Society of North America (IES).</E> They are published by the Illuminating Engineering Society of North America. Information and copies may be obtained by writing to: IES, 120 Wall St., 7th Floor, New York, NY 10005.</P> <P>(7) <E T="03">Standards of Suppliers of Advanced Composite Materials Association (SACMA).</E> 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.</P> <P>(8) <E T="03">Standards of the American Society of Mechanical Engineers (ASME).</E> They are published by the American Society of Mechanical Engineers. Information and copies may be obtained by writing to: ASME, 22 Law Drive, P.O. Box 2900, Fairfield, NJ 07007-2900.</P> <P>(9) <E T="03">Regulations of the United Nations Economic Commission for Europe (ECE).</E> 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: <E T="03">www.unece.org/trans/main/wp29/wp29regs.html.</E> <PRTPAGE P="210"/> </P> <P>(10) <E T="03">Child Restraint Systems Seat Assembly Drawing Package.</E> Copies may be obtained by contacting: Leet-Melbrook, 18810 Woodfield Road, Gaithersburg, MD, 20879, telephone (301) 670-0090.</P> <P>(11) 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 National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E> </P> <CITA>[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, July 24, 1995; 64 FR 45898, Aug. 23, 1999; 67 FR 77193, Dec. 17, 2002; 68 FR 37654, June 24, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 571.7</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>(a) <E T="03">General.</E> 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.</P> <P>(b) [Reserved]</P> <P>(c) <E T="03">Military vehicles.</E> 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.</P> <P>(d) <E T="03">Export.</E> 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)).</P> <P>(e) <E T="03">Combining new and used components.</E> 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.</P> <P>(f) <E T="03">Combining new and used components in trailer manufacture.</E> 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 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—</P> <P>(1) Whose identity is continued in the reassembled vehicle with respect to the Vehicle Identification Number; and</P> <P>(2) That is owned or leased by the user of the reassembled vehicle.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 571.8</SECTNO> <SUBJECT>Effective date.</SUBJECT> <P>(a) <E T="03">Firefighting vehicles.</E> 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 <E T="04">Federal Register,</E> 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.</P> <P>(b) <E T="03">Vehicles built in two or more stages vehicles and altered vehicles.</E> Unless Congress directs or the agency expressly determines that this paragraph does not apply, the date for manufacturer certification of compliance with any standard, or amendment to a standard, that is issued on or after September 1, 2006 is, insofar as its application to intermediate and final-stage manufacturers and alterers is concerned, one year <PRTPAGE P="211"/>after the last applicable date for manufacturer certification of compliance. Nothing in this provision shall be construed as prohibiting earlier compliance with the standard or amendment or as precluding NHTSA from extending a compliance effective date for intermediate and final-stage manufacturers and alterers by more than one year.</P> <CITA>[70 FR 7435, Feb. 14, 2005]</CITA> </SECTION> <SECTION> <SECTNO>§ 571.9</SECTNO> <SUBJECT>Separability.</SUBJECT> <P>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.</P> <CITA>[33 FR 19705, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Federal Motor Vehicle Safety Standards</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>36 FR 22902, Dec. 2, 1971, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 571.101</SECTNO> <SUBJECT>Standard No. 101; Controls and displays.</SUBJECT> <P>S1. <E T="03">Scope.</E> This standard specifies performance requirements for location, identification, color, and illumination of motor vehicle controls, telltales and indicators.</P> <P>S2. <E T="03">Purpose.</E> The purpose of this standard is to ensure the accessibility, visibility and recognition of motor vehicle controls, telltales and indicators, and to facilitate the proper selection of controls 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.</P> <P>S3. <E T="03">Application.</E> This standard applies to passenger cars, multipurpose passenger vehicles, trucks, and buses.</P> <P>S4. <E T="03">Definitions.</E> </P> <P>Adjacent, with respect to a control, telltale or indicator, and its identifier means:</P> <P>(a) The identifier is in close proximity to the control, telltale or indicator; and</P> <P>(b) No other control, telltale, indicator, identifier or source of illumination appears between the identifier and the telltale, indicator, or control that the identifier identifies.</P> <P> <E T="03">Common space</E> means an area on which more than one telltale, indicator, identifier, or other message may be displayed, but not simultaneously.</P> <P> <E T="03">Control</E> means the hand-operated part of a device that enables the driver to change the state or functioning of the vehicle or a vehicle subsystem.</P> <P> <E T="03">Indicator</E> means a device that shows the magnitude of the physical characteristics that the instrument is designed to sense.</P> <P> <E T="03">Identifier</E> means a symbol, word, or words used to identify a control, telltale, or indicator.</P> <P> <E T="03">Multi-function control</E> means a control through which the driver may select, and affect the operation of, more than one vehicle function.</P> <P> <E T="03">Multi-task display</E> means a display on which more than one message can be shown simultaneously.</P> <P> <E T="03">Telltale</E> means an optical signal that, when illuminated, indicates the actuation of a device, a correct or improper functioning or condition, or a failure to function.</P> <P>S5. <E T="03">Requirements.</E> Each passenger car, multipurpose passenger vehicle, truck and bus that is fitted with a control, a telltale or an indicator listed in Table 1 or Table 2 must meet the requirements of this standard for the location, identification, color, and illumination of that control, telltale or indicator. However, the requirements for telltales and indicators do not apply to vehicles with GVWRs of 4,536 kg or greater if these specified vehicles are manufactured before September 1, 2013.</P> <HD SOURCE="HD3">S5.1Location</HD> <P>S5.1.1The controls listed in Table 1 and in Table 2 must be located so they are operable by the driver under the conditions of S5.6.2.</P> <P>S5.1.2The telltales and indicators listed in Table 1 and Table 2 and their identification must be located so that, when activated, they are visible to a driver under the con