[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2017 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 49

Transportation


________________________

Parts 400 to 571

                         Revised as of October 1, 2017

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2017
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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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:
      Table of CFR Titles and Chapters........................    1145
      Alphabetical List of Agencies Appearing in the CFR......    1165
      List of CFR Sections Affected...........................    1175

[[Page iv]]





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

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

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

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
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parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

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

    The appropriate revision date is printed on the cover of each 
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LEGAL STATUS

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HOW TO USE THE CODE OF FEDERAL REGULATIONS

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[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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[[Page vii]]

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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    October 1, 2017.







[[Page ix]]



                               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 
100-177, parts 178-199, parts 200-299, parts 300-399, parts 400-571, 
parts 572-999, parts 1000-1199, and 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-
177) and the third volume (parts 178-199) 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 400-571) contains 
the current regulations issued under chapter IV--Coast Guard (DHS), and 
some of chapter V--National Highway Traffic Safety Administration (DOT); 
the seventh volume (parts 572-999) contains the rest of the regulations 
issued under chapter IV, and 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, 2017.

    In the volume containing parts 100-177, see Sec.  172.101 for the 
Hazardous Materials Table. The Federal Motor Vehicle Safety Standards 
appear in part 571.

    For this volume, Robert J. Sheehan, III was Chief Editor. The Code 
of Federal Regulations publication program is under the direction of 
John Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 400 to 571)

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

  SUBTITLE B--Other Regulations Relating to Transportation (Continued)

chapter iv--Coast Guard, Department of Homeland Security....         450

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

[[Page 3]]

  Subtitle B--Other Regulations Relating to Transportation (Continued)

[[Page 5]]



        CHAPTER IV--COAST GUARD, DEPARTMENT OF HOMELAND SECURITY




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

                         SUBCHAPTER A [RESERVED]
            SUBCHAPTER B--SAFETY APPROVAL OF CARGO CONTAINERS
Part                                                                Page
400-449         [Reserved]

450             General.....................................           7
451             Testing and approval of containers..........          10
452             Examination of containers...................          13
453             Control and enforcement.....................          16
454-499         [Reserved]

[[Page 7]]



                         SUBCHAPTER A [RESERVED]





            SUBCHAPTER B_SAFETY APPROVAL OF CARGO CONTAINERS



                        PARTS 400	449 [RESERVED]



PART 450_GENERAL--Table of Contents



                      Subpart A_General Provisions

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

       Subpart B_Procedures for Delegation to Approval Authorities

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

    Authority: 46 U.S.C. 80503; Department of Homeland Security 
Delegation No. 0170.1.

    Editorial Note: Nomenclature changes to part 450 appear at 74 FR 
49241, Sept. 25, 2009, and at 77 FR 59790, Oct. 1, 2012.



                      Subpart A_General Provisions



Sec. 450.1  Purpose.

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

[45 FR 37213, June 2, 1980]



Sec. 450.3  Definitions.

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

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



Sec. 450.5  General requirements and applicability.

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

[[Page 8]]

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

[45 FR 37213, June 2, 1980]



Sec. 450.7  Marking.

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

(Approved by the Office of Management and Budget under OMB control 
number 1625-0024)

[49 FR 15562, Apr. 19, 1984, as amended at 71 FR 55747, Sept. 25, 2006]



       Subpart B_Procedure for Delegation to Approval Authorities



Sec. 450.11  Application for delegation of authority.

    (a) Any person or organization seeking delegation of authority to 
act as an Approval Authority may apply to the Commandant (CG-OES), Attn: 
Office of Operating and Environmental Standards, U.S. Coast Guard Stop 
7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509. 
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 (CG-OES).
    (b) The application must include the following information:
    (1) Name and address, including place of incorporation, if a 
corporation.
    (2) A description of the organization, including the ownership, 
managerial structure, organizational components and directly affiliated 
agencies and their functions utilized for supporting technical services.
    (3) A listing of the basic technical services offered.
    (4) A general description of the geographic area served.
    (5) A general description of the clients being served or intended to 
be served.
    (6) A description of the types of work performed by the applicant in 
the past, noting the amount and extent of such work performed within the 
previous three years.
    (7) A description of the personnel to be utilized, indicating 
general background and qualifications, particularly for the surveyors to 
be involved in the actual witnessing of tests.
    (8) A description of its means of assuring continued competence of 
its personnel.
    (9) A detailed schedule of the fees proposed to be charged for the 
approval service.
    (10) Evidence of financial stability.
    (11) At least three business references who will furnish information 
regarding work performed by the applicant.
    (12) A statement that the Coast Guard may inspect the applicant's 
facilities and records of approvals under the convention and these 
regulations.
    (c) The application may contain any additional information the 
applicant deems to be pertinent.
    (d) The applicant must furnish any additional information to 
evaluate the applicant's qualifications, if requested by the Chief, 
Office of Operating and

[[Page 9]]

Environmental Standards (CG-OES), U.S. Coast Guard.
    (e) Applications from foreign nationals or organizations must 
contain an affidavit stating that the agency responsible for 
implementing the Convention in their country has delegated to the 
applicant an approval authority, and that it also delegates similar 
authority to United States citizens or organizations having delegations 
from the United States. The affidavit must also contain the name and 
address of the agency to which U.S. citizens or organizations must apply 
for delegation as an approval authority.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004; 74 FR 49241, Sept. 25, 2009; 78 FR 60165, 
Sept. 30, 2013]



Sec. 450.12  Criteria for selection of Approval Authorities.

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

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



Sec. 450.13  Granting of delegation.

    (a) The Chief, Office of Operating and Environmental Standards (CG-
OES), U.S. Coast Guard acts on applications for delegation within 60 
days of receipt.
    (b) If an applicant for delegation does not provide sufficient 
information with regard to all the criteria for delegation, the Chief, 
Office of Operating and Environmental Standards (CG-OES), U.S. Coast 
Guard denies the application. A denial of an application on this basis 
is without prejudice to the submission of a new or amended application.
    (c) If an applicant satisfies all the criteria for delegation the 
Chief, Office of Operating and Environmental Standards (CG-OES), U.S. 
Coast Guard sends the applicant a letter of delegation, and assigns to 
the Approval Authority an alphabetic Approval Authority identification 
code.
    (d) If an applicant fails to satisfy all the criteria for 
delegation, the Chief, Office of Operating and Environmental Standards 
(CG-OES), 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 
(CG-OES), U.S. Coast Guard notifies the applicant of the final decision.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



Sec. 450.14  Conditions of delegation.

    (a) The following conditions are part of every delegation:
    (1) The Approval Authority shall use only testing equipment that it 
has determined by inspection to be suitable for the purpose.
    (2) All approval numbers issued by the Approval Authority must 
contain the identification code, assigned to the Approval Authority by 
the Chief, Office of Operating and Environmental Standards (CG-OES), 
U.S. Coast Guard.
    (3) Each Approval Authority shall maintain the following records for 
a period of at least 15 years from the date of approval. (When the 
Approval Authority's delegation is withdrawn before such time, the 
records relating to the approvals issued within the prior 15 years must 
be turned over to the Chief, Office of Operating and Environmental 
Standards (CG-OES), U.S. Coast Guard):

[[Page 10]]

    (i) Each notice of approval issued.
    (ii) A copy of the application and final approved drawings (if 
applicable) to which each approval refers.
    (iii) The manufacturer's serial numbers and the owner's 
identification numbers of all containers covered by each approval.
    (4) Each Approval Authority shall establish and make available to 
the public a schedule of fees for the approval services performed under 
these regulations. The fees must not be disproportionate to the costs 
(including transportation expense, if any) actually incurred.
    (5) The Approval Authority shall grant the Coast Guard the right to 
inspect records and shall cooperate in the conduct of such inspections.
    (6) The Approval Authority shall comply with any other term or 
condition stated in its letter of delegation.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



Sec. 450.15  Termination of delegation.

    (a) An Approval Authority may voluntarily terminate its delegation 
by giving written notice of its intent to the Chief, Office of Operating 
and Environmental Standards (CG-OES), U.S. Coast Guard. This notice must 
contain the date on which the termination is to be effective.

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



Sec. 450.16  Withdrawal of delegation.

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

[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



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



                Subpart A_Approval of Existing Containers

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

                  Subpart B_Approval of New Containers

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

                     Subpart C_Safety Approval Plate

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

    Authority: 46 U.S.C. 80503; Department of Homeland Security 
Delegation No. 0170.1.

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

    Editorial Note: Nomenclature changes to part 451 appear at 74 FR 
49241, Sept. 25, 2009, and at 77 FR 59790, Oct. 1, 2012.



                Subpart A_Approval of Existing Containers



Sec. 451.1  Application for approval.

    (a) Any owner of an existing container may apply for approval to the 
Commandant (CG-OES), Attn: Office of Operating and Environmental 
Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. 
Avenue SE., Washington, DC 20593-7509 or to any Approval Authority.
    (b) Each application must include the following for each container:

[[Page 11]]

    (1) Date and place of manufacture.
    (2) Manufacturer's identification number, if available.
    (3) Maximum operating gross weight capacity.
    (4) Allowable stacking weight for 1.8G (1.8 x Gross weight in 
kilograms or pounds).

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

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

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004; 74 FR 49241, Sept. 25, 2009; 78 FR 60166, 
Sept. 30, 2013]



Sec. 451.3  Action by Approval Authority.

    (a) The Approval Authority (or the Chief, Office of Operating and 
Environmental Standards (CG-OES), 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 (CG-OES), U.S. Coast Guard acts on the 
application within 30 days of receipt of the application.

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



Sec. 451.5  Resubmission or appeal.

    (a) Upon receipt of a denial of approval for certain containers, an 
owner may correct the noted deficiencies and resubmit the application 
without prejudice.
    (b) An applicant aggrieved by a decision of an approval authority 
may obtain review of the decision by the Chief, Office of Operating and 
Environmental Standards (CG-OES), U.S. Coast Guard. The decision of the 
Chief, Office of Operating and Environmental Standards (CG-OES), U.S. 
Coast Guard is a final agency action.

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58352, Sept. 30, 2004]



Sec. 451.7  Alternative approval of existing containers.

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

[45 FR 37214, June 2, 1980, as amended at 69 FR 58352, Sept. 30, 2004]



                  Subpart B_Approval of New Containers



Sec. 451.11  Application for approval-general.

    (a) An owner of a new container, or a manufacturer acting on behalf 
of an

[[Page 12]]

owner, may apply for approval to any approval authority.



Sec. 451.12  Application for approval by design type.

    (a) For approval of new containers by design type, each application 
must include the following:
    (1) Engineering drawings and plans showing platform, end framing, 
welds and hardware, connections of cross-members, top and bottom rails, 
roof bows, detailed subassemblies of major structural components and 
attachments, and any other plans and drawings required by the approval 
authority.
    (2) Design and material specifications including type and size of 
materials. Material specifications of the safety approval plate must 
also be given.
    (3) The manufacturer's identification number assigned to each 
container in the type series.
    (4) The identification code assigned to each container in the series 
by the owner, lessee, or bailee responsible for maintenance.
    (5) The written assurance from the manufacturer, that the 
manufacturer will:
    (i) Produce to the approval authority such containers as the 
approval authority may wish to examine;
    (ii) Advise the approval authority of any change in the design or 
specification and await its approval before affixing the Safety Approval 
Plate to the container;
    (iii) Affix the Safety Approval Plate to each container in the 
design type and to no others;
    (iv) Keep a record of containers manufactured to the approved design 
type containing at least the manufacturer's identification numbers, date 
of delivery, and names and addresses of customers to whom the containers 
are delivered; and
    (v) Supply to the approval authority the information contained in 
paragraphs (a)(3) and (4) of this section if not available at the time 
of original application.
    (6) A statement as to whether this design type has been examined by 
any approval authority previously and judged unacceptable. Affirmative 
statements must be documented with the name of the approving authority, 
the reason for nonacceptance, and the nature of modifications made to 
the design type.

[45 FR 37214, June 2, 1980, as amended at 69 FR 58353, Sept. 30, 2004]



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

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



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

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

[47 FR 50496, Nov. 8, 1982]



Sec. 451.15  Application for individual approval.

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

[[Page 13]]



Sec. 451.16  Action by approval authority-individual approval.

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



Sec. 451.18  Review of denials of approval.

    (a) An applicant aggrieved by a decision of an approval authority 
may obtain review of the decision by the Chief, Office of Operating and 
Environmental Standards (CG-OES), U.S. Coast Guard. The decision of the 
Chief, Office of Operating and Environmental Standards (CG-OES), U.S. 
Coast Guard is a final agency action.

[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58353, Sept. 30, 2004]



                     Subpart C_Safety Approval Plate



Sec. 451.21  Safety approval plate required.

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



Sec. 451.23  Plate specifications.

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



Sec. 451.25  Required information.

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



PART 452_EXAMINATION OF CONTAINERS--Table of Contents



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

    Authority: 46 U.S.C. 80503; Department of Homeland Security 
Delegation No. 0170.1.



Sec. 452.1  Periodic examination required.

    (a) Except as provided for in Sec. 452.7, each owner of an approved 
container

[[Page 14]]

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

------------------------------------------------------------------------
         Date of initial plating               Subsequent examination
------------------------------------------------------------------------
Existing containers before Sept. 30, 1981  Before Jan. 1986.
 and new containers before Dec. 31, 1978.
Existing containers between Oct. 1, 1981   Before May 1986.
 and Sept. 30, 1982 and new containers
 between Jan. 1, 1979 and Dec. 31, 1979.
Existing containers between Oct. 1, 1982   Before Sept. 1986.
 and Sept. 30, 1983 and new containers
 between Jan. 1, 1980 and Dec. 31, 1980.
Existing containers between Oct. 1, 1983   Before Jan. 1987.
 and Dec. 31, 1984 and new containers
 between Jan. 1, 1981 and Dec. 31, 1981.
------------------------------------------------------------------------

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

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

[45 FR 37216, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 49 
FR 15562, Apr. 19, 1984; 69 FR 58353, Sept. 30, 2004]



Sec. 452.3  Elements of periodic examinations.

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

[45 FR 37216, June 2, 1980, as amended at 69 FR 58353, Sept. 30, 2004]

[[Page 15]]



Sec. 452.5  Examinations made in conjunction with other inspections.

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

[45 FR 37216, June 2, 1980]



Sec. 452.7  Continuous examination program.

    (a) In lieu of a periodic examination under Sec. 452.1, each owner 
of an approved container meeting Sec. 450.5 may examine the container 
or have it examined using an approved continuous examination program. An 
owner must submit the continuous examination program for approval to the 
Commandant (CG-OES), Attn: Office of Operating and Environmental 
Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. 
Avenue SE., Washington, DC 20593-7509. When submitting a continuous 
examination program for approval the owner must show the continuous 
examination complies with Sec. 452.9.
    (b) The owner must mark the container with the letters ``ACEP/USA/
(year continuous examination program is approved)'' to indicate the 
container is being periodically examined under an approved continuous 
examination program. This marking must be as close as practicable to the 
safety approval plate. This marking must be on all containers covered by 
a continuous examination program by January 1, 1987.
    (c) The owner of containers subject to this section shall have those 
containers examined in accordance with the program prescribed in this 
section regardless of whether the examinations are performed within or 
outside the United States.

(The information collection requirements contained in paragraphs (a) and 
(b) have been approved by the Office of Management and Budget under OMB 
control number 1625-0024)

[49 FR 15562, Apr. 19, 1984, as amended at 69 FR 58353, Sept. 30, 2004; 
74 FR 49241, Sept. 25, 2009; 74 FR 49241, Sept. 25, 2009; 77 FR 59790, 
Oct. 1, 2012; 78 FR 60166, Sept. 30, 2013]



Sec. 452.9  Elements of a continuous examination program.

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

(The information collection requirements contained in paragraph (b) have 
been approved by the Office of Management and Budget under OMB control 
number 1625-0024)

[49 FR 15562, Apr. 19, 1984, as amended at 69 FR 58353, Sept. 30, 2004]

[[Page 16]]



PART 453_CONTROL AND ENFORCEMENT--Table of Contents



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

    Authority: 46 U.S.C. 80503; Department of Homeland Security 
Delegation No. 0170.1.

    Editorial Note: Nomenclature changes to part 453 appear at 74 FR 
49241, Sept. 25, 2009.



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

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

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



Sec. 453.3  Detention orders and other orders.

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

[45 FR 37217, June 2, 1980]



Sec. 453.5  Termination of detention orders and other orders.

    (a) When a container, which is the subject of a detention order or 
other order, is restored to a safe condition or otherwise brought into 
compliance, it must be examined in accordance with Sec. 452.3 and a new 
re-examination date marked on the container in accordance with Sec. 
452.1(b) of this subchapter.
    (b) The owner or the owner's agent shall notify the District 
Commander or

[[Page 17]]

Captain of the Port who issue the order, in writing, that the container 
has been brought into compliance. Upon giving such notice, the owner, or 
his agent, may return the container to service.

[45 FR 37217, June 2, 1980]



Sec. 453.7  Appeal provisions.

    (a) The owner, his agent, or the custodian of a container subject to 
a detention order or other order, may petition the Chief, Office of 
Operating and Environmental Standards (CG-OES), U.S. Coast Guard to 
review that order.
    (b) The Chief, Office of Operating and Environmental Standards (CG-
OES), 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 (CG-OES), U.S. 
Coast Guard affirms, sets aside, or modifies the order.
    (c) The owner of a container is liable for any costs incident to a 
petition for review including any independent surveys, and for any other 
costs incident to or resulting from detention or other control of a 
container.
    (d) Unless otherwise determined by the Chief, Office of Operating 
and Environmental Standards (CG-OES), U.S. Coast Guard, a detention 
order or other order remains in effect pending the outcome of any 
petition or appeal of that order.
    (e) The Chief, Office of Operating and Environmental Standards (CG-
OES), U.S. Coast Guard acts on all appeals within ten days of receipt.

[45 FR 37217, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 69 
FR 58353, Sept. 30, 2004; 77 FR 59790, Oct. 1, 2012]

                        PARTS 454	499 [RESERVED]

[[Page 19]]



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




  --------------------------------------------------------------------
Part                                                                Page
500             [Reserved]

501             Organization and delegation of powers and 
                    duties..................................          21
509             OMB control numbers for information 
                    collection requirements.................          27
510             Information gathering powers................          28
511             Adjudicative procedures.....................          34
512             Confidential business information...........          60
520             Procedures for considering environmental 
                    impacts.................................          68
523             Vehicle classification......................          85
525             Exemptions from average fuel economy 
                    standards...............................          90
526             Petitions and plans for relief under the 
                    Automobile Fuel Efficiency Act of 1980..          94
529             Manufacturers of multistage automobiles.....          96
531             Passenger automobile average fuel economy 
                    standards...............................          99
533             Light truck fuel economy standards..........         108
534             Rights and responsibilities of manufacturers 
                    in the context of changes in corporate 
                    relationships...........................         115
535             Medium- and heavy-duty vehicle fuel 
                    efficiency program......................         118
536             Transfer and trading of fuel economy credits         178
537             Automotive fuel economy reports.............         184
538             Manufacturing incentives for alternative 
                    fuel vehicles...........................         192
541             Federal motor vehicle theft prevention 
                    standard................................         194
542             Procedures for selecting light duty truck 
                    lines to be covered by the theft 
                    prevention standard.....................         203
543             Exemption from vehicle theft prevention 
                    standard................................         205
545             Federal motor vehicle theft prevention 
                    standard phase-in and small-volume line 
                    reporting requirements..................         209
551             Procedural rules............................         211

[[Page 20]]

552             Petitions for rulemaking, defect, and 
                    noncompliance orders....................         218
553             Rulemaking procedures.......................         222
554             Standards enforcement and defects 
                    investigation...........................         234
555             Temporary exemption from motor vehicle 
                    safety and bumper standards.............         236
556             Exemption for inconsequential defect or 
                    noncompliance...........................         243
557             Petitions for hearings on notification and 
                    remedy of defects.......................         245
562             Lighting and marking of agricultural 
                    equipment...............................         246
563             Event data recorders........................         247
564             Replaceable light source and sealed beam 
                    headlamp information....................         258
565             Vehicle identification number (VIN) 
                    requirements............................         262
566             Manufacturer identification.................         274
567             Certification...............................         275
568             Vehicles manufactured in two or more 
                    stages--All incomplete, intermediate and 
                    final-stage manufacturers of vehicles 
                    manufactured in two or more stages......         282
569             Regrooved tires.............................         284
570             Vehicle in use inspection standards.........         285
571             Federal motor vehicle safety standards......         296

[[Page 21]]

                           PART 500 [RESERVED]



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



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

    Authority: 49 U.S.C. 105 and 322, and delegations of authority at 49 
CFR 1.81 and 1.95.

    Source: 81 FR 5938, Feb. 4, 2016, unless otherwise noted.



Sec. 501.1  Purpose.

    This part describes the organization of the National Highway Traffic 
Safety Administration (NHTSA), an operating administration within the 
U.S. Department of Transportation, and provides for the performance of 
duties imposed on, and the exercise of powers vested in, the 
Administrator of NHTSA.



Sec. 501.2  General.

    The responsibilities and authorities delegated to NHTSA and the 
Administrator are set forth in Sec. Sec. 1.81, 1.94, and 1.95 of this 
title.



Sec. 501.3  Organization and general responsibilities.

    NHTSA consists of a headquarters organization located in Washington, 
DC, a unified field organization consisting of ten geographic regions 
with a Regional Office located in each region, the Vehicle Research and 
Test Center located in East Liberty, Ohio, and the Uniform Tire Quality 
Grading Test Facility located in San Angelo, Texas. The organization of, 
and general spheres of responsibility within, NHTSA are as follows:
    (a) Office of the Administrator--(1) Administrator. (i) Represents 
the Department and is the principal advisor to the Secretary in all 
matters related to 49 U.S.C. chapters 301, 303, 321, 323, 325, 327, 329 
and 331; 23 U.S.C. chapter 4, except section 409; 23 U.S.C. 153, 154, 
158, 161, 163, 164 and 313 (with respect to matters within the primary 
responsibility of NHTSA); and such other responsibilities and 
authorities as are delegated by the Secretary of Transportation (49 CFR 
1.94 and 1.95);
    (ii) Establishes NHTSA program policies, objectives, and priorities 
and directs the development of action plans to accomplish the NHTSA 
mission;
    (iii) Directs, controls, and evaluates the organization, program 
activities, performance of NHTSA staff, program and field offices;
    (iv) Approves broad legislative, budgetary, fiscal and program 
proposals and plans; and
    (v) Takes management actions of major significance, such as those 
relating to changes in basic organizational structure, appointment of 
key personnel, allocation of resources, and matters of special political 
or public interest or sensitivity.
    (2) Deputy Administrator. Assists the Administrator in discharging 
responsibilities. Directs and coordinates the Administration's 
management and operational programs, and related policies and procedures 
at headquarters and in the field.
    (3) Executive Director. As the principal advisor to the 
Administrator and Deputy Administrator, provides direction on internal 
management and mission support programs. Provides executive direction 
over the Associate Administrators, Chief Financial Officer, and Chief 
Information Officer.
    (4) Director, Office of Civil Rights. As the principal advisor to 
the Administrator and Deputy Administrator on all matters pertaining to 
civil rights, serves as Director of Equal Employment Opportunity and of 
Title VI Compliance (Civil Rights Act of 1964, as amended, and related 
regulations). Assures agency compliance with Section 504 of the 
Rehabilitation Act of 1973, the Americans with Disabilities Act (ADA), 
and other nondiscrimination statutes, regulations, Executive Orders, and 
policies. Periodically reviews and evaluates the civil rights programs 
of State Department of Motor Vehicles and Highway Safety Offices to 
ensure that recipients of

[[Page 22]]

NHTSA financial assistance meet applicable Federal civil rights 
requirements. Monitors the implementation of and compliance with civil 
rights requirements, investigates complaints of discrimination, conducts 
compliance reviews, provides technical assistance to recipients of NHTSA 
financial assistance and stakeholders, and provides assistance to the 
Office of the Secretary in investigating and adjudicating formal 
complaints of discrimination.
    (5) Director, Office of Governmental Affairs, Policy & Strategic 
Planning. As the principal advisor to the Administrator and Deputy 
Administrator on all intergovernmental matters, including communications 
with Congress, communicates agency policy and serves as coordinator on 
legislative affairs. Also, serves as coordinator of agency policy 
discussions and activities and communicates with other operating 
administrations and the Office of Secretary on strategic planning 
efforts.
    (6) Director of Communications. As the principal advisor to the 
Administrator and Deputy Administrator on external communications and 
information dissemination, serves as coordinator on public affairs.
    (b) Chief Counsel. As chief legal officer for the Administrator and 
the Administration, provides general legal services and legal services 
related to legislative activities; prepares litigation and issues 
subpoenas; and effects rulemaking actions.
    (c) Associate Administrators, Chief Financial Officer, and Chief 
Information Officer--(1) Associate Administrator for Administration. 
Administers and conducts NHTSA's personnel management activities; 
initiates and oversees a comprehensive program of administrative support 
services to meet agency requirements, including development, 
maintenance, and operation of NHTSA's manuals, notices, and orders, 
property management, and the purchase, delivery, and administration of a 
range of supplies, equipment, and other support services; is responsible 
for administrative operational expenses and working capital fund 
operations; serves as the agency's technical expert for all 
administrative activities; and administers an executive correspondence 
program and maintains policy files for the Administrator and Deputy 
Administrator.
    (2) Associate Administrator for Communications and Consumer 
Information. Represents NHTSA to the general public and others; provides 
reliable, timely, and accurate traffic safety information to the general 
public, consumers, partner organizations, and citizens groups through 
media and public education efforts; and provides scheduling and 
speechwriting support for the Administrator.
    (3) Associate Administrator for Enforcement. Directs matters related 
to the enforcement of motor vehicle safety, fuel economy, theft 
prevention, damageability, consumer information, and odometer laws and 
regulations; conducts testing, inspection, and investigation necessary 
for the identification and correction of safety-related defects in motor 
vehicles and motor vehicle equipment; and ensures recalls of 
noncomplying and defective vehicles and motor vehicle equipment are 
effective and are conducted in accordance with Federal law and 
regulations.
    (4) Associate Administrator for National Center for Statistics and 
Analysis. Provides the data, analysis, and evaluation to support 
determination of the nature, causes, and injury outcomes of motor 
vehicle traffic crashes, the strategies and interventions that will 
reduce crashes and their consequences, and the potential impact, costs, 
and benefits of highway safety programs and regulatory activities; 
targets the collection and analysis of data and the dissemination of 
information to identify potential highway safety problems, evaluate 
expected program and regulatory impact and actual goal achievement, and 
support data driven decisions; and identifies, advances, and promotes 
new methodologies, technologies, systems, and procedures that improve 
the completeness, accuracy, timeliness, and accessibility of data 
collection, analysis, and evaluation.
    (5) Associate Administrator for Regional Operations and Program 
Delivery. Directs the management of State and community highway safety 
programs; administers and coordinates all Regional activities, including 
activities

[[Page 23]]

having a headquarters-regional interface; develops, reviews, implements, 
and coordinates related programs, policies, and procedures; and 
coordinates with the Federal Highway Administration, the Federal Motor 
Carrier Safety Administration, and other Federal agencies on traffic 
safety programs, as appropriate.
    (6) Associate Administrator for Research and Program Development. 
Administers traffic safety programs and provides national leadership and 
technical assistance to States, local communities, national 
organizations, and other partners in the identification, research, 
planning, development, demonstration, implementation, evaluation, and 
dissemination of highway safety programs designed to prevent or reduce 
traffic-related crashes and the resulting deaths, injuries, property 
damage, and associated costs. Coordinates with the Federal Highway 
Administration, the Federal Motor Carrier Safety Administration, and 
other Federal agencies on traffic safety programs, as appropriate.
    (7) Associate Administrator for Rulemaking. Develops and promulgates 
Federal standards dealing with motor vehicle safety, theft prevention, 
consumer information, the National Driver Register, and fuel economy, 
and directs programs relating to bumper standards, safety performance 
standards, and other regulations for new and used motor vehicles and 
equipment, including tires. Develops and conducts the New Car Assessment 
Program.
    (8) Associate Administrator for Vehicle Safety Research. Develops 
and conducts research, development, test, and evaluation programs and 
projects necessary to support consumer information programs, guidelines, 
industry voluntary standards, and Federal motor vehicle regulations; 
manages the facilities and programs related to these activities; and 
conducts crash data analyses in defining safety problems.
    (9) Chief Financial Officer. Administers the agency planning and 
budget activities in coordination with the Department of Transportation, 
the Office of Management and Budget, and Congress; assures the 
appropriate development of budget requests and the subsequent execution 
of operating budgets within the agency to meet all programmatic 
requirements; conducts all necessary accounting transactions to assure 
full and accurate accountability for all financial resources of the 
agency; initiates and oversees a comprehensive program of acquisition 
support for agency buying and supplier requirements, including 
acquisition planning, purchasing, payments, and administration; 
facilitates, coordinates, tracks, and monitors all external audits, 
reviews, and other oversight activities of agency programs, finances, 
transactions, or activities--working closely with responsible program 
and operational officials; facilitates and oversees the agency travel 
program, including the administration and operation of the travel 
management system, the travel card program, and the provision of travel 
management advice and guidance; and serves as the agency's technical 
expert for all financial management activities.
    (10) Chief Information Officer. Administers all NHTSA Information 
Technology functions and needs to ensure that IT resources are 
effectively acquired and managed to maximize mission performance and 
return on IT investments.



Sec. 501.4  Succession to Administrator.

    (a) The Deputy Administrator is the ``first assistant'' to the 
Administrator for purposes of the Federal Vacancies Reform Act of 1998 
(5 U.S.C. 3345-3349d) and shall, in the event the Administrator dies, 
resigns, or is otherwise unable to perform the functions and duties of 
the office, serve as the Acting Administrator, subject to the 
limitations established by law.
    (b) In the event both the Administrator and the Deputy Administrator 
die, resign, and/or are otherwise unable to perform the functions and 
duties of their respective offices, or in the event that both positions 
are vacant, the following officials, subject to paragraph (c) and in the 
order indicated, shall serve as Acting Deputy Administrator and shall 
perform the functions and duties of the Administrator, except for any 
non-delegable statutory and/or regulatory functions and duties:
    (1) The Chief Counsel;
    (2) The Executive Director;

[[Page 24]]

    (3) Further officials as may be designated in an internal order on 
succession.
    (c) In order to qualify for the line of succession, officials must 
be encumbered in their position on a permanent basis.



Sec. 501.5  Exercise of authority.

    (a) All authorities lawfully vested in and reserved to the 
Administrator in this title, part, or other NHTSA regulation or 
directive may be exercised by the Deputy Administrator and, in the 
absence or disability of both officials, by the Chief Counsel, unless 
specifically prohibited by statute, regulation, or order.
    (b) In exercising the powers and performing the duties delegated by 
this part, officers of 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, the Deputy 
Administrator, the Chief Counsel, and the Executive Director or, with 
respect to matters under their jurisdiction, by or on behalf of the 
Associate Administrators, the Regional Administrators, and the Directors 
of Staff Offices.
    (c) Each officer to whom authority is delegated by this part may 
redelegate and authorize successive redelegations of that authority 
subject to any conditions the officer prescribes.
    (d) Each officer to whom authority is delegated will administer and 
perform the functions described in the officer's respective functional 
statements.



Sec. 501.6  Secretary's reservations of authority.

    The authorities reserved to the Secretary of Transportation are set 
forth in Sec. 1.21 of this title.



Sec. 501.7  Administrator's reservations of authority.

    The delegations of authority in this part do not extend to the 
following authority, which is reserved to the Administrator, except when 
exercised pursuant to Sec. Sec. 501.4 and 501.5(a):
    (a) The authority under 23 U.S.C. chapter 4 (except section 403) and 
any uncodified provision of law to apportion authorization amounts and 
distribute obligation limitations or award grants to States for highway 
safety programs or other highway safety purposes;
    (b) The authority to issue, amend, or revoke uniform State highway 
safety guidelines and rules identifying highly effective highway safety 
programs under 23 U.S.C. 402;
    (c) The authority to fix the rate of compensation for non-government 
members of agency sponsored committees which are entitled to 
compensation.
    (d) The authority under 49 U.S.C. chapter 301 to:
    (1) Issue, amend, or revoke final Federal motor vehicle safety 
standards and regulations;
    (2) Make final decisions concerning alleged safety-related defects 
and noncompliances with Federal motor vehicle safety standards;
    (3) Grant or renew temporary exemptions from Federal motor vehicle 
safety standards; and
    (4) Grant or deny appeals from determinations upon a manufacturer's 
petition for decision of inconsequential defect or noncompliance and 
exemption from the notification and remedy requirements of 49 U.S.C. 
chapter 301 in connection with a defect or noncompliance.
    (e) The authority under 49 U.S.C. chapters 303, 321, 323, 325, and 
329 (except section 32916(b)) to:
    (1) Issue, amend, or revoke final rules and regulations; and
    (2) Assess civil penalties and approve manufacturer fuel economy 
credit plans under chapter 329.
    (f) The authority to carry out, in coordination with the Federal 
Motor Carrier Safety Administrator, the authority vested in the 
Secretary by 49 U.S.C. chapter 311 subchapter III, to promulgate safety 
standards for commercial motor vehicles and equipment subsequent to 
initial manufacture when the standards are based upon and similar to a 
Federal Motor Vehicle Safety Standard promulgated, either simultaneously 
or previously, under 49 U.S.C. chapter 301.

[[Page 25]]



Sec. 501.8  Delegations.

    (a) Deputy Administrator. The Deputy Administrator is delegated 
authority to act for the Administrator, except where specifically 
limited by law, order, regulation, or instructions of the Administrator. 
The Deputy Administrator is delegated authority to assist the 
Administrator in providing executive direction to all organizational 
elements of NHTSA.
    (b) Executive Director. The Executive Director is delegated line 
authority for executive direction over the Associate Administrators, the 
Chief Financial Officer, and the Chief Information Officer.
    (c) Director, Office of Civil Rights. The Director, Office of Civil 
Rights is delegated authority to:
    (1) Serve as the Director of Equal Employment Opportunity.
    (2) Serve as the compliance coordinator for:
    (i) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et 
seq.), as amended, and related regulations;
    (ii) Section 504 of the Rehabilitation Act of 1973;
    (iii) The Americans with Disabilities Act (ADA); and
    (iv) Other nondiscrimination statutes, regulations, Executive 
Orders, and policies.
    (3) Investigate complaints of civil rights discrimination, conduct 
compliance reviews, and provide technical assistance to recipients of 
NHTSA financial assistance and stakeholders.
    (4) Review and evaluate the civil rights programs of State 
Department of Motor Vehicles and Highway Safety Offices to ensure that 
recipients of NHTSA financial assistance meet applicable Federal civil 
rights requirements.
    (d) Chief Counsel. The Chief Counsel is delegated authority to:
    (1) Exercise the powers and perform the duties of the Administrator 
with respect to:
    (i) Issuing odometer regulations authorized under 49 U.S.C. chapter 
327.
    (ii) Providing technical assistance and granting extensions of time 
to the states under 49 U.S.C. 32705.
    (iii) Granting or denying petitions for approval of alternate motor 
vehicle mileage disclosure requirements under 49 U.S.C. 32705.
    (2) Establish the legal sufficiency of all investigations and 
enforcement actions conducted under the authority of 49 U.S.C. chapters 
301, 303, 321, 323, 325, 327, 329 and 331; to make an initial penalty 
demand based on a violations of any of these chapters; and to 
compromise:
    (i) Any civil penalty imposed under 49 U.S.C. 30165 in an amount of 
$1,000,000 or less.
    (ii) Any civil penalty or monetary settlement other than those 
imposed under 49 U.S.C. 30165 in an amount of $100,000 or less.
    (3) Exercise the powers of the Administrator under 49 U.S.C. 
30166(c), (g), (h), (i), and (k).
    (4) Issue subpoenas, after notice to the Administrator, for the 
attendance of witnesses and production of documents pursuant to 49 
U.S.C. chapters 301, 321, 323, 325, 327, 329 and 331.
    (5) Issue authoritative interpretations of the statutes administered 
by NHTSA and the regulations issued by the agency.
    (6) Administer 5 U.S.C. 552 (FOIA) and 49 CFR part 7 (Public 
Availability of Information) in connection with the records of NHTSA.
    (7) Administer the Privacy Act of 1974, 5 U.S.C. 552a, and 49 CFR 
part 10 (Maintenance of and Access to Records Pertaining to Individuals) 
in connection with the records of NHTSA.
    (8) Carry out the functions and exercise the authority vested in the 
Secretary for 23 U.S.C. 313 (Buy America), with respect to matters 
within the primary responsibility of NHTSA.
    (e) Associate Administrator for Administration. The Associate 
Administrator for Administration is delegated authority to administer 
and conduct NHTSA's personnel management activities; conduct 
administrative and management services in support of NHTSA missions and 
programs; and administer an executive correspondence program.
    (f) Associate Administrator for Communications and Consumer 
Information. The Associate Administrator for Communications and Consumer 
Information is

[[Page 26]]

delegated authority to manage and coordinate market research, planning 
coordination, development, and promotion of public education campaigns 
for both paid media and unpaid public services to support program 
efforts; develop overall agency messaging and communications strategies 
in support of program initiatives; and develop agency policies on 
messaging and communications procedures and processes.
    (g) Associate Administrator for Enforcement. The Associate 
Administrator for Enforcement is delegated authority to administer the 
NHTSA enforcement program for all laws, standards, and regulations 
pertinent to vehicle safety, fuel economy, theft prevention, 
damageability, consumer information, and odometers, authorized under 49 
U.S.C. chapters 301, 323, 325, 327, 329, and 331; conduct testing, 
inspection, and investigation necessary for the identification and 
correction of safety-related defects in motor vehicles and motor vehicle 
equipment and noncompliances with Federal motor vehicle safety 
standards; make initial decisions concerning alleged safety-related 
defects and noncompliances with Federal motor vehicle safety standards; 
grant or deny a manufacturer's petition for decision of inconsequential 
defect or noncompliance and exemption from the notification and remedy 
requirements of 49 U.S.C. chapter 301 in connection with a defect or 
noncompliance; issue regulations relating to the importation of motor 
vehicles under 49 U.S.C. 30141-30147; 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.
    (h) Associate Administrator for National Center for Statistics and 
Analysis. The Associate Administrator for National Center for Statistics 
and Analysis is delegated authority to provide the data, analysis, and 
evaluation and create and maintain information systems necessary to 
support the purposes of 49 U.S.C. chapters 301, 303, 323, 325, 327, 329, 
and 331, 23 U.S.C. chapter 4, any uncodified provisions of law related 
to such issues, and any cross-cutting safety initiatives; to develop, 
maintain, and operate the National Driver Register and a nationwide 
clearinghouse of problem drivers; and to support State integrated 
highway and traffic records safety information systems.
    (i) Associate Administrator for Regional Operations and Program 
Delivery. The Associate Administrator for Regional Operations and 
Program Delivery is delegated authority, except for authority reserved 
to the Administrator, to exercise the powers and perform the duties of 
the Administrator with respect to grants to States for highway safety 
programs or other State programs under 23 U.S.C. chapter 4 (except 
section 403) and uncodified provisions of law, including approval and 
disapproval of State highway safety plans and vouchers, in accordance 
with the procedural requirements of the Administration. The Associate 
Administrator for Regional Operations and Program Delivery is also 
delegated authority over programs with respect to 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 laws 
administered by NHTSA pertaining to highway, traffic, and motor vehicle 
safety, in coordination with the Associate Administrator for Research 
and Program Development; the authority vested by 23 U.S.C. 153, 154, 
158, 161, 163, and 164, in coordination with the Federal Highway 
Administrator as appropriate; and the authority vested by 23 U.S.C. 404, 
in coordination with the Associate Administrator for Communications and 
Consumer Information.
    (j) Associate Administrator for Research and Program Development. 
The Associate Administrator for Research and Program Development is 
delegated authority to develop and conduct research and development 
programs and projects necessary to support the purposes of 23 U.S.C. 
chapter 4, any uncodified provisions of law related to that chapter, and 
cross-cutting safety initiatives; conduct research and development 
activities described or specifically enumerated in 23 U.S.C. 403; carry 
out the functions and exercise the authority vested in the Secretary and 
Administrator under section 10202 of the Safe, Accountable, Flexible, 
Efficient Transportation Equity Act: A Legacy for Users, Public Law 109-
59 [42 U.S.C. 300d-4], as amended by section 31108 of

[[Page 27]]

the Moving Ahead for Progress in the 21st Century Act, Public Law 112-
141, relating to emergency medical services, except for authority 
reserved to the Secretary under Sec. 1.21 or the Administrator under 
Sec. 501.7; and exercise the authority vested by 49 U.S.C. 20134(a) 
with respect to laws administered by NHTSA pertaining to highway, 
traffic, and motor vehicle safety, in coordination with the Associate 
Administrator for Regional Operations and Program Delivery.
    (k) Associate Administrator for Rulemaking. The Associate 
Administrator for Rulemaking is delegated authority, except for 
authority reserved to the Administrator or delegated to 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, fuel economy standards, procedural 
regulations, the National Driver Register, and the development of 
consumer information and odometer regulations authorized under 49 U.S.C. 
chapters 301, 303, 321, 323, 325, 327, 329, and 331, and any uncodified 
provisions of law related to such issues. The Associate Administrator 
for rulemaking is also delegated authority to perform activities that 
support the development of these regulations and standards; extend 
comment periods (both self-initiated and in response to a petition or 
request 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; and develop and conduct 
the New Car Assessment Program.
    (l) Associate Administrator for Vehicle Safety Research. The 
Associate Administrator for Vehicle Safety Research is delegated 
authority to develop and conduct research, development, test, and 
evaluation programs and projects necessary to support the purposes of 49 
U.S.C. chapters 301, 323, 325, 327, 329, and 331, any uncodified 
provisions of law related to such issues, and any cross-cutting safety 
initiatives.
    (m) Chief Financial Officer. The Chief Financial Officer is 
delegated authority to direct the NHTSA planning and evaluation system 
in conjunction with Departmental requirements and planning goals; 
coordinate the development of the Administrator's plans, budgets, and 
programs, and analyses of their expected impact; exercise procurement 
authority with respect to NHTSA requirements; administer NHTSA financial 
management programs, including systems of funds control and accounts of 
all financial transactions; and enter into inter- and intra-departmental 
reimbursable agreements other than with the head of another Department 
or agency, provided that this authority to enter into such agreements 
may be redelegated only to Office Directors and Contracting Officers.
    (n) Chief Information Officer. The Chief Information Officer is 
delegated authority to formulate IT policy, guidance, procedures, 
security, and best practices; implement an IT capital planning program, 
an integrated Enterprise Architecture program, and a mission information 
protection program that ensures privacy, security, and critical 
infrastructure protection for NHTSA systems and data; and provide for 
other NHTSA IT functions to support the agency's mission, performance 
goals, and objectives.



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



Sec.
509.1 Purpose.
509.2 Display.

    Authority: 44 U.S.C. 3507.



Sec. 509.1  Purpose.

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

[48 FR 51310, Nov. 8, 1983]

[[Page 28]]



Sec. 509.2  Display.

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


[57 FR 21215, May 19, 1992]



PART 510_INFORMATION GATHERING POWERS--Table of Contents



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

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

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



Sec. 510.1  Scope and purpose.

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



Sec. 510.2  Definitions.

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

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



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

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

[[Page 29]]

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



Sec. 510.4  Subpoenas, generally.

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

[[Page 30]]

known or reasonably available to the entity.

[53 FR 26261, July 12, 1988]



Sec. 510.5  Information gathering hearings.

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

[[Page 31]]

rights accorded to witnesses in this subsection may also be accorded to 
witnesses who appear voluntarily at such hearings.



Sec. 510.6  Administrative depositions.

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

[[Page 32]]

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



Sec. 510.7  General or special orders.

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



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

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



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

    (a)(1) Any person, sole proprietorship, partnership, corporation, or 
other entity served with a subpoena issued under Sec. 510.4 may file 
with the Deputy Administrator a motion to modify, limit, or quash that 
subpoena. If there is no Deputy Administrator, or the Deputy 
Administrator is not available, such motions shall be filed with and 
decided

[[Page 33]]

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



Sec. 510.10  Supplementation of responses to process.

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



Sec. 510.11  Fees.

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

[[Page 34]]



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

    Any failure to comply with compulsory process authorized by law and 
issued under this part is a violation of this part. In the event of such 
failure to comply, NHTSA may take appropriate action pursuant to the 
authority conferred by the National Traffic and Motor Vehicle Safety Act 
or the Motor Vehicle Information and Cost Savings Act, as appropriate, 
including institution of judicial proceedings to enforce the order and 
to collect civil penalties.



PART 511_ADJUDICATIVE PROCEDURES--Table of Contents



     Subpart A_Scope of Rules; Nature of Adjudicative Proceedings, 
                               Definitions

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

       Subpart B_Pleadings; Form; Execution; Service of Documents

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

Subpart C_Prehearing Procedures; Motions; Interlocutory Appeals; Summary 
                          Judgment; Settlement

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

                 Subpart D_Discovery; Compulsory Process

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

                           Subpart E_Hearings

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

                           Subpart F_Decision

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

  Subpart G_Settlement Procedure in Cases of Violation of Average Fuel 
                            Economy Standards

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

               Subpart H_Appearances; Standards of Conduct

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

Appendix I to Part 511--Final Prehearing Order

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

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

[[Page 35]]



     Subpart A_Scope of Rules; Nature of Adjudicative Proceedings, 
                               Definitions



Sec. 511.1  Scope of the rules.

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



Sec. 511.2  Nature of adjudicative proceedings.

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



Sec. 511.3  Definitions.

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

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



       Subpart B_Pleadings; Form; Execution; Service of Documents



Sec. 511.11  Commencement of proceedings.

    (a) Notice of institution of an enforcement proceeding. An 
adjudicative proceeding under this part is commenced by the issuance of 
a complaint by the NHTSA.
    (b) Form and content of complaint. The complaint shall be signed by 
the Complaint Counsel and shall contain the following:
    (1) Recital of the legal authority for instituting the proceeding, 
with specific designation of the statutory provisions involved in each 
allegation.
    (2) Identification of each respondent.
    (3) A clear and concise statement of the charges, sufficient to 
inform each respondent with reasonable definiteness of the factual basis 
of the allegations of violation. A list and summary of documentary 
evidence supporting the charges shall be attached.

[[Page 36]]

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



Sec. 511.12  Answer.

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



Sec. 511.13  Amendments and supplemental pleadings.

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



Sec. 511.14  Form and filing of documents.

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

[[Page 37]]

to the best of the signer's knowledge, information and belief, the 
statements made in it are true; and that it is not filed for purposes of 
delay.

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



Sec. 511.15  Time.

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



Sec. 511.16  Service.

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

[[Page 38]]

mail, properly addressed, postage prepaid.
    (e) Service on a representative. When a party has appeared by an 
attorney or other representative, service upon that attorney or other 
representative shall constitute service on the party.
    (f) Certificate of service. The original of every document filed 
with the agency and required to be served upon all parties to a 
proceeding shall be accompanied by a certificate of service signed by 
the party making service, stating that such service has been made upon 
each party to the proceeding. Certificates of service may be in 
substantially the following form:

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

(Signature)_____________________________________________________________
For_____________________________________________________________________

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

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



Sec. 511.17  Public participation.

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

[53 FR 15783, May 3, 1988]



Sec. 511.18  Joinder of proceedings.

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



Subpart C_Prehearing Procedures; Motions; Interlocutory Appeals; Summary 
                          Judgment; Settlement



Sec. 511.21  Prehearing conferences.

    (a) When held. (1) A prehearing conference shall be held in person 
or by conference telephone call, except in unusual circumstances, 
approximately fifty (50) days after publication in the Federal Register 
of the complaint, upon ten (10) days notice to all parties and 
participants, to consider any or all the following:
    (i) Motions for consolidation of proceedings;
    (ii) Identification, simplification and clarification of the issues;
    (iii) Necessity or desirability of amending the pleadings;
    (iv) Stipulations and admissions of fact and of the content and 
authenticity of documents;
    (v) Oppositions to notices of oral examination;
    (vi) Motions for protective orders to limit or modify discovery;

[[Page 39]]

    (vii) Issuance of subpoenas to compel the appearance of witnesses 
and the production of documents;
    (viii) Limitation of the number of witnesses, particularly the 
avoidance of duplicate expert witnesses;
    (ix) Matters of which official notice will be taken and matters 
which may be resolved by reliance upon findings of other Federal 
agencies; and
    (x) Other matters which may expedite the conduct of the hearing.



Sec. 511.22  Prehearing briefs.

    Not later ten (10) days prior to the hearing, the parties shall, 
except when ordered otherwise by the Presiding Officer in unusual 
circumstances, simultaneously serve and file prehearing briefs, which 
shall set forth (a) a statement of the facts expected to be proved, and 
of the anticipated order of proof; (b) a statement of the issues and the 
legal argument in support of the party's contentions with respect to 
each issue; and (c) a table of authorities with a designation by 
asterisk of the principal authorities relied upon.



Sec. 511.23  Motions.

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



Sec. 511.24  Interlocutory appeals.

    (a) General. Rulings of the Presiding Officer may not be appealed to 
the Administrator prior to the Initial Decision, except as provided 
herein.
    (b) Exceptions--(1) Interlocutory appeals to Administrator. The 
Administrator may, in his or her discretion, entertain interlocutory 
appeals where a ruling of the Presiding Officer:
    (i) Requires the production or disclosure of records claimed to be 
confidential;
    (ii) Requires the testimony of a supervisory official of the agency 
other than one especially cognizant of the facts of the matter in 
adjudication;
    (iii) Excludes an attorney from participation in a proceeding 
pursuant to Sec. 511.42(b).
    (2) Procedures for interlocutory appeals. Within ten (10) days of 
issuance of a ruling, any party may petition the Administrator to 
entertain an interlocutory appeal on a ruling in the categories 
enumerated above. The petition

[[Page 40]]

shall not exceed fifteen (15) pages. Any other party may file a response 
to the petition within ten (10) days of its service. The response shall 
not exceed fifteen (15) pages. The Administrator shall thereupon act 
upon the petition, or the Administrator shall request such further 
briefing or oral presentation as he may deem necessary.
    (3) Interlocutory appeals from all other rulings--(i) Grounds. 
Interlocutory appeals from all other rulings by the Presiding Officer 
may proceed only upon motion to the Presiding Officer and a 
determination by the Presiding Officer in writing, with justification in 
support thereof, that the ruling involves a controlling question of law 
or policy as to which there is substantial ground for differences of 
opinion and that an immediate appeal from the ruling may materially 
advance the ultimate termination of the litigation, or that subsequent 
review will be an inadequate remedy.
    (ii) Form. If the Presiding Officer determines, in accordance with 
paragraph (b)(3)(i) of this section that an interlocutory appeal may 
proceed, a petition for interlocutory appeal may be filed with and acted 
upon by the Administrator in accordance with paragraph (b)(2) of this 
section.
    (c) Proceedings not stayed. A petition for interlocutory appeal 
under this part shall not stay the proceedings before the Presiding 
Officer unless the Presiding Officer shall so order, except that a 
ruling of the Presiding Officer requiring the production of records 
claimed to be confidential shall be automatically stayed for a period of 
(10) days following the issuance of such ruling to allow an affected 
party the opportunity to file a petition for an interlocutory appeal 
pursuant to Sec. 511.24(b)(2). The filing of such a petition shall 
automatically extend the stay of such a ruling pending the 
Administrator's action on such petition.



Sec. 511.25  Summary decision and order.

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



Sec. 511.26  Settlement.

    (a) Applicability. This section applies only to cases of alleged 
violations of section 507(3) of the Motor Vehicle Information and Cost 
Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2007(3)). 
Settlement in other cases may be made only in accordance with subpart G 
of this part.
    (b) Availability. Any party shall have the opportunity to submit an 
offer of settlement to the Presiding Officer.
    (c) Form. Offers of settlement shall be in the form of a consent 
agreement and order, shall be signed by the party submitting the offer 
or his representative, and may be signed by any other party.

[[Page 41]]

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

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



                 Subpart D_Discovery; Compulsory Process



Sec. 511.31  General provisions governing discovery.

    (a) Applicability. The discovery rules established in this subpart 
are applicable to the discovery of information among the parties to a 
proceeding. Parties seeking information from persons not parties may do 
so by subpoena in accordance with Sec. 511.38.
    (b) Discovery methods. Parties may obtain discovery by one or more 
of the following methods: (1) Written interrogatories; (2) requests for 
production of documents or things; (3) requests for admissions; or (4) 
testimony upon oral examination. Unless the Presiding Officer otherwise 
orders under paragraph (d) of this section, the frequency of use of 
these methods is not limited.
    (c) Scope of discovery. The scope of discovery is as follows:
    (1) In general. Parties may obtain discovery regarding any matter 
not privileged, which is relevant to the subject matter involved in the 
proceedings, whether it relates to the claim or defense of the party 
seeking discovery or to the claim or defense of any other party. It is 
not ground for objection

[[Page 42]]

that the information sought will be inadmissible at the hearing if the 
information sought appears reasonably calculated to lead to the 
discovery of admissible evidence.
    (2) Exception. Parties may not obtain discovery of documents which 
accompanied the staff's recommendation as to whether a complaint should 
issue or of documents or portions thereof which would be exempt from 
discovery under Rule 26(b)(3) of the Federal Rules of Civil Procedure.
    (3) Hearing preparation: Experts. A party may obtain discovery of 
facts known and opinions held by experts, regardless of whether they are 
acquired or developed in anticipation of or for litigation. Such 
discovery may be had by any of the methods provided in paragraph (b) of 
this section.
    (d) Protective orders. Upon motion by a party or person and for good 
cause shown, the Presiding Officer may make any order which justice 
requires to protect such party or person from annoyance, embarrassment, 
competitive disadvantage, oppression or undue burden or expense, 
including one or more of the following: (1) That the discovery shall not 
be had; (2) that the discovery may be had only on specified terms and 
conditions, including a designation of the time and/or place; (3) that 
the discovery shall be had only by a method of discovery other than that 
selected by the party seeking discovery; (4) that certain matters shall 
not be inquired into, or that the scope of discovery shall be limited to 
certain matters; (5) that discovery shall be conducted with no one 
present except persons designated by the Presiding Officer; (6) that a 
trade secret or other confidential research, development, or commercial 
information shall not be disclosed or shall be disclosed only in a 
designated way or only to designated parties; and (7) that responses to 
discovery shall be placed in camera in accordance with Sec. 511.45.

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

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



Sec. 511.32  Written interrogatories to parties.

    (a) Availability; procedures for use. Any party may serve upon any 
other party written interrogatories to be answered by the party served 
or, if the party served is a public or private corporation or a 
partnership or association or governmental agency, by any officer or 
agent, who shall furnish such information as is available to the party. 
Interrogatories may, without leave of the Presiding Officer, be served 
upon any party after filing of the answer.
    (b) Procedures for response. Each interrogatory shall be answered 
separately and fully in writing under oath, unless it is objected to, in 
which event the reasons for objection shall be stated in lieu of an 
answer. The answers

[[Page 43]]

are to be signed by a responsible representative of the respondent and 
the objections signed by the representative making them. The party upon 
whom the interrogatories have been served shall serve a copy of the 
answers, and objections if any, within 30 days after service of the 
interrogatories. The Presiding Officer may allow a shorter or longer 
time for response. The party submitting the interrogatories may move for 
an order under Sec. 511.36 with respect to any objection to or other 
failure to answer an interrogatory.
    (c) Scope of interrogatories. Interrogatories may relate to any 
matters which can be inquired into under Sec. 511.31(c)(1), and the 
answers may be used to the extent permitted under this part. An 
interrogatory otherwise proper is not objectionable merely because an 
answer to the interrogatory would involve an opinion or contention that 
relates to fact or to the application of law to fact, but the Presiding 
Officer may order that such an interrogatory need not be answered until 
a later time.
    (d) Option to produce business records. Where the answer to an 
interrogatory may be derived or ascertained from the business records of 
the party upon whom the interrogatory has been served, or from an 
examination, audit or inspection of such business records, or from a 
compilation, abstract or summary based thereon, and the burden of 
deriving the answer is substantially the same for the party serving the 
interrogatory as for the party served, it is a sufficient answer to the 
interrogatory to specify the records from which the answer may be 
derived or ascertained and to afford to the party serving the 
interrogatory reasonable opportunity to examine, audit or inspect such 
records and to make copies, complications, abstracts, or summaries.



Sec. 511.33  Production of documents and things.

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



Sec. 511.34  Requests for admission.

    (a) Procedure for request. A party may serve upon any other party a 
written request for the admission, for the purposes of the pending 
proceeding only, of the truth of any matters within the scope of Sec. 
511.31(c)(1) set forth in the request that relate to statements or 
opinions of fact or of the application of law to fact, including the 
genuineness of documents described in the request. Copies of documents 
shall be served with the request unless they have been, or are otherwise 
furnished or made

[[Page 44]]

available for inspection and copying. The request may, without leave of 
the Presiding Officer, be served upon any party after filing of the 
answer. Each matter as to which an admission is requested shall be 
separately set forth.
    (b) Procedure for response. The matter as to which an admission is 
requested is deemed admitted unless within thirty (30) days after 
service of the request, or within such shorter or longer time as the 
Presiding Officer may allow, the party to whom the request is directed 
serves upon the party requesting the admission a written answer or 
objection addressed to the matter, signed by the party or the party's 
representatives. If objection is made, the reasons therefore shall be 
stated.

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



Sec. 511.35  Testimony upon oral examination.

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

[[Page 45]]

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

[[Page 46]]

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

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



Sec. 511.36  Motions to compel discovery.

    If a party fails to respond to discovery, in whole or in part, the 
party seeking discovery may move within twenty (20) days for an order 
compelling an answer, or compelling inspection or production of 
documents, or otherwise compelling discovery. For

[[Page 47]]

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 Sec. 511.31(d). When making oral examinations, the 
discovering party shall continue the examination to the extent possible 
with respect to other areas of inquiry before moving to compel 
discovery.



Sec. 511.37  Sanctions for failure to comply with order.

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

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



Sec. 511.38  Subpoenas.

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

[[Page 48]]

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

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



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

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



                           Subpart E_Hearings



Sec. 511.41  General rules.

    (a) Public hearings. All hearings pursuant to this part shall be 
public unless otherwise ordered by the Presiding Officer. Notice of the 
time and location of the hearing shall be served on each party and 
participant, and published in the Federal Register.
    (b) Expedition. Hearings shall proceed with all reasonable speed, 
insofar as practicable and with due regard to the convenience of the 
parties and shall continue without suspension until concluded, except in 
unusual circumstances.
    (c) Rights of parties. Every party shall have the right of timely 
notice and all other rights essential to a fair hearing, including, but 
not limited to, the rights to present evidence, to conduct such cross-
examination as may be necessary in the judgment of the Presiding Officer 
for a full and complete disclosure of the facts, and to be heard by 
objection, motion, brief, and argument.
    (d) Rights of participants. Every participant shall have the right 
to make a written or oral statement of position, file proposed findings 
of fact, conclusions of law and a posthearing brief, in accordance with 
Sec. 511.17(b).

[[Page 49]]

    (e) Rights of witnesses. Any person compelled to testify in a 
proceeding in response to a subpoena may be accompanied, represented, 
and advised by counsel or other representative, and may obtain a 
transcript of his or her testimony at no cost.



Sec. 511.42  Powers and duties of Presiding Officer.

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

[[Page 50]]

Officer or requesting assignment of another Administrative Law Judge 
through the Office of Hearings.

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



Sec. 511.43  Evidence.

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



Sec. 511.44  Expert witnesses.

    (a) Definition. An expert witness is one who, by reason of 
education, training, experience, or profession, has peculiar knowlege 
concerning the matter of science or skill to which his or her testimony 
relates and from which he or she may draw inferences based upon 
hypothetically stated facts or from facts involving scientific or 
technical knowledge.
    (b) Method of presenting testimony of expert witness. Except as may 
be otherwise ordered by the Presiding Officer, a detailed written 
statement of the elements of the direct testimony of an expert witness 
shall be filed on the record and exchanged between the parties no

[[Page 51]]

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



Sec. 511.45  In camera materials.

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

[[Page 52]]

conclusions, briefs, or other documents, all parties shall refrain from 
disclosing specific details of in camera materials. Such refraining 
shall not preclude general references to such materials. To the extent 
that parties consider it necessary to include specific details of in 
camera materials, the references shall be incorporated into separate 
proposed findings, briefs, or other documents marked ``CONFIDENTIAL, 
CONTAINS IN CAMERA MATERIAL,'' which shall be placed in camera and 
become part of the in camera record. These documents shall be served 
only on parties accorded access to the in camera materials in accordance 
with paragraph (c)(2) of this section.



Sec. 511.46  Proposed findings, conclusions, and order.

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



Sec. 511.47  Record.

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



Sec. 511.48  Official docket.

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

[53 FR 15783, May 3, 1988]



Sec. 511.49  Fees.

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



                           Subpart F_Decision



Sec. 511.51  Initial decision.

    (a) When filed. The Presiding Officer shall endeavor to file an 
Initial Decision with the Administrator within sixty (60) days of the 
close of the record, the filing of post-hearing briefs, or the filing of 
replies thereto, whichever is latest.
    (b) Content. The Initial Decision shall be based upon a 
consideration of the entire record and it shall be supported by 
reliable, probative, and substantial evidence. It shall include:
    (1) Findings and conclusions, as well as the reasons or bases 
therefor, upon

[[Page 53]]

the material questions of fact, material issues of law, or discretion 
presented on the record, and should, where practicable, be accompanied 
by specific page citations to the record and to legal and other 
materials relied upon.
    (2) An appropriate order.
    (c) By whom made. The Initial Decision shall be made and filed by 
the Presiding Officer who presided over the hearing, unless otherwise 
ordered by the Administrator.
    (d) Reopening of proceeding by presiding officer; termination of 
jurisdiction. (1) At any time prior to or concomitant with the filing of 
the Initial Decision, the Presiding Officer may reopen the proceedings 
for the reception of further evidence.
    (2) Except for the correction of clerical errors, the jurisdiction 
of the Presiding Officer is terminated upon the filing of the Initial 
Decision, unless and until the proceeding is remanded to the Presiding 
Officer by the Administrator.



Sec. 511.52  Adoption of initial decision.

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



Sec. 511.53  Appeal from initial decision.

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

[[Page 54]]

brief, or on the day preceding the oral argument, whichever comes first.
    (g) Oral argument. The purpose of an oral argument is to emphasize 
and clarify the issues. Any party may request oral argument. The 
Administrator may order oral argument upon request or upon his or her 
own initiative. All oral arguments shall be reported and transcribed.



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

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



Sec. 511.55  Final decision on appeal or review.

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



Sec. 511.56  Reconsideration.

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



Sec. 511.57  Effective date of order.

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



  Subpart G_Settlement Procedure in Cases of Violation of Average Fuel 
                            Economy Standards



Sec. 511.61  Purpose.

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



Sec. 511.62  Definitions.

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



Sec. 511.63  Criteria for settlement.

    Settlement of a case of violation of an average fuel economy 
standard is discretionary with the Administrator.

[[Page 55]]

The Administrator will consider settlement only to the extent:
    (a) Necessary to prevent the insolvency or bankruptcy of the person 
seeking settlement, or
    (b) That the violation of the average fuel economy standard 
resulted, as shown by the person seeking settlement, from an act of God, 
a strike, or fire, or
    (c) That modification of a civil penalty assessed under this part is 
necessary to prevent lessening of competition, as determined and as 
certified by the Federal Trade Commission under section 508(b)(4) of the 
Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 
911 (15 U.S.C. section 2008(b)(4)).



Sec. 511.64  Petitions for settlement; timing, contents.

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



Sec. 511.65  Public comment.

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



Sec. 511.66  Confidential business information.

    The Administrator shall have authority to segregate from the public 
docket

[[Page 56]]

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.



Sec. 511.67  Settlement order.

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

[53 FR 15783, May 3, 1988]



               Subpart H_Appearances; Standards of Conduct



Sec. 511.71  Who may make appearances.

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



Sec. 511.72  Authority for representation.

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



Sec. 511.73  Written appearances.

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

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



Sec. 511.74  Attorneys.

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



Sec. 511.75  Persons not attorneys.

    (a) Any person who is not an attorney at law may be admitted to 
appear in an adjudicative proceeding if that person files proof to the 
satisfaction of the Presiding Officer that he or she possesses the 
necessary legal, technical or other qualifications to render valuable 
service in the proceeding and is otherwise competent to advise and 
assist in the presentation of matters in the proceedings. An application 
by a person not an attorney at law to appear in a proceeding shall be 
submitted in writing to the Docket Section, not later than thirty (30) 
days prior to the hearing in the proceedings. The application shall set 
forth the applicant's

[[Page 57]]

qualifications to appear in the proceedings.
    (b) No person who is not an attorney at law and whose application 
has not been approved shall be permitted to appear in the 
Administration's proceedings. However, this provision shall not apply to 
any person who appears before the NHTSA on his or her own behalf or on 
behalf of any corporation, partnership, or association of which the 
person is a partner, officer, or regular employee.

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



Sec. 511.76  Qualifications and standards of conduct.

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



Sec. 511.77  Restrictions as to former members and employees.

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



Sec. 511.78  Prohibited communications.

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

[[Page 58]]

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

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



           Sec. Appendix I to Part 511--Final Prehearing Order

                              Case Caption

                         Final Prehearing Order

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

    Counsel appeared as follows:

For the Administration staff:

For the Respondent(s):
Others:

    1. NATURE OF ACTION AND JURISDICTION.

               This is an action for --------------------

________________________________________________________________________

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

    2. STIPULATIONS AND STATEMENTS.

    The following stipulations and statements were submitted, attached 
to, and made a part of this order:
    (a) A comprehensive written stipulation or statement of all 
uncontested facts;
    (b) A concise summary of the ultimate facts as claimed by each 
party. (Complaint Counsel must set forth the claimed facts, 
specifically; for example, if violation is

[[Page 59]]

claimed, Complaint Counsel must assert specifically the acts of 
violation complained of; each respondent must reply with equal clarity 
and detail.)
    (c) Written stipulations or statements setting forth the 
qualifications of the expert witnesses to be called by each party;
    (d) A written list or lists of the witnesses whom each party will 
call, a written list or lists of the additional witnesses whom each 
party may call, and a statement of the subject on which each witness 
will testify;
    (e) An agreed statement of the contested issues of fact and of law, 
and/or separate statements by each party or any contested issues of fact 
and law not agreed to;
    (f) A list of all depositions to be read into evidence and 
statements of any objections thereto;
    (g) A list and brief description of any charts, graphs, models, 
schematic diagrams, and similar objects that will be used in opening 
statements or closing arguments, but will not be offered in evidence. If 
any other such objects are to be used by any party, they will be 
submitted to opposing counsel at least three days prior to hearing. If 
there is then any objection to their use, the dispute will be submitted 
to the Presiding Officer at least one day prior to hearing;
    (h) Written waivers of claims or defenses which have been abandoned 
by the parties.

The foregoing were modified at the pretrial conference as follows:

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

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

      [Identification number and brief description of each exhibit]

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

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

    4. RESPONDENT'S EVIDENCE.

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

      [Identification number and brief description of each exhibit]

The authenticity of these exhibits has been stipulated.

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

    5. ADDITIONAL ACTIONS.

The following additional action was taken:

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

    6. LIMITATIONS AND RESERVATIONS.

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

________________________________________________________________________

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


[[Page 60]]


APPROVED AS TO FORM AND SUBSTANCE

Date: ----------.

________________________________________________________________________

Complaint Counsel.

________________________________________________________________________

Attorney for Respondent(s).

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



PART 512_CONFIDENTIAL BUSINESS INFORMATION--Table of Contents



                      Subpart A_General Provisions

Sec.
512.1 Purpose and scope.
512.2 Applicability.
512.3 Definitions.

                    Subpart B_Submission Requirements

512.4 When requesting confidentiality, what should I submit?
512.5 How many copies should I submit?
512.6 How should I prepare documents when submitting a claim for 
          confidentiality?
512.7 Where should I send the information for which I am requesting 
          confidentiality?
512.8 What supporting information should I submit with my request?

                    Subpart C_Additional Requirements

512.9 What are the requirements if the information comes from a third 
          party?
512.10 Duty to amend.
512.11 What if I need an extension of time?
512.12 What if I am submitting multiple items of information?
512.13 What are the consequences for noncompliance with this part?

                     Subpart D_Agency Determination

512.14 Who makes the confidentiality determination?
512.15 How will confidentiality determinations be made?
512.16 Class determinations.
512.17 How long should it take to determine whether information is 
          entitled to confidential treatment?
512.18 How will I be notified of the confidentiality determination?
512.19 What can I do if I disagree with the determination?

  Subpart E_Agency Treatment of Information Claimed To Be Confidential

512.20 How does the agency treat information submitted pursuant to this 
          part before a confidentiality determination is made?
512.21 How is information submitted pursuant to this part treated once a 
          confidentiality determination is made?
512.22 Under what circumstances may NHTSA modify a grant of 
          confidentiality?
512.23 Under what circumstances may NHTSA publicly release confidential 
          information?

Appendix A to Part 512--Certificate in Support of Request for 
          Confidentiality
Appendix B to Part 512--General Class Determinations
Appendix C to Part 512--Early Warning Reporting Class Determinations
Appendix D to Part 512--Vehicle Identification Number Information
Appendix E to Part 512--Consumer Assistance to Recycle and Save (CARS) 
          Class Determinations
Appendix F to Part 512--OMB Clearance

    Authority: 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.

    Source: 68 FR 44228, July 28, 2003, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 512.1  Purpose and scope.

    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.



Sec. 512.2  Applicability.

    (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.

[[Page 61]]

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.
    (b) Information received as part of the procurement process is 
subject to the Federal Acquisition Regulation, 48 CFR Chapter 1, as well 
as this part. In any case of conflict between the Federal Acquisition 
Regulation and this part, the provisions of the Federal Acquisition 
Regulation prevail.



Sec. 512.3  Definitions.

    Whenever used in this part:
    (a) Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    (b) Chief Counsel means the Chief Counsel of the National Highway 
Traffic Safety Administration.
    (c) Confidential business information means trade secrets or 
commercial or financial information that is privileged or confidential, 
as described in 5 U.S.C. 552(b)(4).
    (1) A trade secret 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.
    (2) Commercial or financial information is considered confidential 
if it has not been publicly disclosed and:
    (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
    (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.
    (d) NHTSA means the National Highway Traffic Safety Administration.
    (e) ``Substantial competitive harm'' includes ``significant 
competitive damage'' under Chapter 329 of Title 49 of the United States 
Code, Automobile Fuel Economy, 49 U.S.C. 32910(c).



                    Subpart B_Submission Requirements



Sec. 512.4  When requesting confidentiality, what should I submit?

    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:
    (a) The materials for which confidentiality is being requested, in 
conformance with Sec. Sec. 512.5, 512.6, and 512.7 of this part;
    (b) The Certificate, in the form set out in appendix A to this part;
    (c) Supporting information, in conformance with Sec. 512.8; and
    (d) Any request for an extension of time, made in accordance with 
Sec. 512.11.



Sec. 512.5  How many copies should I submit?

    (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:
    (1) A complete copy of the submission, and
    (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
    (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.
    (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.
    (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

[[Page 62]]

which those portions for which confidential treatment is claimed has 
been redacted.
    (c) Any person submitting blueprints or engineering drawings need 
only provide an original version with their submission.



Sec. 512.6  How should I prepare documents when submitting a claim 
for confidentiality?

    (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.
    (b) The word ``CONFIDENTIAL'' must appear on the top of each page 
containing information claimed to be confidential.
    (1) If an entire page is claimed to be confidential, the submitter 
must indicate clearly that the entire page is claimed to be 
confidential.
    (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: ``[ ].''
    (c) Submissions in electronic format--(1) Persons submitting 
information under this Part may submit the information in an electronic 
format. Except for early warning reporting data submitted to the agency 
under 49 CFR part 579, the information submitted in an electronic format 
shall be submitted in a physical medium such as a CD-ROM. The exterior 
of the medium (e.g., the disk itself) shall be permanently labeled with 
the submitter's name, the subject of the information and the words 
``CONFIDENTIAL BUSINESS INFORMATION''.
    (2) Confidential portions of electronic files submitted in other 
than their original format must be marked ``Confidential Business 
Information'' or ``Entire Page Confidential Business Information'' at 
the top of each page. If only a portion of a page is claimed to be 
confidential, that portion shall be designated by brackets. Files 
submitted in their original format that cannot be marked as described 
above must, to the extent practicable, identify confidential information 
by alternative markings using existing attributes within the file or 
means that are accessible through use of the file's associated program. 
When alternative markings are used, such as font changes or symbols, the 
submitter must use one method consistently for electronic files of the 
same type within the same submission. The method used for such markings 
must be described in the request for confidentiality. Files and 
materials that cannot be marked internally, such as video clips or 
executable files or files provided in a format specifically requested by 
the agency, shall be renamed prior to submission so the words 
``Confidential Bus Info'' appears in the file name or, if that is not 
practicable, the characters ``Conf Bus Info'' or ``Conf'' appear. In all 
cases, a submitter shall provide an electronic copy of its request for 
confidential treatment on any medium containing confidential 
information, except where impracticable.
    (3) Confidential portions of electronic files submitted in other 
than their original format must be marked with consecutive page numbers 
or sequential identifiers so that any page can be identified and located 
using the file name and page number. Confidential portions of electronic 
files submitted in their original format must, if practicable, be marked 
with consecutive page numbers or sequential identifiers so that any page 
can be identified and located using the file name and page number. 
Confidential portions of electronic files submitted in their original 
format that cannot be marked as described above must, to the extent 
practicable, identify the portions of the file that are claimed to be 
confidential through the use of existing indices or placeholders 
embedded within the file. If such indices or placeholders exist, the 
submitter's request for confidential treatment shall clearly identify 
them and the means for locating them within the file. If files submitted 
in their original format cannot be marked with page or sequence number 
designations and do not contain existing indices or placeholders for 
locating confidential information, then the portions of the files that 
are claimed to be confidential shall be described by other means

[[Page 63]]

in the request for confidential treatment. In all cases, submitters 
shall provide an electronic copy of their request for confidential 
treatment on any media containing confidential data except where 
impracticable.
    (4) Electronic media may be submitted only in commonly available and 
used formats.

[68 FR 44228, July 28, 2003, as amended at 72 FR 59469, Oct. 19, 2007]



Sec. 512.7  Where should I send the information for which I am 
requesting confidentiality?

    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, 1200 New Jersey Avenue, 
SE., West Building W41-227, Washington, DC 20590.

[72 FR 59470, Oct. 19, 2007]



Sec. 512.8  What supporting information should I submit with my
request?

    When requesting confidentiality, the submitter shall:
    (a) Describe the information for which confidentiality is being 
requested;
    (b) Identify the confidentiality standard(s) under which the 
confidentiality request should be evaluated, in accordance with Sec. 
512.15;
    (c) Justify the basis for the claim of confidentiality under the 
confidentiality standard(s) identified pursuant to paragraph (b) of this 
section by describing:
    (1) Why the information qualifies as a trade secret, if the basis 
for confidentiality is that the information is a trade secret;
    (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;
    (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;
    (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
    (5) The information is otherwise entitled to protection, pursuant to 
5 U.S.C. 552(b).
    (d) Indicate if any items of information fall within any of the 
class determinations included in appendix B to this Part;
    (e) Indicate the time period during which confidential treatment is 
sought; and
    (f) State the name, address, and telephone number of the person to 
whom NHTSA's response and any inquiries should be directed.



                    Subpart C_Additional Requirements



Sec. 512.9  What are the requirements if the information comes
from a third party?

    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 Sec. 512.4 of this part, including a 
certificate in the form set out in appendix A to this Part.



Sec. 512.10  Duty to amend.

    The submitter shall promptly amend any supporting information 
provided under Sec. 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.



Sec. 512.11  What if I need an extension of time?

    If a person is unable to submit the necessary information required 
under Sec. 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

[[Page 64]]

for the extension of time and the length of time requested.



Sec. 512.12  What if I am submitting multiple items of information?

    Any certificate provided under Sec. 512.4(b) of this part, and any 
supporting information provided under Sec. 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.



Sec. 512.13  What are the consequences for noncompliance with this
part?

    (a) If the submitter fails to comply with Sec. 512.4 of this part 
at the time the information is submitted to NHTSA or does not request an 
extension of time under Sec. 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 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.
    (b) If the submitter does not provide the certificate required under 
Sec. 512.4(b) of this part or any supporting information required under 
Sec. 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 Sec. 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.



                     Subpart D_Agency Determination



Sec. 512.14  Who makes the confidentiality determination?

    The Chief Counsel will determine whether an item of information will 
be afforded confidential treatment under this part.



Sec. 512.15  How will confidentiality determinations be made?

    Information may be afforded confidential treatment if the Chief 
Counsel determines that:
    (a) The information is a trade secret;
    (b) Public disclosure of the information would be likely to cause 
substantial harm to the competitive position of the submitter;
    (c) Public disclosure of the information would be likely to impair 
NHTSA's ability to obtain necessary information in the future;
    (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
    (e) The information is otherwise entitled to protection, pursuant to 
5 U.S.C. 552(b).



Sec. 512.16  Class determinations.

    (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 Federal Register.
    (b) The Chief Counsel may amend, modify, or terminate any class 
determination established under this section. These changes will be 
published in the Federal Register.
    (c) Class determinations made by the Chief Counsel are listed in 
Appendices B and C to this Part.

[[Page 65]]

    (d) A class determination may state that all of the information in 
the class:
    (1) Is or is not governed by a particular section of this part or by 
a particular set of substantive criteria of this part;
    (2) Satisfies one or more of the applicable substantive criteria; or
    (3) Satisfies one or more of the substantive criteria, but only for 
a certain period of time.



Sec. 512.17  How long should it take to determine whether information 
is entitled to confidential treatment?

    (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.
    (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.



Sec. 512.18  How will I be notified of the confidentiality 
determination?

    (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.
    (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.



Sec. 512.19  What can I do if I disagree with the determination?

    (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.
    (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.
    (c) If a petition for reconsideration is granted, the petitioner 
will be notified in writing of the determination and of any appropriate 
limitations.
    (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.

[[Page 66]]



  Subpart E_Agency Treatment of Information Claimed To Be Confidential



Sec. 512.20  How does the agency treat information submitted pursuant
to this part before a confidentiality determination is made?

    (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.
    (b) Redacted copies of documents submitted to NHTSA under this part 
will be disclosed to the public.



Sec. 512.21  How is information submitted pursuant to this part
treated once a confidentiality determination is made?

    (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.
    (b) Upon receipt of a timely petition for reconsideration under 
Sec. 512.19 of this part, the submitted information will remain 
confidential, pending a determination regarding the petition.
    (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.

[68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004]



Sec. 512.22  Under what circumstances may NHTSA modify a grant
of confidentiality?

    (a) The Chief Counsel may modify a grant of confidentiality based 
upon:
    (1) Newly discovered or changed facts;
    (2) A change in the applicable law;
    (3) A change in class determination, pursuant to Sec. 512.16;
    (4) The passage of time; or
    (5) A finding that the prior determination is erroneous.
    (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 Sec. 512.19.



Sec. 512.23  Under what circumstances may NHTSA publicly release
confidential information?

    (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:
    (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.
    (2) Information obtained under chapter 301 of title 49 of the United 
States Code (49 U.S.C. Sec. 30101 et seq.), relating to the 
establishment, amendment, or modification of Federal motor vehicle 
safety standards, may be disclosed when relevant to a proceeding under 
the chapter.
    (3) Except as specified in the next sentence, information obtained 
under Chapter 301 of title 49 of the United

[[Page 67]]

States Code (49 U.S.C. 30101 et seq.), 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.
    (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 cause the least possible 
adverse effects to the submitter.
    (b) Notwithstanding any other provision of this part, information 
that has been determined or claimed to be confidential may be released:
    (1) To a committee of Congress;
    (2) Pursuant to an order of a court of competent jurisdiction;
    (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;
    (4) With the consent of the submitter of the information; and
    (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.



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

          Certificate in Support of Request for Confidentiality

    I ----------, pursuant to the provisions of 49 CFR part 512, state 
as follows:
    (1) I am (official's name, title) and I am authorized by (company) 
to execute this certificate on its behalf;
    (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);
    (3) I hereby request that the information contained in (pertinent 
document(s)) be protected for (requested period of time);
    (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);
    (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);
    (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
    (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)



        Sec. Appendix B to Part 512--General Class Determinations

    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:
    (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;

[[Page 68]]

    (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
    (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).

[68 FR 44228, July 28, 2003, as amended at 69 FR 21425, Apr. 21, 2004]



       Sec. Appendix C to Part 512--Early Warning Reporting Class 
                             Determinations

    (a) The Chief Counsel has determined that the following information 
required to be submitted to the agency under 49 CFR 579, Subpart C, if 
released, is likely to cause substantial harm to the competitive 
position of the manufacturer submitting the information and is likely to 
impair the government's ability to obtain necessary information in the 
future:
    (1) Reports and data relating to warranty claim information and 
warranty adjustment information for manufacturers of tires;
    (2) Reports and data relating to field reports, including dealer 
reports, product evaluation reports, and hard copies of field reports; 
and
    (3) Reports and data relating to consumer complaints.
    (b) The Chief Counsel has determined that the following information 
required to be submitted to the agency under 49 CFR 579, Subpart C, if 
released, is likely to cause substantial harm to the competitive 
position of the manufacturer submitting the information:
    (1) Reports of production numbers for child restraint systems, 
tires, and vehicles other than light vehicles, as defined in 49 CFR 
579.4(c); and
    (2) Lists of common green tire identifiers.

[72 FR 59470, Oct. 19, 2007]



 Sec. Appendix D to Part 512--Vehicle Identification Number
 Information

    The Chief Counsel has determined that the disclosure of the last six 
(6) characters, when disclosed along with the first eleven (11) 
characters, of vehicle identification numbers reported in information on 
incidents involving death or injury pursuant to the 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).

[72 FR 59470, Oct. 19, 2007]



  Sec. Appendix E to Part 512--Consumer Assistance to Recycle and Save 
                       (CARS) Class Determinations

    (a) The Chief Counsel has determined that the following information 
required to be submitted to the agency under 49 CFR part 599, if 
released, is likely to cause substantial harm to the competitive 
position of the entity submitting the information:
    (1) Vehicle Manufacturer Issued Dealer Identification Code;
    (2) Dealer Bank Name, ABA Routing Number and Bank Account Number; 
and
    (3) CARS Dealer Code and Authorization Code.
    (b) The Chief Counsel has determined that the disclosure of the new 
vehicle owner's name, home address, telephone number, state 
identification number and last six (6) characters, when disclosed along 
with the first eleven (11) characters, of the new vehicle identification 
numbers reported in transactions submitted to the agency under 49 CFR 
Part 599 will constitute a clearly unwarranted invasion of personal 
privacy within the meaning of 5 U.S.C. 552(b)(6).

[74 FR 37897, July 29, 2009]



               Sec. Appendix F to Part 512--OMB Clearance

    The OMB clearance number for this part 512 is 2127-0025.

[74 FR 37897, July 29, 2009]



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



                            Subpart A_General

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

                          Subpart B_Procedures

520.21 Preparation of environmental reviews, negative declarations, and 
          notices of intent.
520.22 Maintenance of a list of actions.
520.23 Preparation of draft environmental impact statements.
520.24 Internal processing of draft environmental impact statements.
520.25 External review of draft environmental impact statements.
520.26 Public hearings.
520.27 Legislative actions.

[[Page 69]]

520.28 Preparation of final environmental impact statements.
520.29 Internal review of final environmental impact statements.
520.30 Availability of final environmental impact statements.
520.31 Amendments or supplements.
520.32 Emergency action procedures.
520.33 Timing of proposed NHTSA actions.
520.34 Comments on environmental statements prepared by other agencies.

Attachment 1 to Part 520--Form and Content of Statement
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]
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]
Attachment 4 to Part 520--State and Local Agency Review of Impact 
          Statements

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

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



                            Subpart A_General



Sec. 520.1  Purpose and scope.

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



Sec. 520.2  Policy.

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



Sec. 520.3  Definitions.

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

[[Page 70]]



Sec. 520.4  Applicability.

    (a) Scope. This part applies to all elements of NHTSA, including the 
Regional Offices.
    (b) Actions covered. Except as provided in paragraph (e) of this 
section, this part applies to the following agency actions and such 
actions and proposals as may be sponsored jointly with another agency:
    (1) New and continuing programs and projects; budget proposals; 
legislative proposals by the agency; requests for appropriations; 
reports on legislation initiated elsewhere where the agency has primary 
responsibility for the subject matter involved; and any renewals or 
reapprovals of the foregoing;
    (2) Research, development, and demonstration projects; formal 
approvals of work plans; and associated contracts;
    (3) Rulemaking and regulatory actions, including Notices of Proposed 
Rulemaking (NPRM); requests for procurement (RFP); requests for grants 
(Annual Work Programs); and contracts;
    (4) All grants, loans or other financial assistance for use in State 
and Community projects;
    (5) Annual State Highway Safety Work Programs;
    (6) Construction; leases; purchases; operation of Federal 
facilities; and
    (7) Any other activity, project, or action likely to have a 
significant effect on the environment.
    (c) Continuing actions. This part applies to any action enumerated 
in paragraph (b) of this section, even though such actions arise from a 
project or program initiated prior to enactment of the National 
Environmental Policy Act on January 1, 1970.
    (d) Environmental assessments. Within the scope of activities listed 
in Sec. 520.4(b), any person outside the agency submitting a program or 
project proposal may be requested to prepare an environmental assessment 
of such proposed action to be included in his submission to the agency.
    (e) Exceptions. (1) Assistance in the form of general revenue 
sharing funds, distributed under the State and Local Fiscal Assistance 
Act of 1972, 31 U.S.C. 1221, with no control by the NHTSA over the 
subsequent use of such funds;
    (2) Personnel actions;
    (3) Administrative procurements (e.g., general supplies) and 
contracts for personal services;
    (4) Legislative proposals originating in another agency and relating 
to matters not within NHTSA's primary areas of responsibility;
    (5) Project amendments (e.g., increases in costs) which have no 
environmental significance; and
    (6) Minor agency actions that are determined by the official 
responsible for the actions to be of such limited scope that they 
clearly will not have a significant effect on the quality of the human 
environment.
    (f) Consolidation of statements. Proposed actions (and alternatives 
thereto) having substantially similar environmental impacts may be 
covered by a single environmental review and environmental impact 
statement or negative declaration.



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

    (a) General guidelines. The phrase, ``major Federal actions 
significantly affecting the quality of the human environment,'' as used 
in this part, shall be construed with a view to the overall, cumulative 
impact of the actions, other Federal projects or actions in the area, 
and any further contemplated or anticipated actions. Therefore, an 
environmental impact statement should be prepared in any of the 
following situations:
    (1) Proposed actions which are localized in their impact but which 
have a potential for significantly affecting the environment;
    (2) Any proposed action which is likely to be controversial on 
environmental grounds;
    (3) Any proposed action which has unclear but potentially 
significant environmental consequences.
    (b) Specific guidelines. While a precise definition of environmental 
significance that is valid in all contexts is not possible, any of the 
following actions should ordinarily be considered as significantly 
affecting the quality of the human environment:

[[Page 71]]

    (1) Any matter falling under section 4(f) of the Department of 
Transportation Act (49 U.S.C. 1653(f)) and section 138 of Federal-aid 
highway legislation (23 U.S.C. 138), requiring the use of any publicly 
owned land from a park, recreation area, or wildlife and waterfowl 
refuge of national, State, or local significance as determined by the 
Federal, State, or local officials having jurisdiction thereof, or any 
land from an historic site of national, State, or local significance;
    (2) Any matter falling under section 106 of the National Historic 
Preservation Act of 1966 (16 U.S.C. 470(f)), requiring consideration of 
the effect of the proposed action on any building included in the 
National Register of Historic Preservation and reasonable opportunity 
for the Advisory Council on Historic Preservation to comment on such 
action;
    (3) Any action that is likely to affect the preservation and 
enhancement of sites of historical, architectural, or archaeological 
significance;
    (4) Any action that is likely to be highly controversial regarding 
relocation housing;
    (5) Any action that (i) divides or disrupts an established 
community, disrupts orderly, planned development, or is inconsistent 
with plans or goals that have been adopted by the community in which the 
project is located; or (ii) causes significantly increased congestion;
    (6) Any action that (i) involves inconsistency with any Federal, 
State, or local law or administrative determination relating to the 
environment; (ii) has a significantly detrimental impact on air or water 
quality or on ambient noise levels for adjoining areas; (iii) involves a 
possibility of contamination of a public water supply system; or (iv) 
affects ground water, flooding, erosion, or sedimentation;
    (7) Any action that may directly or indirectly result in a 
significant increase in noise levels, either within a motor vehicle's 
closed environment or upon nearby areas;
    (8) Any action that may directly or indirectly result in a 
significant increase in the energy or fuel necessary to operate a motor 
vehicle, including but not limited to the following: (i) Actions which 
may directly or indirectly result in a significant increase in the 
weight of a motor vehicle; and (ii) actions which may directly or 
indirectly result in a significant adverse effect upon the aerodynamic 
drag of a motor vehicle;
    (9) Any action that may directly or indirectly result in a 
significant increase in the amount of harmful emissions resulting from 
the operation of a motor vehicle;
    (10) Any action that may directly or indirectly result in a 
significant increase in either the use of or the exposure to toxic or 
hazardous materials in the manufacture, operation, or disposal of motor 
vehicles or motor vehicle equipment;
    (11) Any action that may directly or indirectly result in a 
significant increase in the problem of solid waste, as in the disposal 
of motor vehicles or motor vehicle equipment;
    (12) Any action that may directly or indirectly result in a 
significant depletion of scarce natural resources associated with the 
manufacture or operation of motor vehicles or motor vehicle equipment; 
and
    (13) Any other action that causes significant environment impact by 
directly or indirectly affecting human beings through adverse impacts on 
the environment.
    (c) Research activities. (1) In accord-ance with DOT Order 5610.1B, 
the Assistant Secretary for Systems Development and Technology (TST) 
will prepare, with the concurrence of the NHTSA, proposed procedures for 
assessing the environmental consequences of research activities. Until 
final procedures are promulgated, the following factors are to be 
considered for periodic evaluation to determine when an environmental 
statement is required for such programs:
    (i) The magnitude of Federal investment in the program;
    (ii) The likelihood of widespread application of the technology;
    (iii) The degree of environmental impact which would occur if the 
technology were widely applied; and
    (iv) The extent to which continued investment in the new technology 
is likely to restrict future alternatives.

[[Page 72]]

    (2) The statement or environmental review culminating in a negative 
declaration must be written late enough in the development process to 
contain meaningful information, but early enough so that this 
information can practically serve as an input in the decision-making 
process. Where it is anticipated that an environmental impact statement 
may ultimately be required but its preparation is still premature, the 
office shall prepare a publicly available record briefly setting forth 
the reasons for its determination that a statement is not yet necessary. 
This record shall be updated at least quarterly, or as may be necessary 
when significant new information becomes available concerning the 
potential environmental impact of the program. In any case, a statement 
or environmental review culminating in a negative declaration must be 
prepared before research activities have reached a state of investment 
or commitment to implementation likely to determine subsequent 
development or restrict later alternatives. Statements on technology 
research and development programs shall include an analysis not only of 
alternative forms of the same technology that might reduce any adverse 
environmental impacts but also of alternative technologies that would 
serve the same function as the technology under consideration. Efforts 
shall be made to involve other Federal agencies and interested groups 
with relevant expertise in the preparation of such statements because 
the impacts and alternatives to be considered are likely to be less well 
defined than in other types of statements.



                          Subpart B_Procedures



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

    (a) General responsibilities--(1) Associate Administrators and Chief 
Counsel. Each Associate Administrator and the Chief Counsel is 
responsible for determining, in accordance with Subpart A, whether the 
projects and activities under his jurisdiction require an environmental 
review, and for preparing all such reviews, negative declarations, and 
notices of intent.
    (2) Regional Administrators. Each Regional Administrator, in 
consultation with the Governor's Representative, is responsible for 
determining, in accordance with Subpart A, whether proposed State 
activities in his Region, as stated in Annual Work Programs, require an 
environmental review, and for the preparing all such reviews, negative 
declarations, and notices of intent.
    (3) Associate Administrator for Planning and Evaluation. The 
Associate Administrator for Planning and Evaluation may request in 
accordance with the requirements of this order, that the appropriate 
Associate Administrator or Regional Administrator prepare an 
Environmental review or Environmental Impact Statement for any proposed 
or continuing NHTSA action, or comment on any environmental statement 
prepared by other agencies.
    (b) Coordination. Coordination with appropriate local, State and 
Federal agencies should be accomplished during the early stages by the 
responsible official to assist in identifying areas of significance and 
concern. Existing procedures, including those established under the 
Office of Management and Budget (OMB) Revised Circular A-95, should be 
used to the greatest extent practicable to accomplish this early 
coordination.
    (c) Applicants. (1) Each applicant for a grant, loan, or other 
financial assistance for use in State and community projects may be 
requested to submit, with the original application, an environmental 
assessment of the proposed project.
    (2) Under OMB Revised Circular A-95, ``Evaluation, Review, and 
Coordination of Federal Assistance Programs and Projects,'' and DOT 
4600.4B, ``Evaluation, Review and Coordination of DOT Assistance 
Programs and Projects,'' dated February 27, 1974, a grant applicant must 
notify the clearinghouse of its intention to apply for Federal program 
assistance. The notification must solicit comments on the project and 
its impacts from appropriate State and local agencies. Since it is the 
NHTSA's policy to assure that (i) interested parties and Federal, State, 
and local agencies receive early notification of the decision to prepare 
an environmental

[[Page 73]]

impact statement, and (ii) their comments on the environmental effects 
of the proposed Federal action are solicited at an early stage in the 
preparation of the draft impact statement, this early notification 
requirement may be met by a grant applicant by sending the notification 
to interested parties and agencies at the same time it is sent to the 
clearinghouse.
    (d) Consultants. Consultants may prepare background or preliminary 
material and assist in preparing a draft or final environmental 
statement for which the NHTSA takes responsibility. Care should be 
exercised in selecting consultants, and in reviewing their work, to 
insure complete and objective consideration of all relevant project 
impacts and alternatives, particularly if the consultant may expect 
further contracts based on the outcome of the environmental decision.
    (e) Environmental review report. The environmental review shall 
culminate in a brief written report of the same title, which shall be 
included in the proposed or ongoing agency action, and which:
    (1) Describes the proposed or ongoing NHTSA action, the environment 
affected, and the anticipated benefits;
    (2) Evaluates the potential environmental impact, including those 
adverse impacts which cannot be avoided, should the proposal be 
implemented or the action continued;
    (3) Assesses the alternatives to the proposed or ongoing action and 
their potential environmental impact;
    (4) Evaluates the cumulative and long-term environmental effects of 
the proposed or ongoing action;
    (5) Describes the irreversible and irretrievable commitments of 
resources involved in the proposal's implementation or the action's 
continuance;
    (6) Identifies any known or potential conflicts with State, 
regional, or local plans and programs;
    (7) Weighs and analyzes the anticipated benefits against the 
environmental and other costs of the proposed or ongoing action in a 
manner which reflects similar comparisons of reasonably available 
alternatives; and
    (8) Concludes with a negative declaration or recommends the 
preparation of a DEIS.
    (f) Negative declarations. (1) If the responsible official judges 
that the environmental impact of a proposed or ongoing action under his 
jurisdiction will not significantly affect the quality of the human 
environment, the following declaration will be included in the 
environmental review report:

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

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



Sec. 520.22  Maintenance of a list of actions.

    (a) The Associate Administrator for Planning and Evaluation shall be 
responsible for the preparation and maintenance of a list of actions for 
which draft or final environmental impact statements have been or are to 
be prepared. This list shall be on file with the Associate Administrator 
for Planning and Evaluation and shall be available for public inspection 
in the Docket Section upon request. A copy of the initial list and its 
updatings at the end of each calendar quarter shall be transmitted by 
the Associate Administrator

[[Page 74]]

for Planning and Evaluation to TES and CEQ.
    (b) If a determination is made that an environmental statement is 
not necessary for a proposed action (1) which has been identified as 
normally requiring preparation of a statement, (2) which is similar to 
actions for which a significant number of statements have been prepared, 
(3) which the agency has previously announced would be the subject of a 
statement, or (4) for which the official responsible for such proposal 
has made a negative determination in response to a request from the CEQ, 
a record briefly setting forth the decision and the reasons for that 
determination shall be prepared by the responsible official. Such a 
record of negative determinations and any evaluations made pursuant to 
Sec. 520.21 which conclude that preparation of a statement is not yet 
timely shall be prepared by the responsible official, submitted to the 
Associate Administrator for Planning and Evaluation, and made available 
by the Associate Administrator for Planning and Evaluation in the same 
manner as provided in paragraph (a) of this section for lists of 
statements under preparation.



Sec. 520.23  Preparation of draft environmental impact statements.

    (a) Planning stage. (1) When a DEIS is to be prepared, the 
responsible official shall promptly initiate its preparation and develop 
a schedule in consultation with the Associate Administrator for Planning 
and Evaluation, to assure completion prior to the first significant 
point of decision in the program or project development process.
    (2) The environmental impacts of proposed activities should be 
initially assessed concurrently with the initial technical and economic 
studies.
    (3) Section 102(2)(A) of NEPA requires each Federal agency to 
utilize a ``systematic, interdisciplinary approach'' to plans and 
programs affecting the environment. To assure that all environmental 
impacts are identified and assessed, all relevant disciplines should be 
represented. If the necessary disciplines are not represented on the 
staff of the applicant or NHTSA, it is appropriate to use professional 
services available in other Federal, State or local agencies, 
universities, or consulting firms. The use of the interdisciplinary 
approach should not be limited to the environmental statement. This 
approach should also be used in the early planning stages to help assure 
a systematic evaluation of reasonable alternative courses of action and 
their potential social, economic, and environmental consequences.
    (b) Form and content requirements. Attachment 1 of this order 
prescribes the form and content requirements to be followed for each 
draft and final environmental impact statement. The DEIS must fulfill 
and satisfy, to the fullest extent possible at the time it is prepared, 
the requirements established for final statements.
    (c) Lead agency. CEQ guidelines provide that when more than one 
Federal agency (1) directly sponsors an action, or is directly involved 
in an action through funding, licenses, or permits, or (2) is involved 
in a group of actions directly related to each other because of their 
functional interdependence and geographical proximity, consideration 
should be given to preparing one statement for all the Federal actions 
involved. Agencies in such cases should consider the designation of a 
single ``lead agency'' to assume supervisory responsibility for 
preparation of a joint statement. Where a lead agency prepares the 
statement, the other agencies involved should provide assistance with 
respect to their areas of jurisdiction and expertise. The statement 
should contain an evaluation of the full range of Federal actions 
involved, should reflect the views of all participating agencies, and 
should be prepared before major or irreversible actions have been taken 
by any of the participating agencies. Some relevant factors in 
determining an appropriate lead agency are: The time sequence in which 
the agencies become involved, the magnitude of their respective 
involvement, and their relative expertise with respect to the project's 
environmental effects. Questions concerning ``lead agency'' decisions 
should be raised with CEQ through TES. For projects serving and 
primarily involving land owned by or

[[Page 75]]

under the jurisdiction of another Federal agency, that agency may be the 
appropriate lead agency.
    (d) Applicants. Where the agency requests an applicant for financial 
assistance or other agency approval to submit an environmental 
assessment, the responsible official will (1) assist the applicant by 
outlining the information required, and (2) in all cases make his own 
evaluation of the environmental issues involved and take responsibility 
for the scope and content of draft and final environmental statements.



Sec. 520.24  Internal processing of draft environmental impact 
statements.

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

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

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



Sec. 520.25  External review of draft environmental impact statements.

    (a) Requirements. The official responsible for the DEIS shall:
    (1) Transmit 5 copies of the DEIS to the CEQ and 2 copies to TES;
    (2) Solicit comments from all Federal, State, and local agencies 
which have jurisdiction by law or special expertise with respect to the 
possible environmental impact involved, and from the public (see 
Attachment 2); and
    (3) Inform the public and interested parties of the availability of 
the DEIS and provide copies as appropriate; and
    (4) Allow a comment period of not less than 45 days from the Friday 
of the week following receipt of the draft impact statement by CEQ. 
Requests for extensions shall be granted whenever possible, and 
particularly when warranted by the magnitude and complexity of the 
statement or the extent of citizen interest.
    (b) Procedures--(1) Federal and Federal-State agency review. (i) The 
DEIS shall be circulated for review to the Federal and Federal-State 
agencies with special expertise or jurisdiction by law with regard to 
the potential environmental impact involved. These agencies and their 
relevant areas of expertise are identified in Attachment 2.
    (ii) For actions within the jurisdiction of the Environmental 
Protection Agency (air or water quality, solid wastes, pesticides, 
radiation standards, noise), the DEIS shall be sent to EPA.
    (iii) For actions which would affect any property that is included 
in the National Register of Historic Preservation, the DEIS should be 
sent to the Advisory Council on Historic Preservation and the State 
Liaison Office for Historic Preservation.
    (2) State and local review. Where a review of the proposed action by 
State and local agencies authorized to develop and enforce environmental 
stand-ards is relevant, comments are to be solicited directly from such 
agencies with known responsibilities in environmental matters, and shall 
be obtained as follows:
    (i) Where review of direct Federal development projects, and of 
projects assisted under programs listed in Attachment D to revised OMB 
Circular A-95 (as implemented by DOT 4600.4B ``Evaluation, Review and 
Coordination of DOT Assistance Programs and Projects'', dated February 
27, 1974), takes place prior to preparation of an environmental 
statement, comments of the reviewing agencies on the environmental 
effects of the proposed project are inputs to the environmental 
statement. These comments shall be attached to the draft statement when 
it is circulated for review and copies of the draft shall be sent to 
those who commented. A-05 clearinghouses or other agencies designated by 
the Governor may also secure comments on environmental statements. In 
all cases, copies of the draft environmental

[[Page 76]]

statements shall be sent to clearinghouses and to the applicant whose 
project is the subject of the statement.
    (ii) Comments shall be directly obtained from appropriate State and 
local agencies, except where review is secured by agreement through A-95 
clearinghouses, unless the Governor of the appropriate State has 
designated some other point for obtaining his review. Instructions for 
obtaining the views of such agencies are contained in the joint OMB-CEQ 
memorandum (see Attachment 4). Comments shall be solicited from 
municipalities and counties on all projects located therein.
    (iii) State and local review of NHTSA procedures, regulations, and 
policies for administering Federal programs of assistance to State and 
local governments shall be obtained pursuant to procedures established 
by OMB Circular No. A-85.
    (iv) Generally, environmental statements on legislative and budget 
proposals may be excluded from State and local review.
    (3) General public review. (i) At the time the DEIS is circulated to 
Federal, State, and local agencies, public availability of the DEIS for 
comment and review will be announced by the CEQ in the Federal Register. 
Copies of the DEIS should be sent to known interested parties, and press 
releases should be sent to local news media advising where the DEIS is 
available and how copies may be obtained. The Office of Public Affairs 
and Consumer Services shall maintain a list of groups, including 
conservation organizations and motor vehicle manufacturers, known to be 
interested in the agency's activities, and directly notify such groups 
of the availability of the DEIS or send them a copy as soon as it has 
been prepared.
    (ii) A DEIS should be available to the public at least 30 days prior 
to the time of a public hearing on the DEIS.
    (iii) Copies of the DEIS will be made available at the NHTSA Docket 
Section, Room 5109, 400 Seventh Street, SW., Washington, DC 20590, and, 
where appropriate, NHTSA Regional Offices, at the offices of any 
applicants or grantees, at appropriate State, regional, and metropolitan 
clearing houses, and local public libraries, and furnished to public and 
private organizations and individuals with special expertise with 
respect to the potential environmental impact involved, and to those 
with an interest in the action who request an opportunity to comment. 
Copies to be made available to the public shall be provided without 
charge to the extent practicable, or at a fee which is not more than the 
actual cost of reproducing copies required to be sent to other Federal 
agencies, including the CEQ.
    (iv) A copy of the DEIS should in all cases be sent to any applicant 
whose project is the subject of the statement.
    (v) If a DEIS is changed to a negative declaration as a result of 
the public review process, all agencies and individuals that received 
copies and/or commented on the DEIS must be informed that a negative 
declaration was substituted for the DEIS and given a brief explanation 
of the reason for such substitution.
    (c) Utilization of comments. Comments received on the draft 
statement, and inputs (in summary form, if appropriate) from the 
processes for citizen participation, shall accompany the environmental 
statement through the normal internal project or program review process.



Sec. 520.26  Public hearings.

    (a) A public hearing on a proposed or ongoing action covered by a 
DEIS shall be held upon the determination by the official responsible 
for such action, in consultation with the Associate Administrator for 
Planning and Evaluation, that a public hearing would be appropriate and 
in the public interest. In deciding whether a public hearing is 
appropriate, the responsible official should consider:
    (1) The magnitude of the proposal in terms of economic costs, the 
geographic area involved, and the uniqueness or size of the commitment 
of the resources involved;
    (2) The degree of interest in the proposal, as evidenced by requests 
from the public and from Federal, State, and local authorities that a 
hearing be held;
    (3) The likelihood that information will be presented at the hearing 
which will be of assistance to the agency in

[[Page 77]]

fulfilling its responsibilities under the NEPA;
    (4) The extent to which public involvement already has been achieved 
through other means, such as earlier public hearings, meetings with 
citizen representatives, and/or written comments on the proposed action; 
and
    (5) The extent of potential environmental impact.
    (b) If it is determined that a public hearing is to be held in 
accordance with paragraph (a) of this section, the official responsible 
for the action shall both announce the hearing through newspaper 
articles, direct notification to interested parties, and clearinghouses, 
and cause a notice to be issued in the Federal Register at least 30 days 
prior to the time of such hearing:
    (1) Identifying the subject matter of the hearing;
    (2) Announcing the date, time, and place of the hearing and the 
procedures to be followed; and
    (3) Announcing the availability of the DEIS and any other 
information, as appropriate, for public inspection at one or more 
locations in the area affected by the action.



Sec. 520.27  Legislative actions.

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



Sec. 520.28  Preparation of final environmental impact statements.

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



Sec. 520.29  Internal review of final environmental impact statements.

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

[[Page 78]]

Affairs and the Office of Public Affairs of the Secretary's decisions so 
that they, in coordination with the operating administrations or other 
Secretarial Offices involved, may take the appropriate actions.



Sec. 520.30  Availability of final environmental impact statements.

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

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

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



Sec. 520.31  Amendments or supplements.

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



Sec. 520.32  Emergency action procedures.

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



Sec. 520.33  Timing of proposed NHTSA actions.

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

[[Page 79]]

day time period is measured from the date of publication in the Federal 
Register of the list of weekly filings of environmental impact 
statements with the CEQ, but the 30-day period is computed from the date 
of receipt by the CEQ.



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

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



      Sec. Attachment 1 to Part 520--Form and Content of Statement

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

      department of transportation national highway traffic safety 
                             administration

    (Draft) Environmental Impact Statement Pursuant to section 
102(2)(C), Pub. L. 91-190; 83 Stat. 853; 42 U.S.C. 4332(2)(C).
    b. The heading specified above shall be modified to indicate that 
the statement also covers sections 4(f) of the DOT Act or 106 of the 
National Historic Preservation Act, when appropriate.
    c. Each statement will, as a minimum, contain sections corresponding 
to paragraph 3 herein, supplemented as necessary to cover other matters 
provided in this Attachment.
    d. The format for the summary to accompany draft and final 
environmental statements is as follows:

                                 summary

    (Check one) ( ) Draft ( ) Final; Department of Transportation, 
National Highway Traffic Safety Administration. Name, address, and 
telephone number of individual who can be contacted for additional 
information about the proposed action or the statement. (Note: DOT Order 
2100.2 prescribes procedures for reporting public contacts in 
rulemaking.)
    (1) Name of Action. (Check one) ( ) Administrative Action. ( ) 
Legislative Action.
    (2) Brief description of action indicating what States (and 
counties) are particularly affected.
    (3) Summary of environmental impact and adverse environmental 
effects.
    (4) List alternatives considered.
    (5)(a) (For draft statements) List all Federal, State, and local 
agencies from which comments have been requested.
    (b) (For final statements) List all Federal, State, and local 
agencies and other sources from which written comments have been 
received.
    (6) Dates the draft statement and the final statement if issued were 
made available to the Council on Environmental Quality and the public.
    2. Guidance as to content of statement. The following paragraphs of 
this Attachment are intended to be considered, where relevant, as 
guidance regarding the content of environmental statements. This 
guidance is expected to be supplemented by research reports, guidance on 
methodology, and other material from the literature as may be pertinent 
to evaluation of relevant environmental factors.
    3. General content. The following points are to be covered:
    a. A description of the proposed Federal action (e.g., ``The 
proposed Federal action is approval of a grant application to construct 
* * *''), a statement of its purpose, and a description of the 
environment affected, including information, summary technical data, and 
maps and diagrams where relevant, adequate to permit an assessment of 
potential environmental impact by commenting offices and the public.
    (1) Highly technical and specialized analyses and data should 
generally be avoided in the body of the draft impact statement. Such 
materials should be appropriately summarized in the body of the 
environmental statement and attached as appendices or

[[Page 80]]

footnoted with adequate bibliographic references.
    (2) The statement should succinctly describe the environment of the 
area affected as it exists prior to a proposed action, including other 
related Federal activities in the area, their interrelationships, and 
cumulative environmental impact. The amount of detail provided in such 
descriptions should be commensurate with the extent and expected impact 
of the action, and with the amount of information required at the 
particular level of decision making (planning, feasibility, design, 
etc.). In order to insure accurate descriptions and environmental 
considerations, site visits should be made where appropriate.
    (3) The statement should identify, as appropriate, population and 
growth characteristics of the affected area and any population and 
growth assumptions used to justify the project or program or to 
determine secondary population and growth impacts resulting from the 
proposed action and its alternatives (see paragraph 3c(2)). In 
discussing these population aspects, the statement should give 
consideration to using the rates of growth in the region of the project 
contained in the projection compiled for the Water Resources Council by 
the Bureau of Economic Analysis of the Department of Commerce and the 
Economic Research Service of the Department of Agriculture (the OBERS 
projection).
    (4) The sources of data used to identify, quantify, or evaluate any 
or all environmental consequences must be expressly noted.
    b. The relationship of the proposed action and how it may conform to 
or conflict with adopted or proposed land use plans, policies, controls, 
and goals and objectives as have been promulgated by affected 
communities. Where a conflict or inconsistency exists, the statement 
should describe the extent of reconciliation and the reasons for 
proceeding notwithstanding the absence of full reconciliation.
    c. The probable impact of the proposed action on the environment. 
(1) This requires assessment of the positive and negative effects of the 
proposed action is it affects both national and international human 
environment. The attention given to different environmental factors will 
vary according to the nature, scale, and location of proposed actions. 
Among factors to be considered should be the potential effect of the 
action on such aspects of the environment as those listed in Attachment 
2, and in section 520.5(b), supra. Primary attention should be given in 
the statement to discussing those factors most evidently impacted by the 
proposed action.
    (2) Secondary and other foreseeable effects, as well as primary 
consequences for the environment, should be included in the analyses. 
Secondary effects, such as the impact on fuel consumption, emissions, or 
noise levels of automobiles or in the use of toxic or scarce materials, 
may be more substantial than the primary effects of the original action.
    d. Alternatives to the proposed action, including, where relevant, 
those not within the existing authority of the responsible preparing 
office. Section 102(2)(D) of NEPA requires the responsible agency to 
``study, develop, and describe appropriate alternatives to recommended 
courses of action in any proposal which involves unresolved conflicts 
concerning alternative uses of available resources.'' A rigorous 
exploration and an objective evaluation of the environmental impacts of 
all reasonable alternative actions, particularly those that might 
enhance environmental quality or avoid some or all of the adverse 
environmental effects, are essential. Sufficient analysis of such 
alternatives and their environmental benefits, costs, and risks should 
accompany the proposed action through the review process in order not to 
foreclose prematurely options which might enhance environmental quality 
or have less detrimental effects. Examples of such alternatives include: 
The alternatives of not taking any action or of postponing action 
pending further study; alternatives requiring actions of a significantly 
different nature which would provide similar benefits with different 
environmental impacts, e.g., low capital intensive improvements, mass 
transit alternatives to highway construction; alternatives related to 
different locations or designs or details of the proposed action which 
would present different environmental impacts. In each case, the 
analysis should be sufficiently detailed to reveal comparative 
evaluation of the environmental benefits, costs, and risks of the 
proposed action and each reasonable alternative. Where an existing 
impact statement already contains such an analysis its treatment of 
alternatives may be incorporated, provided such treatment is current and 
relevant to the precise purpose of the proposed action.
    e. Any probable adverse environmental effacts which cannot be 
avoided (such as water or air pollution, noise, undesirable land use 
patterns, or impacts on public parks and recreation areas, wildlife and 
waterfowl refuges, or on historic sites, damage to life systems, traffic 
congestion, threats to health, or other consequences adverse to the 
environmental goals set out in section 101(b) of NEPA). This should be a 
brief section summarizing in one place those effects discussed in 
paragraph 3c that are adverse and unavoidable under the proposed action. 
Included for purposes of contrast should be a clear statement of how all 
adverse effects will be mitigated. Where mitigating steps are included 
in the statement, the responsible official shall see that they are 
carried out.

[[Page 81]]

    f. The relationship between local short-term uses of man's 
environment and the maintenance and enhancement of long-term 
productivity. This section should contain a brief discussion of the 
extent to which the proposed action involves tradeoffs between short-
term environmental gains at the expense of long-term losses, or vice 
versa, and a discussion of the extent to which the proposed action 
forecloses future options.
    g. Any irreversible and irretrievable commitments of resources that 
would be involved in the proposed action should it be implemented. This 
requires identification of unavoidable impacts and the extent to which 
the action irreversibly curtails the range of potential uses of the 
environment. ``Resources'' means not only the labor and materials 
devoted to an action but also the natural and cultural resources lost or 
destroyed.
    h. An indication of what other interests and considerations of 
Federal policy are thought to offset the adverse environmental effects 
of the proposed action identified pursuant to subparagraphs (c) and (e) 
of this paragraph. The statement should also indicate the extent to 
which these stated countervailing benefits could be realized by 
following reasonable alternatives to the proposed action (as identified 
in subparagraph (d) of this paragraph) that would avoid some or all of 
the adverse environmental effects. In this connection if a cost-benefit 
analysis of the proposed action has been prepared, it, or a summary, 
should be attached to the environmental impact statement, and should 
clearly indicate the extent to which environmental costs have not been 
reflected in such analysis.
    i. A discussion of problems and objections raised by other Federal 
agencies, State and local entities, and citizens in the review process, 
and the disposition of the issues involved and the reasons therefor. 
(This section shall be added to the final environmental statement at the 
end of the review process.)
    (1) The draft and final statements should document issues raised 
through consultations with Federal, State, and local agencies with 
jurisdiction or special expertise and with citizens, of actions taken in 
response to comments, public hearings, and other citizens involvement 
proceedings.
    (2) Any unresolved environmental issues and efforts to resolve them, 
through further consultations or otherwise, should be identified in the 
final statement. For instance, where an agency comments that the 
statement has inadequate analysis or that the agency has reservations 
concerning the impacts, or believes that the impacts are too adverse for 
approval, either the issue should be resolved or the final statement 
should reflect efforts to resolve the issue and set forth any action 
that will result.
    (3) The statement should reflect that every effort was made to 
discover and discuss all major points of view on the environmental 
effects of the proposed action and alternatives in the draft statement. 
However, where opposing professional views and responsible opinion have 
been overlooked in the draft statement and are raised through the 
commenting process, the environmental effects of the action should be 
reviewed in light of those views. A meaningful reference should be made 
in the final statement to the existence of any responsible opposing view 
not adequately discussed in the draft statement indicating responses to 
the issues raised.
    (4) All substantive comments received on the draft (or summaries of 
responses from the public which have been exceptionally voluminous) 
should be attached to the final statement, whether or not each such 
comment is thought to merit individual discussion in the text of the 
statement.
    j. Draft statement should indicate at appropriate points in the text 
any underlying studies, reports, and other information obtained and 
considered in preparing the statement, including any cost-benefit 
analyses prepared. In the case of documents not likely to be easily 
accessible (such as internal studies or reports), the statement should 
indicate how such information may be obtained. If such information is 
attached to the statement, care should be taken to insure that the 
statement remains an essentially self-contained instrument, capable of 
being understood by the reader without the need for undue cross 
reference.
    4. Publicly owned parklands, recreational areas, wildlife and 
waterfowl refuges and historic sites. The following points are to be 
covered:
    a. Description of ``any publicly owned land from a public park, 
recreational area or wildlife and waterfowl refuge'' or ``any land from 
an historic site'' affected or taken by the project. This includes its 
size, available activities, use, patronage, unique or irreplaceable 
qualities, relationship to other similarly used lands in the vicinity of 
the project, maps, plans, slides, photographs, and drawings showing a 
sufficient scale and detail the project. This also includes its impact 
on park, recreation, wildlife, or historic areas, and changes in 
vehicular or pedestrian access.
    b. Statement of the ``national, State or local significance'' of the 
entire park, recreational area, refuge, or historic site ``as determined 
by the Federal, State or local officials having jurisdiction thereof.''
    (1) In the absence of such a statement lands will be presumed to be 
significant. Any statement of ``insignificance'' by the official having 
jurisdiction is subject to review by the Department as to whether such 
statement is capricious.

[[Page 82]]

    (2) Where Federal lands are administered for multiple uses, the 
Federal official having jurisdiction over the lands shall determine 
whether the subject lands are in fact being used for park, recreation, 
wildlife, waterfowl, or historic purposes.
    c. Similar data, as appropriate, for alternative designs and 
locations, including detailed cost estimates (with figures showing 
percentage differences in total project costs) and technical 
feasibility, and appropriate analysis of the alternatives, including any 
unique problems present and evidence that the cost or community 
disruptions resulting from alternative routes reach extraordinary 
magnitudes. This portion of the statement should demonstrate compliance 
with the Supreme Court's statement in the Overton Park case, as follows:
    [The] very existence of the statute indicates that protection of 
parkland was to be given paramount importance. The few green havens that 
are public parks were not to be lost unless there were truly unusual 
factors present in a particular case or the cost or community disruption 
resulting from alternative routes reached extraordinary magnitudes. If 
the statutes are to have any meaning, the Secretary cannot approve the 
destruction of parkland unless he finds that alternative routes present 
unique problems. 401 U.S. 402, 412 (1971).
    d. If there is no feasible and prudent alternative, description of 
all planning undertaken to minimize harm to the protected area and 
statement of actions taken or to be taken to implement this planning, 
including measures to maintain or enhance the natural beauty of the 
lands traversed.
    (1) Measures to minimize harm may include replacement of land and 
facilities, providing land or facilities, provision for functional 
replacement of the facility (see 49 CFR 25.267).
    (2) Design measures to minimize harm; e.g., tunneling, cut and 
cover, cut and fill, treatment of embankments, planting, screening, 
maintenance of pedestrian or bicycle paths and noise mitigation measures 
all reflecting utilization of appropriate interdisciplinary design 
personnel.
    e. Evidence of concurrence or description of efforts to obtain 
concurrence of Federal, State or local officials having jurisdiction 
over the section 4(f) property regarding the action proposed and the 
measures planned to minimize harm.
    f. If Federally-owned properties are involved in highway projects, 
the final statement shall include the action taken or an indication of 
the expected action after filing a map of the proposed use of the land 
or other appropriate documentation with the Secretary of the Department 
supervising the land (23 U.S.C. 317).
    g. If land acquired with Federal grant money (Department of Housing 
and Urban Development open space or Bureau of Outdoor Recreation land 
and water conservation funds) is involved, the final statement shall 
include appropriate communications with the grantor agency.
    h. TGC will determine application of section 4(f) to public 
interests in lands, such as easements, reversions, etc.
    i. A specific finding by the Administrator that there is no feasible 
and prudent alternative and that the proposal includes all possible 
planning to minimize harm to the ``4(f) area'' involved.
    5. Properties and sites of historic and cultural significance. The 
statement should document actions taken to preserve and enhance 
districts, sites, buildings, structures, and objects of historical, 
architectural, archeological, or cultural significance affected by the 
action.
    a. Draft environmental statements should include identification, 
through consulting the National Register and applying the National 
Register Criteria (36 CFR part 800), of properties that are included in 
or eligible for inclusion in the National Register of Historic Places 
that may be affected by the project. The National Register is published 
in its entirety each February in the Federal Register. Monthly additions 
and listings of eligible properties are published in the Federal 
Register the first Tuesday of each month. The Secretary of the Interior 
will advise, upon request, whether properties are eligible for the 
National Register.
    b. If application of the Advisory Council on Historic Preservation's 
(ACHP) Criteria of Effect (36 CFR part 800) indicates that the project 
will have an effect upon a property included in or eligible for 
inclusion in the National Register of Historic Places, the draft 
environmental statement should document the effect. Evaluation of the 
effect should be made in consultation with the State Historic 
Preservation Officer (SHPO) and in accordance with the ACHP's criteria 
of Adverse Effect (36 CFR part 800).
    c. Determinations of no adverse effect should be documented in the 
draft statement with evidence of the application of the ACHP's Criteria 
of Adverse Effect, the views of the appropriate State Historic 
Preservation Officer, and submission of the determination to the ACHP 
for review.
    d. If the project will have an adverse effect upon a property 
included in or eligible for inclusion in the National Register of 
Historic Places, the final environmental statement should include either 
an executed Memorandum of Agreement or comments from the Council after 
consideration of the project at a meeting of the ACHP and an account of 
actions to be taken in response to the comments of the ACHP. Procedures 
for obtaining a Memorandum of Agreement and the comments of the Council 
are found in 36 CFR part 800.

[[Page 83]]

    e. To determine whether the project will have an effect on 
properties of State or local historical, architectural, archaeological, 
or cultural significance not included in or eligible for inclusion in 
the National Register, the responsible official should consult with the 
State Historic Preservation Officer, with the local official having 
jurisdiction of the property, and where appropriate, with historical 
societies, museums, or academic institutions having expertise with 
regard to the property. Use of land from historic properties of Federal, 
State and local significance as determined by the official having 
jurisdiction thereof involves section 4(f) of the DOT Act and 
documentation should include information necessary to consider a 4(f) 
determination (see paragraph 4).
    6. Impacts of the proposed action on the human environment involving 
community disruption and relocation. a. The statement should include a 
description of probable impact sufficient to enable an understanding of 
the extent of the environmental and social impact of the project 
alternatives and to consider whether relocation problems can be properly 
handled. This would include the following information obtainable by 
visual inspection of the proposed affected area and from secondary 
sources and community sources when available.
    (1) An estimate of the households to be displaced including the 
family characteristics (e.g., minorities, and income levels, tenure, the 
elderly, large families).
    (2) Impact on the human environment of an action which divides or 
disrupts an established community, including where pertinent, the effect 
of displacement on types of families and individuals affected, effect of 
streets cut off, separation of residences from community facilities, 
separation of residential areas.
    (3) Impact on the neighborhood and housing to which relocation is 
likely to take place (e.g., lack of sufficient housing for large 
families, doublings up).
    (4) An estimate of the businesses to be displaced, and the general 
effect of business dislocation on the economy of the community.
    (5) A discussion of relocation housing in the area and the ability 
to provide adequate relocation housing for the types of families to be 
displaced. If the resources are insufficient to meet the estimated 
displacement needs, a description of the actions proposed to remedy this 
situation including, if necessary, use of housing of last resort.
    (6) Results of consultation with local officials and community 
groups regarding the impacts to the community affected. Relocation 
agencies and staff and other social agencies can help to describe 
probable social impacts of this proposed action.
    (7) Where necessary, special relocation advisory services to be 
provided the elderly, handicapped and illiterate regarding 
interpretations of benefits, assistance in selecting replacement housing 
and consultation with respect to acquiring, leasing, and occupying 
replacement housing.
    b. This data should provide the preliminary basis for assurance of 
the availability of relocation housing as required by DOT 5620.1, 
Replacement Housing Policy, dated June 24, 1970, and 49 CFR 25.53.
    7. Considerations relating to pedestrians and bicyclists. Where 
appropriate, the statement should discuss impacts on and consideration 
to be given in the development of the project to pedestrian and bicycle 
access, movement and safety within the affected area, particularly in 
medium and high density commercial and residential areas.
    8. Other social impacts. The general social groups specially 
benefitted or harmed by the proposed action should be identified in the 
statement including the following:
    a. Particular effects of a proposal on the elderly, handicapped, 
non-drivers, transit dependent, or minorities should be described to the 
extent reasonably predictable.
    b. How the proposal will facilitate or inhibit their access to jobs, 
educational facilities, religious institutions, health and welfare 
services, recreational facilities, social and cultural facilities, 
pedestrian movement facilities, and public transit services.
    9. Standards as to noise, air, and water pollution. The statement 
shall reflect sufficient analysis of the effects of the proposed action 
on attainment and maintenance of any environmental standards established 
by law or administrative determination (e.g., noise, ambient air 
quality, water quality) including the following documentation:
    a. With respect to water quality, there should be consultation with 
the agency responsible for the State water pollution control program as 
to conformity with standards and regulations regarding storm sewer 
discharge sedimentation control, and other non-point source discharges.
    b. The comments or determinations of the offices charged with 
administration of the State's implementation plan for air quality as to 
the consistency of the project with State plans for the implementation 
of ambient air quality standards.
    c. Conformity to adopted noise standards, compatible, if 
appropriate, with different land uses.
    10. Energy supply and natural resources development. Where 
applicable, the statement should reflect consideration of whether the 
project or program will have any effect on either the production or 
consumption of energy and other natural resources, and discuss such 
effects if they are significant.
    11. Flood hazard evaluation. When an alternative under consideration 
encroaches on a flood plain, the statement should include evidence that 
studies have been made and evidence of consultations with agencies with

[[Page 84]]

expertise have been carried out. Necessary measures to handle flood 
hazard problems should be described. In compliance with Executive Order 
11296, and Flood Hazard Guidelines for Federal Executive Agencies, 
promulgated by the Water Resources Council, or how such requirements can 
be met during project development.
    12. Considerations relating to wetlands or coastal zones. Where 
wetlands or coastal zones are involved, the statement should include:
    a. Information on location, types, and extent of wetlands areas 
which might be affected by the proposed action.
    b. An assessment of the impacts resulting from both construction and 
operation of the project on the wetlands and associated wildlife, and 
measures to minimize adverse impacts.
    c. A statement by the local representative of the Department of the 
Interior, and any other responsible officials with special expertise, 
setting forth his views on the impacts of the project on the wetlands, 
the worth of the particular wetlands areas involved to the community and 
to the Nation, and recommendations as to whether the proposed action 
should proceed, and, if applicable, along what alternative route.
    d. Where applicable, a discussion of how the proposed project 
relates to the State coastal zone management program for the particular 
State in which the project is to take place.
    13. Construction impacts. In general, adverse impacts during 
construction will be of less importance than long-term impacts of a 
proposal. Nonetheless, statements should appropriately address such 
matters as the following identifying any special problem areas:
    a. Noise impacts from construction and any specifications setting 
maximum noise levels.
    b. Disposal of spoil and effect on borrow areas and disposal sites 
(include specifications where special problems are involved).
    c. Measures to minimize effects on traffic and pedestrians.
    14. Land use and urban growth. The statement should include, to the 
extent relevant and predictable:
    a. The effect of the project on land use, development patterns, and 
urban growth.
    b. Where significant land use and development impacts are 
anticipated, identify public facilities needed to serve the new 
development and any problems or issues which would arise in connection 
with these facilities, and the comments of agencies that would provide 
these facilities.



Sec. 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

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



   Sec. 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

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



 Sec. Attachment 4 to Part 520--State and Local Agency Review of Impact 
                               Statements

    1. OBM Revised Circular No. A-95 through its system of 
clearinghouses provides a means for securing the views of State and 
local environmental agencies, which can assist in the preparation of 
impact statements. Under A-95, review of the proposed project in the 
case of federally assisted projects (Part I of A-95) generally takes 
place prior to the preparation of the impact statement. Therefore, 
comments on the environmental effects of the proposed project that are 
secured during this stage of the A-95 process represent inputs to the 
environmental impact statement.
    2. In the case of direct Federal development (Part II of A-95), 
Federal agencies are required to consult with clearinghouses at the 
earliest practicable time in the planning of the project or activity. 
Where such consultation occurs prior to completion of the draft impact 
statement, comments relating to the environmental effects of the 
proposed action would also represent inputs to the environmental impact 
statement.
    3. In either case, whatever comments are made on environmental 
effects of proposed Federal or federally assisted projects by 
clearinghouses, or by State and local environmental agencies through 
clearinghouses, in the course of the A-95 review should be attached to 
the draft impact statement when it is circulated for review. Copies of 
the statement should be sent to the agencies making such comments. 
Whether those agencies then elect to comment again on the basis of the 
draft impact statement is a matter to be left to the discretion of the 
commenting agency depending on its resources, the significance of the 
project and the extent

[[Page 85]]

to which its earlier comments were considered in preparing the draft 
statement.
    4. The clearinghouses may also be used, by mutual agreement, for 
securing reviews of the draft environmental impact statement. However, 
the Federal agency may wish to deal directly with appropriate State or 
local agencies in the review of impact statements because the 
clearinghouses may be unwilling or unable to handle this phase of the 
process. In some cases, the Governor may have designated a specific 
agency, other than the clearinghouse, for securing reviews of impact 
statements. In any case, the clearinghouses should be sent copies of the 
impact statement.
    5. To aid clearinghouses in coordinating State and local comments, 
draft statements should include copies of State and local agency 
comments made earlier under the A-95 process and should indicate on the 
summary sheet those other agencies from which comments have been 
requested, as specified in Attachment 1.



PART 523_VEHICLE CLASSIFICATION--Table of Contents



Sec.
523.1 Scope.
523.2 Definitions.
523.3 Automobile.
523.4 Passenger automobile.
523.5 Non-passenger automobile.
523.6 Heavy-duty vehicle.
523.7 Heavy-duty pickup trucks and vans.
523.8 Heavy-duty vocational vehicle.
523.9 Truck tractors.
523.10 Heavy-duty trailers.

    Authority: 49 U.S.C. 32901; delegation of authority at 49 CFR 1.95.



Sec. 523.1  Scope.

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

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

[42 FR 38362, July 28, 1977]



Sec. 523.2  Definitions.

    As used in this part:
    Ambulance has the meaning given in 40 CFR 86.1803.
    Approach angle means the smallest angle, in a plane side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the front tire static loaded radius arc 
and touching the underside of the automobile forward of the front tire.
    Axle clearance means the vertical distance from the level surface on 
which an automobile is standing to the lowest point on the axle 
differential of the automobile.
    Base tire (for passenger automobiles, light trucks, and medium duty 
passenger vehicles) means the tire size specified as standard equipment 
by the manufacturer on each unique combination of a vehicle's footprint 
and model type. Standard equipment is defined in 40 CFR 86.1803.
    Basic vehicle frontal area is used as defined in 40 CFR 86.1803 for 
passenger automobiles, light trucks, medium duty passenger vehicles and 
Class 2b through 3 pickup trucks and vans. For heavy-duty tracts and 
vocational vehicles, it has the meaning given in 40 CFR 1037.801.
    Breakover angle means the supplement of the largest angle, in the 
plan side view of an automobile that can be formed by two lines tangent 
to the front and rear static loaded radii arcs and intersecting at a 
point on the underside of the automobile.
    Bus has the meaning given in 49 CFR 571.3.
    Cab-complete vehicle means a vehicle that is first sold as an 
incomplete vehicle that substantially includes the vehicle cab section 
as defined in 40 CFR 1037.801. For example, vehicles known commercially 
as chassis-cabs, cab-chassis, box-deletes, bed-deletes, and cut-away 
vans are considered cab-complete vehicles. A cab includes a steering 
column and a passenger compartment. Note that a vehicle lacking some 
components of the cab is a cab-complete vehicle if it substantially 
includes the cab.
    Cargo-carrying volume means the luggage capacity or cargo volume 
index, as appropriate, and as those terms are defined in 40 CFR 600.315-
08, in the case of automobiles to which either of these terms apply. 
With respect to automobiles to which neither of these terms apply, 
``cargo-carrying volume'' means the total volume in cubic feet, rounded 
to the nearest 0.1 cubic feet, of

[[Page 86]]

either an automobile's enclosed nonseating space that is intended 
primarily for carrying cargo and is not accessible from the passenger 
compartment, or the space intended primarily for carrying cargo bounded 
in the front by a vertical plane that is perpendicular to the 
longitudinal centerline of the automobile and passes through the 
rearmost point on the rearmost seat and elsewhere by the automobile's 
interior surfaces.
    Class 2b vehicles are vehicles with a gross vehicle weight rating 
(GVWR) ranging from 8,501 to 10,000 pounds.
    Class 3 through Class 8 vehicles are vehicles with a gross vehicle 
weight rating (GVWR) of 10,001 pounds or more as defined in 49 CFR 
565.15.
    Coach bus has the meaning given in 40 CFR 1037.801.
    Commercial medium- and heavy-duty on-highway vehicle means an on-
highway vehicle with a gross vehicle weight rating of 10,000 pounds or 
more as defined in 49 U.S.C. 32901(a)(7).
    Complete vehicle has the meaning given to completed vehicle as 
defined in 49 CFR 567.3.
    Concrete mixer has the meaning given in 40 CFR 1037.801.
    Curb weight has the meaning given in 49 CFR 571.3.
    Dedicated vehicle has the same meaning as dedicated automobile as 
defined in 49 U.S.C. 32901(a)(8).
    Departure angle means the smallest angle, in a plane side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the rear tire static loaded radius arc 
and touching the underside of the automobile rearward of the rear tire.
    Dual-fueled vehicle (multi-fuel, or flexible-fuel vehicle) has the 
same meaning as dual fueled automobile as defined in 49 U.S.C. 
32901(a)(9).
    Electric vehicle means a vehicle that does not include an engine, 
and is powered solely by an external source of electricity and/or solar 
power. Note that this does not include electric hybrid or fuel-cell 
vehicles that use a chemical fuel such as gasoline, diesel fuel, or 
hydrogen. Electric vehicles may also be referred to as all-electric 
vehicles to distinguish them from hybrid vehicles.
    Emergency vehicle means one of the following:
    (1) For passenger cars, light trucks and medium duty passenger 
vehicles, emergency vehicle has the meaning given in 49 U.S.C. 32902(e).
    (2) For heavy-duty vehicles, emergency vehicle has the meaning given 
in 40 CFR 1037.801.
    Engine code has the meaning given in 40 CFR 86.1803.
    Final stage manufacturer has the meaning given in 49 CFR 567.3.
    Fire truck has the meaning given in 40 CFR 86.1803.
    Footprint is defined as the product of track width (measured in 
inches, calculated as the average of front and rear track widths, 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.
    Full-size pickup truck means a light truck or medium duty passenger 
vehicle that meets the requirements specified in 40 CFR 86.1866-12(e).
    Gross axle weight rating (GAWR) has the meaning given in 49 CFR 
571.3.
    Gross combination weight rating (GCWR) has the meaning given in 49 
CFR 571.3.
    Gross vehicle weight rating (GVWR) has the meaning given in 49 CFR 
571.3.
    Heavy-duty engine means any engine used for (or for which the engine 
manufacturer could reasonably expect to be used for) motive power in a 
heavy-duty vehicle. For purposes of this definition in this part, the 
term ``engine'' includes internal combustion engines and other devices 
that convert chemical fuel into motive power. For example, a fuel cell 
and motor used in a heavy-duty vehicle is a heavy-duty engine. Heavy 
duty-engines include those engines subject to the standards in 49 CFR 
part 535.
    Heavy-duty vehicle means a vehicle as defined in Sec. 523.6.

[[Page 87]]

    Hitch means a device attached to the chassis of a vehicle for 
towing.
    Incomplete vehicle has the meaning given in 49 CFR 567.3.
    Light truck means a non-passenger automobile meeting the criteria in 
Sec. 523.5.
    Manufacturer has the meaning given in 49 U.S.C. 32901(a)(14).
    Medium duty passenger vehicle means a vehicle which would satisfy 
the criteria in Sec. 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--
    (1) Is an ``incomplete vehicle'' ' as defined in this subpart; or
    (2) Has a seating capacity of more than 12 persons; or
    (3) Is designed for more than 9 persons in seating rearward of the 
driver's seat; or
    (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.
    Mild hybrid gasoline-electric vehicle means a vehicle as defined by 
EPA in 40 CFR 86.1866-12(e).
    Motor home has the meaning given in 49 CFR 571.3.
    Motor vehicle has the meaning given in 49 U.S.C. 30102.
    Passenger-carrying volume means the sum of the front seat volume 
and, if any, rear seat volume, as defined in 40 CFR 600.315-08, 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 J1100, Motor Vehicle Dimensions (Report of Human Factors 
Engineering Committee, Society of Automotive Engineers, approved 
November 2009).
    (1) 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.
    (i) H61-Effective head room--front.
    (ii) W3-Shoulder room--front.
    (iii) L34-Maximum effective leg room-accelerator.
    (2) 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.
    (i) H63-Effective head room--second.
    (ii) W4-Shoulder room--second.
    (iii) L51-Minimum effective leg room--second.
    Pickup truck means a non-passenger automobile which has a passenger 
compartment and an open cargo area (bed).
    Pintle hooks means a type of towing hitch that uses a tow ring 
configuration to secure to a hook or a ball combination for the purpose 
of towing.
    Recreational vehicle or RV means a motor vehicle equipped with 
living space and amenities found in a motor home.
    Refuse hauler has the meaning given in 40 CFR 1037.801.
    Running clearance means the distance from the surface on which an 
automobile is standing to the lowest point on the automobile, excluding 
unsprung weight.
    School bus has the meaning given in 49 CFR 571.3.
    Static loaded radius arc means a portion of a circle whose center is 
the center of a standard tire-rim combination of an automobile and whose 
radius is the distance from that center to the level surface on which 
the automobile is standing, measured with the automobile at curb weight, 
the wheel parallel to the vehicle's longitudinal centerline, and the 
tire inflated to the manufacturer's recommended pressure.
    Strong hybrid gasoline-electric vehicle means a vehicle as defined 
by EPA in 40 CFR 86.1866-12(e).
    Temporary living quarters means a space in the interior of an 
automobile

[[Page 88]]

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.
    Transmission class has the meaning given in 40 CFR 600.002.
    Tranmission configuration has the meaning given in 40 CFR 600.002.
    Transmission type has the meaning given in 40 CFR 86.1803.
    Truck tractor has the meaning given in 49 CFR 571.3 and 49 CFR 
535.5(c). This includes most heavy-duty vehicles specifically designed 
for the primary purpose of pulling trailers, but does not include 
vehicles designed to carry other loads. For purposes of this definition 
``other loads'' would not include loads carried in the cab, sleeper 
compartment, or toolboxes. Examples of vehicles that are similar to 
tractors but that are not tractors under this part include dromedary 
tractors, automobile haulers, straight trucks with trailers hitches, and 
tow trucks.
    Van means a vehicle with a body that fully encloses the driver and a 
cargo carrying or work performing compartment. The distance from the 
leading edge of the windshield to the foremost body section of vans is 
typically shorter than that of pickup trucks and sport utility vehicles.
    Vocational tractor means a tractor that is classified as a 
vocational vehicle according to 40 CFR 1037.630
    Vocational vehicle (or heavy-duty vocational vehicle) has the 
meaning given in Sec. 523.8 and 49 CFR 535.5(b). This includes any 
vehicle that is equipped for a particular industry, trade or occupation 
such as construction, heavy hauling, mining, logging, oil fields, refuse 
and includes vehicles such as school buses, motorcoaches and RVs.
    Work truck means a vehicle that is rated at more than 8,500 pounds 
and less than or equal to 10,000 pounds gross vehicle weight, and is not 
a medium-duty passenger vehicle as defined in 49 U.S.C. 32901(a)(19).

[81 FR 74235, Oct. 25, 2016]



Sec. 523.3  Automobile.

    (a) An automobile is any 4-wheeled vehicle that is propelled by 
fuel, or by alternative fuel, manufactured primarily for use on public 
streets, roads, and highways and rated at less than 10,000 pounds gross 
vehicle weight, except:
    (1) A vehicle operated only on a rail line;
    (2) A vehicle manufactured in different stages by 2 or more 
manufacturers, if no intermediate or final-stage manufacturer of that 
vehicle manufactures more than 10,000 multi-stage vehicles per year; or
    (3) A work truck.
    (b) The following vehicles rated at more than 6,000 pounds and less 
than 10,000 pounds gross vehicle weight are determined to be 
automobiles:
    (1) Vehicles which would satisfy the criteria in Sec. 523.4 
(relating to passenger automobiles) but for their gross vehicle weight 
rating.
    (2) Vehicles which would satisfy the criteria in Sec. 523.5 
(relating to light trucks) but for their gross vehicle weight rating, 
and which
    (i) Have a basic vehicle frontal area of 45 square feet or less,
    (ii) Have a curb weight of 6,000 pounds or less,
    (iii) Have a gross vehicle weight rating of 8,500 pounds or less, 
and
    (iv) Are manufactured during the 1980 model year or thereafter.
    (3) Vehicles that are defined as medium duty passenger vehicles, and 
which are manufactured during the 2011 model year or thereafter.

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

[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
44 FR 4493, Jan. 2, 1979; 71 FR 17676, Apr. 6, 2006; 74 FR 14449, Mar. 
30, 2009]



Sec. 523.4  Passenger automobile.

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

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

[42 FR 38362, July 28, 1977]

[[Page 89]]



Sec. 523.5  Non-passenger automobile.

    A non-passenger automobile means an automobile that is not a 
passenger automobile or a work truck and includes vehicles described in 
paragraphs (a) and (b) of this section:
    (a) An automobile designed to perform at least one of the following 
functions:
    (1) Transport more than 10 persons;
    (2) Provide temporary living quarters;
    (3) Transport property on an open bed;
    (4) Provide, as sold to the first retail purchaser, greater cargo-
carrying than passenger-carrying volume, such as in a cargo van; if a 
vehicle is sold with a second-row seat, its cargo-carrying volume is 
determined with that seat installed, regardless of whether the 
manufacturer has described that seat as optional; or
    (5) Permit expanded use of the automobile for cargo-carrying 
purposes or other nonpassenger-carrying purposes through:
    (i) For non-passenger automobiles 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
    (ii) For non-passenger automobiles 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.
    (b) An automobile capable of off-highway operation, as indicated by 
the fact that it:
    (1)(i) Has 4-wheel drive; or
    (ii) Is rated at more than 6,000 pounds gross vehicle weight; and
    (2) Has at least four of the following characteristics calculated 
when the automobile is at curb weight, on a level surface, with the 
front wheels parallel to the automobile's longitudinal centerline, and 
the tires inflated to the manufacturer's recommended pressure--
    (i) Approach angle of not less than 28 degrees.
    (ii) Breakover angle of not less than 14 degrees.
    (iii) Departure angle of not less than 20 degrees.
    (iv) Running clearance of not less than 20 centimeters.
    (v) Front and rear axle clearances of not less than 18 centimeters 
each.


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

[74 FR 14449, Mar. 30, 2009]



Sec. 523.6  Heavy-duty vehicle.

    (a) A heavy-duty vehicle is any commercial medium or heavy-duty on-
highway vehicle or a work truck, as defined in 49 U.S.C. 32901(a)(7) and 
(19). For the purpose of this section, heavy-duty vehicles are divided 
into four regulatory categories as follows:
    (1) Heavy-duty pickup trucks and vans;
    (2) Heavy-duty vocational vehicles;
    (3) Truck tractors with a GVWR above 26,000 pounds; and
    (4) Heavy-duty trailers.
    (b) The heavy-duty vehicle classification does not include vehicles 
excluded as specified in 49 CFR 535.3.

[81 FR 74237, Oct. 25, 2016]



Sec. 523.7  Heavy-duty pickup trucks and vans.

    (a) Heavy-duty pickup trucks and vans are pickup trucks and vans 
with a gross vehicle weight rating between 8,501 pounds and 14,000 
pounds (Class 2b through 3 vehicles) manufactured as complete vehicles 
by a single or final stage manufacturer or manufactured as incomplete 
vehicles as designated by a manufacturer. See references in 40 CFR 
86.1801-12, 40 CFR 86.1819-17, 40 CFR 1037.150, and 49 CFR 535.5(a).
    (b) Heavy duty vehicles above 14,000 pounds GVWR may be optionally 
certified as heavy-duty pickup trucks and

[[Page 90]]

vans and comply with fuel consumption standards in 49 CFR 535.5(a), if 
properly included in a test group with similar vehicles at or below 
14,000 pounds GVWR. Fuel consumption standards apply to these vehicles 
as if they were Class 3 heavy-duty vehicles. The work factor for these 
vehicles may not be greater than the largest work factor that applies 
for vehicles in the test group that are at or below 14,000 pounds GVWR 
(see 40 CFR 86.1819-14).
    (c) Incomplete heavy-duty vehicles at or below 14,000 pounds GVWR 
may be optionally certified as heavy-duty pickup trucks and vans and 
comply with to the fuel consumption standards in 49 CFR 535.5(a).

[81 FR 74237, Oct. 25, 2016]



Sec. 523.8  Heavy-duty vocational vehicle.

    Heavy-duty vocational vehicles are vehicles with a gross vehicle 
weight rating (GVWR) above 8,500 pounds excluding:
    (a) Heavy-duty pickup trucks and vans defined in Sec. 523.7;
    (b) Medium duty passenger vehicles; and
    (c) Truck tractors, except vocational tractors, with a GVWR above 
26,000 pounds;

[76 FR 57491, Sept. 15, 2011]



Sec. 523.9  Truck tractors.

    Truck tractors for the purpose of this part are considered as any 
truck tractor as defined in 49 CFR part 571 having a GVWR above 26,000 
pounds.

[76 FR 57492, Sept. 15, 2011]



Sec. 523.10  Heavy-duty trailers.

    (a) A trailer means a motor vehicle with or without motive power, 
designed for carrying cargo and for being drawn by another motor vehicle 
as defined in 49 CFR 571.3. For the purpose of this part, heavy-duty 
trailers include only those trailers designed to be drawn by a truck 
tractor excluding non-box trailers other than flatbed trailer, tanker 
trailers and container chassis and those that are coupled to vehicles 
exclusively by pintle hooks or hitches instead of a fifth wheel. Heavy-
duty trailers may be divided into different types and categories as 
follows:
    (1) Box vans are trailers with enclosed cargo space that is 
permanently attached to the chassis, with fixed sides, nose, and roof. 
Tank trailers are not box vans.
    (2) Box van with front-mounted HVAC systems are refrigerated vans. 
Note that this includes systems that provide cooling, heating, or both. 
All other box vans are dry vans.
    (3) Trailers that are not box vans are non-box trailers. Note that 
the standards for non-box trailers in 49 CFR 535.5(e)(2) apply only to 
flatbed trailers, tank trailers, and container chassis.
    (4) Box van with a length greater than 50 feet are long box vans. 
Other box vans are short box vans.
    (5) The following types of equipment are not trailers:
    (i) Containers that are not permanently mounted on chassis.
    (ii) Dollies used to connect tandem trailers.
    (iii) Equipment that serves similar purposes but are not intended to 
be pulled by a tractor.
    (b) Heavy-duty trailers do not include trailers excluded in 49 CFR 
535.3.

[81 FR 74237, Oct. 25, 2016]



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



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

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

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



Sec. 525.1  Scope.

    This part establishes procedures under section 502(c) of the Motor 
Vehicle Information and Cost Savings Act,

[[Page 91]]

as amended (15 U.S.C. 2002) for the submission and disposition of 
petitions filed by low volume manufacturers of passenger automobiles to 
exempt them from the average fuel economy standards for passenger 
automobiles and to establish alternative average fuel economy standards 
for those manufacturers.



Sec. 525.2  Purpose.

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



Sec. 525.3  Applicability.

    This part applies to passenger automobile manufacturers.



Sec. 525.4  Definitions.

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

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

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



Sec. 525.5  Limitation on eligibility.

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



Sec. 525.6  Requirements for petition.

    Each petition filed under this part must--
    (a) Identify the model year or years for which exemption is 
requested;
    (b) Be submitted not later than 24 months before the beginning of 
the affected model year, unless good cause for later submission is 
shown;
    (c) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;

[[Page 92]]

    (d) Be written in the English language;
    (e) State the full name, address, and title of the official 
responsible for preparing the petition, and the name and address of the 
manufacturer;
    (f) Set forth in full data, views and arguments of the petitioner 
supporting the exemption and alternative average fuel economy standard 
requested by the petitioner, including the information and data 
specified by Sec. 525.7 and the calculations and analyses used to 
develop that information and data. No documents may be incorporated by 
reference in a petition unless the documents are submitted with the 
petition;
    (g) Specify and segregate any part of the information and data 
submitted under this part that the petitioner wishes to have withheld 
from public disclosure in accordance with part 512 of this chapter.

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

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



Sec. 525.7  Basis for petition.

    (a) The petitioner shall include the information specified in 
paragraphs (b) through (h) in its petition.
    (b) Whether the petitioner controls, is controlled by, or is under 
common control with another manufacturer of passenger automobiles, and 
if so, the nature of that control relationship, and the total number of 
passenger automobiles manufactured by such other manufacturer or 
manufacturers.
    (c) The total number of passenger automobiles manufactured or likely 
to be manufactured (whether or not in the customs territory of the 
United States) by the petitioner in the second model year immediately 
preceding each affected model year.
    (d) For each affected model year, the petitioner's projections of 
the most fuel efficient production mix of vehicle configurations and 
base levels of its passenger automobiles which the petitioner could sell 
in that model year, and a discussion demonstrating that these 
projections are reasonable. The discussion shall include information 
showing that the projections are consistent with--
    (1) The petitioner's annual total production and production mix of 
passenger automobiles manufactured or likely to be manufactured in each 
of the four model years immediately preceding that affected model year;
    (2) Its passenger automobile production capacity for that affected 
model year;
    (3) Its efforts to comply with that average fuel economy standard; 
and
    (4) Anticipated consumer demand in the United States for passenger 
automobiles during that affected model year.
    (e) For each affected model year, a description of the following 
features of each vehicle configuration of the petitioner's passenger 
automobiles to be manufactured in that affected model year;
    (1) Maximum overall body width, overall length, and overall height, 
determined in accordance with Motor Vehicle Dimensions SAE J1100a 
(report of Human Engineering Committee, approved September 1973, as 
revised September 1975);
    (2) Vehicle curb weight;
    (3) Number of designated seating positions and interior volume 
index;
    (4) Basic engine, displacement, and SAE rated net power, kilowatts;
    (5) Fuel metering system, including the number of carburetor 
barrels, if applicable;
    (6) Drive train configuration and total drive ratio;
    (7) Emission control system;
    (8) Dynamometer road load setting, determined in accordance with 40 
CFR part 86, and the method used to determine that setting, including 
information indicating whether the road load setting was adjusted to 
account for the presence of air conditioning and whether the setting was 
based on the use of radial ply tires; and
    (9) Use of synthetic lubricants, low viscosity lubricants, or 
lubricants with additives that affect friction characteristics in the 
crankcase, differential, and transmission of the vehicles tested under 
the requirements of 40 CFR parts 86 and 600. With respect to automobiles 
which will use these lubricants, indicate which one will be used and 
explain

[[Page 93]]

why that type was chosen. With respect to automobiles which will not use 
these lubricants, explain the reasons for not so doing.
    (f) For each affected model year, a fuel economy value for each 
vehicle configuration specified in 40 CFR 600.506(a)(2), base level, and 
model type of the petitioner's passenger automobiles to be manufactured 
in that affected model year calculated in accordance with subpart C of 
40 CFR part 600 and based on tests or analyses comparable to those 
prescribed or permitted under 40 CFR part 600 and a description of the 
test procedures or analytical methods.
    (g) For each affected model year, an average fuel economy figure for 
the petitioner's passenger automobiles to be manufactured in that 
affected model year calculated in accordance with 40 CFR 600.510(e) and 
based upon the fuel economy values provided under paragraph (f) of this 
section and upon the petitioner's production mix projected under 
paragraph (d) of this section for the affected model year.
    (h) Information demonstrating that the average fuel economy figure 
provided for each affected model year under paragraph (g) of this 
section is the maximum feasible average fuel economy achievable by the 
petitioner for that model year, including--
    (1) For each affected model year and each of the two model years 
immediately following the first affected model year, a description of 
the technological means selected by the petitioner for improving the 
average fuel economy of its automobiles to be manufactured in that model 
year.
    (2) A chronological description of the petitioner's past and planned 
efforts to implement the means described under paragraph (h)(1) of this 
section.
    (3) A description of the effect of other Federal motor vehicle 
standards on the fuel economy of the petitioner's automobiles.
    (4) For each affected model year, a discussion of the alternative 
and additional means considered but not selected by the petitioner that 
would have enabled its passenger automobiles to achieve a higher average 
fuel economy than is achievable with the means described under paragraph 
(h)(1) of this section. This discussion must include an explanation of 
the reasons the petitioner had for rejecting these additional and 
alternative means.
    (5) In the case of a petitioner which plans to increase the average 
fuel economy of its passenger automobiles to be manufactured in either 
of the two model years immediately following the first affected model 
year, an explanation of the petitioner's reasons for not making those 
increases in that affected model year.

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

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



Sec. 525.8  Processing of petitions.

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

[[Page 94]]

available information. The final decision sets forth the grant of the 
exemption and establishes an alternative average fuel economy standard 
or the denial of the petition, and the reasons for the decision.

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

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



Sec. 525.9  Duration of exemption.

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



Sec. 525.10  Renewal of exemption.

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



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

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



Sec. 525.12  Public inspection of information.

    (a) Except as provided in paragraph (b), any person may inspect 
available information relevant to a petition under this part, including 
the petition and any supporting data, memoranda of informal meetings 
with the petitioner or any other interested persons, and the notices 
regarding the petition, in the Docket Section of the National Highway 
Traffic Safety Administration. Any person may obtain copies of the 
information available for inspection under this paragraph in accordance 
with part 7 of the regulations of the Office of the Secretary of 
Transportation (49 CFR part 7).
    (b) Except for the release of confidential information authorized by 
section 505 of the Act and part 512 of this chapter, information made 
available for public inspection does not include information for which 
confidentiality is requested under Sec. 525.6(g) and is granted in 
accordance with part 512 and sections 502 and 505 of the Act and section 
552(b) of title 5 of the U.S.C.

[46 FR 2063, Jan. 8, 1981]



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



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

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

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



Sec. 526.1  General provisions.

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

[[Page 95]]

model years for which relief is being sought.

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



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

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

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



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

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

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



Sec. 526.4  [Reserved]



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

    Each plan submitted under section 502(l) of the Motor Vehicle 
Information and Cost Savings Act must contain the following information:
    (a) Projected average fuel economy and production levels for the 
class of

[[Page 96]]

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

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



PART 529_MANUFACTURERS OF MULTISTAGE AUTOMOBILES--Table of Contents



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

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

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



Sec. 529.1  Scope and purpose.

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



Sec. 529.2  Applicability.

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



Sec. 529.3  Definitions.

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

[[Page 97]]

stage manufacturer, who performs manufacturing operations on an 
incomplete automobile.

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



Sec. 529.4  Requirements for incomplete automobile manufacturers.

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



Sec. 529.5  Requirements for intermediate manufacturers.

    (a) Except as provided in paragraph (d) of this section and in Sec. 
529.6, each intermediate manufacturer whose manufacturing operations on 
an incomplete automobile cause it to exceed the maximum curb weight or 
maximum frontal area set forth in the document furnished it by the 
incomplete automobile manufacturer under Sec. 529.4(c)(1) or by a 
previous intermediate manufacturer under paragraph (b) of this section, 
as appropriate, is considered the

[[Page 98]]

manufacturer of the multistage automobile manufactured from that 
automobile for the purpose of the requirements of Title V and rules 
issued thereunder, other than that in part 537, Fuel Economy Reports.
    (b) Each intermediate manufacturer of an incomplete automobile shall 
furnish, in the manner specified in Sec. 529.4(c), to the subsequent 
manufacturer of that automobile the document required by Sec. 529.4(b) 
regarding that automobile. If any of the changes in the automobile made 
by the intermediate manufacturer affect the validity of the fuel economy 
values or other statement in the document or any addendum attached to 
the document by a previous manufacturer of the automobile, the 
intermediate manufacturer shall furnish an addendum to the document that 
contains its name and mailing address and an indication of all changes 
that should be made in the document to reflect changes that it made in 
the automobile.
    (c) Each intermediate manufacturer that is required by paragraph (b) 
of this section to furnish an addendum to a document required by Sec. 
529.4(b) shall, within 10 days after completing its manufacturing 
operations, send a copy of the document and addendum to the 
Administrator of the Environmental Protection Agency and to the 
manufacturer previously considered under this part to be the 
manufacturer of the automobile.
    (d)(1) If the intermediate manufacturer's manufacturing operations 
on an incomplete automobile cause it to exceed the maximum curb weight 
or maximum frontal area set forth in the document furnished it by the 
incomplete automobile manufacturer under Sec. 529.4(c)(1) or a previous 
intermediate manufacturer under paragraph (b) of this section, as 
appropriate, that manufacturer shall prepare a new fuel economy label 
for that automobile in accordance with 40 CFR part 600.
    (2) If neither the intermediate manufacturer of an incomplete 
automobile nor any previous manufacturer of that automobile has placed 
the portion of the body including the windshield and front seat side 
windows on that automobile, the intermediate manufacturer shall send the 
fuel economy label furnished it by the incomplete automobile 
manufacturer under Sec. 529.4(c)(2)(i) or a previous intermediate 
manufacturer under paragraph (d)(2) of this section or prepared by it 
under paragraph (d)(1) of this section, as appropriate, directly to the 
subsequent manufacturer to which that automobile is delivered.
    (3) If the intermediate manufacturer places the portion of the body 
including the windshield and front seat side windows on the incomplete 
automobile, that manufacturer shall attach the fuel economy label 
furnished it under Sec. 529.4(c)(i) or paragraph (d)(2) of this section 
or the fuel economy label prepared by it under paragraph (d)(1) of this 
section, as appropriate, to that automobile in accordance with 40 CFR 
part 600.
    (4) The intermediate manufacturer shall attach to the incomplete 
automobile in accordance with 40 CFR part 600 a fuel economy label 
identical to the label that is required under this part to have been 
prepared by the manufacturer considered under this part to be the 
manufacturer of that automobile if:
    (i) The portion of the body including the windshield and front seat 
side windows was added to the incomplete automobile by a previous 
manufacturer;
    (ii) The intermediate manufacturer's manufacturing operations do not 
cause that automobile to exceed either of the maxima specified in 
paragraph (d)(1) of this section; and
    (iii) That label is not on that automobile when received by the 
intermediate manufacturer or is removed from that automobile while it is 
in the possession of that manufacturer.
    (5) Upon request by a subsequent intermediate manufacturer or by a 
final-stage manufacturer for a copy of a fuel economy label prepared by 
the intermediate manufacturer under paragraph (d)(1) of this section for 
one of its incomplete automobiles, identified by the requesting 
manufacturer in the same fashion as in the document specified in Sec. 
529.4(b)(1), the intermediate manufacturer shall send that manufacturer 
a copy of that label.

[[Page 99]]



Sec. 529.6  Requirements for final-stage manufacturers.

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



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



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

Appendix A to Part 531--Example of Calculating Compliance Under Sec. 
          531.5(c)

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

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



Sec. 531.1  Scope.

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

[43 FR 28204, June 29, 1978]



Sec. 531.2  Purpose.

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



Sec. 531.3  Applicability.

    This part applies to manufacturers of passenger automobiles.

[[Page 100]]



Sec. 531.4  Definitions.

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



Sec. 531.5  Fuel economy standards.

    (a) Except as provided in paragraph (f) of this section, each 
manufacturer of passenger automobiles shall comply with the fleet 
average fuel economy standards in Table I, expressed in miles per 
gallon, in the model year specified as applicable:

[[Page 101]]

[GRAPHIC] [TIFF OMITTED] TR30MR09.101

    (b) For model year 2011, a manufacturer's passenger automobile fleet 
shall comply with the fleet average fuel economy level calculated for 
that model year according to Figure 1 and the appropriate values in 
Table II.

[[Page 102]]

[GRAPHIC] [TIFF OMITTED] TR15OC12.070

Where:

N is the total number (sum) of passenger automobiles produced by a 
          manufacturer;
N i is the number (sum) of the ith passenger automobile model 
          produced by the manufacturer; and
T i is the fuel economy target of the ith model passenger 
          automobile, which is determined according to the following 
          formula, rounded to the nearest hundredth:
          [GRAPHIC] [TIFF OMITTED] TR15OC12.071
          
Where:

Parameters a, b, c, and d are defined in Table II;
e = 2.718; and
x = footprint (in square feet, rounded to the nearest tenth) of the 
          vehicle model.

                      Table II-Parameters for the Passenger Automobile Fuel Economy Targets
----------------------------------------------------------------------------------------------------------------
                                                                      Parameters
             Model year              ---------------------------------------------------------------------------
                                           a (mpg)            b (mpg)        c (gal/mi/ft\2\)      d (gal/mi)
----------------------------------------------------------------------------------------------------------------
2011................................             31.20              24.00              51.41               1.91
----------------------------------------------------------------------------------------------------------------

    (c) For model years 2012-2025, a manufacturer's passenger automobile 
fleet shall comply with the fleet average fuel economy level calculated 
for that model year according to Figure 2 and the appropriate values in 
Table III.
[GRAPHIC] [TIFF OMITTED] TR15OC12.072


[[Page 103]]


Where:

CAFE required is the fleet average fuel economy standard for a given 
          fleet (domestic passenger automobiles or import passenger 
          automobiles);
Subscript i is a designation of multiple groups of automobiles, where 
          each group's designation, i.e., i = 1, 2, 3, etc., represents 
          automobiles that share a unique model type and footprint 
          within the applicable fleet, either domestic passenger 
          automobiles or import passenger automobiles;
Production i is the number of passenger automobiles produced for sale in 
          the United States within each ith designation, i.e., which 
          share the same model type and footprint;
    TARGET i is the fuel economy target in miles per gallon (mpg) 
applicable to the footprint of passenger automobiles within each ith 
designation, i.e., which share the same model type and footprint, 
calculated according to Figure 3 and rounded to the nearest hundredth of 
a mpg, i.e., 35.455 = 35.46 mpg, and the summations in the numerator and 
denominator are both performed over all models in the fleet in question.
[GRAPHIC] [TIFF OMITTED] TR15OC12.073

Where:

TARGET is the fuel economy target (in mpg) applicable to vehicles of a 
          given footprint (FOOTPRINT, in square feet);
Parameters a, b,c, and d are defined in Table III; and
The MIN and MAX functions take the minimum and maximum, respectively, of 
          the included values.

              Table III-Parameters for the Passenger Automobile Fuel Economy Targets, MYs 2012-2025
----------------------------------------------------------------------------------------------------------------
                                                                            Parameters
                                                 ---------------------------------------------------------------
                   Model year                                                       c (gal/mi/
                                                      a (mpg)         b (mpg)         ft\2\)        d (gal/mi)
----------------------------------------------------------------------------------------------------------------
2012............................................           35.95           27.95       0.0005308        0.006057
2013............................................           36.80           28.46       0.0005308        0.005410
2014............................................           37.75           29.03       0.0005308        0.004725
2015............................................           39.24           29.90       0.0005308        0.003719
2016............................................           41.09           30.96       0.0005308        0.002573
2017............................................           43.61           32.65       0.0005131        0.001896
2018............................................           45.21           33.84       0.0004954        0.001811
2019............................................           46.87           35.07       0.0004783        0.001729
2020............................................           48.74           36.47       0.0004603        0.001643
2021............................................           50.83           38.02       0.0004419        0.001555
2022............................................           53.21           39.79       0.0004227        0.001463
2023............................................           55.71           41.64       0.0004043        0.001375
2024............................................           58.32           43.58       0.0003867        0.001290
2025............................................           61.07           45.61       0.0003699        0.001210
----------------------------------------------------------------------------------------------------------------


[[Page 104]]

    (d) In addition to the requirements of paragraphs (b) and (c) of 
this section, each manufacturer shall also meet the minimum fleet 
standard for domestically manufactured passenger automobiles expressed 
in Table IV:

 Table IV--Minimum Fuel Economy Standards for Domestically Manufactured
                  Passenger Automobiles, MYs 2011-2021
------------------------------------------------------------------------
                                                              Minimum
                       Model year                            standard
------------------------------------------------------------------------
2011....................................................            27.8
2012....................................................            30.7
2013....................................................            31.4
2014....................................................            32.1
2015....................................................            33.3
2016....................................................            34.7
2017....................................................            36.7
2018....................................................            38.0
2019....................................................            39.4
2020....................................................            40.9
2021....................................................            42.7
2022....................................................            44.7
2023....................................................            46.8
2024....................................................            49.0
2025....................................................            51.3
------------------------------------------------------------------------

    (e) For model years 2022-2025, each manufacturer shall comply with 
the standards set forth in paragraphs (c) and (d) in this section, if 
NHTSA determines in a rulemaking, initiated after January 1, 2017, and 
conducted in accordance with 49 U.S.C. 32902, that the standards in 
paragraphs (c) and (d) are the maximum feasible standards for model 
years 2022-2025. If, for any of those model years, NHTSA determines that 
the maximum feasible standard for passenger cars and the corresponding 
minimum standard for domestically manufactured passenger cars should be 
set at a different level, manufacturers shall comply with those 
different standards in lieu of the standards set forth for those model 
years in paragraphs (c) and (d), and NHTSA will revise this section to 
reflect the different standards.
    (f) The following manufacturers shall comply with the standards 
indicated below for the specified model years:
    (1) Avanti Motor Corporation.

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

    (2) Rolls-Royce Motors, Inc.

------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
1978........................................................        10.7
1979........................................................        10.8
1980........................................................        11.1
1981........................................................        10.7
1982........................................................        10.6
1983........................................................         9.9
1984........................................................        10.0
1985........................................................        10.0
1986........................................................        11.0
1987........................................................        11.2
1988........................................................        11.2
1989........................................................        11.2
1990........................................................        12.7
1991........................................................        12.7
1992........................................................        13.8
1993........................................................        13.8
1994........................................................        13.8
1995........................................................        14.6
1996........................................................        14.6
1997........................................................        15.1
1998........................................................        16.3
1999........................................................        16.3
------------------------------------------------------------------------

    (3) Checker Motors Corporation.

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

    (4) Aston Martin Lagonda, Inc.

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

    (5) Excalibur Automobile Corporation.

[[Page 105]]



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

    (6) Lotus Cars Ltd.

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

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

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

    (8) Lamborghini of North America.

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

    (9) LondonCoach Co., Inc.

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

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

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

    (11) Dutcher Motors, Inc.

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

    (12) MedNet, Inc.

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

    (13) Vector Aeromotive Corporation.

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

    (14) Qvale Automotive Group Srl.

------------------------------------------------------------------------
                                                                Average
                                                                 fuel
                                                                economy
                         Model year                            standard
                                                              (miles per
                                                                gallon)
------------------------------------------------------------------------
2000........................................................        22.0
2001........................................................        22.0
------------------------------------------------------------------------

    (15) Spyker Automobielen B.V.

                      Average Fuel Economy Standard
------------------------------------------------------------------------
                                                              Miles per
                         Model year                             gallon
------------------------------------------------------------------------
2006.......................................................         18.9
2007.......................................................         18.9
------------------------------------------------------------------------


[43 FR 28204, June 29, 1978]

    Editorial Note: For Federal Register citations affecting Sec. 
531.5, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec. 531.6  Measurement and calculation procedures.

    (a) The fleet average fuel economy performance 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

[[Page 106]]

of the Environmental Protection Agency under 49 U.S.C. 32904 and set 
forth in 40 CFR part 600. For model years 2017 to 2025, a manufacturer 
is eligible to increase the fuel economy performance of passenger cars 
in accordance with procedures established by EPA set forth in 40 CFR 
part 600, including any adjustments to fuel economy EPA allows, such as 
for fuel consumption improvements related to air conditioning efficiency 
and off-cycle technologies.
    (b) The eligibility of a manufacturer to increase its fuel economy 
performance through use of an off-cycle technology requires an 
application request made to EPA in accordance with 40 CFR Part 86.1869-
12 and an approval granted by EPA made in consultation with NHTSA. In 
order to expedite NHTSA's consultation with EPA, a manufacturer's 
application as part of the off-cycle credit approval process under 40 
CFR 86.1869-12(b) or 40 CFR 86.1869-12(c) shall also be submitted to 
NHTSA at the same time if the manufacturer is seeking off-cycle fuel 
economy improvement values under the CAFE program for those 
technologies. For off-cycle technologies which are covered under 40 CFR 
86.1869-12(b) or 40 CFR 86.1869-12(c), NHTSA will consult with EPA 
regarding NHTSA's evaluation of the specific off-cycle technology to 
ensure its impact on fuel economy and the suitability of using the off-
cycle technology to adjust the fuel economy performance. NHTSA will 
provide its views on the suitability of the technology for that purpose 
to EPA. NHTSA's evaluation and review will consider:
    (1) Whether the technology has a direct impact upon improving fuel 
economy performance;
    (2) Whether the technology is related to crash-avoidance 
technologies, safety critical systems or systems affecting safety-
critical functions, or technologies designed for the purpose of reducing 
the frequency of vehicle crashes;
    (3) Information from any assessments conducted by EPA related to the 
application, the technology and/or related technologies; and
    (4) Any other relevant factors.

[77 FR 63191, Oct. 15, 2012]



Sec. Appendix to Part 531--Example of Calculating Compliance Under Sec. 
                                531.5(c)

    Assume a hypothetical manufacturer (Manufacturer X) produces a fleet 
of domestic passenger automobiles in MY 2012 as follows:

                                                                    Appendix Table I
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                Model type                                                         Actual
---------------------------------------------------------------------------                       measured
                                                      Basic                     Description         fuel      Volume
             Group                  Carline name      engine  Transmission                        economy
                                                       (L)        class                            (mpg)
---------------------------------------------------------------------------------------------------------------------
1..............................  PC A FWD..........      1.8          A5    2-door sedan......         34.0    1,500
2..............................  PC A FWD..........      1.8          M6    2-door sedan......         34.6    2,000
3..............................  PC A FWD..........      2.5          A6    4-door wagon......         33.8    2,000
4..............................  PC A AWD..........      1.8          A6    4-door wagon......         34.4    1,000
5..............................  PC A AWD..........      2.5          M6    2-door hatchback..         32.9    3,000
6..............................  PC B RWD..........      2.5          A6    4-door wagon......         32.2    8,000
7..............................  PC B RWD..........      2.5          A7    4-door sedan......         33.1    2,000
8..............................  PC C AWD..........      3.2          A7    4-door sedan......         30.6    5,000
9..............................  PC C FWD..........      3.2          M6    2-door coupe......         28.5    3,000
                                ------------------------------------------------------------------------------------------------------------------------
    Total......................  27,500............
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note to Appendix Table I: Manufacturer X's required fleet average fuel economy standard level would first be calculated by determining the fuel economy
  targets applicable to each unique model type and footprint combination for model type groups 1-9 as illustrated in Appendix Table II:

    Manufacturer X calculates a fuel economy target standard for each 
unique model type and footprint combination.

[[Page 107]]



                                                                                        Appendix Table II
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                           Model type                                                                                                                                     Fuel
------------------------------------------------------------------------------------------------                                                        Track                           economy
                                                                                                         Description          Base tire   Wheelbase   width F&R  Footprint    Volume     target
                  Group                          Carline name            Basic     Transmission                                 size       (inches)    average    (ft\2\)               standard
                                                                       engine (L)      class                                                           (inches)                          (mpg)
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1.......................................  PC A FWD..................          1.8            A5  2-door sedan..............  205/75R14          99.8       61.2       42.4      1,500      35.01
2.......................................  PC A FWD..................          1.8            M6  2-door sedan..............  215/70R15          99.8       60.9       42.2      2,000      35.14
3.......................................  PC A FWD..................          2.5            A6  4-door wagon..............  215/70R15         100.0       60.9       42.3      2,000      35.08
4.......................................  PC A AWD..................          1.8            A6  4-door wagon..............  235/60R15         100.0       61.2       42.5      1,000      35.95
5.......................................  PC A AWD..................          2.5            M6  2-door hatchback..........  225/65R16          99.6       59.5       41.2      3,000      35.81
6.......................................  PC B RWD..................          2.5            A6  4-door wagon..............  265/55R18         109.2       66.8       50.7      8,000      30.33
7.......................................  PC B RWD..................          2.5            A7  4-door sedan..............  235/65R17         109.2       67.8       51.4      2,000      29.99
8.......................................  PC C AWD..................          3.2            A7  4-door sedan..............  265/55R18         111.3       67.8       52.4      5,000      29.52
9.......................................  PC C FWD..................          3.2            M6  2-door coupe..............  225/65R16         111.3       67.2       51.9      3,000      29.76
                                         -------------------------------------------------------------------------------------------------------------------------------------------------------
    Total...............................  27,500....................
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Note to Appendix Table II: With the appropriate fuel economy targets determined for each unique model type and footprint combination, Manufacturer X's required fleet average fuel economy
  standard would be calculated as illustrated in Appendix Figure 1:


[[Page 108]]

    Appendix Figure 1--Calculation of Manufacturer X's fleet average 
fuel economy standard using Table II:

Fleet average fuel economy standard =
[GRAPHIC] [TIFF OMITTED] TR15OC12.074

= 31.6 mpg

    Appendix Figure 2--Calculation of Manufacturer X's actual fleet 
average fuel economy performance level using Table I:
Fleet average fuel economy performance =
[GRAPHIC] [TIFF OMITTED] TR15OC12.075

= 32.0 mpg

    Note to Appendix Figure 2: Since the actual fleet average fuel 
economy performance of Manufacturer X's fleet is 32.0 mpg, as compared 
to its required fleet fuel economy standard of 31.6 mpg, Manufacturer X 
complied with the CAFE standard for MY 2012 as set forth in Sec. 
531.5(c).

[77 FR 63191, Oct. 15, 2012]



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



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

Appendix to Part 533--Example of Calculating Compliance Under Sec. 
          533.5(i)

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



Sec. 533.1  Scope.

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

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



Sec. 533.2  Purpose.

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

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

[[Page 109]]



Sec. 533.3  Applicability.

    This part applies to manufacturers of light trucks.

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



Sec. 533.4  Definitions.

    (a) Statutory terms. (1) The terms average fuel economy, average 
fuel economy standard, fuel economy, import, manufacture, manufacturer, 
and model year are used as defined in section 501 of the Act.
    (2) The term automobile is used as defined in section 501 of the Act 
and in accordance with the determinations in part 523 of this chapter.
    (3) The term domestically manufactured is used as defined in section 
503(b)(2)(E) of the Act.
    (b) Other terms. As used in this part, unless otherwise required by 
the context--
    (1) Act means the Motor Vehicle Information Cost Savings Act, as 
amended by Pub. L. 94-163.
    (2) Light truck is used in accordance with the determinations in 
part 523 of this chapter.
    Captive import means with respect to a light truck, one which is not 
domestically manufactured but which is imported in the 1980 model year 
or thereafter by a manufacturer whose principal place of business is in 
the United States.
    4-wheel drive, general utility vehicle means a 4-wheel drive, 
general purpose automobile capable of off-highway operation that has a 
wheelbase of not more than 280 centimeters, and that has a body shape 
similar to 1977 Jeep CJ-5 or CJ-7, or the 1977 Toyota Land Cruiser.
    Basic engine means a unique combination of manufacturer, engine 
displacement, number of cylinders, fuel system (as distinguished by 
number of carburetor barrels or use of fuel injection), and catalyst 
usage.
    Limited product line light truck means a light truck manufactured by 
a manufacturer whose light truck fleet is powered exclusively by basic 
engines which are not also used in passenger automobiles.

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



Sec. 533.5  Requirements.

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

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


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


[[Page 110]]


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


                                Table IV
------------------------------------------------------------------------
                         Model year                            Standard
------------------------------------------------------------------------
2001.......................................................         20.7
2002.......................................................         20.7
2003.......................................................         20.7
2004.......................................................         20.7
2005.......................................................         21.0
2006.......................................................         21.6
2007.......................................................         22.2
2008.......................................................         22.5
2009.......................................................         23.1
2010.......................................................         23.5
------------------------------------------------------------------------

    Figure 1:
    [GRAPHIC] [TIFF OMITTED] TR15OC12.076
    
Where:

N is the total number (sum) of light trucks produced by a manufacturer;
Ni is the number (sum) of the ith light truck model type 
          produced by a manufacturer; and
Ti is the fuel economy target of the ith light truck model 
          type, which is determined according to the following formula, 
          rounded to the nearest hundredth:
          [GRAPHIC] [TIFF OMITTED] TR15OC12.077
          
Where:

Parameters a, b, c, and d are defined in Table V;
e = 2.718; and
x = footprint (in square feet, rounded to the nearest tenth) of the 
          model type.

                 Table V--Parameters for the Light Truck Fuel Economy Targets for MYs 2008-2011
----------------------------------------------------------------------------------------------------------------
                                                                                  Parameters
                                                             ---------------------------------------------------
                         Model year                                                      c (gal/mi/
                                                                a (mpg)      b (mpg)       ft\2\)     d (gal/mi)
----------------------------------------------------------------------------------------------------------------
2008........................................................        28.56        19.99        49.30         5.58
2009........................................................        30.07        20.87        48.00         5.81
2010........................................................        29.96        21.20        48.49         5.50
2011........................................................        27.10        21.10        56.41         4.28
----------------------------------------------------------------------------------------------------------------

    Figure 2:
    [GRAPHIC] [TIFF OMITTED] TR15OC12.078
    

[[Page 111]]


Where:

    CAFErequired is the fleet average fuel economy standard 
for a given light truck fleet;
    Subscript i is a designation of multiple groups of light trucks, 
where each group's designation, i.e., i = 1, 2, 3, etc., represents 
light trucks that share a unique model type and footprint within the 
applicable fleet.
    Productioni is the number of light trucks produced for 
sale in the United States within each ith designation, i.e., 
which share the same model type and footprint;
    TARGETi is the fuel economy target in miles per gallon (mpg) 
applicable to the footprint of light trucks within each ith designation, 
i.e., which share the same model type and footprint, calculated 
according to either Figure 3 or Figure 4, as appropriate, and rounded to 
the nearest hundredth of a mpg, i.e., 35.455 = 35.46 mpg, and the 
summations in the numerator and denominator are both performed over all 
models in the fleet in question.

    Figure 3:
    [GRAPHIC] [TIFF OMITTED] TR15OC12.079
    
Where:

TARGET is the fuel economy target (in mpg) applicable to vehicles of a 
          given footprint (FOOTPRINT, in square feet);
Parameters a, b, c, and d are defined in Table VI; and
The MIN and MAX functions take the minimum and maximum, respectively, of 
          the included values.

                 Table VI--Parameters for the Light Truck Fuel Economy Targets for MYs 2012-2016
----------------------------------------------------------------------------------------------------------------
                                                                            Parameters
                                                 ---------------------------------------------------------------
                   Model year                                                      c (gal/mi/ft
                                                      a (mpg)         b (mpg)          \2\)         d (gal/mi)
----------------------------------------------------------------------------------------------------------------
2012............................................           29.82           22.27       0.0004546        0.014900
2013............................................           30.67           22.74       0.0004546        0.013968
2014............................................           31.38           23.13       0.0004546        0.013225
2015............................................           32.72           23.85       0.0004546        0.011920
2016............................................           34.42           24.74       0.0004546        0.010413
----------------------------------------------------------------------------------------------------------------

    Figure 4:
    [GRAPHIC] [TIFF OMITTED] TR15NO12.102
    
Where:

TARGET is the fuel economy target (in mpg) applicable to vehicles of a 
given footprint (FOOTPRINT, in square feet);
Parameters a, b, c, d, e, f, g, and h are defined in Table VII; and
The MIN and MAX functions take the minimum and maximum, respectively, of 
the included values.


                                     Table VII-Parameters for the Light Truck Fuel Economy Targets for MYs 2017-2025
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                Parameters
                                                 -------------------------------------------------------------------------------------------------------
                   Model year                                                c (gal/mi/                                          g (gal/mi/
                                                    a (mpg)      b (mpg)       ft\2\)     d (gal/mi)    e (mpg)      f (mpg)       ft\2\)     h (gal/mi)
--------------------------------------------------------------------------------------------------------------------------------------------------------
2017............................................        36.26        25.09    0.0005484     0.005097        35.10        25.09    0.0004546     0.009851
2018............................................        37.36        25.20    0.0005358     0.004797        35.31        25.20    0.0004546     0.009682
2019............................................        38.16        25.25    0.0005265     0.004623        35.41        25.25    0.0004546     0.009603
2020............................................        39.11        25.25    0.0005140     0.004494        35.41        25.25    0.0004546     0.009603

[[Page 112]]

 
2021............................................        41.80        25.25    0.0004820     0.004164        35.41        25.25    0.0004546     0.009603
2022............................................        43.79        26.29    0.0004607     0.003944        35.41        25.25    0.0004546     0.009603
2023............................................        45.89        27.53    0.0004404     0.003735        35.41        25.25    0.0004546     0.009603
2024............................................        48.09        28.83    0.0004210     0.003534        35.41        25.25    0.0004546     0.009603
2025............................................        50.39        30.19    0.0004025     0.003343        35.41        25.25    0.0004546     0.009603
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (b)(1) For model year 1979, each manufacturer may:
    (i) Combine its 2- and 4-wheel drive light trucks and comply with 
the average fuel economy standard in paragraph (a) of this section for 
2-wheel drive light trucks; or
    (ii) Comply separately with the two standards specified in paragraph 
(a) of this section.
    (2) For model year 1979, the standard specified in paragraph (a) of 
this section for 4-wheel drive light trucks applies only to 4-wheel 
drive general utility vehicles. All other 4-wheel drive light trucks in 
that model year shall be included in the 2-wheel drive category for 
compliance purposes.
    (c) For model years 1980 and 1981, manufacturers of limited product 
line light trucks may:
    (1) Comply with the separate standard for limited product line light 
trucks, or
    (2) Comply with the other standards specified in Sec. 533.5(a), as 
applicable.
    (d) For model years 1982-91, each manufacture may:
    (1) Combine its 2- and 4-wheel drive light trucks (segregating 
captive import and other light trucks) and comply with the combined 
average fuel economy standard specified in paragraph (a) of this 
section; or
    (2) Comply separately with the 2-wheel drive standards and the 4-
wheel drive standards (segregating captive import and other light 
trucks) specified in paragraph (a) of this section.
    (e) For model year 1992, each manufacturer shall comply with the 
average fuel economy standard specified in paragraph (a) of this section 
(segregating captive import and other light trucks).
    (f) For each model year 1996 and thereafter, each manufacturer shall 
combine its captive imports with its other light trucks and comply with 
the fleet average fuel economy standard in paragraph (a) of this 
section.
    (g) For model years 2008-2010, at a manufacturer's option, a 
manufacturer's light truck fleet may comply with the fuel economy 
standard calculated for each model year according to Figure 1 and the 
appropriate values in Table V, with said option being irrevocably chosen 
for that model year and reported as specified in Sec. 537.8.
    (h) For model year 2011, a manufacturer's light truck fleet shall 
comply with the fleet average fuel economy standard calculated for that 
model year according to Figure 1 and the appropriate values in Table V.
    (i) For model years 2012-2016, a manufacturer's light truck fleet 
shall comply with the fleet average fuel economy standard calculated for 
that model year according to Figures 2 and 3 and the appropriate values 
in Table VI.
    (j) For model years 2017-2025, a manufacturer's light truck fleet 
shall comply with the fleet average fuel economy standard calculated for 
that model year according to Figures 2 and 4 and the appropriate values 
in Table VII.
    (k) For model years 2022-2025, each manufacturer shall comply with 
the standards set forth in paragraph (j) in this section, if NHTSA 
determines in a rulemaking, initiated after January 1, 2017, and 
conducted in accordance with 49 U.S.C. 32902, that the standards in 
paragraph (j) are the maximum feasible standards for model years 2022-
2025. If, for any of those model years, NHTSA determines that the 
maximum feasible standard for light trucks should be set at a different 
level, manufacturers shall comply with those different

[[Page 113]]

standards in lieu of the standards set forth for those model years in 
paragraph (j), and NHTSA will revise this section to reflect the 
different standards.

[43 FR 12014, Mar. 23, 1978]

    Editorial Note: For Federal Register citations affecting Sec. 
533.5, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec. 533.6  Measurement and calculation procedures.

    (a) Any reference to a class of light trucks manufactured by a 
manufacturer shall be deemed--
    (1) To include all light trucks in that class manufactured by 
persons who control, are controlled by, or are under common control 
with, such manufacturer; and
    (2) To exclude all light trucks in that class manufactured (within 
the meaning of paragraph (a)(1) of this section) during a model year by 
such manufacturer which are exported prior to the expiration of 30 days 
following the end of such model year.
    (b) The fleet average fuel economy performance of all vehicles 
subject to Part 533 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 49 U.S.C. 
32904 and set forth in 40 CFR part 600. For model years 2017 to 2025, a 
manufacturer is eligible to increase the fuel economy performance of 
light trucks in accordance with procedures established by EPA set forth 
in 40 CFR part 600, including any adjustments to fuel economy EPA 
allows, such as for fuel consumption improvements related to air 
conditioning efficiency, off-cycle technologies, and hybridization and 
other performance-based technologies for full-size pickup trucks.
    (c) The eligibility of a manufacturer to increase its fuel economy 
performance through use of an off-cycle technology requires an 
application request made to EPA in accordance with 40 CFR Part 86.1869-
12 and an approval granted by EPA made in consultation with NHTSA. In 
order to expedite NHTSA's consultation with EPA, a manufacturer's 
application as part of the off-cycle credit approval process under 40 
CFR 86.1869-12(b) or 40 CFR 86.1869-12(c) shall also be submitted to 
NHTSA at the same time if the manufacturer is seeking off-cycle fuel 
economy improvement values under the CAFE program for those 
technologies. For off-cycle technologies which are covered under 40 CFR 
86.1869-12(b) or 40 CFR 86.1869-12(c), NHTSA will consult with EPA 
regarding NHTSA's evaluation of the specific off-cycle technology to 
ensure its impact on fuel economy and the suitability of using the off-
cycle technology to adjust the fuel economy performance. NHTSA will 
provide its views on the suitability of the technology for that purpose 
to EPA. NHTSA's evaluation and review will consider:
    (1) Whether the technology has a direct impact upon improving fuel 
economy performance;
    (2) Whether the technology is related to crash-avoidance 
technologies, safety critical systems or systems affecting safety-
critical functions, or technologies designed for the purpose of reducing 
the frequency of vehicle crashes.
    (3) Information from any assessments conducted by EPA related to the 
application, the technology and/or related technologies; and
    (4) Any other relevant factors.

[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
77 FR 63194, Oct. 15, 2012]



Sec. Appendix to Part 533--Example of Calculating Compliance Under Sec. 
                                533.5(i)

    Assume a hypothetical manufacturer (Manufacturer X) produces a fleet 
of light trucks in MY 2012 as follows:

[[Page 114]]



                                                Appendix Table I
----------------------------------------------------------------------------------------------------------------
                           Model type
----------------------------------------------------------------                      Actual
                                  Basic engine    Transmission     Description     measured fuel      Volume
     Group        Carline name         (L)            class                        economy (mpg)
----------------------------------------------------------------------------------------------------------------
1.............  Pickup A 2WD...               4              A5  Reg cab, MB....            27.1             800
2.............  Pickup B 2WD...               4              M5  Reg cab, MB....            27.6             200
3.............  Pickup C 2WD...             4.5              A5  Reg cab, LB....            23.9             300
4.............  Pickup C 2WD...               4              M5  Ext cab, MB....            23.7             400
5.............  Pickup C 4WD...             4.5              A5  Crew cab, SB...            23.5             400
6.............  Pickup D 2WD...             4.5              A6  Crew cab, SB...            23.6             400
7.............  Pickup E 2WD...               5              A6  Ext cab, LB....            22.7             500
8.............  Pickup E 2WD...               5              A6  Crew cab, MB...            22.5             500
9.............  Pickup F 2WD...             4.5              A5  Reg cab, LB....            22.5           1,600
10............  Pickup F 4WD...             4.5              A5  Ext cab, MB....            22.3             800
11............  Pickup F 4WD...             4.5              A5  Crew cab, SB...            22.2             800
                                                                                                 ---------------
    Total.....  6,700..........
----------------------------------------------------------------------------------------------------------------
Note to Appendix Table I: Manufacturer X's required fleet average fuel economy standard level would first be
  calculated by determining the fuel economy targets applicable to each unique model type and footprint
  combination for model type groups 1-11 as illustrated in Appendix Table II.

    Manufacturer X calculates a fuel economy target standard for each 
unique model type and footprint combination.

                                                                    Appendix Table II
--------------------------------------------------------------------------------------------------------------------------------------------------------
                               Model type                                                                          Track                          Fuel
------------------------------------------------------------------------                                           width                        economy
                                                   Basic                    Description    Base tire  Wheelbase     F&R    Footprint   Volume    target
             Group                Carline name     engine  Transmission                       size     (inches)   average   (ft\2\)             standard
                                                    (L)        class                                             (inches)                        (mpg)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.............................  Pickup A 2WD....        4          A5    Reg cab, MB.....  235/75R15     100.0       68.8      47.8       800      27.30
2.............................  Pickup B 2WD....        4          M5    Reg cab, MB.....  235/75R15     100.0       68.2      47.4       200      27.44
3.............................  Pickup C 2WD....      4.5          A5    Reg cab, LB.....  255/70R17     125.0       68.8      59.7       300      23.79
4.............................  Pickup C 2WD....        4          M5    Ext cab, MB.....  255/70R17     125.0       68.8      59.7       400      23.79
5.............................  Pickup C 4WD....      4.5          A5    Crew cab, SB....  275/70R17     150.0       69.0      71.9       400      22.27
6.............................  Pickup D 2WD....      4.5          A6    Crew cab, SB....  255/70R17     125.0       68.8      59.7       400      23.79
7.............................  Pickup E 2WD....        5          A6    Ext cab, LB.....  255/70R17     125.0       68.8      59.7       500      23.79
8.............................  Pickup E 2WD....        5          A6    Crew cab, MB....  285/70R17     125.0       69.2      60.1       500      23.68
9.............................  Pickup F 2WD....      4.5          A5    Reg cab, LB.....  255/70R17     125.0       68.9      59.8     1,600      23.76
10............................  Pickup F 4WD....      4.5          A5    Ext cab, MB.....  275/70R17     150.0       69.0      71.9       800      22.27
11............................  Pickup F 4WD....      4.5          A5    Crew cab, SB....  285/70R17     150.0       69.2      72.1       800      22.27
    Total.....................  6,700...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note to Appendix Table II: With the appropriate fuel economy targets determined for each unique model type and footprint combination, Manufacturer X's
  required fleet average fuel economy standard would be calculated as illustrated in Appendix Figure 1:

 Appendix Figure 1--Calculation of Manufacturer X's Fleet Average Fuel 
                     Economy Standard Using Table II

Fleet average fuel economy standard=

[[Page 115]]

[GRAPHIC] [TIFF OMITTED] TR15OC12.081

= 23.7 mpg

Appendix Figure 2--Calculation of Manufacturer X's Actual Fleet Average 
              Fuel Economy Performance Level Using Table I

Fleet average fuel economy performance =
[GRAPHIC] [TIFF OMITTED] TR15OC12.082

= 23.3 mpg
    Note to Appendix Figure 2: Since the actual fleet average fuel 
economy performance of Manufacturer X's fleet is 23.3 mpg, as compared 
to its required fleet fuel economy standard of 23.7 mpg, Manufacturer X 
did not comply with the CAFE standard for MY 2012 as set forth in Sec. 
533.5(i).

[77 FR 63196, Oct. 15, 2012]



PART 534_RIGHTS AND RESPONSIBILITIES OF MANUFACTURERS IN THE CONTEXT
OF CHANGES IN CORPORATE RELATIONSHIPS--Table of Contents



Sec.
534.1 Scope.
534.2 Applicability.
534.3 Definitions.
534.4 Successors and predecessors.
534.5 Manufacturers within control relationships.
534.6 Reporting corporate transactions.
534.7 Situations not directly addressed by this part.
534.8 Shared corporate relationships.

    Authority: 49 U.S.C. 32901; delegation of authority at 49 CFR 1.95.

    Source: 69 FR 77671, Dec. 28, 2004, unless otherwise noted.



Sec. 534.1  Scope.

    This part defines the rights and responsibilities of manufacturers 
in the context of changes in corporate relationships for purposes of the 
fuel economy and fuel consumption programs established by 49 U.S.C. 
chapter 329.

[76 FR 57492, Sept. 15, 2011]

[[Page 116]]



Sec. 534.2  Applicability.

    This part applies to manufacturers of passenger automobiles, light 
trucks, heavy-duty vehicles and the engines manufactured for use in 
heavy-duty vehicles as defined in 49 CFR part 523.

[76 FR 57492, Sept. 15, 2011]



Sec. 534.3  Definitions.

    (a) Statutory definitions and terms. All terms used in 49 U.S.C. 
Chapter 329 are used according to their statutory meaning.
    (b) As used in this part--
    ``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.
    ``Predecessor'' means a manufacturer whose rights have been vested 
in and whose burdens have been assumed by another manufacturer.
    ``Successor'' means a manufacturer that has become vested with the 
rights and assumed the burdens of another manufacturer.



Sec. 534.4  Successors and predecessors.

    For purposes of the fuel economy and fuel consumption programs, 
``manufacturer'' includes ``predecessors'' and ``successors'' to the 
extent specified in this section.
    (a) Successors are responsible for any civil penalties that arise 
out of fuel economy and fuel consumption shortfalls incurred and not 
satisfied by predecessors.
    (b) If one manufacturer has become the successor of another 
manufacturer during a model year, all of the vehicles or engines 
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.
    (c)(1) For passenger automobiles and light trucks, fuel economy 
credits earned by a predecessor before or during model year 2007 may be 
used by a successor, subject to the availability of credits and the 
general three-year restriction on carrying credits forward and the 
general three-year restriction on carrying credits backward. Fuel 
economy credits earned by a predecessor after model year 2007 may be 
used by a successor, subject to the availability of credits and the 
general five-year restriction on carrying credits forward and the 
general three-year restriction on carrying credits backward.
    (2) For heavy-duty vehicles and heavy-duty vehicle engines, 
available fuel consumption credits earned by a predecessor after model 
year 2015, and in model years 2013, 2014 and 2015 if a manufacturer 
voluntarily complies in those model years, may be used by a successor, 
subject to the availability of credits and the general five-year 
restriction on carrying credits forward and the general three year 
restriction on carrying credits backward.
    (d)(1) For passenger automobiles and light trucks, fuel economy 
credits earned by a successor before or during model year 2007 may be 
used to offset a predecessor's shortfall, subject to the availability of 
credits and the general three-year restriction on carrying credits 
forward and the general three-year restriction on carrying credits 
backward. Credits earned by a successor after model year 2007 may be 
used to offset a predecessor's shortfall, subject to the availability of 
credits and the general five-year restriction on carrying credits 
forward and the general three-year restriction on carrying credits 
backward.
    (2) For heavy-duty vehicles and heavy-duty vehicle engines, 
available credits earned by a successor after model year 2015, and in 
model years 2013, 2014 and 2015, if a manufacturer voluntarily complies 
in those model years, may be used by a predecessor subject to the 
availability of credits and the general five-year restriction on 
carrying credits forward and the general three year restriction on 
carrying credits backward.

[76 FR 57492, Sept. 15, 2011]



Sec. 534.5  Manufacturers within control relationships.

    (a) If a civil penalty arises out of a fuel economy or fuel 
consumption

[[Page 117]]

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.
    (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.
    (c)(1) For passenger automobiles and light trucks, fuel economy 
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 prior to or during model year 2007, 
or the general five year restriction on carrying credits forward and the 
general three-year restriction on carrying credits backward after model 
year 2007.
    (2) For heavy-duty vehicles and heavy-duty engines, 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, the general 5-year restriction on carrying credits forward, 
and the general three year restriction on offsetting past credit 
shortfalls as specified in the requirements of 49 CFR 535.7.
    (d)(1) For passenger automobiles and light trucks, 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 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 three-year restriction on 
carrying credits forward or backward prior to or during model year 2007, 
or the general five-year restriction on carrying credits forward and the 
general three-year restriction on carrying credits backward after model 
year 2007.
    (2) For heavy-duty vehicles and heavy-duty vehicle engines, 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 the control relationship while the manufacturer was 
within that relationship, subject to the agreement of the other 
manufacturers, the availability of the credits, the general 5-year 
restriction on carrying credits forward, and the general three year 
restriction on offsetting past credit shortfalls as specified in the 
requirements of 49 CFR 535.7.
    (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.

[69 FR 77671, Dec. 28, 2004, as amended at 74 FR 14452, Mar. 30, 2009; 
76 FR 57492, Sept. 15, 2011]



Sec. 534.6  Reporting corporate transactions.

    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 or heavy-duty vehicles to which Corporate Average Fuel 
Economy or Fuel Consumption standards apply shall report the contract to 
the agency as follows:
    (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.
    (b) Each report shall--
    (1) Identify each manufacturer;

[[Page 118]]

    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (4) Be written in the English language; and
    (5) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590.
    (c) The manufacturers may seek confidential treatment for 
information provided in the certified report in accordance with 49 CFR 
part 512.

[76 FR 57493, Sept. 15, 2011]



Sec. 534.7  Situations not directly addressed by this part.

    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.



Sec. 534.8  Shared corporate relationships.

    (a) Vehicles and engines built by multiple manufacturers can share 
responsibility for complying with fuel consumption standards in 49 CFR 
part 535, by following the EPA requirements in 40 CFR 1037.620 and by 
sending a joint agreement between the parties to EPA and NHTSA before 
submitting any certificates of conformity for the applicable vehicles or 
engines in accordance with 40 CFR part 1036, subpart C, and 40 CFR part 
1037, subpart C.
    (1) Each joint agreement must--
    (i) Define how each manufacturer shares responsibility for the 
planned vehicles or engines.
    (ii) Specify which manufacturer(s) will be responsible for the EPA 
certificates of conformity;
    (iii) Describe the planned vehicles and engines in terms of the 
model types, production volumes, and model years (if known);
    (iv) Describe which manufacturer(s) have engineering and design 
control and sale distribution ownership over the vehicles and/or 
engines; and
    (v) Include signatures from all parties involved in the shared 
corporate relationship.
    (2) After defining the shared relationship between the 
manufacturers, any contractual changes must be notified to EPA and NHTSA 
before the next model year's production of the applicable vehicles or 
engines begins.
    (3) Multiple manufacturers must designate the same shared 
responsibility for complying with fuel consumption standards as selected 
for GHG standards unless otherwise allowed by EPA and NHTSA.
    (b) NHTSA and EPA reserve the right to reject the joint agreement.

[81 FR 74237, Oct. 25, 2016]



PART 535_MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM--
Table of Contents



Sec.
535.1 Scope.
535.2 Purpose.
535.3 Applicability.
535.4 Definitions.
535.5 Standards.
535.6 Measurement and calculation procedures.
535.7 Averaging, banking, and trading (ABT) credit program.
535.8 Reporting and recordkeeping requirements.
535.9 Enforcement approach.
535.10 How do manufacturers comply with fuel consumption standards?

    Authority: 49 U.S.C. 32902 and 30101; delegation of authority at 49 
CFR 1.95.

    Source: 81 FR 74238, Oct. 25, 2016, unless otherwise noted.



Sec. 535.1  Scope.

    This part establishes fuel consumption standards pursuant to 49 
U.S.C. 32902(k) for work trucks and commercial medium- and heavy-duty 
on-highway vehicles, including trailers (hereafter referenced as heavy-
duty vehicles), and engines manufactured for sale in the United States. 
This part establishes a credit program manufacturers may use to comply 
with standards and requirements for manufacturers to provide reports to 
the National Highway Traffic Safety Administration regarding their 
efforts to reduce the fuel consumption of heavy-duty vehicles and 
engines.

[[Page 119]]



Sec. 535.2  Purpose.

    The purpose of this part is to reduce the fuel consumption of new 
heavy-duty vehicles and engines by establishing maximum levels for fuel 
consumption standards while providing a flexible credit program to 
assist manufacturers in complying with standards.



Sec. 535.3  Applicability.

    (a) This part applies to manufacturers that produce complete and 
incomplete heavy-duty vehicles as defined in 49 CFR part 523, and to the 
manufacturers of all heavy-duty engines manufactured for use in the 
applicable vehicles for each given model year.
    (b) This part also applies to alterers, final stage manufacturers, 
and intermediate manufacturers producing vehicles and engines or 
assembling motor vehicles or motor vehicle equipment under special 
conditions. Manufacturers comply with this part by following the special 
conditions in 40 CFR 1037.620, 1037.621, and 1037.622 in which EPA 
allows manufacturer to:
    (1) Share responsibility for the vehicles they produce. 
Manufacturers sharing responsibility for complying with emissions and 
fuel consumption standards must submit to the agencies a joint agreement 
as specified in 49 CFR 534.8(a);
    (2) Have certificate holders sell or ship vehicles that are missing 
certain emission-related components to be installed by secondary vehicle 
manufacturers;
    (3) Ship partially complete vehicles to secondary manufacturers;
    (4) Build electric vehicles; and
    (5) Build alternative fueled vehicles from all types of heavy duty 
engine conversions. The conversion manufacturer must:
    (i) Install alternative fuel conversion systems into vehicles 
acquired from vehicle manufacturers prior to first retail sale or prior 
to the vehicle's introduction into interstate commerce.
    (ii) Be designated by the vehicle manufacturer and EPA to be the 
certificate holder.
    (iii) Omit alternative fueled vehicles from compliance with vehicle 
fuel consumption standards, if--
    (A) Excluded from EPA emissions standards; and
    (B) A reasonable technical basis exist that the modified vehicle 
continues to meet emissions and fuel consumption vehicle standards.
    (c) Vehicle and engine manufacturers that must comply with this part 
include manufacturers required to have approved certificates of 
conformity from EPA as specified in 40 CFR parts 86, 1036, and 1037.
    (d) The following heavy-duty vehicles and engines are excluded from 
the requirements of this part:
    (1) Vehicles and engines manufactured prior to January 1, 2014, 
unless certified early under NHTSA's voluntary provisions in Sec. 
535.5.
    (2) Medium-duty passenger vehicles and other vehicles subject to the 
light-duty corporate average fuel economy standards in 49 CFR parts 531 
and 533.
    (3) Recreational vehicles, including motor homes manufactured before 
January 1, 2021, except those produced by manufacturers voluntarily 
complying with NHTSA's early vocational standards for model years 2013 
through 2020.
    (4) Aircraft vehicles meeting the definition of ``motor vehicle''. 
For example, this would include certain convertible aircraft that can be 
adjusted to operate on public roads.
    (5) Heavy-duty trailers as defined in 49 CFR 523.10 meeting one or 
more of the following criteria are excluded from trailer standards in 
Sec. 535.5(e):
    (i) Trailers with four or more axles and trailers less than 35 feet 
long with three axles (i.e., trailers intended for hauling very heavy 
loads).
    (ii) Trailers intended for temporary or permanent residence, office 
space, or other work space, such as campers, mobile homes, and carnival 
trailers.
    (iii) Trailers with a gap of at least 120 inches between adjacent 
axle centerlines. In the case of adjustable axle spacing, this refers to 
the closest possible axle positioning.
    (iv) Trailers built before January 1, 2021, except those trailers 
built by manufacturers after January 1, 2018, and voluntarily complying 
with NHTSA's early trailer standards for model years 2018 through 2020.
    (v) Note that the definition of ``heavy-duty trailer'' in 49 CFR 
523.10 excludes equipment that serves similar purposes but are not 
intended to be

[[Page 120]]

pulled by a tractor. This exclusion applies to such equipment whether or 
not they are known commercially as trailers. For example, any equipment 
pulled by a heavy-duty vehicle with a pintle hook or hitch instead of a 
fifth wheel does not qualify as a trailer under this part.
    (6) Engines installed in heavy-duty vehicles that are not used to 
propel vehicles. Note, this includes engines used to indirectly propel 
vehicles (such as electrical generator engines that power to batteries 
for propulsion).
    (7) The provisions of this part do not apply to engines that are not 
internal combustion engines. For example, the provisions of this part do 
not apply to fuel cells. Note that gas turbine engines are internal 
combustion engines.
    (e) The following heavy-duty vehicles and engines are exempted from 
the requirements of this part:
    (1) Off-road vehicles. Vehicle manufacturers producing vehicles 
intended for off-road may exempt vehicles without requesting approval 
from the agencies subject to the criteria in Sec. 535.5(b)(9)(i) and 40 
CFR 1037.631(a). If unusual circumstances exist and a manufacturer is 
uncertain as to whether its vehicles qualify, the manufacturer should 
ask for a preliminary determination from the agencies before submitting 
its application for certification in accordance with 40 CFR 1037.205 for 
the applicable vehicles. Send the request with supporting information to 
EPA and the agencies will coordinate in making a preliminary 
determination as specified in 40 CFR 1037.210. These decisions are 
considered to be preliminary approvals and subject to final review and 
approval.
    (2) Small business manufacturers. (i) For Phase 1, small business 
manufacturers are exempted from the vehicle and engine standards of 
Sec. 535.5, but must comply with the reporting requirements of Sec. 
535.8(g).
    (ii) For Phase 2, fuel consumption standards apply on a delayed 
schedule for manufacturers meeting the small business criteria specified 
in 13 CFR 121.201 and in 40 CFR 86.1819-14(k)(5), 40 CFR 1036.150, and 
40 CFR 1037.150. Qualifying manufacturers of truck tractors, vocational 
vehicles, heavy duty pickups and vans, and engines are not subject to 
the fuel consumption standards for vehicles built before January 1, 2022 
and engines (such as those engines built by small alternative fuel 
engine converters) with a date of manufacturer on or after November 14, 
2011 and before January 1, 2022. Qualifying manufacturers may choose to 
voluntarily comply early.
    (iii) Small business manufacturers producing vehicles and engines 
that run on any fuel other than gasoline, E85, or diesel fuel meeting 
the criteria specified in 13 CFR 121.201 and in 40 CFR 86.1819-14(k)(5), 
40 CFR 1036.150, and 40 CFR 1037.150 may delay complying with every new 
mandatory standard under this part by one model year.
    (3) Transitional allowances for trailers. Through model year 2026, 
trailer manufacturers may calculate a number of trailers that are exempt 
from the fuel consumption standards of this part. Calculate the number 
of exempt box vans in a given model year by multiplying the 
manufacturer's total U.S.-directed production volume of certified box 
vans by 0.20 and rounding to the nearest whole number; however, in no 
case may the number of exempted box vans be greater than 350 units in 
any given model year. Repeat this calculation to determine the number of 
non-box trailers, up to 250 annual units, that are exempt from standards 
and certification requirements. Manufacturers perform the calculation 
based on their projected production volumes in the first year that 
standards apply; in later years, use actual production volumes from the 
preceding model year. Manufacturers must include these calculated values 
and the production volumes of exempt trailers in their annual production 
reports required under Sec. 535.8(g)(12).
    (4) Engines for specialty vehicles. Engines certified to the 
alternative standards specified in 40 CFR 86.007-11 and 86.008-10 for 
use in specialty vehicles as described in 40 CFR 1037.605. Compliance 
with the vehicle provisions in 40 CFR 1037.605 satisfies compliance for 
NHTSA under this part.
    (f) For model year 2021 and later, vocational vehicle manufacturers 
building custom chassis vehicles (e.g. emergency vehicles) may be 
exempted from

[[Page 121]]

standards in Sec. 535.5(b)(4) and may comply with alternative fuel 
consumption standards as specified in Sec. 535.5(b)(6). Manufacturers 
complying with alternative fuel consumption standards in Sec. 
535.5(b)(6) are restricted in using fuel consumption credits as 
specified in Sec. 535.7(c).
    (g) The fuel consumption standards in some cases apply differently 
for spark-ignition and compression-ignition engines or vehicles as 
specified in 40 CFR parts 1036 and 1037. Engine requirements are 
similarly differentiated by engine type and by primary intended service 
class, as described in 40 CFR 1036.140.
    (h) NHTSA may exclude or exempt vehicles and engines under special 
conditions allowed by EPA in accordance with 40 CFR parts 85, 86, 1036, 
1037, 1039, and 1068. Manufacturers should consult the agencies if 
uncertain how to apply any EPA provision under the NHTSA fuel 
consumption program. It is recommend that manufacturers seek 
clarification before producing a vehicle. Upon notification by EPA of a 
fraudulent use of an exemption, NHTSA reserves that right to suspend or 
revoke any exemption or exclusion.
    (i) In cases where there are differences between the application of 
this part and the corresponding EPA program regarding whether a vehicle 
is regulated or not (such as due to differences in applicability 
resulting from differing agency definitions, etc.), manufacturers should 
contact the agencies to identify these vehicles and assess the 
applicability of the agencies' standards. The agencies will provide 
guidance on how the vehicles can comply. Manufacturers are required to 
identify these vehicles in their final reports submitted in accordance 
with Sec. 535.8.



Sec. 535.4  Definitions.

    The terms manufacture and manufacturer are used as defined in 
section 501 of the Act and the terms commercial medium-duty and heavy-
duty on highway vehicle, fuel and work truck are used as defined in 49 
U.S.C. 32901. See 49 CFR 523.2 for general definitions related to 
NHTSA's fuel efficiency programs.
    Act means the Motor Vehicle Information and Cost Savings Act, as 
amended by Pub. L. 94-163 and 96-425.
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration (NHTSA) or the Administrator's delegate.
    Advanced technology means vehicle technology under this fuel 
consumption program in Sec. Sec. 535.6 and 535.7 and by EPA under 40 
CFR 86.1819-14(d)(7), 1036.615, or 1037.615.
    Alterers means a manufacturer that modifies an altered vehicle as 
defined in 49 CFR 567.3
    Alternative fuel conversion has the meaning given for clean 
alternative fuel conversion in 40 CFR 85.502.
    A to B testing has the meaning given in 40 CFR 1037.801.
    Automated manual transmission has the meaning given in 40 CFR 
1037.801.
    Automatic tire inflation system has the meaning given in 40 CFR 
1037.801.
    Automatic transmission (AT) has the meaning given in 40 CFR 
1037.801.
    Auxiliary power unit has the meaning given in 40 CFR 1037.801.
    Averaging set means, a set of engines or vehicles in which fuel 
consumption credits may be exchanged. Credits generated by one engine or 
vehicle family may only be used by other respective engine or vehicle 
families in the same averaging set as specified in Sec. 535.7 . Note 
that an averaging set may comprise more than one regulatory subcategory. 
The averaging sets for this HD program are defined as follows:
    (1) Heavy-duty pickup trucks and vans.
    (2) Light heavy-duty (LHD) vehicles.
    (3) Medium heavy-duty (MHD) vehicles.
    (4) Heavy heavy-duty (HHD) vehicles.
    (5) Light heavy-duty engines subject to compression-ignition 
standards.
    (6) Medium heavy-duty engines subject to compression-ignition 
standards.
    (7) Heavy heavy-duty engines subject to compression-ignition 
standards.
    (8) Engines subject to spark-ignition standards.
    (9) Long trailers.
    (10) Short trailers.
    (11) Vehicle types certifying to optional custom chassis standards 
as specified in Sec. 535.5(b)(6) form separate

[[Page 122]]

averaging sets for each vehicle type as specified in Sec. 535.7(c).
    Axle ratio or Drive axle ratio, ka has the meaning given 
in 40 CFR 1037.801.
    Basic vehicle frontal area has the meaning given in 40 CFR 1037.801.
    Cab-complete vehicle has the meaning given in 49 CFR 523.2.
    Carryover has the meaning given in 40 CFR 1037.801.
    Certificate holder means the manufacturer who holds the certificate 
of conformity for the vehicle or engine and that assigns the model year 
based on the date when its manufacturing operations are completed 
relative to its annual model year period.
    Certificate of Conformity means an approval document granted by EPA 
to a manufacturer that submits an application for a vehicle or engine 
emissions family in 40 CFR 1036.205 and 1037.205. A certificate of 
conformity is valid from the indicated effective date until December 31 
of the model year for which it is issued. The certificate must be 
renewed annually for any vehicle a manufacturer continues to produce.
    Certification has the meaning given in 40 CFR 1037.801.
    Certified emission level has the meaning given in 40 CFR 1036.801.
    Chassis-cab means the incomplete part of a vehicle that includes a 
frame, a completed occupant compartment and that requires only the 
addition of cargo-carrying, work-performing, or load-bearing components 
to perform its intended functions.
    Chief Counsel means the NHTSA Chief Counsel, or his or her designee.
    Class means relating to GVWR classes for vehicles other than 
trailers, as follows:
    (1) Class 2b vehicles are vehicles with a gross vehicle weight 
rating (GVWR) ranging from 8,501 to 10,000 pounds.
    (2) Class 3 through Class 8 vehicles are vehicles with a gross 
vehicle weight rating (GVWR) of 10,001 pounds or more as defined in 49 
CFR 565.15.
    Complete sister vehicle is a complete vehicle of the same 
configuration as a cab-complete vehicle.
    Complete vehicle has the meaning given in 49 CFR part 523.
    Compression-ignition (CI) means relating to a type of reciprocating, 
internal-combustion engine, such as a diesel engine, that is not a 
spark-ignition engine. Note, in accordance with 40 CFR 1036.1, gas 
turbine engines and other engines not meeting the definition of 
compression-ignition are deemed to be compression-ignition engines for 
complying with fuel consumption standards.
    Configuration means a subclassification within a test group for 
passenger cars, light trucks and medium-duty passenger vehicles and 
heavy-duty pickup trucks and vans which is based on basic engine, engine 
code, transmission type and gear ratios, and final drive ratio.
    Container chassis trailer has the same meaning as container chassis 
in 40 CFR 1037.801.
    Curb weight has the meaning given in 40 CFR 86.1803.
    Custom chassis vehicle means a vocational vehicle that is a motor 
home, school bus, refuse hauler, concrete mixer, emergency vehicle, 
mixed-use vehicle or other buses that are not school buses or motor 
coaches. These vehicle types are defined in 49 CFR 523.3. A ``mixed-use 
vehicle'' is one that meets at least one of the criteria specified in 40 
CFR 1037.631(a)(1) or at least one of the criteria in 40 CFR 
1037.631(a)(2), but not both.
    Date of manufacture means the date on which the certifying vehicle 
manufacturer completes its manufacturing operations, except as follows:
    (1) Where the certificate holder is an engine manufacturer that does 
not manufacture the complete or incomplete vehicle, the date of 
manufacture of the vehicle is based on the date assembly of the vehicle 
is completed.
    (2) EPA and NHTSA may approve an alternate date of manufacture based 
on the date on which the certifying (or primary) vehicle manufacturer 
completes assembly at the place of main assembly, consistent with the 
provisions of 40 CFR 1037.601 and 49 CFR 567.4.
    (3) A vehicle manufacturer that completes assembly of a vehicle at 
two or more facilities may ask to use as the month and year of 
manufacture, for that vehicle, the month and year in which manufacturing 
is completed at the place of main assembly, consistent with provisions 
of 49 CFR 567.4, as the

[[Page 123]]

model year. Note that such staged assembly is subject to the provisions 
of 40 CFR 1068.260(c). NHTSA's allowance of this provision is effective 
when EPA approves the manufacturer's certificates of conformity for 
these vehicles.
    Day cab has the meaning given in 40 CFR 1037.801.
    Drayage tractor has the meaning given in 40 CFR 1037.801.
    Dual-clutch transmission (DCT) means a transmission has the meaning 
given in 40 CFR 1037.801.
    Dual-fuel has the meaning given in 40 CFR 1037.801.
    Electric vehicle has the meaning given in 40 CFR 1037.801.
    Emergency vehicle means a vehicle that meets one of the criteria in 
40 CFR 1037.801.
    Engine family has the meaning given in 40 CFR 1036.230. 
Manufacturers designate families in accordance with EPA provisions and 
may not choose different families between the NHTSA and EPA programs.
    Excluded means a vehicle or engine manufacturer or component is not 
required to comply with any aspects with the NHTSA fuel consumption 
program.
    Exempted means a vehicle or engine manufacturer or component is not 
required to comply with certain provisions of the NHTSA fuel consumption 
program.
    Family certification level (FCL) has the meaning given in 40 CFR 
1036.801.
    Family emission limit (FEL) has the meaning given in 40 CFR 
1037.801.
    Final drive ratio has the meaning given in 40 CFR 1037.801.
    Final-stage manufacturer has the meaning given in 49 CFR 567.3 and 
includes secondary vehicle manufacturers as defined in 40 CFR 1037.801.
    Flatbed trailer has the meaning given in 40 CFR 1037.801.
    Fleet in this part means all the heavy-duty vehicles or engines 
within each of the regulatory sub-categories that are manufactured by a 
manufacturer in a particular model year and that are subject to fuel 
consumption standards under Sec. 535.5.
    Fleet average fuel consumption is the calculated average fuel 
consumption performance value for a manufacturer's fleet derived from 
the production weighted fuel consumption values of the unique vehicle 
configurations within each vehicle model type that makes up that 
manufacturer's vehicle fleet in a given model year. In this part, the 
fleet average fuel consumption value is determined for each 
manufacturer's fleet of heavy-duty pickup trucks and vans.
    Fleet average fuel consumption standard is the actual average fuel 
consumption standard for a manufacturer's fleet derived from the 
production weighted fuel consumption standards of each unique vehicle 
configuration, based on payload, tow capacity and drive configuration 
(2, 4 or all-wheel drive), of the model types that makes up that 
manufacturer's vehicle fleet in a given model year. In this part, the 
fleet average fuel consumption standard is determined for each 
manufacturer's fleet of heavy-duty pickup trucks and vans.
    Fuel cell means an electrochemical cell that produces electricity 
via the non-combustion reaction of a consumable fuel, typically 
hydrogen.
    Fuel cell electric vehicle means a motor vehicle propelled solely by 
an electric motor where energy for the motor is supplied by a fuel cell.
    Fuel efficiency means the amount of work performed for each gallon 
of fuel consumed.
    Gaseous fuel has the meaning given in 40 CFR 1037.801.
    Greenhouse gas Emissions Model (GEM) has the meaning given in 40 CFR 
1037.801.
    Gross axle weight rating (GAWR) has the meaning given in 49 CFR 
571.3.
    Gross combination weight rating (GCWR) has the meaning given in 49 
CFR 571.3.
    Gross vehicle weight rating (GVWR) has the meaning given in 49 CFR 
571.3.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process used to evaluate good 
engineering judgment.
    Heavy-duty off-road vehicle means a heavy-duty vocational vehicle or 
vocational tractor that is intended for off-road use.
    Heavy-duty vehicle has the meaning given in 49 CFR part 523.
    Heavy-haul tractor has the meaning given in 40 CFR 1037.801.

[[Page 124]]

    Heavy heavy-duty (HHD) vehicle has the meaning given in vehicle 
service class.
    Hybrid engine or hybrid powertrain means an engine or powertrain 
that includes energy storage features other than a conventional battery 
system or conventional flywheel. Supplemental electrical batteries and 
hydraulic accumulators are examples of hybrid energy storage systems. 
Note that certain provisions in this part treat hybrid engines and 
powertrains intended for vehicles that include regenerative braking 
different than those intended for vehicles that do not include 
regenerative braking.
    Hybrid vehicle means a vehicle that includes energy storage features 
(other than a conventional battery system or conventional flywheel) in 
addition to an internal combustion engine or other engine using 
consumable chemical fuel. Supplemental electrical batteries and 
hydraulic accumulators are examples of hybrid energy storage systems 
Note that certain provisions in this part treat hybrid vehicles that 
include regenerative braking different than those that do not include 
regenerative braking.
    Idle operation has the meaning given in 40 CFR 1037.801.
    Incomplete vehicle has the meaning given in 49 CFR part 523. For the 
purpose of this regulation, a manufacturer may request EPA and NHTSA to 
allow the certification of a vehicle as an incomplete vehicle if it 
manufactures the engine and sells the unassembled chassis components, 
provided it does not produce and sell the body components necessary to 
complete the vehicle.
    Innovative technology means technology certified under Sec. 535.7 
and by EPA under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610 in the 
Phase 1 program.
    Intermediate manufacturer has the meaning given in 49 CFR 567.3.
    Light heavy-duty (LHD) vehicle has the meaning given in vehicle 
service class.
    Liquefied petroleum gas (LPG) has the meaning given in 40 CFR 
1036.801.
    Low rolling resistance tire means a tire on a vocational vehicle 
with a tire rolling resistance level (TRRL) of 7.7 kg/metric ton or 
lower, a steer tire on a tractor with a TRRL of 7.7 kg/metric ton or 
lower, or a drive tire on a tractor with a TRRL of 8.1 kg/metric ton or 
lower.
    Manual transmission (MT) has the meaning given in 40 CFR 1037.801.
    Medium heavy-duty (MHD) vehicle has the meaning given in vehicle 
service class.
    Model type has the meaning given in 40 CFR 600.002.
    Model year as it applies to vehicles means:
    (1) For tractors and vocational vehicles with a date of manufacture 
on or after January 1, 2021, the vehicle's model year is the calendar 
year corresponding to the date of manufacture; however, the vehicle's 
model year may be designated to be the year before the calendar year 
corresponding to the date of manufacture if the engine's model year is 
also from an earlier year. Note that subparagraph (2) of this definition 
limits the extent to which vehicle manufacturers may install engines 
built in earlier calendar years. Note that 40 CFR 1037.601(a)(2) limits 
the extent to which vehicle manufacturers may install engines built in 
earlier calendar years.
    (2) For trailers and for Phase 1 tractors and vocational vehicles 
with a date of manufacture before January 1, 2021, model year means the 
manufacturer's annual new model production period, except as restricted 
under this definition. It must include January 1 of the calendar year 
for which the model year is named, may not begin before January 2 of the 
previous calendar year, and it must end by December 31 of the named 
calendar year. The model year may be set to match the calendar year 
corresponding to the date of manufacture.
    (i) The manufacturer who holds the certificate of conformity for the 
vehicle must assign the model year based on the date when its 
manufacturing operations are completed relative to its annual model year 
period. In unusual circumstances where completion of your assembly is 
delayed, we may allow you to assign a model year one year earlier, 
provided it does not affect which regulatory requirements will apply.

[[Page 125]]

    (ii) Unless a vehicle is being shipped to a secondary manufacturer 
that will hold the certificate of conformity, the model year must be 
assigned prior to introduction of the vehicle into U.S. commerce. The 
certifying manufacturer must redesignate the model year if it does not 
complete its manufacturing operations within the originally identified 
model year. A vehicle introduced into U.S. commerce without a model year 
is deemed to have a model year equal to the calendar year of its 
introduction into U.S. commerce unless the certifying manufacturer 
assigns a later date.
    Model year as it applies to engines means the manufacturer's annual 
new model production period, except as restricted under this definition. 
It must include January 1 of the calendar year for which the model year 
is named, may not begin before January 2 of the previous calendar year, 
and it must end by December 31 of the named calendar year. Manufacturers 
may not adjust model years to circumvent or delay compliance with 
emission standards or to avoid the obligation to certify annually.
    Natural gas has the meaning given in 40 CFR 1036.801. Vehicles that 
use a pilot-ignited natural gas engine (which uses a small diesel fuel 
ignition system), are still considered natural gas vehicles.
    NHTSA Enforcement means the NHTSA Associate Administrator for 
Enforcement, or his or her designee.
    Neutral coasting has the meaning given in 40 CFR 1037.801.
    Off-cycle technology means technology certified under Sec. 535.7 
and by EPA under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610 in the 
Phase 2 program.
    Party means the person alleged to have committed a violation of 
Sec. 535.9, and includes manufacturers of vehicles and manufacturers of 
engines.
    Payload means in this part the resultant of subtracting the curb 
weight from the gross vehicle weight rating.
    Petroleum has the meaning given in 40 CFR 1037.801.
    Phase 1 means the joint NHTSA and EPA program established in 2011 
for fuel efficiency standards and greenhouse gas emissions standards 
regulating medium- and heavy-duty engines and vehicles. See Sec. 535.5 
for the specific model years that standards apply to vehicles and 
engines.
    Phase 2 means the joint NHTSA and EPA program established in 2016 
for fuel efficiency standards and greenhouse gas emissions standards 
regulating medium- and heavy-duty vehicles including trailers, and 
engines. See Sec. 535.5 for the specific model years that standards 
apply to vehicles and engines.
    Pickup truck has the meaning given in 49 CFR part 523.
    Plug-in hybrid electric vehicle (PHEV) means a hybrid electric 
vehicle that has the capability to charge the battery or batteries used 
for vehicle propulsion from an off-vehicle electric source, such that 
the off-vehicle source cannot be connected to the vehicle while the 
vehicle is in motion.
    Power take-off (PTO) means a secondary engine shaft or other system 
on a vehicle that provides substantial auxiliary power for purposes 
unrelated to vehicle propulsion or normal vehicle accessories such as 
air conditioning, power steering, and basic electrical accessories. A 
typical PTO uses a secondary shaft on the engine to transmit power to a 
hydraulic pump that powers auxiliary equipment such as a boom on a 
bucket truck.
    Powertrain family has the meaning given in 40 CFR 1037.231. 
Manufacturers choosing to perform powertrain testing as specified in 40 
CFR 1037.550, divide product lines into powertrain families that are 
expected to have similar fuel consumptions and CO2 emission 
characteristics throughout the useful life.
    Preliminary approval means approval granted by an authorized EPA 
representative prior to submission of an application for certification, 
consistent with the provisions of 40 CFR 1037.210. For requirements 
involving NHTSA, EPA will ensure decisions are jointly made and will 
convey the decision to the manufacturer.
    Primary intended service class has the same meaning for engines as 
specified in 40 CFR 1036.140. Manufacturers must identify a single 
primary intended service class for each engine family that best 
describes vehicles for which

[[Page 126]]

it designs and markets the engine, as follows:
    (1) Divide compression-ignition engines into primary intended 
service classes based on the following engine and vehicle 
characteristics:
    (i) Light heavy-duty ``LHD'' engines usually are not designed for 
rebuild and do not have cylinder liners. Vehicle body types in this 
group might include any heavy-duty vehicle built from a light-duty truck 
chassis, van trucks, multi-stop vans, and some straight trucks with a 
single rear axle. Typical applications would include personal 
transportation, light-load commercial delivery, passenger service, 
agriculture, and construction. The GVWR of these vehicles is normally 
below 19,500 pounds.
    (ii) Medium heavy-duty ``MHD'' engines may be designed for rebuild 
and may have cylinderliners. Vehicle body types in this group would 
typically include school buses, straight trucks with single rear axles, 
city tractors, and a variety of special purpose vehicles such as small 
dump trucks, and refuse trucks. Typical applications would include 
commercial short haul and intra-city delivery and pickup. Engines in 
this group are normally used in vehicles whose GVWR ranges from 19,500 
to 33,000 pounds.
    (iii) Heavy heavy-duty ``HHD'' engines are designed for multiple 
rebuilds and have cylinder liners. Vehicles in this group are normally 
tractors, trucks, straight trucks with dual rear axles, and buses used 
in inter-city, long-haul applications. These vehicles normally exceed 
33,000 pounds GVWR.
    (2) Divide spark-ignition engines into primary intended service 
classes as follows:
    (i) Spark-ignition engines that are best characterized by paragraph 
(1)(i) or (ii) of this definition are in a separate ``spark-ignition'' 
primary intended service class.
    (ii) Spark-ignition engines that are best characterized by paragraph 
(1)(iii) of this definition share a primary intended service class with 
compression-ignition heavy heavy-duty engines. Gasoline-fueled engines 
are presumed not to be characterized by paragraph (1)(iii) of this 
definition; for example, vehicle manufacturers may install some number 
of gasoline-fueled engines in Class 8 trucks without causing the engine 
manufacturer to consider those to be heavy heavy-duty engines.
    (iii) References to ``spark-ignition standards'' in this part relate 
only to the spark-ignition engines identified in paragraph (b)(1) of 
this section. References to ``compression-ignition standards'' in this 
part relate to compression-ignition engines, to spark-ignition engines 
optionally certified to standards that apply to compression-ignition 
engines, and to all engines identified under paragraph (b)(2) of this 
section as heavy heavy-duty engines.
    Rechargeable Energy Storage System (RESS) means the component(s) of 
a hybrid engine or vehicle that store recovered energy for later use, 
such as the battery system in a electric hybrid vehicle.
    Refuse hauler has the meaning given in 40 CFR 1037.801.
    Regional has the meaning relating to the Regional duty cycle as 
specified in 40 CFR 1037.510.
    Regulatory category means each of the four types of heavy-duty 
vehicles defined in 49 CFR 523.6 and the heavy-duty engines used in 
these heavy-duty vehicles.
    Regulatory subcategory means the sub-groups in each regulatory 
category to which mandatory fuel consumption standards and requirements 
apply as specified in 40 CFR 1036.230 and 1037.230 and are defined as 
follows:
    (1) Heavy-duty pick-up trucks and vans.
    (2) Vocational vehicle subcategories have 18 separate vehicle 
service classes as shown in Tables 1 and 2 below and include vocational 
tractors. Table 1 includes vehicles complying with Phase 1 standards. 
Phase 2 vehicles are included in Table 2 which have separate 
subcategories to account for engine characteristics, GVWR, and the 
selection of duty cycle for vocational vehicles as specified in 40 CFR 
1037.510; vehicles may additionally fall into one of the subcategories 
defined by the custom-chassis standards in Sec. 535.5(b)(6) and 40 
1037.105(h). Manufacturers using the alternate standards in Sec. 
535.5(b)(6) and 40 CFR 1037.105(h) should treat each vehicle type as a 
separate vehicle subcategory.

[[Page 127]]



            Table 1--Phase 1 Vocational Vehicle Subcategories
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
Vocational LHD vehicles.
Vocational MHD vehicles.
Vocational HHD vehicles.
------------------------------------------------------------------------


                                Table 2--Phase 2 Vocational Vehicle Subcategories
----------------------------------------------------------------------------------------------------------------
             Engine type               Vocational LHD vehicles  Vocational MHD vehicles  Vocational HHD vehicles
----------------------------------------------------------------------------------------------------------------
CI...................................  Urban..................  Urban..................  Urban.
CI...................................  Multi-Purpose..........  Multi-Purpose..........  Multi-Purpose.
CI...................................  Regional...............  Regional...............  Regional.
SI...................................  Urban..................  Urban..................  NA.
SI...................................  Multi-Purpose..........  Multi-Purpose..........  NA.
SI...................................  Regional...............  Regional...............  NA.
----------------------------------------------------------------------------------------------------------------

    (3) Tractor subcategories are shown in Table 3 below for Phase 1 and 
2. Table 3 includes 10 separate subcategories for tractors complying 
with Phase 1 and 2 standards. The heavy-haul tractor subcategory only 
applies for Phase 2.

           Table 3--Phase 1 and 2 Truck Tractor Subcategories
------------------------------------------------------------------------
                                                        Class 8 sleeper
             Class 7               Class 8 day cabs          cabs
------------------------------------------------------------------------
Low-roof tractors...............  Low-roof day cab    Low-roof sleeper
                                   tractors.           cab tractors.
Mid-roof tractors...............  Mid-roof day cab    Mid-roof sleeper
                                   tractors.           cab tractors.
High-roof tractors..............  High-roof day cab   High-roof sleeper
                                   tractors.           cab tractors.
                                 ---------------------------------------
NA..............................   Heavy-haul tractors (applies only to
                                             Phase 2 program).
------------------------------------------------------------------------

    (4) Trailer subcategories are shown in Table 4 of this section for 
the Phase 2 program. Trailers do not comply under the Phase 1 program. 
Table 4 includes 10 separate subcategories for trailers, which are only 
subject to Phase 2 only standards.

                     Table 4--Trailer Subcategories
------------------------------------------------------------------------
                                     Partial-aero
       Full-aero trailers              trailers         Other trailers
------------------------------------------------------------------------
Long box dry vans...............  Long box dry vans.  Non-aero box vans.
Short box dry vans..............  Short box dry vans  Non-box trailers.
Long box refrigerated vans......  Long box            NA.
                                   refrigerated vans.
Short box refrigerated vans.....  Short box           NA.
                                   refrigerated vans.
------------------------------------------------------------------------

    (5) Engine subcategories are shown for each primary intended service 
class in Table 5 below. Table 5 includes 6 separate subcategories for 
engines which are the same for Phase 1 and 2 standards.

                      Table 5--Engine Subcategories
------------------------------------------------------------------------
           LHD engines                MHD engines         HHD engines
------------------------------------------------------------------------
CI engines for vocational         CI engines for      CI engines for
 vehicles.                         vocational          vocational
                                   vehicles.           vehicles.
NA..............................  CI engines for      CI engines for
                                   truck tractors.     truck tractors.
All spark-ignition engines......                      NA.
------------------------------------------------------------------------

    Revoke has the same meaning given in 40 CFR 1068.30.
    Roof height means the maximum height of a vehicle (rounded to the

[[Page 128]]

nearest inch), excluding narrow accessories such as exhaust pipes and 
antennas, but including any wide accessories such as roof fairings. 
Measure roof height of the vehicle configured to have its maximum height 
that will occur during actual use, with properly inflated tires and no 
driver, passengers, or cargo onboard. Determine the base roof height on 
fully inflated tires having a static loaded radius equal to the 
arithmetic mean of the largest and smallest static loaded radius of 
tires a manufacturer offers or a standard tire EPA approves. If a 
vehicle is equipped with an adjustable roof fairing, measure the roof 
height with the fairing in its lowest setting. Once the maximum height 
is determined, roof heights are divided into the following categories:
    (1) Low-roof means a vehicle with a roof height of 120 inches or 
less.
    (2) Mid-roof means a vehicle with a roof height between 121 and 147 
inches.
    (3) High-roof means a vehicle with a roof height of 148 inches or 
more.
    Secondary vehicle manufacturer has the same meaning as final-stage 
manufacturer in 49 CFR part 567.
    Service class group means a group of engine and vehicle averaging 
sets defined as follows:
    (1) Spark-ignition engines, light heavy-duty compression-ignition 
engines, light heavy-duty vocational vehicles and heavy-duty pickup 
trucks and vans.
    (2) Medium heavy-duty compression-ignition engines and medium heavy-
duty vocational vehicles and tractors.
    (3) Heavy heavy-duty compression-ignition engines and heavy heavy-
duty vocational vehicles and tractors.
    Sleeper cab means a type of truck cab that has a compartment behind 
the driver's seat intended to be used by the driver for sleeping. This 
includes both cabs accessible from the driver's compartment and those 
accessible from outside the vehicle.
    Small business manufacturer means a manufacturer meeting the 
criteria specified in 13 CFR 121.201. For manufacturers owned by a 
parent company, the employee and revenue limits apply to the total 
number employees and total revenue of the parent company and all its 
subsidiaries.
    Spark-ignition (SI) means relating to a gasoline-fueled engine or 
any other type of engine with a spark plug (or other sparking device) 
and with operating characteristics significantly similar to the 
theoretical Otto combustion cycle. Spark-ignition engines usually use a 
throttle to regulate intake air flow to control power during normal 
operation. Note that some spark-ignition engines are subject to 
requirements that apply for compression-ignition engines as described in 
40 CFR 1036.140.
    Standard payload means the payload assumed for each vehicle, in 
tons, for modeling and calculating emission credits, as follows:
    (1) For vocational vehicles:
    (i) 2.85 tons for light heavy-duty vehicles.
    (ii) 5.6 tons for medium heavy-duty vehicles.
    (iii) 7.5 tons for heavy heavy-duty vocational vehicles.
    (2) For tractors:
    (i) 12.5 tons for Class 7.
    (ii) 19 tons for Class 8.
    (iii) 43 tons for heavy-haul tractors.
    (3) For trailers:
    (i) 10 tons for short box vans.
    (ii) 19 tons for other trailers.
    Standard tractor has the meaning given in 40 CFR 1037.501.
    Standard trailer has the meaning given in 40 CFR 1037.501.
    Subconfiguration means a unique combination within a vehicle 
configuration of equivalent test weight, road-load horsepower, and any 
other operational characteristics or parameters that EPA determines may 
significantly affect CO2 emissions within a vehicle 
configuration as defined in 40 CFR 600.002.
    Tank trailer has the meaning given in 40 CFR 1037.801.
    Test group means the multiple vehicle lines and model types that 
share critical emissions and fuel consumption related features and that 
are certified as a group by a common certificate of conformity issued by 
EPA and is used collectively with other test groups within an averaging 
set or regulatory subcategory and is used by NHTSA for determining the 
fleet average fuel consumption.

[[Page 129]]

    The agencies means the National Highway Traffic Safety 
Administration (NHTSA) and the Environmental Protection Agency (EPA) in 
this part.
    Tire pressure monitoring system (TPMS) has the meaning given in 
section S3 of 49 CFR 571.138.
    Tire rolling resistance level (TRRL) means a value with units of kg/
metric ton that represents that rolling resistance of a tire 
configuration. TRRLs are used as inputs to the GEM model under 40 CFR 
1037.520. Note that a manufacturer may assign a value higher than a 
measured rolling resistance of a tire configuration.
    Towing capacity in this part is equal to the resultant of 
subtracting the gross vehicle weight rating from the gross combined 
weight rating.
    Trade means to exchange fuel consumption credits, either as a buyer 
or a seller.
    U.S.-directed production volume means the number of vehicle units, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States.
    Useful life has the meaning given in 40 CFR 1036.801 and 1037.801.
    Vehicle configuration means a unique combination of vehicle hardware 
and calibration (related to measured or modeled emissions) within a 
vehicle family as specified in 40 CFR 1037.801. Vehicles with hardware 
or software differences, but that have no hardware or software 
differences related to measured or modeled emissions or fuel consumption 
can be included in the same vehicle configuration. Note that vehicles 
with hardware or software differences related to measured or modeled 
emissions or fuel consumption are considered to be different 
configurations even if they have the same GEM inputs and FEL. Vehicles 
within a vehicle configuration differ only with respect to normal 
production variability or factors unrelated to measured or modeled 
emissions and fuel consumption for EPA and NHTSA.
    Vehicle family has the meaning given in 40 CFR 1037.230. 
Manufacturers designate families in accordance with EPA provisions and 
may not choose different families between the NHTSA and EPA programs. If 
a manufacturer is certifying vehicles within a vehicle family to more 
than one FEL, it must subdivide its greenhouse gas and fuel consumption 
vehicle families into subfamilies that include vehicles with identical 
FELs. Note that a manufacturer may add subfamilies at any time during 
the model year.
    Vehicle service class has the same meaning for vehicles as specified 
in 40 CFR 1037.140. Fuel consumption standards and other provisions of 
this part apply to specific vehicle service classes for tractors and 
vocational vehicles as follows:
    (1) Phase 1 and Phase 2 tractors are divided based on GVWR into 
Class 7 tractors and Class 8 tractors. Where provisions apply to both 
tractors and vocational vehicles, Class 7 tractors are considered medium 
heavy-duty ``MHD'' vehicles and Class 8 tractors are considered heavy 
heavy-duty ``HHD'' vehicles.
    (2) Phase 1 vocational vehicles are divided based on GVWR. Light 
heavy-duty ``LHD'' vehicles includes Class 2b through Class 5 vehicles; 
medium heavy-duty ``MHD'' vehicles includes Class 6 and Class 7 
vehicles; and heavy heavy-duty ``HHD'' vehicles includes Class 8 
vehicles.
    (3) Phase 2 vocational vehicles with spark-ignition engines are 
divided based on GVWR. Light heavy-duty ``LHD'' vehicles includes Class 
2b through Class 5 vehicles, and medium heavy-duty ``MHD'' vehicles 
includes Class 6 through Class 8 vehicles.
    (4) Phase 2 vocational vehicles with compression-ignition engines 
are divided as follows:
    (i) Class 2b through Class 5 vehicles are considered light heavy-
duty ``LHD'' vehicles.
    (ii) Class 6 through 8 vehicles are considered heavy heavy-duty 
``HHD'' vehicles if the installed engine's primary intended service 
class is heavy heavy-duty (see 40 CFR 1036.140). All other Class 6 
through Class 8 vehicles are considered medium heavy-duty ``MHD'' 
vehicles.
    (5) In certain circumstances, manufacturers may certify vehicles to 
standards that apply for a different vehicle service class such as 
allowed in Sec. 535.5(b)(6) and (c)(7). If manufacturers

[[Page 130]]

optionally certify vehicles to different standards, those vehicles are 
subject to all the regulatory requirements as if the standards were 
mandatory.
    Vehicle subfamily or subfamily means a subset of a vehicle family 
including vehicles subject to the same FEL(s).
    Vocational tractor has the meaning given in 40 CFR 1037.801.
    Zero emissions vehicle means an electric vehicle or a fuel cell 
vehicle.



Sec. 535.5  Standards.

    (a) Heavy-duty pickup trucks and vans. Each manufacturer's fleet of 
heavy-duty pickup trucks and vans shall comply with the fuel consumption 
standards in this paragraph (a) expressed in gallons per 100 miles. Each 
vehicle must be manufactured to comply for its full useful life. For the 
Phase 1 program, if the manufacturer's fleet includes conventional 
vehicles (gasoline, diesel and alternative fueled vehicles) and advanced 
technology vehicles (hybrids with powertrain designs that include energy 
storage systems, vehicles with waste heat recovery, electric vehicles 
and fuel cell vehicles), it may divide its fleet into two separate 
fleets each with its own separate fleet average fuel consumption 
standard which the manufacturer must comply with the requirements of 
this paragraph (a). For Phase 2, manufacturers may calculate their fleet 
average fuel consumption standard for a conventional fleet and multiple 
advanced technology vehicle fleets. Advanced technology vehicle fleets 
should be separated into plug-in hybrid electric vehicles, electric 
vehicles and fuel cell vehicles. NHTSA standards correspond to the same 
requirements for EPA as specified in 40 CFR 86.1819-14.
    (1) Mandatory standards. For model years 2016 and later, each 
manufacturer must comply with the fleet average standard derived from 
the unique subconfiguration target standards (or groups of 
subconfigurations approved by EPA in accordance with 40 CFR 86.1819) of 
the model types that make up the manufacturer's fleet in a given model 
year. Each subconfiguration has a unique attribute-based target 
standard, defined by each group of vehicles having the same payload, 
towing capacity and whether the vehicles are equipped with a 2-wheel or 
4-wheel drive configuration. Phase 1 target standards apply for model 
years 2016 through 2020. Phase 2 target standards apply for model year 
2021 and afterwards.
    (2) Subconfiguration target standards. (i) Two alternatives exist 
for determining the subconfiguration target standards for Phase 1. For 
each alternative, separate standards exist for compression-ignition and 
spark-ignition vehicles:
    (A) The first alternative allows manufacturers to determine a fixed 
fuel consumption standard that is constant over the model years; and
    (B) The second alternative allows manufacturers to determine 
standards that are phased-in gradually each year.
    (ii) Calculate the subconfiguration target standards as specified in 
this paragraph (a)(2)(ii), using the appropriate coefficients from Table 
6 choosing between the alternatives in paragraph (a)(2)(i) of this 
section. For electric or fuel cell heavy-duty vehicles, use compression-
ignition vehicle coefficients ``c'' and ``d'' and for hybrid (including 
plug-in hybrid), dedicated and dual-fueled vehicles, use coefficients 
``c'' and ``d'' appropriate for the engine type used. Round each 
standard to the nearest 0.001 gallons per 100 miles and specify all 
weights in pounds rounded to the nearest pound. Calculate the 
subconfiguration target standards using the following equation:

Subconfiguration Target Standard (gallons per 100 miles) = [c x (WF)] + 
d

Where:

WF = Work Factor = [0.75 x (Payload Capacity + Xwd)] + [0.25 x Towing 
          Capacity]
Xwd = 4wd Adjustment = 500 lbs if the vehicle group is equipped with 4wd 
          and all-wheel drive, otherwise equals 0 lbs for 2wd.
Payload Capacity = GVWR (lbs)--Curb Weight (lbs) (for each vehicle 
          group)
Towing Capacity = GCWR (lbs)--GVWR (lbs) (for each vehicle group)


[[Page 131]]



  Table 6--Coefficients for Mandatory Subconfiguration Target Standards
------------------------------------------------------------------------
              Model Year(s)                      c               d
------------------------------------------------------------------------
              Phase 1 Alternative 1--Fixed Target Standards
------------------------------------------------------------------------
                         CI Vehicle Coefficients
------------------------------------------------------------------------
2016 to 2018............................       0.0004322           3.330
2019 to 2020............................       0.0004086           3.143
------------------------------------------------------------------------
                         SI Vehicle Coefficients
------------------------------------------------------------------------
2016 to 2017............................       0.0005131           3.961
2018 to 2020............................       0.0004086           3.143
------------------------------------------------------------------------
            Phase 1 Alternative 2--Phased-in Target Standards
------------------------------------------------------------------------
                         CI Vehicle Coefficients
------------------------------------------------------------------------
2016....................................       0.0004519           3.477
2017....................................       0.0004371           3.369
2018 to 2020............................       0.0004086           3.143
------------------------------------------------------------------------
                         SI Vehicle Coefficients
------------------------------------------------------------------------
2016....................................       0.0005277           4.073
2017....................................       0.0005176           3.983
2018 to 2020............................       0.0004951           3.815
------------------------------------------------------------------------
                     Phase 2--Fixed Target Standards
------------------------------------------------------------------------
                         CI Vehicle Coefficients
------------------------------------------------------------------------
2021....................................       0.0003988           3.065
2022....................................       0.0003880           2.986
2023....................................       0.0003792           2.917
2024....................................       0.0003694           2.839
2025....................................       0.0003605           2.770
2026....................................       0.0003507           2.701
2027 and later..........................       0.0003418           2.633
------------------------------------------------------------------------
                         SI Vehicle Coefficients
------------------------------------------------------------------------
2021....................................       0.0004827           3.725
2022....................................       0.0004703           3.623
2023....................................       0.0004591           3.533
2024....................................       0.0004478           3.443
2025....................................       0.0004366           3.364
2026....................................       0.0004253           3.274
2027 and later..........................       0.0004152           3.196
------------------------------------------------------------------------

    (3) Fleet average fuel consumption standard. (i) For the Phase 1 
program, calculate each manufacturer's fleet average fuel consumption 
standard for a conventional fleet and a combined advanced technology 
fleet separately based on the subconfiguration target standards 
specified in paragraph (a)(2) of this section, weighted to production 
volumes and averaged using the following equation combining all the 
applicable vehicles in a manufacturer's U.S.-directed fleet 
(compression-ignition, spark-ignition and advanced technology vehicles) 
for a given model year, rounded to the nearest 0.001 gallons per 100 
miles:
[GRAPHIC] [TIFF OMITTED] TR25OC16.306

Where:

Subconfiguration Target Standardi = fuel consumption standard for each 
          group of vehicles with same payload, towing capacity and drive 
          configuration (gallons per 100 miles).
Volumei = production volume of each unique subconfiguration of a model 
          type based upon payload, towing capacity and drive 
          configuration.

    (A) A manufacturer may group together subconfigurations that have 
the same test weight (ETW), GVWR, and GCWR. Calculate work factor and 
target value assuming a curb weight equal to two times ETW minus GVWR.
    (B) A manufacturer may group together other subconfigurations if it 
uses the lowest target value calculated for any of the 
subconfigurations.
    (ii) For Phase 1, manufacturers must select an alternative for 
subconfiguration target standards at the same time they submit the model 
year 2016 pre-model year Report, specified in Sec. 535.8. Once 
selected, the decision cannot be reversed and the manufacturer must 
continue to comply with the same alternative for subsequent model years.
    (4) Voluntary standards. (i) Manufacturers may choose voluntarily to 
comply early with fuel consumption standards for model years 2013 
through 2015, as determined in paragraphs (a)(4)(iii) and (iv) of this 
section, for example, in order to begin accumulating credits

[[Page 132]]

through over-compliance with the applicable standard. A manufacturer 
choosing early compliance must comply with all the vehicles and engines 
it manufactures in each regulatory category for a given model year.
    (ii) A manufacturer must declare its intent to voluntarily comply 
with fuel consumption standards at the same time it submits a Pre-Model 
Report, prior to the compliance model year beginning as specified in 
Sec. 535.8; and, once selected, the decision cannot be reversed and the 
manufacturer must continue to comply for each subsequent model year for 
all the vehicles and engines it manufactures in each regulatory category 
for a given model year.
    (iii) Calculate separate subconfiguration target standards for 
compression-ignition and spark-ignition vehicles for model years 2013 
through 2015 using the equation in paragraph (a)(2)(ii) of this section, 
substituting the appropriate values for the coefficients in the 
following table as appropriate:

  Table 7--Coefficients for Voluntary Subconfiguration Target Standards
------------------------------------------------------------------------
            Model Year(s)                     c                 d
------------------------------------------------------------------------
                         CI Vehicle Coefficients
------------------------------------------------------------------------
2013 and 14.........................         0.0004695             3.615
2015................................         0.0004656             3.595
------------------------------------------------------------------------
                         SI Vehicle Coefficients
------------------------------------------------------------------------
2013 and 14.........................         0.0005424             4.175
2015................................         0.0005390             4.152
------------------------------------------------------------------------

    (iv) Calculate the fleet average fuel consumption standards for 
model years 2013 through 2015 using the equation in paragraph (a)(3) of 
this section.
    (5) Exclusion of vehicles not certified as complete vehicles. The 
vehicle standards in paragraph (a) of this section do not apply for 
vehicles that are chassis-certified with respect to EPA's criteria 
pollutant test procedure in 40 CFR part 86, subpart S. Any chassis-
certified vehicles must comply with the vehicle standards and 
requirements of paragraph (b) of this section and the engine standards 
of paragraph (d) of this section for engines used in these vehicles. A 
vehicle manufacturer choosing to comply with this paragraph and that is 
not the engine manufacturer is required to notify the engine 
manufacturers that their engines are subject to paragraph (d) of this 
section and that it intends to use their engines in excluded vehicles.
    (6) Optional certification under this section. Manufacturers may 
certify certain complete or cab-complete vehicles to the fuel 
consumption standards of this section. All vehicles optionally certified 
under this paragraph (6) are deemed to be subject to the fuel 
consumption standards of this section given the following conditions:
    (i) For fuel consumption compliance, manufacturers may certify any 
complete or cab-complete spark-ignition vehicles above 14,000 pounds 
GVWR and at or below 26,000 pounds GVWR to the fuel consumption 
standards of this section.
    (ii) Manufacturers may apply the provisions of this section to cab-
complete vehicles based on a complete sister vehicle. In unusual 
circumstances, manufacturers may ask the agencies to apply these 
provisions to Class 2b or Class 3 incomplete vehicles that do not meet 
the definition of cab-complete.
    (A) Except as specified in paragraph (a)(6)(iii) of this section, 
for purposes of this section, a complete sister vehicle is a complete 
vehicle of the same vehicle configuration as the cab-complete vehicle. A 
manufacturer may not apply the provisions of this paragraph (6) to any 
vehicle configuration that has a four-wheel rear axle if the complete 
sister vehicle has a two-wheel rear axle.
    (B) Calculate the target value for the fleet-average fuel 
consumption standard under paragraph (a)(3) of this section based on the 
work factor value that applies for the complete sister vehicle.
    (C) Test these cab-complete vehicles using the same equivalent test 
weight and other dynamometer settings that apply for the complete 
vehicle from which you used the work factor value (the complete sister 
vehicle). For fuel consumption certification, manufacturers may submit 
the test data from that complete sister vehicle instead of performing 
the test on the cab-complete vehicle.
    (D) Manufacturers are not required to produce the complete sister 
vehicle for sale to use the provisions of this

[[Page 133]]

paragraph (a)(6)(ii). This means the complete sister vehicle may be a 
carryover vehicle from a prior model year or a vehicle created solely 
for the purpose of testing.
    (iii) For fuel consumption purposes, if a cab-complete vehicle is 
not of the same vehicle configuration as a complete sister vehicle due 
only to certain factors unrelated to coastdown performance, 
manufacturers may use the road-load coefficients from the complete 
sister vehicle for certification testing of the cab-complete vehicle, 
but it may not use fuel consumption data from the complete sister 
vehicle for certifying the cab-complete vehicle.
    (7) Loose engines. For model year 2023 and earlier spark-ignition 
engines with identical hardware compared with engines used in vehicles 
certified to the standards of this section, where such engines are sold 
as loose engines or as engines installed in incomplete vehicles that are 
not cab-complete vehicles. Manufacturers may certify such engines to the 
standards of this section, subject to the following provisions:
    (i) For 2020 and earlier model years, the maximum allowable U.S.-
directed production volume of engines manufacturers may sell under this 
paragraph (7) in any given model year is ten percent of the total U.S-
directed production volume of engines of that design that the 
manufacturer produces for heavy-duty applications for that model year, 
including engines it produces for complete vehicles, cab-complete 
vehicles, and other incomplete vehicles. The total number of engines a 
manufacturer may certify under this paragraph (7), of all engine 
designs, may not exceed 15,000 in any model year. Engines produced in 
excess of either of these limits are not covered by your certificate. 
For example, a manufacturer produces 80,000 complete model year 2017 
Class 2b pickup trucks with a certain engine and 10,000 incomplete model 
year 2017 Class 3 vehicles with that same engine, and the manufacturer 
did not apply the provisions of this paragraph (a)(7) to any other 
engine designs, it may produce up to 10,000 engines of that design for 
sale as loose engines under this paragraph (a)(7). If a manufacturer 
produced 11,000 engines of that design for sale as loose engines, the 
last 1,000 of them that it produced in that model year 2017 would be 
considered uncertified.
    (ii) For model years 2021 through 2023, the U.S.-directed production 
volume of engines manufacturers sell under this paragraph (a)(7) in any 
given model year may not exceed 10,000 units. This paragraph (a)(7) does 
not apply for engines certified to the standards of paragraph (d) of 
this section and 40 CFR 1036.108.
    (iii) Vehicles using engines certified under this paragraph (a)(7) 
are subject to the fuel consumption and emission standards of paragraph 
(b) of this section and 40 CFR 1037.105 and engine standards in 40 CFR 
1036.150(j).
    (iv) For certification purposes, engines are deemed to have a fuel 
consumption target values and test result equal to the fuel consumption 
target value and test result for the complete vehicle in the applicable 
test group with the highest equivalent test weight, except as specified 
in paragraph (a)(7)(iv)(B) of this section. Manufacturers use these 
values to calculate target values and the fleet-average fuel consumption 
rate. Where there are multiple complete vehicles with the same highest 
equivalent test weight, select the fuel consumption target value and 
test result as follows:
    (A) If one or more of the fuel consumption test results exceed the 
applicable target value, use the fuel consumption target value and test 
result of the vehicle that exceeds its target value by the greatest 
amount.
    (B) If none of the fuel consumption test results exceed the 
applicable target value, select the highest target value and set the 
test result equal to it. This means that the manufacturer may not 
generate fuel consumption credits from vehicles certified under this 
paragraph (a)(7).
    (8) Alternative fuel vehicle conversions. Alternative fuel vehicle 
conversions may demonstrate compliance with the standards of this part 
or other alternative compliance approaches allowed by EPA in 40 CFR 
85.525.
    (9) Advanced, innovative and off-cycle technologies. For vehicles 
subject to Phase 1 standards, manufacturers may generate separate credit 
allowances for

[[Page 134]]

advanced and innovative technologies as specified in Sec. 535.7(f)(1) 
and (2). For vehicles subject to Phase 2 standards, manufacturers may 
generate separate credits allowance for off-cycle technologies in 
accordance with Sec. 535.7(f)(2). Separate credit allowances for 
advanced technology vehicles cannot be generated; instead manufacturers 
may use the credit multipliers specified in Sec. 535.7(f)(1)(iv) 
through model year 2026.
    (10) Useful life. The following useful life values apply for the 
standards of this section:
    (i) 120,000 miles or 10 years, whichever comes first, for Class 2b 
through Class 3 heavy-duty pickup trucks and vans certified to Phase 1 
standards.
    (ii) 150,000 miles or 15 years, whichever comes first, for Class 2b 
through Class 3 heavy-duty pickup trucks and vans certified to Phase 2 
standards.
    (iii) For Phase 1 credits that you calculate based on a useful life 
of 120,000 miles, multiply any banked credits that you carry forward for 
use into the Phase 2 program by 1.25. For Phase 1 credit deficits that 
you generate based on a useful life of 120,000 miles multiply the credit 
deficit by 1.25 if offsetting the shortfall with Phase 2 credits.
    (11) Compliance with standards. A manufacturer complies with the 
standards of this part as described in Sec. 535.10.
    (b) Heavy-duty vocational vehicles. Each manufacturer building 
complete or incomplete heavy-duty vocational vehicles shall comply with 
the fuel consumption standards in this paragraph (b) expressed in 
gallons per 1000 ton-miles. Engines used in heavy-duty vocational 
vehicles shall comply with the standards in paragraph (d) of this 
section. Each vehicle must be manufactured to comply for its full useful 
life. Standards apply to the vehicle subfamilies based upon the vehicle 
service classes within each of the vocational vehicle regulatory 
subcategories in accordance with Sec. 535.4 and based upon the 
applicable modeling and testing specified in Sec. 535.6. Determine the 
duty cycles that apply to vocational vehicles according to 40 CFR 
1037.140 and 1037.150(z).
    (1) Mandatory standards. Heavy-duty vocational vehicle subfamilies 
produced for Phase 1 must comply with the fuel consumption standards in 
paragraph (b)(3) of this section. For Phase 2, each vehicle manufacturer 
of heavy-duty vocational vehicle subfamilies must comply with the fuel 
consumption standards in paragraph (b)(4) of this section.
    (i) For model years 2016 to 2020, the heavy-duty vocational vehicle 
category is subdivided by GVWR into three regulatory subcategories as 
defined in Sec. 535.4, each with its own assigned standard.
    (ii) For model years 2021 and later, the heavy-duty vocational 
vehicle category is subdivided into 15 regulatory subcategories 
depending upon whether vehicles are equipped with a compression or 
spark-ignition engine, as defined in Sec. 535.4. Standards also differ 
based upon vehicle service class and intended vehicle duty cycles. See 
40 CFR 1037.140 and 1037.150(z).
    (iii) For purposes of certifying vehicles to fuel consumption 
standards, manufacturers must divide their product lines in each 
regulatory subcategory into vehicle families that have similar emissions 
and fuel consumption features, as specified by EPA in 40 CFR 1037.230. 
These families will be subject to the applicable standards. Each vehicle 
family is limited to a single model year.
    (A) Vocational vehicles including custom chassis vehicles must use 
qualified automatic tire inflation systems or tire pressure monitoring 
systems for wheels on all axles.
    (B) Tire pressure monitoring systems must use low pressure warning 
and malfunction telltales in clear view of the driver as specified in 
S4.3 and S4.4 of 49 CFR 571.138.
    (2) Voluntary compliance. (i) For model years 2013 through 2015, a 
manufacturer may choose voluntarily to comply early with the fuel 
consumption standards provided in paragraph (b)(3) of this section. For 
example, a manufacturer may choose to comply early in order to begin 
accumulating credits through over-compliance with the applicable 
standards. A manufacturer choosing early compliance must comply with all 
the vehicles and engines it manufacturers in each regulatory category 
for a given model year.
    (ii) A manufacturer must declare its intent to voluntarily comply 
with fuel

[[Page 135]]

consumption standards and identify its plans to comply before it submits 
its first application for a certificate of conformity for the respective 
model year as specified in Sec. 535.8; and, once selected, the decision 
cannot be reversed and the manufacturer must continue to comply for each 
subsequent model year for all the vehicles and engines it manufacturers 
in each regulatory category for a given model year.
    (3) Regulatory subcategory standards for model years 2013 to 2020. 
The mandatory and voluntary fuel consumption standards for heavy-duty 
vocational vehicles are given in the following table:

                         Table 8--Phase 1 Vocational Vehicle Fuel Consumption Standards
                                          [Gallons per 1000 ton-miles]
----------------------------------------------------------------------------------------------------------------
                                                                  Vocational LHD  Vocational MHD  Vocational HHD
                    Regulatory subcategories                         vehicles        vehicles        vehicles
----------------------------------------------------------------------------------------------------------------
                                  Model Years 2013 to 2016 Voluntary Standards
----------------------------------------------------------------------------------------------------------------
Standard........................................................         38.1139         22.9862         22.2004
----------------------------------------------------------------------------------------------------------------
                                  Model Years 2017 to 2020 Mandatory Standards
----------------------------------------------------------------------------------------------------------------
Standard........................................................         36.6405         22.1022         21.8075
----------------------------------------------------------------------------------------------------------------

    (4) Regulatory subcategory standards for model years 2021 and later. 
The mandatory fuel consumption standards for heavy-duty vocational 
vehicles are given in the following table:

                         Table 9--Phase 2 Vocational Vehicle Fuel Consumption Standards
                                          [Gallons per 1,000 ton-miles]
----------------------------------------------------------------------------------------------------------------
                                                                  LHD Vocational  MHD Vocational  Vocational HHD
                           Duty cycle                                vehicles        vehicles        vehicles
----------------------------------------------------------------------------------------------------------------
                               Model Years 2021 to 2023 Standards for CI Vehicles
----------------------------------------------------------------------------------------------------------------
Urban...........................................................         41.6503         29.0766         30.2554
Multi-Purpose...................................................         36.6405         26.0314         25.6385
Regional........................................................         30.5501         22.9862         20.2358
----------------------------------------------------------------------------------------------------------------
                               Model Years 2021 to 2023 Standards for SI Vehicles
----------------------------------------------------------------------------------------------------------------
Urban...........................................................         51.8735         36.9078              NA
Multi-Purpose...................................................         45.7972         32.9695              NA
Regional........................................................         37.6955         29.3687              NA
----------------------------------------------------------------------------------------------------------------
                               Model Years 2024 to 2026 Standards for CI Vehicles
----------------------------------------------------------------------------------------------------------------
Urban...........................................................         37.8193         26.6208         27.7996
Multi-Purpose...................................................         33.7917         24.1650         23.7721
Regional........................................................         29.0766         21.7092         19.0570
----------------------------------------------------------------------------------------------------------------
                               Model Years 2024 to 2026 Standards for SI Vehicles
----------------------------------------------------------------------------------------------------------------
Urban...........................................................         48.6103         34.8824              NA
Multi-Purpose...................................................         43.3217         31.3942              NA
Regional........................................................         36.4577         28.2435              NA
----------------------------------------------------------------------------------------------------------------
                              Model Years 2027 and later Standards for CI Vehicles
----------------------------------------------------------------------------------------------------------------
Urban...........................................................         36.0511         25.3438         26.4244
Multi-Purpose...................................................         32.4165         23.0845         22.5933
Regional........................................................         28.5855         21.4145         18.5658
----------------------------------------------------------------------------------------------------------------
                              Model Years 2027 and later Standards for SI Vehicles
----------------------------------------------------------------------------------------------------------------
Urban...........................................................         46.4724         33.4196              NA
Multi-Purpose...................................................         41.8589         30.1564              NA
Regional........................................................         35.8951         27.7934              NA
----------------------------------------------------------------------------------------------------------------


[[Page 136]]

    (5) Subfamily standards. Manufacturers may specify a family emission 
limit (FEL) in terms of fuel consumption for each vehicle subfamily. The 
FEL may not be less than the result of fuel consumption modeling from 40 
CFR 1037.520. The FELs is the fuel consumption standards for the vehicle 
subfamily instead of the standards specified in paragraph (b)(3) and (4) 
of this section and can be used for calculating fuel consumption credits 
in accordance with Sec. 535.7.
    (6) Alternate standards for custom chassis vehicles for model years 
2021 and later. Manufacturers may elect to certify certain vocational 
vehicles to the alternate standards for custom chassis vehicles 
specified in this paragraph (b)(6) instead of the standards specified in 
paragraph (b)(4) of this section. Note that, although these standards 
were established for custom chassis vehicles, manufacturers may apply 
these provisions to any qualifying vehicle even though these standards 
were established for custom chassis vehicles. For example, large 
diversified vehicle manufacturers may certify vehicles to the refuse 
hauler standards of this section as long as the manufacturer ensures 
that those vehicles qualify as refuse haulers when placed into service. 
GEM simulates vehicle operation for each type of vehicle based on an 
assigned vehicle service class, independent of the vehicle's actual 
characteristics, as shown in Table 10 of this section; however, 
standards apply for the vehicle's useful life based on its actual 
characteristics as specified in paragraph (b)(10) of this section. 
Vehicles certified to these alternative standards must use engines 
certified to requirements under paragraph (d) of this section and 40 CFR 
part 1036 for the appropriate model year, except that motor homes and 
emergency vehicles may use engines certified with the loose-engine 
provisions of paragraph (a)(7) of this section and 40 CFR 1037.150(m). 
This also applies for vehicles meeting standards under paragraphs 
(b)(6)(iv) through (vi) of this section. The fuel consumption standards 
for custom chassis vehicles are given in the following table:

                           Table 10--Phase 2 Custom Chassis Fuel Consumption Standards
                                           [Gallon per 1,000 ton-mile]
----------------------------------------------------------------------------------------------------------------
               Vehicle type \1\                  Assigned vehicle service class       MY 2021         MY 2027
----------------------------------------------------------------------------------------------------------------
Coach Bus.....................................  HHD Vehicle.....................         20.6287         20.1375
Motor Home....................................  MDH Vehicle.....................         22.3969         22.2004
School Bus....................................  MHD Vehicle.....................         28.5855         26.6208
Other bus.....................................  HHD Vehicle.....................         29.4695         28.0943
Refuse hauler.................................  HHD Vehicle.....................         30.7466         29.2731
Concrete mixer................................  HHD Vehicle.....................         31.3360         31.0413
Mixed-use vehicle.............................  HHD Vehicle.....................         31.3360         31.0413
Emergency Vehicle.............................  HHD Vehicle.....................         31.8271         31.3360
----------------------------------------------------------------------------------------------------------------
\1\ Vehicle types are generally defined in Sec. 535.3. ``Other bus'' includes any bus that is not a school bus
  or a coach bus. A ``mixed-use vehicle'' is one that meets at least one of the criteria specified in 40 CFR
  1037.631(a)(1) or at least one of the criteria in 40 CFR 1037.631(a)(2), but not both.

    (i) Manufacturers may generate or use fuel consumption credits for 
averaging to demonstrate compliance with the alternative standards as 
described in Sec. 535.7(c). This requires that manufacturers specify a 
Family Emission Limit (FEL) for fuel consumption for each vehicle 
subfamily. The FEL may not be less than the result of emission modeling 
as described in this paragraph (b). These FELs serve as the fuel 
consumption standards for the vehicle subfamily instead of the standards 
specified in this paragraph (b)(6). Manufacturers may only use fuel 
consumption credits for vehicles certified to the optional standards in 
this paragraph (b)(6) as specified in Sec. 535.7(c)(6) through (8) and 
you may not bank or trade fuel consumption credits from any vehicles 
certified under this paragraph (b)(6).
    (ii) For purposes of this paragraph (b)(6), each separate vehicle 
type identified in Table 10 of this section is in a separate averaging 
set.
    (iii) For purposes of emission and fuel consumption modeling under 
40 CFR 1037.520, consider motor homes and

[[Page 137]]

coach buses to be subject to the Regional duty cycle, and consider all 
other vehicles to be subject to the Urban duty cycle.
    (iv) Emergency vehicles are deemed to comply with the standards of 
this paragraph (6) if manufacturers use tires with TRRL at or below 8.4 
kg/ton (8.7 g/ton for model years 2021 through 2026).
    (v) Concrete mixers are deemed to comply with the standards of this 
paragraph (6) if manufacturers use tires with TRRL at or below 7.1 kg/
ton (7.6 g/ton for model years 2021 through 2026).
    (vi) Motor homes are deemed to comply with the standards of this 
paragraph (b)(6) if manufacturers use the following technologies:
    (A) Tires with TRRL at or below 6.0 kg/ton (6.7 g/ton for model 
years 2021 through 2026).
    (B) Automatic tire inflation systems or tire pressure monitoring 
systems with wheels on all axles.
    (C) Tire pressure monitoring systems must use low pressure warning 
and malfunction telltales in clear view of the driver as specified in 
S4.3 and S4.4 of 49 CFR 571.138.
    (vii) Small business manufacturers using the alternative standards 
for custom chassis vehicles under this paragraph (b)(6) may use fuel 
consumption credits subject to the unique provisions in Sec. 
535.7(a)(9).
    (7) Advanced, innovative and off-cycle technologies. For vocational 
vehicles subfamilies subject to Phase 1 standards, manufacturers must 
create separate vehicle subfamilies for vehicles that contain advanced 
or innovative technologies and group those vehicles together in a 
vehicle subfamily if they use the same advanced or innovative 
technologies. Manufacturers may generate s separate credit allowances 
for advanced and innovative technologies as specified in Sec. 
535.7(f)(1) and (2). For vehicles subfamilies subject to Phase 2 
standards, manufacturers may generate separate credit allowances for 
off-cycle technologies in accordance with Sec. 535.7(f)(2). Separate 
credit allowances for advanced technology vehicles cannot be generated 
but instead manufacturers may use the credit multipliers specified in 
Sec. 535.7(f)(1)(iv) through model year 2026.
    (8) Certifying across service classes. A manufacturer may optionally 
certify a vocational vehicle subfamilies to the standards and useful 
life applicable to a heavier vehicle service class (such as MHD 
vocational vehicles instead of LHD vocational vehicles). Provisions 
related to generating fuel consumption credits apply as follows:
    (i) If a manufacturer certifies all its vehicles from a given 
vehicle service class in a given model year to the standards and useful 
life that applies for a heavier vehicle service class, it may generate 
credits as appropriate for the heavier service class.
    (ii) Class 8 hybrid vehicles with light or medium heavy-duty engines 
may be certified to compression-ignition standards for the Heavy HDV 
service class. A manufacturer may generate and use credits as allowed 
for the Heavy HDV service class.
    (iii) Except as specified in paragraphs (b)(8)(i) and (ii) of this 
section, a manufacturer may not generate credits with the vehicle. If 
you include lighter vehicles in a subfamily of heavier vehicles with an 
FEL below the standard, exclude the production volume of lighter 
vehicles from the credit calculation. Conversely, if a manufacturer 
includes lighter vehicles in a subfamily with an FEL above the standard, 
it must include the production volume of lighter vehicles in the credit 
calculation.
    (9) Off-road exemptions. This section provides an exemption for 
heavy-duty vocational vehicle subfamilies, including vocational tractors 
that are intended to be used extensively in off-road environments such 
as forests, oil fields, and construction sites from the fuel consumption 
standards in this paragraph (b). Vehicle exempted by this part do not 
comply with vehicle standards in this paragraph (b), but the engines in 
these vehicles must meet the engine requirements of paragraph (d) of 
this section. Note that manufacturers may not include these exempted 
vehicles in any credit calculations under this part.
    (i) Qualifying criteria. Vocational vehicles intended for off-road 
use are exempt without request, subject to the provisions of this 
section, if they are primarily designed to perform work off-road (such 
as in oil fields, mining,

[[Page 138]]

forests, or construction sites), and they meet at least one of the 
criteria of paragraph (b)(9)(i)(A) of this section and at least one of 
the criteria of paragraph (b)(9)(i)(B) of this section. See paragraph 
(b)(6) of this section for alternate standards that apply for vehicles 
meeting only one of these sets of criteria.
    (A) The vehicle must have affixed components designed to work 
inherently in an off-road environment (such as hazardous material 
equipment or off-road drill equipment) or be designed to operate at low 
speeds such that it is unsuitable for normal highway operation.
    (B) The vehicle must meet one of the following criteria:
    (1) Have an axle that has a gross axle weight rating (GAWR) at or 
above 29,000 pounds.
    (2) Have a speed attainable in 2.0 miles of not more than 33 mi/hr.
    (3) Have a speed attainable in 2.0 miles of not more than 45 mi/hr, 
an unloaded vehicle weight that is not less than 95 percent of its gross 
vehicle weight rating, and no capacity to carry occupants other than the 
driver and operating crew.
    (4) Have a maximum speed at or below 54 mi/hr. A manufacturer may 
consider the vehicle to be appropriately speed-limited if engine speed 
at 54 mi/hr is at or above 95 percent of the engine's maximum test speed 
in the highest available gear. A manufacturer may alternatively limit 
vehicle speed by programming the engine or vehicle's electronic control 
module in a way that is tamper-resistant.
    (ii) Tractors. The provisions of this section may apply for tractors 
only if each tractor qualifies as a vocational tractor under paragraph 
(c)(9) of this section or is granted approval for the exemption as 
specified in paragraph (b)(9)(iii) of this section.
    (iii) Preliminary approval before certification. If a manufacturers 
has unusual circumstances where it may be questionable whether its 
vehicles qualify for the off-road exemption of this part, the 
manufacturer may send the agencies information before finishing its 
application for certification (see 40 CFR 1037.205) for the applicable 
vehicles and ask for a preliminary informal approval. The agencies will 
review the request and make an appropriate determination in accordance 
with 40 CFR 1037.210. The agencies will generally not reverse a decision 
where they have given a manufacturer preliminary approval, unless the 
agencies find new information supporting a different decision. However, 
the agencies will normally not grant relief in cases where the vehicle 
manufacturer has credits or can otherwise comply with the applicable 
standards.
    (iv) Recordkeeping and reporting. (A) A manufacturers must keep 
records to document that its exempted vehicle configurations meet all 
applicable requirements of this section. Keep these records for at least 
eight years after you stop producing the exempted vehicle model. The 
agencies may review these records at any time.
    (B) A manufacturers must also keep records of the individual 
exempted vehicles you produce, including the vehicle identification 
number and a description of the vehicle configuration.
    (C) Within 90 days after the end of each model year, manufacturers 
must send to EPA a report as specified in Sec. 535.8(g)(7) and EPA will 
make the report available to NHTSA.
    (v) Compliance. (A) Manufacturers producing vehicles meeting the 
off-road exemption criteria in paragraph (b)(9)(i) of this section or 
that are granted a preliminary approval comply with the standards of 
this part.
    (B) In situations where a manufacturer would normally ask for a 
preliminary approval subject to paragraph (b)(9)(iii) of this section 
but introduces its vehicle into U.S. commerce without seeking approval 
first from the agencies, those vehicles violate compliance with the fuel 
consumption standards of this part and the EPA provisions under 40 CFR 
1068.101(a)(1).
    (C) If at any time, the agencies find new information that 
contradicts a manufacturer's use of the off-road exemption of this part, 
the manufacturers vehicles will be determined to be non-compliant with 
the regulations of this part and the manufacturer may be liable for 
civil penalties.
    (10) Useful life. The following useful life values apply for the 
standards of this section:

[[Page 139]]

    (i) 110,000 miles or 10 years, whichever comes first, for vocational 
LHD vehicles certified to Phase 1 standards.
    (ii) 150,000 miles or 15 years, whichever comes first, for 
vocational LHD vehicles certified to Phase 2 standards.
    (iii) 185,000 miles or 10 years, whichever comes first, for 
vocational MHD vehicles for Phase 1 and 2.
    (iv) 435,000 miles or 10 years, whichever comes first, for 
vocational HHD vehicles for Phase 1 and 2.
    (v) For Phase 1 credits calculated based on a useful life of 110,000 
miles, multiply any banked credits carried forward for use into the 
Phase 2 program by 1.36. For Phase 1 credit deficits generated based on 
a useful life of 110,000 miles multiply the credit deficit by 1.36, if 
offsetting the shortfall with Phase 2 credits.
    (11) Recreational vehicles. Recreational vehicles manufactured after 
model year 2020 must comply with the fuel consumption standards of this 
section. Manufacturers producing these vehicles may also certify to fuel 
consumption standards from 2014 through model year 2020. Manufacturers 
may earn credits retroactively for early compliance with fuel 
consumption standards. Once selected, a manufacturer cannot reverse the 
decision and the manufacturer must continue to comply for each 
subsequent model year for all the vehicles it manufacturers in each 
regulatory subcategory for a given model year.
    (12) Loose engines. Manufacturers may certify certain spark-ignition 
engines along with chassis-certified heavy-duty vehicles where there are 
identical engines used in those vehicles as described in 40 CFR 
86.1819(k)(8) and 40 CFR 1037.150(m). Vehicles in which those engines 
are installed are subject to standards under this part.
    (13) Compliance with Standards. A manufacturer complies with the 
standards of this part as described in Sec. 535.10.
    (c) Truck tractors. Each manufacturer building truck tractors, 
except vocational tractors or vehicle constructed in accordance with 
Sec. 571.7(e), with a GVWR above 26,000 pounds shall comply with the 
fuel consumption standards in this paragraph (c) expressed in gallons 
per 1000 ton-miles. Engines used in heavy-duty truck tractors vehicles 
shall comply with the standards in paragraph (d) of this section. Each 
vehicle must be manufactured to comply for its full useful life. 
Standards apply to the vehicle subfamilies within each of the tractor 
vehicle regulatory subcategories in accordance with Sec. 535.4 and 40 
CFR 1037.230 and based upon the applicable modeling and testing 
specified in Sec. 535.6. Determine the vehicles in each regulatory 
subcategory in accordance with 40 CFR 1037.140.
    (1) Mandatory standards. For model years 2016 and later, each 
manufacturer's truck tractor subfamilies must comply with the fuel 
consumption standards in paragraph (c)(3) of this section.
    (i) Based on the roof height and the design of the cab, the truck 
tractor category is divided into subcategories as described in Sec. 
535.4. The standards that apply to each regulatory subcategory are shown 
in paragraphs (c)(2) and (3) of this section, each with its own assigned 
standard.
    (ii) For purposes of certifying vehicles to fuel consumption 
standards, manufacturers must divide their product lines in each 
regulatory subcategory into vehicles subfamilies that have similar 
emissions and fuel consumption features, as specified by EPA in 40 CFR 
1037.230, and these subfamilies will be subject to the applicable 
standards. Each vehicle subfamily is limited to a single model year.
    (iii) Standards for truck tractor engines are given in paragraph (d) 
of this section.
    (2) Voluntary compliance. (i) For model years 2013 through 2015, a 
manufacturer may choose voluntarily to comply early with the fuel 
consumption standards provided in paragraph (c)(3) of this section. For 
example, a manufacturer may choose to comply early in order to begin 
accumulating credits through over-compliance with the applicable 
standards. A manufacturer choosing early compliance must comply with all 
the vehicles and engines it manufacturers in each regulatory category 
for a given model year.
    (ii) A manufacturer must declare its intent to voluntarily comply 
with fuel consumption standards and identify its plans to comply before 
it submits its first application for a certificate of

[[Page 140]]

conformity for the respective model year as specified in Sec. 535.8; 
and, once selected, the decision cannot be reversed and the manufacturer 
must continue to comply for each subsequent model year for all the 
vehicles and engines it manufacturers in each regulatory category for a 
given model year.
    (3) Regulatory subcategory standards. The fuel consumption standards 
for truck tractors, except for vocational tractors, are given in the 
following table:

                               Table 11--Truck Tractor Fuel Consumption Standards
                                          [Gallons per 1,000 ton-miles]
----------------------------------------------------------------------------------------------------------------
                                                              Day cab               Sleeper cab
            Regulatory subcategories             ------------------------------------------------   Heavy-Haul
                                                      Class 7         Class 8         Class 8
----------------------------------------------------------------------------------------------------------------
                              Phase 1--Model Years 2013 to 2015 Voluntary Standards
----------------------------------------------------------------------------------------------------------------
Low Roof........................................         10.5108          7.9568          6.6798
Mid Roof........................................         11.6896          8.6444          7.4656
High Roof.......................................         12.1807          9.0373          7.3674
----------------------------------------------------------------------------------------------------------------
                                   Phase 1--Model Year 2016 Mandatory Standard
----------------------------------------------------------------------------------------------------------------
Low Roof........................................         10.5108          7.9568          6.6798              NA
Mid Roof........................................         11.6896          8.6444          7.4656
High Roof.......................................         12.1807          9.0373          7.3674
----------------------------------------------------------------------------------------------------------------
                              Phase 1--Model Years 2017 to 2020 Mandatory Standards
----------------------------------------------------------------------------------------------------------------
Low Roof........................................         10.2161          7.8585          6.4833              NA
Mid Roof........................................         11.2967          8.4479          7.1709
High Roof.......................................         11.7878          8.7426          7.0727
----------------------------------------------------------------------------------------------------------------
                              Phase 2--Model Years 2021 to 2023 Mandatory Standards
----------------------------------------------------------------------------------------------------------------
Low Roof........................................        10.36346         7.90766         7.10216         5.14735
Mid Roof........................................        11.11984         8.38900         7.66208
High Roof.......................................        11.14931         8.40864         7.43615
----------------------------------------------------------------------------------------------------------------
                              Phase 2--Model Years 2024 to 2026 Mandatory Standards
----------------------------------------------------------------------------------------------------------------
Low Roof........................................         9.80354         7.48527         6.67976         4.93124
Mid Roof........................................        10.52063         7.94695         7.22004
High Roof.......................................        10.47151         7.89784         6.94499
----------------------------------------------------------------------------------------------------------------
                             Phase 2--Model Years 2027 and later Mandatory Standards
----------------------------------------------------------------------------------------------------------------
Low Roof........................................         9.44990         7.21022         6.29666         4.74460
Mid Roof........................................        10.15717         7.66208         6.83694
High Roof.......................................         9.82318         7.43615         6.31631
----------------------------------------------------------------------------------------------------------------

    (4) Subfamily standards. Manufacturers may generate or use fuel 
consumption credits for averaging, banking, and trading as described in 
Sec. 535.7(c). This requires that manufacturers calculate a credit 
quantity if they specify a Family Emission Limit (FEL) that is different 
than the standard specified in this section. The FEL may not be less 
than the result of emission and fuel consumption modeling from 40 CFR 
1037.520. These FELs serve as the emission standards for the specific 
vehicle subfamily instead of the standards specified in paragraph (2) of 
this section.
    (5) Alternate standards for tractors at or above 120,000 pounds 
GCWR. Manufacturers may certify tractors at or above 120,000 pounds GCWR 
to the following fuel consumption standards in the following table:

[[Page 141]]



Table 12--Alternate Fuel Consumption Standards for Tractors Above 120,000 Pounds GCWR for 2021 MY and Later Fuel
                                                   Consumption
                                          [Gallons per 1,000 ton-miles]
----------------------------------------------------------------------------------------------------------------
                                                          Low roof sleeper   Mid roof sleeper  High roof sleeper
 Low roof day cab   Mid roof day cab  High roof day cab         cab                cab                cab
----------------------------------------------------------------------------------------------------------------
        3.59528            3.82122            3.84086            3.26130            3.52652            3.43811
----------------------------------------------------------------------------------------------------------------

    (6) Advanced, innovative and off-cycle technologies. For tractors 
subject to Phase 1 standards, manufacturers must create separate vehicle 
subfamilies for vehicles that contain advanced or innovative 
technologies and group those vehicles together in a vehicle subfamilies 
if they use the same advanced or innovative technologies. Manufacturers 
may generate separate credit allowances for advanced and innovative 
technologies as specified in Sec. 535.7(f)(1) and (2). For vehicles 
subject to Phase 2 standards, manufacturers may generate separate 
credits allowance for off-cycle technologies in accordance with Sec. 
535.7(f)(2). Separate credit allowances for advanced technology vehicles 
cannot be generated but instead manufacturers may use the credit 
multipliers specified in Sec. 535.7(f)(1)(iv) through model year 2026.
    (7) Certifying across service classes. Manufacturers may certify 
Class 7 tractors to Class 8 tractors standards as follows:
    (i) A manufacturer may optionally certify 4x2 tractors with heavy 
heavy-duty engines to the standards and useful life for Class 8 
tractors, with no restriction on generating or using fuel consumption 
credits within the Class 8 averaging set.
    (ii) A manufacturer may optionally certify a Class 7 tractor to the 
standards and useful life applicable to Class 8 tractors. Credit 
provisions apply as follows:
    (A) If a manufacturer certifies all of its Class 7 tractors to Class 
8 standards, it may use these Heavy HDV credits without restriction.
    (B) This paragraph (c)(7)(ii)(B) applies if a manufacturer certifies 
some Class 7 tractors to Class 8 standards under this paragraph 
(c)(7)(ii) but not all of them. If a manufacturer includes Class 7 
tractors in a subfamily of Class 8 tractors with an FEL below the 
standard, exclude the production volume of Class 7 tractors from the 
credit calculation. Conversely, if a manufacturer includes Class 7 
tractors in a subfamily of Class 8 tractors with an FEL above the 
standard, it must include the production volume of Class 7 tractors in 
the credit calculation.
    (8) Expanded families. Manufacturers may combine dissimilar vehicles 
into a single vehicle subfamilies for applying standards and for testing 
in special circumstances as follows:
    (i) For a Phase 1 vehicle model that straddles a roof-height, cab 
type, or GVWR division, manufacturers can include all the vehicles in 
the same vehicle family if it certifies the vehicle family to the more 
stringent standard. For roof height, the manufacturer must certify to 
the taller roof standard. For cab-type and GVWR, the manufacturers must 
certify to the numerically lower standard.
    (ii) For a Phase 2 vehicle model that includes a range of GVWR 
values that straddle weight classes, manufacturers may include all the 
vehicles in the same vehicle family if it certifies the vehicle family 
to the numerically lower fuel consumption standard from the affected 
service classes. Vehicles that are optionally certified to a more 
stringent standard under this paragraph are subject to useful-life and 
all other provisions corresponding to the weight class with the 
numerically lower fuel consumption standard. For a Phase 2 tractor model 
that includes a range of roof heights that straddle subcategories, a 
manufacturer may include all the vehicles in the same vehicle family if 
it certifies the vehicle family to the appropriate subcategory as 
follows:
    (A) A manufacturer may certify mid-roof tractors as high-roof 
tractors, but it may not certify high-roof tractors as mid-roof 
tractors.

[[Page 142]]

    (B) For tractor families straddling the low-roof/mid-roof division, 
a manufacturer may certify the family based on the primary roof-height 
as long as no more than 10 percent of the tractors are certified to the 
otherwise inapplicable subcategory. For example, if 95 percent of the 
tractors in the family are less than 120 inches tall, and the other 5 
percent are 122 inches tall, a manufacturer may certify the tractors as 
a single family in the low-roof subcategory.
    (C) Determine the appropriate aerodynamic bin number based on the 
actual roof height if the CdA value is measured. However, use 
the GEM input for the bin based on the standards to which the 
manufacturer certifies. For example, of a manufacturer certifies as mid 
roof tractors some low-roof tractors with a measured CdA 
value of 4.2 m\2\, it qualifies as Bin IV; and must input into GEM the 
mid-roof Bin IV value of 5.85 m\2\.
    (9) Vocational tractors. Tractors meeting the definition of 
vocational tractors in 49 CFR 523.2 must comply with requirements for 
heavy-duty vocational vehicles specified in paragraphs (b) and (d) of 
this section. For Phase 1, Class 7 and Class 8 tractors certified or 
exempted as vocational tractors are limited in production to no more 
than 21,000 vehicles in any three consecutive model years. If a 
manufacturer is determined as not applying this allowance in good faith 
by EPA in its applications for certification in accordance with 40 CFR 
1037.205 and 1037.610, a manufacturer must comply with the tractor fuel 
consumption standards in paragraph (c)(3) of this section. No production 
limit applies for vocational tractors subject to Phase 2 standards.
    (10) Small business manufacturers converting to mid roof or high 
roof configurations. Small manufacturers are to allowed convert low and 
mid roof tractors to high roof configurations without recertification, 
provided it is for the purpose of building a custom sleeper tractor or 
conversion to a natural gas tractor as specified in 40 CFR 1037.150(r).
    (11) Useful life. The following useful life values apply for the 
standards of this section:
    (i) 185,000 miles or 10 years, whichever comes first, for vehicles 
at or below 33,000 pounds GVWR.
    (ii) 435,000 miles or 10 years, whichever comes first, for vehicles 
above 33,000 pounds GVWR.
    (12) Conversion to high-roof configurations. Secondary vehicle 
manufacturers that qualify as small manufacturers may convert low- and 
mid-roof tractors to high-roof configurations without recertification 
for the purpose of building a custom sleeper tractor or converting it to 
run on natural gas, as follows:
    (i) The original low- or mid-roof tractor must be covered by a valid 
certificate of conformity by EPA.
    (ii) The modifications may not increase the frontal area of the 
tractor beyond the frontal area of the equivalent high-roof tractor with 
the corresponding standard trailer. If a manufacturer cannot use the 
original manufacturer's roof fairing for the high-roof tractor, use good 
engineering judgment to achieve similar or better aerodynamic 
performance.
    (iii) The agencies may require that these manufacturers submit 
annual production reports as described in Sec. 535.8 and 40 CFR 
1037.250 indicating the original roof height for requalified vehicles.
    (13) Compliance with standards. A manufacturer complies with the 
standards of this part as described in Sec. 535.10.
    (d) Heavy-duty engines. Each manufacturer of heavy-duty engines 
shall comply with the fuel consumption standards in this paragraph (d) 
of this section expressed in gallons per 100 horsepower-hour. Each 
engine must be manufactured to comply for its full useful life, 
expressed in service miles, operating hours, or calendar years, whatever 
comes first. The provisions of this part apply to all new 2014 model 
year and later heavy-duty engines fueled by conventional and alternative 
fuels and manufactured for use in heavy-duty tractors or vocational 
vehicles. Standards apply to the engine families based upon the primary 
intended service classes within each of the engine regulatory 
subcategories as described in Sec. 535.4 and based upon the applicable 
modeling and testing specified in Sec. 535.6.

[[Page 143]]

    (1) Mandatory standards. Manufacturers of heavy-duty engine families 
shall comply with the mandatory fuel consumption standards in paragraphs 
(d)(3) through (6) of this section for model years 2017 and later for 
compression-ignition engines and for model years 2016 and later for 
spark-ignition engines.
    (i) The heavy-duty engine regulatory category is divided into six 
regulatory subcategories, five compression-ignition subcategories and 
one spark-ignition subcategory, as shown in Table 14 of this section.
    (ii) Separate standards exist for engine families manufactured for 
use in heavy-duty vocational vehicles and in truck tractors.
    (iii) For purposes of certifying engines to fuel consumption 
standards, manufacturers must divide their product lines in each 
regulatory subcategory into engine families. Fuel consumption standards 
apply each model year to the same engine families used to comply with 
EPAstandards in 40 CFR 1036.108 and 40 CFR 1037.230. An engine family is 
designated under the EPA program based upon testing specified in 40 CFR 
part 1036, subpart F, and the engine family's primary intended service 
class. Each engine family manufactured for use in a heavy-duty tractor 
or vocational vehicle must be certified to the primary intended service 
class that it is designed for in accordance with 40 CFR 1036.108 and 
1036.140.
    (2) Voluntary compliance. (i) For model years 2013 through 2016 for 
compression-ignition engine families, and for model year 2015 for spark-
ignition engine families, a manufacturer may choose voluntarily to 
comply with the fuel consumption standards provided in paragraphs (d)(3) 
through (5) of this section. For example, a manufacturer may choose to 
comply early in order to begin accumulating credits through over-
compliance with the applicable standards. A manufacturer choosing early 
compliance must comply with all the vehicles and engines it 
manufacturers in each regulatory category for a given model year except 
in model year 2013 the manufacturer may comply with individual engine 
families as specified in 40 CFR 1036.150(a)(2).
    (ii) A manufacturer must declare its intent to voluntarily comply 
with fuel consumption standards and identify its plans to comply before 
it submits its first application for a certificate of conformity for the 
respective model year as specified in Sec. 535.8; and, once selected, 
the decision cannot be reversed and the manufacturer must continue to 
comply for each subsequent model year for all the vehicles and engines 
it manufacturers in each regulatory category for a given model year.
    (3) Regulatory subcategory standards. The primary fuel consumption 
standards for heavy-duty engine families are given in the following 
table:

                                             Table 13--Primary Heavy-Duty Engine Fuel Consumption Standards
                                                                 [Gallons per 100 hp-hr]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                Regulatory subcategory                   CI LHD engines    CI MHD engines and all other    HHD CI engines and all other     SI engines
-------------------------------------------------------   and all other               engines                         engines            ---------------
                                                             engines     ----------------------------------------------------------------
                      Application                      ------------------                                                                       All
                                                           Vocational       Vocational        Tractor       Vocational        Tractor
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              Phase 1--Voluntary Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
2015..................................................  ................  ..............  ..............  ..............  ..............          7.0552
2013 to 2016..........................................            5.8939          5.8939          4.9312          5.5697           4.666  ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              Phase 1--Mandatory Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
2016..................................................  ................  ..............  ..............  ..............  ..............          7.0552
2017 to 2020..........................................            5.6582          5.6582          4.6660          5.4519          4.4401          7.0552
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              Phase 2--Mandatory Standards
--------------------------------------------------------------------------------------------------------------------------------------------------------
2021 to 2023..........................................            5.5305          5.3536          4.6464          5.0393          4.3910          7.0552
2024 to 2026..........................................            5.4519          5.2849          4.5285          4.9705          4.2829          7.0552
2027 and later........................................            5.4224          5.2554          4.4892          4.9411          4.2436          7.0552
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 144]]

    (4) Alternate subcategory standards. The alternative fuel 
consumption standards for heavy-duty compression-ignition engine 
families are as follows:
    (i) Manufacturers entering the voluntary program in model years 2014 
through 2016, may choose to certify compression-ignition engine families 
unable to meet standards provided in paragraph (d)(3) of this section to 
the alternative fuel consumption standards of this paragraph (d)(4).
    (ii) Manufacturers may not certify engines to these alternate 
standards if they are part of an averaging set in which they carry a 
balance of banked credits. For purposes of this section, manufacturers 
are deemed to carry credits in an averaging set if they carry credits 
from advance technology that are allowed to be used in that averaging 
set in accordance with Sec. 535.7(d)(12).
    (iii) The emission standards of this section are determined as 
specified by EPA in 40 CFR 1036.620(a) through (c) and should be 
converted to equivalent fuel consumption values.
    (5) Alternate phase-in standards. Manufacturers have the option to 
comply with EPA emissions standards for compression-ignition engine 
families using an alternative phase-in schedule that correlates with 
EPA's OBD standards. If a manufacturer chooses to use the alternative 
phase-in schedule for meeting EPA standards and optionally chooses to 
comply early with the NHTSA fuel consumption program, it must use the 
same phase-in schedule beginning in model year 2013 for fuel consumption 
standards and must remain in the program for each model year thereafter 
until model year 2020. The fuel consumption standard for each model year 
of the alternative phase-in schedule is provided in Table 15 of this 
section. Note that engine families certified to these standards are not 
eligible for early credits under Sec. 535.7.

                   Table 14--Phase 1 Alternative Phase-In CI Engine Fuel Consumption Standards
                                             [Gallons per 100 hp-hr]
----------------------------------------------------------------------------------------------------------------
                            Tractors                                LHD engines     MHD engines     HHD engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013 to 2015........................................              NA          5.0295          4.7642
Model Years 2016 to 2020 [dagger]...............................              NA          4.7839          4.5187
----------------------------------------------------------------------------------------------------------------
Vocational                                                           LHD engines     MHD engines     HHD engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013 to 2015........................................          6.0707          6.0707          5.6680
Model Years 2016 to 2020 [dagger]...............................          5.6582          5.6582          5.4519
----------------------------------------------------------------------------------------------------------------
[dagger] Note: These alternate standards for 2016 and later are the same as the otherwise applicable standards
  for 2017 through 2020.

    (6) Alternative fuel conversions. Engines that have been converted 
to operate on alternative fuels may demonstrate compliance with the 
standards of this part or other alternative compliance approaches 
allowed by EPA in 40 CFR 85.525.
    (7) Optional certification under this section. Manufacturers 
certifying spark-ignition engines to the compression-ignition standards 
for EPA must treat those engines as compression-ignition engines for all 
the provisions of this part.
    (8) Advanced, innovative and off-cycle technologies. For engines 
subject to Phase 1 standards, manufacturers must create separate engine 
families for engines that contain advanced or innovative technologies 
and group those engines together in an engine family if they use the 
same advanced or innovative technologies. Manufacturers may generate 
separate credit allowances for advanced and innovative technologies as 
specified in Sec. 535.7(f)(1) and (2). For engines subject to Phase 2 
standards, manufacturers may generate separate credits allowance for 
off-cycle technologies in accordance with Sec. 535.7(f)(2). Credit 
incentives for advanced technology engines do not apply during the Phase 
2 period.
    (9) Useful life. The exhaust emission standards of this section 
apply for the full useful life, expressed in service miles, operating 
hours, or calendar

[[Page 145]]

years, whichever comes first. The following useful life values apply for 
the standards of this section:
    (i) 120,000 miles or 11 years, whichever comes first, for CI and SI 
LHD engines certified to Phase 1 standards.
    (ii) 150,000 miles or 15 years, whichever comes first, for CI and SI 
LHD and spark-ignition engines certified to Phase 2 standards.
    (iii) 185,000 miles or 10 years, whichever comes first, for CI MHD 
engines certified to Phase 1 and for Phase 2.
    (iv) 435,000 miles or 10 years, whichever comes first, for CI HHD 
engines certified to Phase 1 and for Phase 2.
    (v) For Phase 1 credits that manufacturers calculate based on a 
useful life of 110,000 miles, multiply any banked credits that it 
carries forward for use into the Phase 2 program by 1.36. For Phase 1 
credit deficits that manufacturers generate based on a useful life of 
110,000 miles multiply the credit deficit by 1.36, if offsetting the 
shortfall with Phase 2 credits.
    (10) Loose engines. This paragraph (10) describes alternate emission 
and fuel consumption standards for loose engines certified under. The 
standards of this paragraph (d) and 1036.108 do not apply for loose 
engines certified under paragraph (a) of this section and 40 CFR 
86.1819-14(k)(8). The standards in 40 CFR 1036.150(j) apply for the 
emissions and equivalent fuel consumption measured with the engine 
installed in a complete vehicle consistent with the provisions of 40 CFR 
86.1819-14(k)(8)(vi).
    (11) Alternate transition option for Phase 2 engine standards. (i) 
Manufacturers may optionally elect to comply with the model year 2021 
primary (Phase 2) vocational vehicle and tractor engine standards in 
paragraph (d)(3) of this section beginning in model year 2020 (e.g. 
comply with the more stringent standards one year early). The model year 
2021 standard would apply to these manufacturers for model years 2020 
through 2023. Manufacturers that voluntarily certify their engines to 
model year 2021 standards early would then be eligible for less 
stringent engine tractor standards in model years 2024 through 2026, as 
follows:
    (A) 5.2849 gallons per 100 hp-hr for MHD vocational vehicle engines.
    (B) 4.5874 gallons per 100 hp-hr for MHD tractor engines.
    (C) 4.9705 gallons per 100 hp-hr for HHD vocational vehicle engines.
    (D) 4.3418 gallons per 100 hp-hr for HHD tractor engines.
    (ii) The primary standard in paragraph (d)(3) applies for all 
manufacturers in model year 2027 and later years.
    (iii) Manufacturers may apply these provisions separately for medium 
heavy-duty engines and heavy heavy-duty engines. This election applies 
to all engines in each segment. For example, if a manufacturer elects 
this alternate option for its medium heavy-duty engines, all of the 
manufacturer's medium heavy-duty vocational and tractor engines must 
comply. Engine fuel consumption credits generated under Sec. 535.7(d) 
for manufacturers complying early with the model year 2021 standards 
follow the temporary extended credit life allowance in Sec. 
535.7(d)(9).
    (12) Compliance with Standards. A manufacturer complies with the 
standards of this part as described in Sec. 535.10.
    (e) Heavy-duty Trailers. Each manufacturer of heavy-duty trailers as 
specified in 49 CFR 523.10, except trailers constructed in accordance 
with 49 CFR 571.7(f), shall comply with the fuel consumption standards 
in paragraph (e)(1) of this section expressed in gallons per 1000 ton-
miles. Each vehicle must be manufactured to comply for its full useful 
life. There are no Phase 1 standards for trailers. Different levels of 
stringency apply for box vans depending on features that may affect 
aerodynamic performance. Standards apply to the trailer vehicle families 
within each of the trailer regulatory subcategories in accordance with 
Sec. 535.4 and 40 CFR 1037.230 and based upon the applicable modeling 
and testing specified in Sec. 535.6.
    (1) Fuel consumption standards for Box-Vans. Box van trailer 
families manufactured in model year 2021 and later must comply with the 
fuel consumption standards of this section. For model years 2018 through 
2020, box van trailer manufacturers have the option to voluntarily 
comply with the fuel consumption standards of this section. Different 
levels of stringency apply for box vans depending on features that may 
affect aerodynamic performance.

[[Page 146]]

A manufacturer may optionally meet less stringent standards for 
different trailer types, which are characterized as follows:
    (i) For trailers 35 feet or longer, a manufacturer may designate as 
``non-aero box vans'' those box vans that have a rear lift gate or rear 
hinged ramp, and at least one of the following side features: Side lift 
gate, side-mounted pull-out platform, steps for side-door access, a 
drop-deck design, or belly boxes that occupy at least half the length of 
both sides of the trailer between the centerline of the landing gear and 
the leading edge of the front wheels. For trailers less than 35 feet 
long, manufacturers may designate as ``non-aero box vans'' any 
refrigerated box vans with at least one of the side features identified 
for longer trailers.
    (ii) A manufacturer may designate as ``partial-aero box vans'' those 
box vans that have at least one of the side features identified in 
paragraph (a)(1)(i) of this section. Long box vans may also qualify as 
partial-aero box vans if they have a rear lift gate or rear hinged ramp. 
Note that this paragraph (e)(1)(ii) does not apply for box vans 
designated as ``non-aero box vans'' under paragraph (e)(1)(i) of this 
section.
    (iii) ``Full-aero box vans'' are box vans that are not designated as 
non-aero box vans or partial-aero box vans under this paragraph (e)(1).
    (iv) Fuel consumption standards apply for full-aero box vans as 
specified in the following table:

                         Table 15--Phase 2 Full Aero Box Van Fuel Consumption Standards
                                          [Gallons per 1,000 ton-miles]
----------------------------------------------------------------------------------------------------------------
                                                              Dry van                    Refrigerated van
                   Model years                   ---------------------------------------------------------------
                                                       Long            Short           Long            Short
----------------------------------------------------------------------------------------------------------------
                                               Voluntary Standards
----------------------------------------------------------------------------------------------------------------
2018 to 2020....................................         7.98625        12.31827         8.15324        12.68173
----------------------------------------------------------------------------------------------------------------
                                               Mandatory Standards
----------------------------------------------------------------------------------------------------------------
2021 to 2023....................................         7.75049        12.15128         7.91749        12.52456
2024 to 2026....................................         7.58350        11.87623         7.75049        12.24951
2027 and later..................................         7.43615        11.72888         7.60314        12.10216
----------------------------------------------------------------------------------------------------------------

    (v) Fuel consumption standards apply for partial-aero box vans as 
specified in the following table:

                     Table 16--Phase 2 Fuel Consumption Standards for Partial-Aero Box Vans
                                          [Gallons per 1,000 ton-mile]
----------------------------------------------------------------------------------------------------------------
                                                              Dry van                    Refrigerated van
                   Model year                    ---------------------------------------------------------------
                                                       Short           Long            Short           Long
----------------------------------------------------------------------------------------------------------------
2018-2020.......................................        12.31827         7.98625        12.68173         8.15324
2021 and later..................................        12.15128         7.91749        12.52456         8.08448
----------------------------------------------------------------------------------------------------------------

    (2) Fuel consumption standards for Non-aero Box Vans and Non-box 
Trailers. (i) Non-aero box van and non-box trailer families manufactured 
in model year 2021 and later must comply with the fuel consumption 
standards of this section. For model years 2018 through 2020, trailer 
manufacturers have the option to voluntarily comply with the fuel 
consumption standards of this section.
    (ii) Non-aero box vans and non-box vans must meet the following 
standards:
    (A) Trailers must use automatic tire inflation systems or tire 
pressure monitoring systems with wheels on all

[[Page 147]]

axles. Tire pressure monitoring systems must use low pressure warning 
and malfunction telltales in clear view of the driver as specified in 
S4.3 and S4.4 of 49 CFR 571.138.
    (B) Non-box trailers must use tires with a TRRL at or below 5.1 kg/
tonne. Through model year 2020, non-box trailers may instead use tires 
with a TRRL at or below 6.0 kg/tonne.
    (C) Non-aero box vans must use tires with a TRRL at or below 4.7 kg/
tonne. Through model year 2020, non-aero box vans may instead use tires 
with a TRRL at or below 5.1 kg/tonne.
    (3) Subfamily standards. Starting in model year 2027, manufacturers 
may generate or use fuel consumption credits for averaging to 
demonstrate compliance with the standards specified in paragraph 
(e)(1)(iii) of this section as described in Sec. 535.7(e). This 
requires that manufacturers specify a Family Emission Limit (FEL) for 
fuel consumption for each vehicle subfamily. The FEL may not be less 
than the result of the emission and fuel consumption calculation in 40 
CFR 1037.515. The FEL may not be greater than the appropriate standard 
for model year 2021 trailers. These FELs serve as the fuel consumption 
standards for the specific vehicle subfamily instead of the standards 
specified in paragraph (e)(1) of this section. Manufacturers may not use 
averaging for non-box trailers, partial-aero box vans, or non-aero box 
vans that meet standards under paragraph (e)(1)(i) or (e)(1)(ii) of this 
section, and manufacturers may not use fuel consumption credits for 
banking or trading for any trailers.
    (4) Useful life. The fuel consumption standards of this section 
apply for a useful life equal to 10 years.
    (5) Transitional allowances for trailers. Through model year 2026, 
trailer manufacturers may calculate a number of trailers that are exempt 
from the standards and certification requirements of this part. 
Calculate the number of exempt box vans in a given model year by 
multiplying the manufacturer's total U.S.-directed production volume of 
certified box vans by 0.20 and rounding to the nearest whole number; 
however, in no case may the number of exempted box vans be greater than 
350 units in any given model year. Repeat this calculation to determine 
the number of non-box trailers, up to 250 annual units, that are exempt 
from standards and certification requirements. Perform the calculation 
based on the manufacturer's projected production volumes in the first 
year that standards apply; in later years, use actual production volumes 
from the preceding model year. Manufacturers include these calculated 
values of the production volumes of exempt trailers in their annual 
production report under Sec. 535.8 and 40 CFR 1037.250.
    (6) Roll-up doors for non-aero box vans. Through model year 2023, 
box vans may qualify for non-aero or partial-aero standards under this 
paragraph (e) by treating roll-up rear doors as being equivalent to rear 
lift gates.
    (7) Expanded families. A manufacturer may include refrigerated box 
vans in a vehicle family with dry box vans by treating them all as dry 
box vans for demonstrating compliance with fuel consumption standards. A 
manufacturer may include certain other types of trailers in a vehicle 
family with a different type of trailer, such that the combined set of 
trailers are all subject to the more stringent standards, as follows:
    (i) Standards for long trailers are more stringent than standards 
for short trailers.
    (ii) Standards for long dry box vans are more stringent than 
standards for short refrigerated box vans.
    (iii) Standards for non-aero box vans are more stringent than 
standards for non-box trailers.
    (8) Compliance with standards. A manufacturer complies with the 
standards of this part as described in Sec. 535.10.



Sec. 535.6  Measurement and calculation procedures.

    This part describes the measurement and calculation procedures 
manufacturers use to determine annual fuel consumption performance 
results. Manufacturers use the fuel consumption results determined in 
this part for calculating credit balances specified in Sec. 535.7 and 
then determine whether they comply with standards as specified in Sec. 
535.10. Manufacturers must use EPA emissions test results for deriving

[[Page 148]]

NHTSA's fuel consumption performance rates. Consequently, manufacturers 
conducting testing for certification or annual demonstration testing and 
providing CO2 emissions data to EPA must also provide 
equivalent fuel consumption results to NHTSA for all values. NHTSA and 
EPA reserve the right to verify separately or in coordination the 
results of any testing and measurement established by manufacturers in 
complying with the provisions of this program and as specified in 40 CFR 
1037.301 and Sec. 535.9. Any carry over data from the Phase 1 program 
may be carried into the Phase 2 only with approval from EPA and by using 
good engineering judgment considering differences in testing protocols 
between test procedures.
    (a) Heavy-duty pickup trucks and vans. This section describes the 
method for determining the fuel consumption performance rates for test 
groups and for fleets of complete heavy-duty pickup trucks and vans each 
model year. The NHTSA heavy-duty pickup truck and van fuel consumption 
performance rates correspond to the same requirements for EPA as 
specified in 40 CFR 86.1819-14.
    (1) For the Phase 1 program, if the manufacturer's fleet includes 
conventional vehicles (gasoline, diesel and alternative fueled vehicles) 
and advanced technology vehicles (hybrids with powertrain designs that 
include energy storage systems, vehicles with waste heat recovery, 
electric vehicles and fuel cell vehicles), it may divide its fleet into 
two separate fleets each with its own separate fleet average fuel 
consumption performance rate. For Phase 2, manufacturers may calculate 
their fleet average fuel consumption rates for a conventional fleet and 
separate advanced technology vehicle fleets. Advanced technology vehicle 
fleets should be separated into plug-in hybrid electric vehicles, 
electric vehicles and fuel cell vehicles.
    (2) Vehicles in each fleet should be selected and divided into test 
groups or subconfigurations according to EPA in 40 CFR 86.1819-14(d).
    (3) Use the EPA CO2 emissions test results for each test 
group, in grams per mile, for the selected vehicles.
    (i) Use CO2 emissions test results for vehicles fueled by 
conventional and alternative fuels, including dedicated and dual-fueled 
(multi-fuel and flexible-fuel) vehicles using each fuel type as 
specified in 40 CFR 86.1819-14(d)(10).
    (ii) Use CO2 emissions test results for dual-fueled 
vehicles using a weighted average of the manufacturer's emission results 
as specified in 40 CFR 600.510-12(k) for light-duty trucks.
    (iii) All electric vehicles are deemed to have zero emissions of 
CO2, CH4, and N2O. No emission testing 
is required for such electric vehicles. Assign the fuel consumption test 
group result to a value of zero gallons per 100 miles in paragraph 
(a)(4) of this section.
    (iv) Use CO2 emissions test results for cab-complete and 
incomplete vehicles based upon the applicable complete sister vehicles 
as determined in 40 CFR 1819-14(j)(2).
    (v) Use CO2 emissions test results for loose engines 
using applicable complete vehicles as determined in 40 CFR 86.1819-
14(k)(8).
    (vi) Manufacturers can choose to analytically derive CO2 
emission rates (ADCs) for test groups or subconfigurations. Use ADCs for 
test groups or subconfigurations in accordance with 40 CFR 86.1819-14 
(d) and (g).
    (4) Calculate equivalent fuel consumption results for all test 
groups, in gallons per 100 miles, from CO2 emissions test 
group results, in grams per miles, and round to the nearest 0.001 gallon 
per 100 miles.
    (i) Calculate the equivalent fuel consumption test group results as 
follows for compression-ignition vehicles and alternative fuel 
compression-ignition vehicles. CO2 emissions test group 
result (grams per mile)/10,180 grams per gallon of diesel fuel) x 
(10\2\) = Fuel consumption test group result (gallons per 100 mile).
    (ii) Calculate the equivalent fuel consumption test group results as 
follows for spark-ignition vehicles and alternative fuel spark-ignition 
vehicles. CO2 emissions test group result (grams per mile)/
8,877 grams per gallon of gasoline fuel) x (10\2\) = Fuel consumption 
test group result (gallons per 100 mile).
    (5) Calculate the fleet average fuel consumption result, in gallons 
per 100

[[Page 149]]

miles, from the equivalent fuel consumption test group results and round 
the fuel consumption result to the nearest 0.001 gallon per 100 miles. 
Calculate the fleet average fuel consumption result using the following 
equation.
[GRAPHIC] [TIFF OMITTED] TR25OC16.307

Where:

Fuel Consumption Test Group Resulti = fuel consumption 
          performance for each test group as defined in 49 CFR 523.4.
Volumei = production volume of each test group.

    (6) Compare the fleet average fuel consumption standard to the fleet 
average fuel consumption performance. The fleet average fuel consumption 
performance must be less than or equal to the fleet fuel consumption 
standard to comply with standards in Sec. 535.5(a).
    (b) Heavy-duty vocational vehicles and tractors. This section 
describes the method for determining the fuel consumption performance 
rates for vehicle families of heavy-duty vocational vehicles and 
tractors. The NHTSA heavy-duty vocational vehicle and tractor fuel 
consumption performance rates correspond to the same requirements for 
EPA as specified in 40 CFR 1037, subpart F.
    (1) Select vehicles and vehicle family configurations to test as 
specified in 40 CFR 1037.230 for vehicles that make up each of the 
manufacturer's regulatory subcategories of vocational vehicles and 
tractors. For the Phase 2 program, select powertrain, axle and 
transmission families in accordance with 40 CFR 1037.231 and 1037.232.
    (2) Follow the EPA testing requirements in 40 CFR 1037.230 and 
1037.501 to derive inputs for the Greenhouse gas Emissions Model (GEM).
    (3) Enter inputs into GEM, in accordance with 40 CFR 1037.520, to 
derive the emissions and fuel consumption performance results for all 
vehicles (conventional, alternative fueled and advanced technology 
vehicles).
    (4) For Phase 1 and 2, all of the following GEM inputs apply for 
vocational vehicles and other tractor regulatory subcategories, as 
follows:
    (i) Model year and regulatory subcategory (see Sec. 535.3 and 40 
CFR 1037.230).
    (ii) Coefficient of aerodynamic drag or drag area, as described in 
40 CFR 1037.520(b) (tractors only for Phase 1).
    (iii) Steer and drive tire rolling resistance, as described in 40 
CFR 1037.520(c).
    (iv) Vehicle speed limit, as described in 40 CFR 1037.520(d) 
(tractors only).
    (v) Vehicle weight reduction, as described in 40 CFR 1037.520(e) 
(tractors only for Phase 1).
    (vi) Automatic engine shutdown systems, as described in 40 CFR 
1037.660 (only for Phase 1 Class 8 sleeper cabs). For Phase 1, enter a 
GEM input value of 5.0 g/ton-mile, or an adjusted value as specified in 
40 CFR 1037.660.
    (5) For Phase 2 vehicles, the GEM inputs described in paragraphs 
(b)(4)(i) through (v) of this section continue to apply. Note that the 
provisions related to vehicle speed limiters and automatic engine 
shutdown systems are available for vocational vehicles in Phase 2. The 
additional GEM inputs that apply for vocational vehicles and other 
tractor regulatory subcategories for demonstrating compliance with Phase 
2 standards are as follows:
    (i) Engine characteristics. Enter information from the engine 
manufacturer to describe the installed engine and its operating 
parameters as described in 40 CFR 1036.510 and 1037.520(f).
    (ii) Vehicle information. Enter information in accordance with 40 
CFR 1037.520(g) for the vehicle and its operating parameters including:
    (A) Transmission make, model and type;
    (B) Drive axle configuration;
    (C) Drive axle ratio, ka;
    (D) GEM inputs associated with powertrain testing include powertrain

[[Page 150]]

family, transmission calibration identifier, test data from 40 CFR 
1037.550, and the powertrain test configuration (dynamometer connected 
to transmission output or wheel hub).
    (iii) Idle-reduction technologies. Identify whether the 
manufacturer's vehicle has qualifying idle-reduction technologies, 
subject to the qualifying criteria in 40 and 1037.660 and enter values 
for stop start and neutral idle technologies as specified in 40 CFR 
1037.520(h).
    (iv) Axle and transmission efficiency. Manufacturers may use axle 
efficiency maps as described in 40 CFR 1037.560 and transmission 
efficiency maps as described in 40 CFR 1037.565 to replace the default 
values in GEM.
    (v) Additional reduction technologies. Enter input values in GEM as 
follows to characterize the percentage CO2 emission reduction 
corresponding to certain technologies and vehicle configurations, or 
enter 0 as specified in 40 CFR 1037.520(j):
    (A) Intelligent controls
    (B) Accessory load
    (C) Tire-pressure systems
    (D) Extended-idle reduction
    (E) Additional GEM inputs may apply as follows:
    (1) Enter 1.7 and 0.9, respectively, for school buses and coach 
buses that have at least seven available forward gears.
    (2) If the agencies approve an off-cycle technology under Sec. 
535.7(f) and 40 CFR 1037.610 in the form of an improvement factor, enter 
the improvement factor expressed as a percentage reduction in 
CO2 emissions. (Note: In the case of approved off-cycle 
technologies whose benefit is quantified as a g/ton-mile credit, apply 
the credit to the GEM result, not as a GEM input value.)
    (vi) Vehicles with hybrid power take-off (PTO). For vocational 
vehicles, determine the delta PTO emission result of the manufacturer's 
engine and hybrid power take-off system as described in 40 CFR 1037.540.
    (vii) Aerodynamic improvements for vocational vehicles. For 
vocational vehicles certified using the Regional duty cycle, enter 
[Delta]CdA values to account for using rear fairings and a 
reduced minimum frontal area as specified in 40 CFR 1037.520(m) and 
1037.527.
    (viii) Alternate fuels. For fuels other than those identified in 
GEM, perform the simulation by identifying the vehicle as being diesel-
fueled if the engine is subject to the compression-ignition standard, or 
as being gasoline-fueled if the engine is subject to the spark-ignition 
standards. Correct the engine or powertrain fuel map for mass-specific 
net energy content as described in 40 CFR 1036.535(b).
    (ix) Custom chassis vehicles. A simplified versions of GEM applies 
for custom chassis vehicle subject Sec. 535.5(b)(6) in accordance with 
40 CFR 1037.520(a)(2)(ii).
    (6) In unusual circumstances, manufacturers may ask EPA to use 
weighted average results of multiple GEM runs to represent special 
technologies for which no single GEM run can accurately reflect.
    (7) From the GEM results, select the CO2 family emissions 
level (FEL) and equivalent fuel consumption values for vocational 
vehicle and tractor families in each regulatory subcategory for each 
model year. Equivalent fuel consumption FELs are derived in GEM and 
expressed to the nearest 0.0001 gallons per 1000 ton-mile. For families 
containing multiple subfamilies, identify the FELs for each subfamily.
    (c) [Reserved]
    (d) Heavy-duty engines. This section describes the method for 
determining equivalent fuel consumption family certification level (FCL) 
values for engine families of heavy-duty truck tractors and vocational 
vehicles. The NHTSA heavy-duty engine fuel consumption FCLs are 
determined from the EPA FCLs tested in accordance with 40 CFR 1036, 
subpart F. Each engine family must use the same primary intended service 
class as designated for EPA in accordance with 40 CFR 1036.140.
    (1) Manufacturers must select emission-data engines representing the 
tested configuration of each engine family specified in 40 CFR part 86 
and 40 CFR 1036.235 for engines in heavy-duty truck tractors and 
vocational vehicles that make up each of the manufacture's regulatory 
subcategories.
    (2) Standards in Sec. 535.5(d) apply to the CO2 
emissions rates for each emissions-data engine in an engine family 
subject

[[Page 151]]

to the procedures and equipment specified in 40 CFR part 1036, subpart 
F. Determine equivalent fuel consumptions rates using CO2 
emissions rates in grams per hp-hr measured to at least one more decimal 
place than that of the applicable EPA standard in 40 CFR 1036.108.
    (i) Use the CO2 emissions test results for engines 
running on each fuel type for conventional, dedicated, multi-fueled 
(dual-fuel, and flexible-fuel) engines as specified in 40 CFR part 1036, 
subpart F.
    (ii) Use the CO2 emissions result for multi-fueled 
engines using the same weighted fuel mixture emission results as 
specified in 40 CFR 1036.235 and 40 CFR part 1036, subpart F.
    (iii) Use the CO2 emissions test results for hybrid 
engines as described in 40 CFR 1036.525.
    (iv) All electric vehicles are deemed to have zero emissions of 
CO2 and zero fuel consumption. No emission or fuel 
consumption testing is required for such electric vehicles.
    (3) Use the CO2 emissions test results for tractor engine 
families in accordance with 40 CFR 1036.501 and for vocational vehicle 
engine families in accordance with 40 CFR part 86, subpart N, for each 
heavy-duty engine regulatory subcategory for each model year.
    (i) If a manufacturer certifies an engine family for use both as a 
vocational engine and as a tractor engine, the manufacturer must split 
the family into two separate subfamilies in accordance with 40 CFR 
1036.230. The manufacturer may assign the numbers and configurations of 
engines within the respective subfamilies at any time prior to the 
submission of the end-of-year report required by 40 CFR 1036.730 and 
Sec. 535.8. The manufacturer must track into which type of vehicle each 
engine is installed, although EPA may allow the manufacturer to use 
statistical methods to determine this for a fraction of its engines.
    (ii) The following engines are excluded from the engine families 
used to determine fuel consumption FCL values and the benefit for these 
engines is determined as an advanced technology credit under the ABT 
provisions provided in Sec. 535.7(e); these provisions apply only for 
the Phase 1 program:
    (A) Engines certified as hybrid engines or power packs.
    (B) Engines certified as hybrid engines designed with PTO capability 
and that are sold with the engine coupled to a transmission.
    (C) Engines with Rankine cycle waste heat recovery.
    (4) Manufacturers generating CO2 emissions rates to 
demonstrate compliance to EPA vehicle standards for model years 2021 and 
later, using engine fuel maps determined in accordance with 40 CFR 
1036.535 and 1036.540 or engine powertrain results configuration, must 
use the same compliance pathway and model years for certifying under the 
NHTSA program. Manufacturers may omit providing equivalent fuel 
consumption FCLs under this section if all of its engines will be 
installed in vehicles that are certified based on powertrain testing as 
described in 40 CFR 1037.550.
    (5) Calculate equivalent fuel consumption values from the emissions 
CO2 FCLs levels for certified engines, in gallons per 100 hp-
hr and round each fuel consumption value to the nearest 0.0001 gallon 
per 100 hp-hr.
    (i) Calculate equivalent fuel consumption FCL values for 
compression-ignition engines and alternative fuel compression-ignition 
engines. CO2 FCL value (grams per hp-hr)/10,180 grams per 
gallon of diesel fuel) x (10\2\) = Fuel consumption FCL value (gallons 
per 100 hp-hr).
    (ii) Calculate equivalent fuel consumption FCL values for spark-
ignition engines and alternative fuel spark-ignition engines. 
CO2 FCL value (grams per hp-hr)/8,877 grams per gallon of 
gasoline fuel) x (10\2\) = Fuel consumption FCL value (gallons per 100 
hp-hr).
    (iii) Manufacturers may carryover fuel consumption data from a 
previous model year if allowed to carry over emissions data for EPA in 
accordance with 40 CFR 1036.235.
    (iv) If a manufacturer uses an alternate test procedure under 40 CFR 
1065.10 and subsequently the data is rejected by EPA, NHTSA will also 
reject the data.
    (e) Heavy-duty trailers. This section describes the method for 
determining

[[Page 152]]

the fuel consumption performance rates for trailers. The NHTSA heavy-
duty trailers fuel consumption performance rates correspond to the same 
requirements for EPA as specified in 40 CFR part 1037, subpart F.
    (1) Select trailer family configurations that make up each of the 
manufacturer's regulatory subcategories of heavy-duty trailers in 40 CFR 
1037.230 and Sec. 535.4.
    (2) Obtain preliminary approvals for trailer aerodynamic devices 
from EPA in accordance with 40 CFR 1037.150.
    (3) For manufacturers voluntarily complying in model years 2018 
through 2020, and for trailers complying with mandatory standards in 
model years 2021 and later, determine the CO2 emissions and 
fuel consumption results for partial- and full-aero trailers using the 
equations and technologies specified in 40 CFR part 1037, subpart F. Use 
testing to determine input values in accordance with 40 CFR 1037.515.
    (4) From the equation results, use the CO2 family 
emissions level (FEL) to calculate equivalent fuel consumption FELs are 
expressed to the nearest 0.0001 gallons per 1000 ton-mile.
    (i) For families containing multiple subfamilies, identify the FELs 
for each subfamily.
    (ii) Calculate equivalent fuel consumption FEL values for trailer 
families. CO2 FEL value (grams per 1000 ton-mile)/10,180 
grams per 1000 ton-mile of diesel fuel) x (10\3\) = Fuel consumption FEL 
value. The equivalent fuel consumption FELs are expressed to the nearest 
0.0001 gallons per 1000 ton-mile.



Sec. 535.7  Averaging, banking, and trading (ABT) credit program.

    (a) General provisions. After the end of each model year, 
manufacturers must comply with the fuel consumption standards in Sec. 
535.5 for averaging, banking and trading credits. Trailer manufacturers 
are excluded from this section except for those producing full-aero box 
trailers, which may comply with special provisions in paragraph (e) of 
this section. Manufacturers comply with standards if the sum of 
averaged, banked and traded credits generate a ``zero'' credit balance 
or a credit surplus within an averaging set of vehicles or engines. 
Manufacturers fail to comply with standards if the sum of the credit 
flexibilities generate a credit deficit (or shortfall) in an averaging 
set. Credit shortfalls must be offset by banked or traded credits within 
three model years after the shortfall is incurred. These processes are 
hereafter referenced as the NHTSA ABT credit program. The following 
provisions apply to all fuel consumption credits.
    (1) Credits (or fuel consumption credits (FCCs)). Credits in this 
part mean a calculated weighted value representing the difference 
between the fuel consumption performance and the standard of a vehicle 
or engine family or fleet within a particular averaging set. Positive 
credits represent cases where a vehicle or engine family or fleets 
perform better than the applicable standard (the fuel consumption 
performance is less than the standard) whereas negative credits 
represent underperforming cases. The value of a credit is calculated 
according to paragraphs (b) through (e) of this section. FCCs are only 
considered earned or useable for averaging, banking or trading after EPA 
and NHTSA have verified the information in a manufacturer's final 
reports required in Sec. 535.8. Types of FCCs include the following:
    (i) Conventional credits. Credits generated by vehicle or engine 
families or fleets containing conventional vehicles (i.e., gasoline, 
diesel and alternative fueled vehicles).
    (ii) Early credits. Credits generated by vehicle or engine families 
or fleets produced for model year 2013. Early credits are multiplied by 
an incentive factor of 1.5 times.
    (iii) Advanced technology credits. Credits generated by vehicle or 
engine families or subconfigurations containing vehicles with advanced 
technologies (i.e., hybrids with regenerative braking, vehicles equipped 
with Rankine-cycle engines, electric and fuel cell vehicles) and 
incentivized under this ABT credit program in paragraph (f)(1) of this 
section and by EPA under 40 CFR 86.1819-14(d)(7), 1036.615, and 
1037.615.
    (iv) Innovative and off-cycle technology credits. Credits can be 
generated by vehicle or engine families or subconfigurations having fuel 
consumption reductions resulting from technologies not reflected in the 
GEM simulation tool

[[Page 153]]

or in the FTP chassis dynamometer and that were not in common use with 
heavy-duty vehicles or engines before model year 2010 that are not 
reflected in the specified test procedure. Manufacturers should prove 
that these technologies were not in common use in heavy-duty vehicles or 
engines before model year 2010 by demonstrating factors such as the 
penetration rates of the technology in the market. NHTSA will not 
approve any request if it determines that these technologies do not 
qualify. The approach for determining innovative and off-cycle 
technology credits under this fuel consumption program is described in 
paragraph (f)(2) of this section and by EPA under 40 CFR 86.1819-
14(d)(13), 1036.610, and 1037.610.
    (2) Averaging. Averaging is the summing of a manufacturer's positive 
and negative FCCs for engines or vehicle families or fleets within an 
averaging set. The principle averaging sets are defined in Sec. 535.4.
    (i) A credit surplus occurs when the net sum of the manufacturer's 
generated credits for engines or vehicle families or fleets within an 
averaging set is positive (a zero credit balance is when the sum equals 
zero).
    (ii) A credit deficit occurs when the net sum of the manufacturer's 
generated credits for engines or vehicle families or fleets within an 
averaging set is negative.
    (iii) Positive credits, other than advanced technology credits, 
generated and calculated within an averaging set may only be used to 
offset negative credits within the same averaging set.
    (iv) Manufacturers may certify one or more vehicle families (or 
subfamilies) to an FEL above the applicable fuel consumption standard, 
subject to any applicable FEL caps and other provisions allowed by EPA 
in 40 CFR parts 1036 and 1037, if the manufacturer shows in its 
application for certification to EPA that its projected balance of all 
FCC transactions in that model year is greater than or equal to zero or 
that a negative balance is allowed by EPA under 40 CFR 1036.745 and 
1037.745.
    (v) If a manufacturer certifies a vehicle family to an FEL that 
exceeds the otherwise applicable standard, it must obtain enough FCC to 
offset the vehicle family's deficit by the due date of its final report 
required in Sec. 535.8. The emission credits used to address the 
deficit may come from other vehicle families that generate FCCs in the 
same model year (or from the next three subsequent model years), from 
banked FCCs from previous model years, or from FCCs generated in the 
same or previous model years that it obtained through trading. Note that 
the option for using banked or traded credits does not apply for 
trailers.
    (vi) Manufacturers may certify a vehicle or engine family using an 
FEL (as described in Sec. 535.6) below the fuel consumption standard 
(as described in Sec. 535.5) and choose not to generate conventional 
fuel consumption credits for that family. Manufacturers do not need to 
calculate fuel consumption credits for those families and do not need to 
submit or keep the associated records described in Sec. 535.8 for these 
families. Manufacturers participating in NHTSA's FCC program must 
provide reports as specified in Sec. 535.8.
    (3) Banking. Banking is the retention of surplus FCC in an averaging 
set by the manufacturer for use in future model years for the purpose of 
averaging or trading.
    (i) Surplus credits may be banked by the manufacturer for use in 
future model years, or traded, given the restriction that the credits 
have an expiration date of five model years after the year in which the 
credits are generated. For example, banked credits earned in model year 
2014 may be utilized through model year 2019. Surplus credits will 
become banked credits unless a manufacturer contacts NHTSA to expire its 
credits.
    (ii) Surplus credits become earned or usable banked FCCs when the 
manufacturer's final report is approved by both agencies. However, the 
agencies may revoke these FCCs at any time if they are unable to verify 
them after reviewing the manufacturer's reports or auditing its records.
    (iii) Banked FCC retain the designation from the averaging set and 
model year in which they were generated.
    (iv) Banked credits retain the designation of the averaging set in 
which they were generated.

[[Page 154]]

    (v) Trailer manufacturers generating credits in paragraph (e) of 
this section may not bank credits except to resolve credit deficits in 
the same model year or from up to three prior model years.
    (4) Trading. Trading is a transaction that transfers banked FCCs 
between manufacturers or other entities in the same averaging set. A 
manufacturer may use traded FCCs for averaging, banking, or further 
trading transactions.
    (i) Manufacturers may only trade banked credits to other 
manufacturers to use for compliance with fuel consumption standards. 
Traded FCCs, other than advanced technology credits, may be used only 
within the averaging set in which they were generated. Manufacturers may 
only trade credits to other entities for the purpose of expiring 
credits.
    (ii) Advanced technology credits can be traded across different 
averaging sets.
    (iii) The agencies may revoke traded FCCs at any time if they are 
unable to verify them after reviewing the manufacturer's reports or 
auditing its records.
    (iv) If a negative FCC balance results from a transaction, both the 
buyer and seller are liable, except in cases the agencies deem to 
involve fraud. See Sec. 535.9 for cases involving fraud. EPA also may 
void the certificates of all vehicle families participating in a trade 
that results in a manufacturer having a negative balance of emission 
credits. See 40 CFR 1037.745.
    (v) Trailer manufacturers generating credits in paragraph (e) of 
this section starting in model year 2027 may not bank or trade credits. 
These manufacturers may only use credits for the purpose of averaging.
    (vi) Manufacturers with deficits or projecting deficits before or 
during a production model year may not trade credits until its available 
credits exceed the deficit. Manufacturers with a deficit may not trade 
credits if the deadline to offset that credit deficit has passed.
    (5) Credit deficit (or credit shortfall). A credit shortfall or 
deficit occurs when the sum of the manufacturer's generated credits for 
engines or vehicle families or fleets within an averaging set is 
negative. Credit shortfalls must be offset by an available credit 
surplus within three model years after the shortfall was incurred. If 
the shortfall cannot be offset, the manufacturer is liable for civil 
penalties as discussed in Sec. 535.9.
    (6) FCC credit plan. (i) Each model year manufacturers submit credit 
plan in their certificates of conformity as required in 40 CFR 
1036.725(b)(2) and 40 CFR 1037.725(b)(2). The plan is required to 
contain equivalent fuel consumption information in accordance Sec. 
535.8(c). The plan must include:
    (A) Detailed calculations of projected emission and fuel consumption 
credits (positive or negative) based on projected U.S.-directed 
production volumes. The agencies may require a manufacturer to include 
similar calculations from its other engine or vehicle families to 
project its net credit balances for the model year. If a manufacturer 
projects negative emission and/or fuel consumption credits for a family, 
it must state the source of positive emission and/or fuel consumption 
credits it expects to use to offset the negative credits demonstrating 
how it plans to resolve any credit deficits that might occur for a model 
year within a period of up to three model years after that deficit has 
occurred.
    (B) Actual emissions and fuel consumption credit balances, credit 
transactions, and credit trades.
    (ii) Manufacturers are required to provide updated credit plans 
after receiving their final verified reports from EPA and NHTSA after 
the end of each model year.
    (iii) The agencies may determine that a manufacturer's plan is 
unreasonable or unrealistic based on a consideration of past and 
projected use of specific technologies, the historical sales mix of its 
vehicle models, subsequent failure to follow any submitted plans, and 
limited expected access to traded credits.
    (iv) The agencies may also consider the plan unreasonable if the 
manufacturer's credit deficit increases from one model year to the next. 
The agencies may require that the manufacturers must send interim 
reports describing its progress toward resolving its

[[Page 155]]

credit deficit over the course of a model year.
    (v) If NHTSA determines that a manufacturers plan is unreasonable or 
unrealistic, the manufacturer is deemed as not comply with fuel 
consumption standards as specified in Sec. 535.10(c) and the 
manufacturer may be liable for civil penalties.
    (7) Revoked credits. NHTSA may revoke fuel consumption credits if 
unable to verify any information after auditing reports or records or 
conducting confirmatory testing. In the cases where EPA revokes 
emissions CO2 credits, NHTSA will revoke the equivalent 
amount of fuel consumption credits.
    (8) Transition to Phase 2 standards. The following provisions allow 
for enhanced use of fuel consumption credits from Phase 1 tractors and 
vocational vehicles for meeting the Phase 2 standards:
    (i) Fuel consumption credits a manufacturer generates for light and 
medium heavy-duty vocational vehicles in model years 2018 through 2021 
may be used through model year 2027, instead of being limited to a five-
year credit life as specified in this part.
    (ii) The manufacturer may use the off-cycle provisions of paragraph 
(f) of this section to apply technologies to Phase 1 vehicles as 
follows:
    (A) A manufacturer may apply an improvement factor of 0.988 for 
tractors and vocational vehicles with automatic tire inflation systems 
on all axles.
    (B) For vocational vehicles with automatic engine shutdown systems 
that conform with 40 CFR 1037.660, a manufacturer may apply an 
improvement factor of 0.95.
    (C) For vocational vehicles with stop-start systems that conform 
with 40 CFR 1037.660, a manufacturer may apply an improvement factor of 
0.92.
    (D) For vocational vehicles with neutral-idle systems conforming 
with 40 CFR 1037.660, manufacturers may apply an improvement factor of 
0.98. Manufacturers may adjust this improvement factor if we approve a 
partial reduction under 40 CFR 1037.660(a)(2); for example, if the 
manufacturer's design reduces fuel consumption by half as much as 
shifting to neutral, it may apply an improvement factor of 0.99.
    (9) Credits for small business manufacturers. Small manufacturers 
may generate fuel consumption credits for natural gas-fueled vocational 
vehicles as follows:
    (i) Small manufacturers may certify their vehicles instead of 
relying on the exemption of Sec. 535.3.
    (ii) Use Phase 1 GEM to determine a fuel consumption level for 
vehicle, then multiply this value by the engine's FCL for fuel 
consumption and divide by the engine's applicable fuel consumption 
standard.
    (iii) Use the value determined in paragraph (ii) in the credit 
equation specified in part (c) of this section in place of the term (Std 
- FEL).
    (iv) The following provisions apply uniquely to small businesses 
under the custom-chassis standards of Sec. 535.5(b)(6):
    (A) Manufacturers may use fuel consumption credits generated under 
paragraph (c) of this section, including banked or traded credits from 
any averaging set. Such credits remain subject to other limitations that 
apply under this part.
    (B) Manufacturers may produce up to 200 drayage tractors in a given 
model year to the standards described in Sec. 535.5(b)(6) for ``other 
buses''. Treat these drayage tractors as being in their own averaging 
set.
    (10) Certifying non-gasoline engines. A manufacturer producing non-
gasoline engines complying with model year 2021 or later medium heavy-
duty spark-ignition standards may not generate fuel consumption credits. 
Only manufacturers producing gasoline engines certifying to spark-
ignition standards can generate fuel consumption credits under paragraph 
(d) of this part.
    (b) ABT provisions for heavy-duty pickup trucks and vans. (1) 
Calculate fuel consumption credits in a model year for one fleet of 
conventional heavy-duty pickup trucks and vans and if designated by the 
manufacturer another consisting of advance technology vehicles for the 
averaging set as defined in Sec. 535.4. Calculate credits for each 
fleet separately using the following equation:

Total MY Fleet FCC (gallons) = (Std - Act) x (Volume) x (UL) x (10\2\)


[[Page 156]]


Where:

Std = Fleet average fuel consumption standard (gal/100 mile).
Act = Fleet average actual fuel consumption value (gal/100 mile).
Volume = the total U.S.-directed production of vehicles in the 
          regulatory subcategory.
UL = the useful life for the regulatory subcategory. The useful life 
          value for heavy-pickup trucks and vans manufactured for model 
          years 2013 through 2020 is equal to the 120,000 miles. The 
          useful life for model years 2021 and later is equal to 150,000 
          miles.

    (2) Adjust the fuel consumption performance of subconfigurations 
with advanced technology for determining the fleet average actual fuel 
consumption value as specified in paragraph (f)(1) of this section and 
40 CFR 86.1819-14(d)(7). Advanced technology vehicles can be separated 
in a different fleet for the purpose of applying credit incentives as 
described in paragraph (f)(1) of this section.
    (3) Adjust the fuel consumption performance for subconfigurations 
with innovative technology. A manufacturer is eligible to increase the 
fuel consumption performance of heavy-duty pickup trucks and vans in 
accordance with procedures established by EPA set forth in 40 CFR part 
600. The eligibility of a manufacturer to increase its fuel consumption 
performance through use of an off-cycle technology requires an 
application request made to EPA and NHTSA in accordance with 40 CFR 
86.1869-12 and an approval granted by the agencies. For off-cycle 
technologies that are covered under 40 CFR 86.1869-12, NHTSA will 
collaborate with EPA regarding NHTSA's evaluation of the specific off-
cycle technology to ensure its impact on fuel consumption and the 
suitability of using the off-cycle technology to adjust fuel consumption 
performance. NHTSA will provide its views on the suitability of the 
technology for that purpose to EPA. NHTSA will apply the criteria in 
section (f) of this section in granting or denying off-cycle requests.
    (4) Fuel consumption credits may be generated for vehicles certified 
in model year 2013 to the model year 2014 standards in Sec. 535.5(a). 
If a manufacturer chooses to generate CO2 emission credits 
under EPA's provisions in 40 CFR part 86, it may also voluntarily 
generate early credits under the NHTSA fuel consumption program. To do 
so, a manufacturer must certify its entire U.S.-directed production 
volume of vehicles in its fleet. The same production volume restrictions 
specified in 40 CFR 1037.150(a)(2) relating to when test groups are 
certified apply to the NHTSA early credit provisions. Credits are 
calculated as specified in paragraph (b)(3) of this section relative to 
the fleet standard that would apply for model year 2014 using the model 
year 2013 production volumes. Surplus credits generated under this 
paragraph (b)(4) are available for banking or trading. Credit deficits 
for an averaging set prior to model year 2014 do not carry over to model 
year 2014. These credits may be used to show compliance with the 
standards of this part for 2014 and later model years. Once a 
manufacturer opts into the NHTSA program they must stay in the program 
for all of the optional model years and remain standardized with the 
same implementation approach being followed to meet the EPA 
CO2 emission program.
    (5) Calculate the averaging set credit value by summing together the 
fleet credits for conventional and advanced technology vehicles 
including any adjustments for innovative technologies. Manufacturers may 
sum conventional and innovative technology credits before adding any 
advanced technology credits in each averaging set.
    (6) For credits that manufacturers calculate based on a useful life 
of 120,000 miles, multiply any banked credits carried forward for use in 
model year 2021 and later by 1.25. For credit deficits that a 
manufacturer calculates based on a useful life of 120,000 miles and that 
it offsets with credits originally earned in model year 2021 and later, 
it multiplies the credit deficit by 1.25.
    (c) ABT provisions for vocational vehicles and tractors. (1) 
Calculate the fuel consumption credits in a model year for each 
participating family or subfamily consisting of conventional vehicles in 
each averaging set (as defined in Sec. 535.4) using the equation in 
this section. Each designated vehicle family or subfamily has a ``family 
emissions limit'' (FEL) that is compared to the

[[Page 157]]

associated regulatory subcategory standard. An FEL that falls below the 
regulatory subcategory standard creates ``positive credits,'' while fuel 
consumption level of a family group above the standard creates a 
``negative credits.'' The value of credits generated for each family or 
subfamily in a model year is calculated as follows and must be rounded 
to nearest whole number:

    Vehicle Family FCC (gallons) = (Std - FEL) x (Payload) x (Volume) x 
(UL) x (10\3\)

Where:

Std = the standard for the respective vehicle family regulatory 
          subcategory (gal/1000 ton-mile).
FEL = family emissions limit for the vehicle family (gal/1000 ton-mile).
Payload = the prescribed payload in tons for each regulatory subcategory 
          as shown in the following table:

------------------------------------------------------------------------
                 Regulatory subcategory                   Payload (tons)
------------------------------------------------------------------------
Vocational LHD Vehicles.................................            2.85
Vocational MHD Vehicles.................................            5.60
Vocational HHD Vehicles.................................             7.5
MDH Tractors............................................           12.50
HHD Tractors, other than heavy-haul Tractors............           19.00
Heavy-haul Tractors.....................................           43.00
------------------------------------------------------------------------

Volume = the number of U.S.-directed production volume of vehicles in 
          the corresponding vehicle family.
UL = the useful life for the regulatory subcategory (miles) as shown in 
          the following table:

------------------------------------------------------------------------
         Regulatory subcategory                     UL (miles)
------------------------------------------------------------------------
LHD Vehicles............................  110,000 (Phase 1).
                                          150,000 (Phase 2).
Vocational MHD Vehicles and tractors at   185,000.
 or below 33,000 pounds GVWR.
Vocation HHD Vehicles and tractors at or  435,000.
 above 33,000 pounds GVWR.
------------------------------------------------------------------------

    (i) Calculate the value of credits generated in a model year for 
each family or subfamily consisting of vehicles with advanced technology 
vehicles in each averaging set using the equation above and the 
guidelines provided in paragraph (f)(1) of this section. Manufacturers 
may generate credits for advanced technology vehicles using incentives 
specified in paragraph (f)(1) of this section.
    (ii) Calculate the value of credits generated in a model year for 
each family or subfamily consisting of vehicles with off-cycle 
technology vehicles in each averaging set using the equation above and 
the guidelines provided in paragraph (f)(2) of this section.
    (2) Manufacturers must sum all negative and positive credits for 
each vehicle family within each applicable averaging set to obtain the 
total credit balance for the model year before rounding. The sum of fuel 
consumptions credits must be rounded to the nearest gallon. Calculate 
the total credits generated in a model year for each averaging set using 
the following equation:

Total averaging set MY credits = [Sigma] Vehicle family credits within 
each averaging set

    (3) Manufacturers can sum conventional and innovative technology 
credits before adding any advanced technology credits in each averaging 
set.
    (4) If a manufacturer chooses to generate CO2 emission 
credits under EPA provisions of 40 CFR 1037.150(a), it may also 
voluntarily generate early credits under the NHTSA fuel consumption 
program as follows:
    (i) Fuel consumption credits may be generated for vehicles certified 
in model year 2013 to the model year 2014 standards in Sec. 535.5(b) 
and (c). To do so, a manufacturer must certify its entire U.S.-directed 
production volume of vehicles. The same production volume restrictions 
specified in 40 CFR 1037.150(a)(1) relating to when test groups are 
certified apply to the NHTSA early credit provisions. Credits are 
calculated as specified in paragraph (c)(11) of this section relative to 
the standards that would apply for model year 2014. Surplus credits 
generated under this paragraph (c)(4) may be increased by a factor of 
1.5 for determining total available credits for banking or trading. For 
example, if a manufacturer has 10 gallons of surplus credits for model 
year 2013, it may bank 15 gallons of credits. Credit deficits for an 
averaging set prior to model year 2014 do not carry over to model year 
2014. These credits may be used to show compliance with the standards of 
this part for 2014 and later model years. Once a manufacturer opts into 
the NHTSA program they must stay in the program for all of the optional 
model years and remain standardized with the same implementation 
approach being

[[Page 158]]

followed to meet the EPA CO2 emission program.
    (ii) A tractor manufacturer may generate fuel consumption credits 
for the number of additional SmartWay designated tractors (relative to 
its MY 2012 production), provided that credits are not generated for 
those vehicles under paragraph (c)(4)(i) of this section. Calculate 
credits for each regulatory sub-category relative to the standard that 
would apply in model year 2014 using the equations in paragraph (c)(2) 
of this section. Use a production volume equal to the number of verified 
model year 2013 SmartWay tractors minus the number of verified model 
year 2012 SmartWay tractors. A manufacturer may bank credits equal to 
the surplus credits generated under this paragraph multiplied by 1.50. A 
manufacturer's 2012 and 2013 model years must be equivalent in length. 
Once a manufacturer opts into the NHTSA program they must stay in the 
program for all of the optional model years and remain standardized with 
the same implementation approach being followed to meet the EPA 
CO2 emission program.
    (5) If a manufacturer generates credits from vehicles certified for 
advanced technology in accordance with paragraph (e)(1) of this section, 
a multiplier of 1.5 can be used, but this multiplier cannot be used on 
the same credits for which the early credit multiplier is used.
    (6) For model years 2012 and later, manufacturers may generate or 
use fuel consumption credits for averaging to demonstrate compliance 
with the alternative standards as described in Sec. 535.5(b)(6) of this 
part. Manufacturers can specify a Family Emission Limit (FEL) for fuel 
consumption for each vehicle subfamily. The FEL may not be less than the 
result of emissions and fuel consumption modeling as described in 40 CFR 
1037.520 and Sec. 535.6. These FELs serve as the fuel consumption 
standards for the vehicle subfamily instead of the standards specified 
in this Sec. 535.5(b)(6). Manufacturers may not use averaging for motor 
homes, coach buses, emergency vehicles or concrete mixers meeting 
standards under Sec. 535.5(b)(5).
    (7) Manufacturers may not use averaging for vehicles meeting 
standards Sec. 535.5(b)(6)(iv) through (vi), and manufacturers may not 
use fuel consumption credits for banking or trading for any vehicles 
certified under Sec. 535.5(b)(6).
    (8) Manufacturers certifying any vehicles under Sec. 535.5(b)(6) 
must consider each separate vehicle type (or group of vehicle types) as 
a separate averaging set.
    (d) ABT provisions for heavy-duty engines. (1) Calculate the fuel 
consumption credits in a model year for each participating family or 
subfamily consisting of engines in each averaging set (as defined in 
Sec. 535.4) using the equation in this section. Each designated engine 
family has a ``family certification level'' (FCL) which is compared to 
the associated regulatory subcategory standard. A FCL that falls below 
the regulatory subcategory standard creates ``positive credits,'' while 
fuel consumption level of a family group above the standard creates a 
``credit shortfall.'' The value of credits generated in a model year for 
each engine family or subfamily is calculated as follows and must be 
rounded to nearest whole number:

Engine Family FCC (gallons) = (Std - FCL) x (CF) x (Volume) x (UL) x 
(10\2\)

Where:

Std = the standard for the respective engine regulatory subcategory 
          (gal/100 hp-hr).
FCL = family certification level for the engine family (gal/100 hp-hr).
CF = a transient cycle conversion factor in hp-hr/mile which is the 
          integrated total cycle horsepower-hour divided by the 
          equivalent mileage of the applicable test cycle. For engines 
          subject to spark-ignition heavy-duty standards, the equivalent 
          mileage is 6.3 miles. For engines subject to compression-
          ignition heavy-duty standards, the equivalent mileage is 6.5 
          miles.
Volume = the number of engines in the corresponding engine family.
UL = the useful life of the given engine family (miles) as shown in the 
          following table:

------------------------------------------------------------------------
         Regulatory subcategory                     UL (miles)
------------------------------------------------------------------------
SI and CI LHD Engines...................  120,000 (Phase 1).
                                          150,000 (Phase 2).
CI MHD Engines..........................  185,000.

[[Page 159]]

 
CI HHD Engines..........................  435,000.
------------------------------------------------------------------------

    (i) Calculate the value of credits generated in a model year for 
each family or subfamily consisting of engines with advanced technology 
vehicles in each averaging set using the equation above and the 
guidelines provided in paragraph (f)(1) of this section. Manufacturers 
may generate credits for advanced technology vehicles using incentives 
specified in paragraph (f)(1) of this section.
    (ii) Calculate the value of credits generated in a model year for 
each family or subfamily consisting of engines with off-cycle technology 
vehicles in each averaging set using the equation above and the 
guidelines provided in paragraph (f)(2) of this section.
    (2) Manufacturers shall sum all negative and positive credits for 
each engine family within the applicable averaging set to obtain the 
total credit balance for the model year before rounding. The sum of fuel 
consumptions credits should be rounded to the nearest gallon.
    Calculate the total credits generated in a model year for each 
averaging set using the following equation:

Total averaging set MY credits = [Sigma] Engine family credits within 
each averaging set

    (3) The provisions of this section apply to manufacturers utilizing 
the compression-ignition engine voluntary alternate standard provisions 
specified in Sec. 535.5(d)(4) as follows:
    (i) Manufacturers may not certify engines to the alternate standards 
if they are part of an averaging set in which they carry a balance of 
banked credits. For purposes of this section, manufacturers are deemed 
to carry credits in an averaging set if they carry credits from advance 
technology that are allowed to be used in that averaging set.
    (ii) Manufacturers may not bank fuel consumption credits for any 
engine family in the same averaging set and model year in which it 
certifies engines to the alternate standards. This means a manufacturer 
may not bank advanced technology credits in a model year it certifies 
any engines to the alternate standards.
    (iii) Note that the provisions of paragraph (d)(10) of this section 
apply with respect to credit deficits generated while utilizing 
alternate standards.
    (4) Where a manufacturer has chosen to comply with the EPA 
alternative compression-ignition engine phase-in standard provisions in 
40 CFR 1036.150(e), and has optionally decided to follow the same path 
under the NHTSA fuel consumption program, it must certify all of its 
model year 2013 compression-ignition engines within a given averaging 
set to the applicable alternative standards in Sec. 535.5(d)(5). 
Engines certified to these standards are not eligible for early credits 
under paragraph (d)(14) of this section. Credits are calculated using 
the same equation provided in paragraph (d)(11) of this section.
    (5) If a manufacturer chooses to generate early CO2 
emission credits under EPA provisions of 40 CFR 1036.150, it may also 
voluntarily generate early credits under the NHTSA fuel consumption 
program. Fuel consumption credits may be generated for engines certified 
in model year 2013 (2015 for spark-ignition engines) to the standards in 
Sec. 535.5(d). To do so, a manufacturer must certify its entire U.S.-
directed production volume of engines except as specified in 40 CFR 
1036.150(a)(2). Credits are calculated as specified in paragraph (d)(11) 
of this section relative to the standards that would apply for model 
year 2014 (2016 for spark-ignition engines). Surplus credits generated 
under this paragraph (d)(3) may be increased by a factor of 1.5 for 
determining total available credits for banking or trading. For example, 
if a manufacturer has 10 gallons of surplus credits for model year 2013, 
it may bank 15 gallons of credits. Credit deficits for an averaging set 
prior to model year 2014 (2016 for spark-ignition engines) do not carry 
over to model year 2014 (2016 for spark-ignition engines). These credits 
may be used to show compliance with the standards of this part for 2014 
and later model years. Once a manufacturer opts into the NHTSA program 
they must stay in the program for all of the optional model years and 
remain standardized with the same implementation approach being

[[Page 160]]

followed to meet the EPA CO2 emission program.
    (6) Manufacturers may generate fuel consumption credits from an 
engine family subject to spark-ignition standards for exchanging with 
other engine families only if the engines in the family are gasoline-
fueled.
    (7) Engine credits generated for compression-ignition engines in the 
2020 and earlier model years may be used in model year 2021 and later 
only if the credit-generating engines were certified to the tractor 
standards in Sec. 535.5(d) and 40 CFR 1036.108. Manufacturers may 
otherwise use fuel consumption credits generated in one model year 
without adjustment for certifying vehicles in a later model year, even 
if fuel consumption standards are different.
    (8) Engine families manufacturers certify with a nonconformance 
penalty under 40 CFR part 86, subpart L, and may not generate fuel 
consumption credits.
    (9) Alternate transition option for Phase 2 engine standards. The 
following provisions allow for enhanced generation and use of fuel 
consumption credits for manufacturers complying with engines standards 
in accordance with Sec. 535.7(d)(11):
    (i) If a manufacturer is eligible to certify all of its model year 
2020 engines within the averaging set to the tractor and vocational 
vehicle engine standards in Sec. 535.5(d)(11) and the requirements 
applicable to model year 2021 engines, the banked and traded fuel 
consumption credits generated for model year 2018 through 2024 engines 
may be used through model year 2030 as specified in paragraph (d)(9)(ii) 
of this section or through a five-year credit life, whichever is later.
    (ii) Banked and traded fuel consumption credits generated under this 
paragraph (d)(9) for model year 2018 through 2024 engines may be used 
through model year 2030 with the extended credit life values shown in 
the table:

------------------------------------------------------------------------
                                                        Credit life for
                                                       transition option
                      Model year                          for phase 2
                                                        engine standards
                                                            (years)
------------------------------------------------------------------------
2018.................................................                 12
2019.................................................                 11
2020.................................................                 10
2021.................................................                  9
2022.................................................                  8
2023.................................................                  7
2024.................................................                  6
2025 and later.......................................                  5
------------------------------------------------------------------------

    (e) ABT provisions for trailers. (1) Manufacturers cannot use 
averaging for non-box trailers, partial-aero trailers, or non-aero 
trailers or cannot use fuel consumption credits for banking or trading. 
Starting in model year 2027, full aero box van manufactures may average, 
credits.
    (2) Calculate the fuel consumption credits in a model year for each 
participating family or subfamily consisting of full aero box trailers 
(vehicles) in each averaging set (as defined in Sec. 535.4) using the 
equation in this section. Each designated vehicle family or subfamily 
has a ``family emissions limit'' (FEL) which is compared to the 
associated regulatory subcategory standard. An FEL that falls below the 
regulatory subcategory standard creates ``positive credits,'' while fuel 
consumption level of a family group above the standard creates a 
``negative credits.'' The value of credits generated for each family or 
subfamily in a model year is calculated as follows and must be rounded 
to nearest whole number:

Vehicle Family FCC (gallons) = (Std - FEL) x (Payload) x (Volume) x (UL) 
x (10\3\)


Where:

Std = the standard for the respective vehicle family regulatory 
          subcategory (gal/1000 ton-mile).
FEL = family emissions limit for the vehicle family (gal/1000 ton-mile).
Payload = 10 tons for short box vans and 19 tons for other trailers.
Volume = the number of U.S.-directed production volume of vehicles in 
          the corresponding vehicle family.
UL = the useful life for the regulatory subcategory. The useful life 
          value for heavy-duty trailers is equal to the 250,000 miles.

    (3) Trailer manufacturers may not generate advanced technology 
credits.

[[Page 161]]

    (4) Manufacturers shall sum all negative and positive credits for 
each vehicle family within the applicable averaging set to obtain the 
total credit balance for the model year before rounding. Calculate the 
total credits generated in a model year for each averaging set using the 
following equation:

Total averaging set MY credits = [Sigma] Vehicle family credits within 
each averaging set

    (5) Trailer manufacturers may not bank credits within an averaging 
set but surplus fuel consumption credits from a given model year may be 
used to offset deficits from earlier model years.
    (f) Additional credit provisions--(1) Advanced technology credits. 
(i) For the Phase 1 program, manufacturers of heavy-duty pickup trucks 
and vans, vocational vehicles, tractors and the associated engines 
showing improvements in CO2 emissions and fuel consumption 
using hybrid vehicles with regenerative braking, vehicles equipped with 
Rankine-cycle engines, electric vehicles and fuel cell vehicles are 
eligible for advanced technology credits. Manufacturers shall use sound 
engineering judgment to determine the performance of the vehicle or 
engine with advanced technology. Advanced technology credits for 
vehicles or engines complying with Phase 1 standards may be increased by 
a 1.5 multiplier. Manufacturers may not apply this multiplier in 
addition to any early-credit multipliers. The maximum amount of credits 
a manufacturer may bring into the service class group that contains the 
heavy-duty pickup and van averaging set is 5.89 [middot] 10\6\ gallons 
(for advanced technology credits based upon compression-ignition 
engines) or 6.76 [middot] 10\6\ gallons (for advanced technology credits 
based upon spark-ignition engines) per model year as specified in 40 CFR 
part 86 for heavy-duty pickup trucks and vans, 40 CFR 1036.740 for 
engines and 40 CFR 1037.740 for tractors and vocational vehicles. The 
specified limit does not cap the amount of advanced technology credits 
that can be used across averaging sets within the same service class 
group. Advanced technology credits can be used to offset negative 
credits in the same averaging set or other averaging sets. A 
manufacturer must first apply advanced technology credits to any 
deficits in the same averaging set before applying them to other 
averaging.
    (A) Heavy-duty pickup trucks and vans. For advanced technology 
systems (hybrid vehicles with regenerative braking, vehicles equipped 
with Rankine-cycle engines and fuel cell vehicles), calculate fleet-
average performance rates consistent with good engineering judgment and 
the provisions of 40 CFR 86.1819-14 and 86.1865.
    (B) Tractors and vocational vehicles. For advanced technology system 
(hybrid vehicles with regenerative braking, vehicles equipped with 
Rankine-cycle engines and fuel cell vehicles), calculate the advanced 
technology credits as follows:
    (1) Measure the effectiveness of the advanced system by conducting A 
to B testing a vehicle equipped with the advanced system and an 
equivalent conventional system in accordance with 40 CFR 1037.615.
    (2) For purposes of this paragraph (f), a conventional vehicle is 
considered to be equivalent if it has the same footprint, intended 
vehicle service class, aerodynamic drag, and other relevant factors not 
directly related to the advanced system powertrain. If there is no 
equivalent vehicle, the manufacturer may create and test a prototype 
equivalent vehicle. The conventional vehicle is considered Vehicle A, 
and the advanced technology vehicle is considered Vehicle B.
    (3) The benefit associated with the advanced system for fuel 
consumption is determined from the weighted fuel consumption results 
from the chassis tests of each vehicle using the following equation:

Benefit (gallon/1000 ton mile) = Improvement Factor x GEM Fuel 
Consumption Result--B

Where:

Improvement Factor = (Fuel Consumption--A-Fuel Consumption--B)/(Fuel 
          Consumption--A).
Fuel Consumption Rates A and B are the gallons per 1000 ton-mile of the 
          conventional and advanced vehicles, respectively as measured 
          under the test procedures specified by EPA. GEM Fuel 
          Consumption Result B is the estimated gallons per 1000 ton-
          mile rate resulting from emission

[[Page 162]]

          modeling of the advanced vehicle as specified in 40 CFR 
          1037.520 and Sec. 535.6(b).

    (4) Calculate the benefit in credits using the equation in paragraph 
(c) of this section and replacing the term (Std-FEL) with the benefit.
    (5) For electric vehicles calculate the fuel consumption credits 
using an FEL of 0 g/1000 ton-mile.
    (C) Heavy-duty engines. This section specifies how to generate 
advanced technology-specific fuel consumption credits for hybrid 
powertrains that include energy storage systems and regenerative braking 
(including regenerative engine braking) and for engines that include 
Rankine-cycle (or other bottoming cycle) exhaust energy recovery 
systems.
    (1) Pre-transmission hybrid powertrains are those engine systems 
that include features that recover and store energy during engine 
motoring operation but not from the vehicle wheels. These powertrains 
are tested using the hybrid engine test procedures of 40 CFR part 1065 
or using the post-transmission test procedures.
    (2) Post-transmission hybrid powertrains are those powertrains that 
include features that recover and store energy from braking at the 
vehicle wheels. These powertrains are tested by simulating the chassis 
test procedure applicable for hybrid vehicles under 40 CFR 1037.550.
    (3) Test engines that include Rankine-cycle exhaust energy recovery 
systems according to the test procedures specified in 40 CFR part 1036, 
subpart F, unless EPA approves the manufacturer's alternate procedures.
    (D) Credit calculation. Calculate credits as specified in paragraph 
(c) of this section. Credits generated from engines and powertrains 
certified under this section may be used in other averaging sets as 
described in 40 CFR 1036.740(d).
    (ii) There are no separate credit allowances for advanced technology 
vehicles in the Phase 2 program. Instead, vehicle families containing 
plug-in battery electric hybrids, all-electric, and fuel cell vehicles 
certifying to Phase 2 vocational and tractor standards may multiply 
credits by a multiplier of:
    (A) 3.5 times for plug-in hybrid electric vehicles;
    (B) 4.5 times for all-electric vehicles; and
    (C) 5.5 times for fuel cell vehicles.
    (D) Incentivized credits for vehicles equipped with advanced 
technologies maintain the same credit flexibilities and restrictions as 
conventional credits specified in paragraph (a) of this section during 
the Phase 2 program.
    (E) For vocational vehicles and tractors subject to Phase 2 
standards, create separate vehicle families if there is a credit 
multiplier for advanced technology; group those vehicles together in a 
vehicle family if they use the same multiplier.
    (F) For Phase 2 plug-in hybrid electric vehicles and for fuel cells 
powered by any fuel other than hydrogen, calculate fuel consumption 
credits using an FEL based on equivalent emission measurements from 
powertrain testing. Phase 2 advanced-technology credits do not apply for 
hybrid vehicles that have no plug-in capability.
    (2) Innovative and off-cycle technology credits. This provision 
allows fuel saving innovative and off-cycle engine and vehicle 
technologies to generate fuel consumption credits comparable to 
CO2 emission credits consistent with the provisions of 40 CFR 
86.1819-14(d)(13) (for heavy-duty pickup trucks and vans), 40 CFR 
1036.610 (for engines), and 40 CFR 1037.610 (for vocational vehicles and 
tractors).
    (i) For model years 2013 through 2020, manufacturers may generate 
innovative technology credits for introducing technologies that were not 
in-common use for heavy-duty tractor, vocational vehicles or engines 
before model year 2010 and that are not reflected in the EPA specified 
test procedures. Upon identification and joint approval with EPA, NHTSA 
will allow equivalent fuel consumption credits into its program to those 
allowed by EPA for manufacturers seeking to obtain innovative technology 
credits in a given model year. Such credits must remain within the same 
regulatory subcategory in which the credits were generated. NHTSA will 
adopt fuel consumption credits depending upon whether--
    (A) The technology has a direct impact upon reducing fuel 
consumption performance; and

[[Page 163]]

    (B) The manufacturer has provided sufficient information to make 
sound engineering judgments on the impact of the technology in reducing 
fuel consumption performance.
    (ii) For model years 2021 and later, manufacturers may generate off-
cycle technology credits for introducing technologies that are not 
reflected in the EPA specified test procedures. Upon identification and 
joint approval with EPA, NHTSA will allow equivalent fuel consumption 
credits into its program to those allowed by EPA for manufacturers 
seeking to obtain innovative technology credits in a given model year. 
Such credits must remain within the same regulatory subcategory in which 
the credits were generated. NHTSA will adopt fuel consumption credits 
depending upon whether--
    (A) The technology meets paragraph (f)(2)(i)(A) and (B) of this 
section.
    (B) For heavy-duty pickup trucks and vans, manufacturers using the 
5-cycle test to quantify the benefit of a technology are not required to 
obtain approval from the agencies to generate results.
    (iii) The following provisions apply to all innovative and off-cycle 
technologies:
    (A) Technologies found to be defective, or identified as a part of 
NHTSA's safety defects program, and technologies that are not performing 
as intended will have the values of approved off-cycle credits removed 
from the manufacturer's credit balance.
    (B) Approval granted for innovative and off-cycle technology credits 
under NHTSA's fuel efficiency program does not affect or relieve the 
obligation to comply with the Vehicle Safety Act (49 U.S.C. Chapter 
301), including the ``make inoperative'' prohibition (49 U.S.C. 30122), 
and all applicable Federal motor vehicle safety standards issued 
thereunder (FMVSSs) (49 CFR part 571). In order to generate off-cycle or 
innovative technology credits manufacturers must state--
    (1) That each vehicle equipped with the technology for which they 
are seeking credits will comply with all applicable FMVSS(s); and
    (2) Whether or not the technology has a fail-safe provision. If no 
fail-safe provision exists, the manufacturer must explain why not and 
whether a failure of the innovative technology would affect the safety 
of the vehicle.
    (C) Manufacturers requesting approval for innovative technology 
credits are required to provide documentation in accordance with 40 CFR 
86.1869-12, 1036.610, and 1037.610.
    (D) Credits will be accepted on a one-for-one basis expressed in 
terms of gallons in comparison to those approved by EPA.
    (E) For the heavy-duty pickup trucks and vans, the average fuel 
consumption will be calculated as a separate credit amount (rounded to 
the nearest whole number) using the following equation:

Off-cycle FC credits = (CO2 Credit/CF) x 100 x Production x 
VLM

Where:

CO2 Credits = the credit value in grams per mile determined 
          in 40 CFR 86.1869-12(c)(3), (d)(1), (d)(2) or (d)(3).
CF = conversion factor, which for spark-ignition engines is 8,887 and 
          for compression-ignition engines is 10,180.
Production = the total production volume for the applicable category of 
          vehicles.
VLM = vehicle lifetime miles, which for 2b-3 vehicles shall be 150,000 
          for the Phase 2 program.
The term (CO2 Credit/CF) should be rounded to the nearest 
          0.0001.

    (F) NHTSA will not approve innovative technology credits for 
technology that is related to crash-avoidance technologies, safety 
critical systems or systems affecting safety-critical functions, or 
technologies designed for the purpose of reducing the frequency of 
vehicle crashes.
    (iv) Manufacturers normally may not calculate off-cycle credits or 
improvement factors under this section for technologies represented by 
GEM, but the agencies may allow a manufacturer to do so by averaging 
multiple GEM runs for special technologies for which a single GEM run 
cannot accurately reflect in-use performance. For example, if a 
manufacturer use an idle-reduction technology that is effective 80 
percent of the time, the agencies may allow a manufacturer to run GEM 
with the technology active and with it inactive, and then apply an 80% 
weighting factor

[[Page 164]]

to calculate the off-cycle credit or improvement factor. A may need to 
perform testing to establish proper weighting factors or otherwise 
quantify the benefits of the special technologies.
    (v) A manufacturer may apply the off-cycle provisions of this 
paragraph (2) and 40 CFR 1037.610 to trailers as early as model year 
2018 as follows:
    (A) A manufacturer may account for weight reduction based on 
measured values instead of using the weight reductions specified in 40 
CFR 1037.515. Quantify the weight reduction by measuring the weight of a 
trailer in a certified configuration and comparing it to the weight of 
an equivalent trailer without weight-reduction technologies. This 
qualifies as A to B testing this part. Use good engineering judgment to 
select an equivalent trailer representing a baseline configuration. Use 
the calculated weight reduction in the equation specified in 40 CFR 
1037.515 to calculate the trailer's CO2 emission rate and 
calculate an equivalent fuel consumption rate.
    (B) If a manufacturer's off-cycle technology reduces emissions and 
fuel consumption in a way that is proportional to measured rates as 
described in 40 CFR 1037.610(b)(1), multiply the trailer's 
CO2 fuel consumption rate by the appropriate improvement 
factor.
    (C) If a manufacturer's off-cycle technology does not yield emission 
and fuel consumption reductions that are proportional to measured rates, 
as described in 40 CFR 1037.610(b)(2), calculate an adjusted 
CO2 fuel consumption rate for trailers by subtracting the 
appropriate off-cycle credit.
    (vi) Carry-over Approval. Manufacturers may carry-over these credits 
into future model years as described below:
    (A) For model years before 2021, manufacturers may continue to use 
an approved improvement factor or credit for any appropriate engine or 
vehicle family in future model years through 2020.
    (B) For model years 2021 and later, manufacturers may not rely on an 
approval for model years before 2021. Manufacturers must separately 
request the agencies approval before applying an improvement factor or 
credit under this section for 2021 and later engines and vehicle, even 
if the agencies approve the improvement factor or credit for similar 
engine and vehicle models before model year 2021.
    (C) The following restrictions also apply to manufacturers seeking 
to continue to carryover the improvement factor (not the credit value) 
if--
    (1) The FEL is generated by GEM or 5-cycle testing;
    (2) The technology is not changed or paired with any other off-cycle 
technology;
    (3) The improvement factor only applies to approved vehicle or 
engine families;
    (4) The agencies do not expect the technology to be incorporated 
into GEM at any point during the Phase 2 program; and
    (D) The documentation to carryover credits that would primarily 
justify the difference in fuel efficiency between real world and 
compliance protocols is the same for both Phase 1 and Phase 2 compliance 
protocols. The agencies must approve the justification. If the agencies 
do not approve the justification, the manufacturer must recertify.



Sec. 535.8  Reporting and recordkeeping requirements.

    (a) General requirements. Manufacturers producing heavy-duty 
vehicles and engines applicable to fuel consumption standards in Sec. 
535.5, for each given model year, must submit the required information 
as specified in paragraphs (b) through (h) of this section.
    (1) The information required by this part must be submitted by the 
deadlines specified in this section and must be based upon all the 
information and data available to the manufacturer 30 days before 
submitting information.
    (2) Manufacturers must submit information electronically through the 
EPA database system as the single point of entry for all information 
required for this national program and both agencies will have access to 
the information. In special circumstances, data may not be able to be 
received electronically (i.e., during database system development work). 
The agencies will inform manufacturer of the alternatives can be used 
for submitting information. The format for the required

[[Page 165]]

information will be specified by EPA in coordination with NHTSA.
    (3) Manufacturers providing incomplete reports missing any of the 
required information or providing untimely reports are considered as not 
complying with standards (i.e., if good-faith estimates of U.S.-directed 
production volumes for EPA certificates of conformity are not provided) 
and are liable to pay civil penalties in accordance with 49 U.S.C. 
32912.
    (4) Manufacturers certifying a vehicle or engine family using an FEL 
or FCL below the applicable fuel consumption standard as described in 
Sec. 535.5 may choose not to generate fuel consumption credits for that 
family. In which case, the manufacturer is not required to submit 
reporting or keep the associated records described in this part for that 
family.
    (5) Manufacturers must use good engineering judgment and provide 
comparable fuel consumption information to that of the information or 
data provided to EPA under 40 CFR 86.1865, 1036.250, 1036.730, 1036.825 
1037.250, 1037.730, and 1037.825.
    (6) Any information that must be sent directly to NHTSA. In 
instances in which EPA has not created an electronic pathway to receive 
the information, the information should be sent through an electronic 
portal identified by NHTSA or through the NHTSA CAFE database (i.e., 
information on fuel consumption credit transactions). If hardcopy 
documents must be sent, the information should be sent to the Associate 
Administrator of Enforcement at 1200 New Jersey Avenue, NVS-200, Office 
W45-306, SW., Washington, DC 20590.
    (b) Pre-model year reports. Manufacturers producing heavy-duty 
pickup trucks and vans must submit reports in advance of the model year 
providing early estimates demonstrating how their fleet(s) would comply 
with GHG emissions and fuel consumption standards. Note, the agencies 
understand that early model year reports contain estimates that may 
change over the course of a model year and that compliance information 
manufacturers submit prior to the beginning of a new model year may not 
represent the final compliance outcome. The agencies view the necessity 
for requiring early model reports as a manufacturer's good faith 
projection for demonstrating compliance with emission and fuel 
consumption standards.
    (1) Report deadlines. For model years 2013 and later, manufacturer 
of heavy-duty pickup trucks and vans complying with voluntary and 
mandatory standards must submit a pre-model year report for the given 
model year as early as the date of the manufacturer's annual 
certification preview meeting with EPA and NHTSA, or prior to submitting 
its first application for a certificate of conformity to EPA in 
accordance with 40 CFR 86.1819-14(d). For example, a manufacturer 
choosing to comply in model year 2014 could submit its pre-model year 
report during its precertification meeting which could occur before 
January 2, 2013, or could provide its pre-model year report any time 
prior to submitting its first application for certification for the 
given model year.
    (2) Contents. Each pre-model year report must be submitted including 
the following information for each model year.
    (i) A list of each unique subconfiguration in the manufacturer's 
fleet describing the make and model designations, attribute based-values 
(i.e., GVWR, GCWR, Curb Weight and drive configurations) and standards;
    (ii) The emission and fuel consumption fleet average standard 
derived from the unique vehicle configurations;
    (iii) The estimated vehicle configuration, test group and fleet 
production volumes;
    (iv) The expected emissions and fuel consumption test group results 
and fleet average performance;
    (v) If complying with MY 2013 fuel consumption standards, a 
statement must be provided declaring that the manufacturer is 
voluntarily choosing to comply early with the EPA and NHTSA programs. 
The manufacturers must also acknowledge that once selected, the decision 
cannot be reversed and the manufacturer will continue to comply with the 
fuel consumption standards for subsequent model years for all the 
vehicles it manufacturers in each regulatory category for a given model 
year;

[[Page 166]]

    (vi) If complying with MYs 2014, 2015 or 2016 fuel consumption 
standards, a statement must be provided declaring whether the 
manufacturer will use fixed or increasing standards in accordance with 
Sec. 535.5(a). The manufacturer must also acknowledge that once 
selected, the decision cannot be reversed and the manufacturer must 
continue to comply with the same alternative for subsequent model years 
for all the vehicles it manufacturers in each regulatory category for a 
given model year;
    (vii) If complying with MYs 2014 or 2015 fuel consumption standards, 
a statement must be provided declaring that the manufacturer is 
voluntarily choosing to comply with NHTSA's voluntary fuel consumption 
standards in accordance with Sec. 535.5(a)(4). The manufacturers must 
also acknowledge that once selected, the decision cannot be reversed and 
the manufacturer will continue to comply with the fuel consumption 
standards for subsequent model years for all the vehicles it 
manufacturers in each regulatory category for a given model year;
    (viii) The list of Class 2b and 3 incomplete vehicles (cab-complete 
or chassis complete vehicles) and the method used to certify these 
vehicles as complete pickups and vans identifying the most similar 
complete sister- or other complete vehicles used to derive the target 
standards and performance test results;
    (ix) The list of Class 4 and 5 incomplete and complete vehicles and 
the method use to certify these vehicles as complete pickups and vans 
identifying the most similar complete or sister vehicles used to derive 
the target standards and performance test results;
    (x) List of loose engines included in the heavy-duty pickup and van 
category and the list of vehicles used to derive target standards and 
performance test results;
    (xi) Copy of any notices a vehicle manufacturer sends to the engine 
manufacturer to notify the engine manufacturers that their engines are 
subject to emissions and fuel consumption standards and that it intends 
to use their engines in excluded vehicles;
    (xii) A fuel consumption credit plan as specified Sec. 535.7(a) 
identifying the manufacturers estimated credit balances, planned credit 
flexibilities (i.e., credit balances, planned credit trading, 
innovative, advanced and early credits and etc.) and if needed a credit 
deficit plan demonstrating how it plans to resolve any credit deficits 
that might occur for a model year within a period of up to three model 
years after that deficit has occurred; and
    (xiii) The supplemental information specified in paragraph (h) of 
this section.
    Note to paragraph (b): NHTSA may also ask a manufacturer to provide 
additional information if necessary to verify compliance with the fuel 
consumption requirements of this section.
    (c) Applications for certificate of conformity. Manufacturers 
producing vocational vehicles, tractors and heavy-duty engines are 
required to submit applications for certificates of conformity to EPA in 
accordance with 40 CFR 1036.205 and 1037.205 in advance of introducing 
vehicles for commercial sale. Applications contain early model year 
information demonstrating how manufacturers plan to comply with GHG 
emissions. For model years 2013 and later, manufacturers of vocational 
vehicles, tractors and engine complying with NHTSA's voluntary and 
mandatory standards must submit applications for certificates of 
conformity in accordance through the EPA database including both GHG 
emissions and fuel consumption information for each given model year.
    (1) Submission deadlines. Applications are primarily submitted in 
advance of the given model year to EPA but cannot be submitted any later 
than December 31 of the given model year.
    (2) Contents. Each application for certificates of conformity 
submitted to EPA must include the following equivalent fuel consumption.
    (i) Equivalent fuel consumption values for emissions CO2 
FCLs values used to certify each engine family in accordance with 40 CFR 
1036.205(e). This provision applies only to manufacturers producing 
heavy-duty engines.
    (ii) Equivalent fuel consumption values for emission CO2 
data engines used to comply with emission standards in 40 CFR 1036.108. 
This provision applies only to manufacturers producing heavy-duty 
engines.

[[Page 167]]

    (iii) Equivalent fuel consumption values for emissions 
CO2 FELs values used to certify each vehicle families or 
subfamilies in accordance with 40 CFR 1037.205(k). This provision 
applies only to manufacturers producing vocational vehicles and 
tractors.
    (iv) Report modeling results for ten configurations in terms of 
CO2 emissions and equivalent fuel consumption results in 
accordance with 40 CFR 1037.205(o). Include modeling inputs and detailed 
descriptions of how they were derived. This provision applies only to 
manufacturers producing vocational vehicles and tractors.
    (v) Credit plans including the fuel consumption credit plan 
described in Sec. 535.7(a).
    (3) Additional supplemental information. Manufacturers are required 
to submit additional information as specified in paragraph (h) of this 
section for the NHTSA program before or at the same time it submits its 
first application for a certificate of conformity to EPA. Under limited 
conditions, NHTSA may also ask a manufacturer to provide additional 
information directly to the Administrator if necessary to verify the 
fuel consumption requirements of this regulation.
    (d) End of the Year (EOY) and Final reports. Heavy-duty vehicle and 
engine manufacturers participating in the ABT program are required to 
submit EOY and final reports containing information for NHTSA as 
specified in paragraph (d)(2) of this section and in accordance with 40 
CFR 86.1865, 1036.730, and 1037.730. Only manufacturers without credit 
deficits may decide not to participate in the ABT or may waive the 
requirement to send an EOY report. The EOY and final reports are used to 
review a manufacturer's preliminary or final compliance information and 
to identify manufacturers that might have a credit deficit for the given 
model year. For model years 2013 and later, heavy-duty vehicle and 
engine manufacturers complying with NHTSA's voluntary and mandatory 
standards must submit EOY and final reports through the EPA database 
including both GHG emissions and fuel consumption information for each 
given model year.
    (1) Report deadlines. (i) For model year 2013 and later, heavy-duty 
vehicle and engine manufacturers complying with NHTSA voluntary and 
mandatory standards must submit EOY reports through the EPA database 
including both GHG emissions and fuel consumption information within 90 
days after the end of the given model year and no later than March 31 of 
the next calendar year.
    (ii) For model year 2013 and later, heavy-duty vehicle and engine 
manufacturers complying with NHTSA voluntary and mandatory standards 
must submit final reports through the EPA database including both GHG 
emissions and fuel consumption information within 270 days after the end 
of the given model year and no later than September 30 of the next 
calendar year.
    (iii) A manufacturer may ask NHTSA and EPA to extend the deadline of 
a final report by up to 30 days. A manufacturer unable to provide, and 
requesting to omit an emissions rate or fuel consumption value from a 
final report must obtain approval from the agencies prior to the 
submission deadline of its final report.
    (iv) If a manufacturer expects differences in the information 
reported between the EOY and the final year report specified in 40 CFR 
1036.730 and 1037.730, it must provide the most up-to-date fuel 
consumption projections in its final report and identify the information 
as preliminary.
    (v) If the manufacturer cannot provide any of the required fuel 
consumption information, it must state the specific reason for the 
insufficiency and identify the additional testing needed or explain what 
analytical methods are believed by the manufacturer will be necessary to 
eliminate the insufficiency and certify that the results will be 
available for the final report.
    (2) Contents. Each EOY and final report must be submitted including 
the following fuel consumption information for each model year. EOY 
reports contain preliminary final estimates and final reports must 
include the manufacturer's final compliance information.
    (i) Engine and vehicle family designations and averaging sets.

[[Page 168]]

    (ii) Engine and vehicle regulatory subcategory and fuel consumption 
standards including any alternative standards used.
    (iii) Engine and vehicle family FCLs and FELs in terms of fuel 
consumption.
    (iv) Production volumes for engines and vehicles.
    (v) A summary as specified in paragraph (g)(7) of this section 
describing the vocational vehicles and vocational tractors that were 
exempted as heavy-duty off-road vehicles. This applies to manufacturers 
participating and not participating in the ABT program.
    (vi) A summary describing any advanced or innovative technology 
engines or vehicles including alternative fueled vehicles that were 
produced for the model year identifying the approaches used to 
determinate compliance and the production volumes.
    (vii) A list of each unique subconfiguration included in a 
manufacturer's fleet of heavy-duty pickup trucks and vans identifying 
the attribute based-values (GVWR, GCWR, Curb Weight, and drive 
configurations) and standards. This provision applies only to 
manufacturers producing heavy-duty pickup trucks and vans.
    (viii) The fuel consumption fleet average standard derived from the 
unique vehicle configurations. This provision applies only to 
manufacturers producing heavy-duty pickup trucks and vans.
    (ix) The subconfiguration and test group production volumes. This 
provision applies only to manufacturers producing heavy-duty pickup 
trucks and vans.
    (x) The fuel consumption test group results and fleet average 
performance. This provision applies only to manufacturers producing 
heavy-duty pickup trucks and vans.
    (xi) Manufacturers may correct errors in EOY and final reports as 
follows:
    (A) Manufacturers may correct any errors in their end-of-year report 
when preparing the final report, as long as manufacturers send us the 
final report by the time it is due.
    (B) If manufacturers or the agencies determine within 270 days after 
the end of the model year that errors mistakenly decreased he 
manufacturer's balance of fuel consumption credits, manufacturers may 
correct the errors and recalculate the balance of its fuel consumption 
credits. Manufacturers may not make any corrections for errors that are 
determined more than 270 days after the end of the model year. If 
manufacturers report a negative balance of fuel consumption credits, 
NHTSA may disallow corrections under this paragraph (d)(2)(xi)(B).
    (C) If manufacturers or the agencies determine any time that errors 
mistakenly increased its balance of fuel consumption credits, 
manufacturers must correct the errors and recalculate the balance of 
fuel consumption credits.
    (xii) Under limited conditions, NHTSA may also ask a manufacturer to 
provide additional information directly to the Administrator if 
necessary to verify the fuel consumption requirements of this 
regulation.
    (e) Amendments to applications for certification. At any time, a 
manufacturer modifies an application for certification in accordance 
with 40 CFR 1036.225 and 1037.225, it must submit GHG emissions changes 
with equivalent fuel consumption values for the information required in 
paragraphs (b) through (e) and (h) of this section.
    (f) Confidential information. Manufacturers must submit a request 
for confidentiality with each electronic submission specifying any part 
of the for information or data in a report that it believes should be 
withheld from public disclosure as trade secret or other confidential 
business information. Information submitted to EPA should follow EPA 
guidelines for treatment of confidentiality. Requests for confidential 
treatment for information submitted to NHTSA must be filed in accordance 
with the requirements of 49 CFR part 512, including submission of a 
request for confidential treatment and the information for which 
confidential treatment is requested as specified by part 512. For any 
information or data requested by the manufacturer to be withheld under 5 
U.S.C. 552(b)(4) and 49 U.S.C. 32910(c), the manufacturer shall present 
arguments and provide evidence in its request for confidentiality 
demonstrating that--

[[Page 169]]

    (1) The item is within the scope of 5 U.S.C. 552(b)(4) and 49 U.S.C. 
32910(c);
    (2) The disclosure of the information at issue would cause 
significant competitive damage;
    (3) The period during which the item must be withheld to avoid that 
damage; and
    (4) How earlier disclosure would result in that damage.
    (g) Additional required information. The following additional 
information is required to be submitted through the EPA database. NHTSA 
reserves the right to ask a manufacturer to provide additional 
information if necessary to verify the fuel consumption requirements of 
this regulation.
    (1) Small businesses. For model years 2013 through 2020, vehicles 
and engines produced by small business manufacturers meeting the 
criteria in 13 CFR 121.201 are exempted from the requirements of this 
part. Qualifying small business manufacturers must notify EPA and NHTSA 
Administrators before importing or introducing into U.S. commerce 
exempted vehicles or engines. This notification must include a 
description of the manufacturer's qualification as a small business 
under 13 CFR 121.201. Manufacturers must submit this notification to 
EPA, and EPA will provide the notification to NHTSA. The agencies may 
review a manufacturer's qualification as a small business manufacturer 
under 13 CFR 121.201.
    (2) Emergency vehicles. For model years 2021 and later, emergency 
vehicles produced by heavy-duty pickup truck and van manufacturers are 
exempted except those produced by manufacturers voluntarily complying 
with standards in Sec. 535.5(a). Manufacturers must notify the agencies 
in writing if using the provisions in Sec. 535.5(a) to produce exempted 
emergency vehicles in a given model year, either in the report specified 
in 40 CFR 86.1865 or in a separate submission.
    (3) Early introduction. The provision applies to manufacturers 
seeking to comply early with the NHTSA's fuel consumption program prior 
to model year 2014. The manufacturer must send the request to EPA before 
submitting its first application for a certificate of conformity.
    (4) NHTSA voluntary compliance model years. Manufacturers must 
submit a statement declaring whether the manufacturer chooses to comply 
voluntarily with NHTSA's fuel consumption standards for model years 2014 
through 2015. The manufacturers must acknowledge that once selected, the 
decision cannot be reversed and the manufacturer will continue to comply 
with the fuel consumption standards for subsequent model years. The 
manufacturer must send the statement to EPA before submitting its first 
application for a certificate of conformity.
    (5) Alternative engine standards. Manufacturers choosing to comply 
with the alternative engine standards must notify EPA and NHTSA of their 
choice and include in that notification a demonstration that it has 
exhausted all available credits and credit opportunities. The 
manufacturer must send the statement to EPA before submitting its EOY 
report.
    (6) Alternate phase-in. Manufacturers choosing to comply with the 
alternative engine phase-in must notify EPA and NHTSA of their choice. 
The manufacturer must send the statement to EPA before submitting its 
first application for a certificate of conformity.
    (7) Off-road exclusion (tractors and vocational vehicles only). (i) 
Tractors and vocational vehicles primarily designed to perform work in 
off-road environments such as forests, oil fields, and construction 
sites may be exempted without request from the requirements of this 
regulation as specified in 49 CFR 523.2 and Sec. 535.5(b). Within 90 
days after the end of each model year, manufacturers must send EPA and 
NHTSA through the EPA database a report with the following information:
    (A) A description of each excluded vehicle configuration, including 
an explanation of why it qualifies for this exclusion.
    (B) The number of vehicles excluded for each vehicle configuration.
    (ii) A manufacturer having an off-road vehicle failing to meet the 
criteria under the agencies' off-road exclusions will be allowed to 
request an exclusion of such a vehicle from EPA and NHTSA. The approval 
will be

[[Page 170]]

granted through the certification process for the vehicle family and 
will be done in collaboration between EPA and NHTSA in accordance with 
the provisions in 40 CFR 1037.150, 1037.210, and 1037.631.
    (8) Vocational tractors. Tractors intended to be used as vocational 
tractors may comply with vocational vehicle standards in Sec. 535.5(b). 
Manufacturers classifying tractors as vocational tractors must provide a 
description of how they meet the qualifications in their applications 
for certificates of conformity as specified in 40 CFR 1037.205.
    (9) Approval of alternate methods to determine drag coefficients 
(tractors only). Manufacturers seeking to use alternative methods to 
determine aerodynamic drag coefficients must provide a request and gain 
approval by EPA in accordance with 40 CFR 1037.525. The manufacturer 
must send the request to EPA before submitting its first application for 
a certificate of conformity.
    (10) Innovative and off-cycle technology credits. Manufacturers 
pursuing innovative and off-cycle technology credits must submit 
information to the agencies and may be subject to a public evaluation 
process in which the public would have opportunity for comment if the 
manufacturer is not using a test procedure in accordance with 40 CFR 
1037.610(c). Whether the approach involves on-road testing, modeling, or 
some other analytical approach, the manufacturer would be required to 
present a final methodology to EPA and NHTSA. EPA and NHTSA would 
approve the methodology and credits only if certain criteria were met. 
Baseline emissions and fuel consumption and control emissions and fuel 
consumption would need to be clearly demonstrated over a wide range of 
real world driving conditions and over a sufficient number of vehicles 
to address issues of uncertainty with the data. Data would need to be on 
a vehicle model-specific basis unless a manufacturer demonstrated model-
specific data was not necessary. The agencies may publish a notice of 
availability in the Federal Register notifying the public of a 
manufacturer's proposed alternative off-cycle credit calculation 
methodology and provide opportunity for comment. Any notice will include 
details regarding the methodology, but not include any Confidential 
Business Information.
    (11) Credit trades. If a manufacturer trades fuel consumption 
credits, it must send EPA and NHTSA a fuel consumption credit plan as 
specified in Sec. 535.7(a) and provide the following additional 
information:
    (i) As the seller, the manufacturer must include the following 
information:
    (A) The corporate names of the buyer and any brokers.
    (B) A copy of any contracts related to the trade.
    (C) The averaging set corresponding to the engine families that 
generated fuel consumption credits for the trade, including the number 
of fuel consumption credits from each averaging set.
    (ii) As the buyer, the manufacturer or entity must include the 
following information in its report:
    (A) The corporate names of the seller and any brokers.
    (B) A copy of any contracts related to the trade.
    (C) How the manufacturer or entity intends to use the fuel 
consumption credits, including the number of fuel consumption credits it 
intends to apply for each averaging set.
    (D) A copy of the contract with signatures from both the buyer and 
the seller.
    (12) Production reports. Within 90 days after the end of the model 
year and no later than March 31st, manufacturers participating and not-
participating in the ABT program must send to EPA and NHTSA a report 
including the total U.S.-directed production volume of vehicles it 
produced in each vehicle and engine family during the model year (based 
on information available at the time of the report) as required by 40 
CFR 1036.250 and 1037.250. Trailer manufacturers must include a separate 
report including the total U.S.-directed production volume of excluded 
trailers as allowed by Sec. 535.3(e). Each manufacturer shall report by 
vehicle or engine identification number and by configuration and 
identify the subfamily identifier. Report uncertified vehicles sold to 
secondary vehicle manufacturers. Small business manufacturers may

[[Page 171]]

omit reporting. Identify any differences between volumes included for 
EPA but excluded for NHTSA.
    (13) Transition to engine-based model years. The following 
provisions apply for production and ABT reports during the transition to 
engine-based model year determinations for tractors and vocational 
vehicles in 2020 and 2021:
    (i) If a manufacturer installs model year 2020 or earlier engines in 
the manufacturer's vehicles in calendar year 2020, include all those 
Phase 1 vehicles in its production and ABT reports related to model year 
2020 compliance, although the agencies may require the manufacturer to 
identify these separately from vehicles produced in calendar year 2019.
    (ii) If a manufacturer installs model year 2020 engines in its 
vehicles in calendar year 2021, submit production and ABT reports for 
those Phase 1 vehicles separate from the reports it submits for Phase 2 
vehicles with model year 2021 engines.
    (h) Public information. Based upon information submitted by 
manufacturers and EPA, NHTSA will publish fuel consumption standards and 
performance results.
    (i) Information received from EPA. NHTSA will receive information 
from EPA as specified in 40 CFR 1036.755 and 1037.755.
    (j) Recordkeeping. NHTSA has the same recordkeeping requirements as 
the EPA, specified in 40 CFR 86.1865-12(k), 1036.250, 1036.735, 
1036.825, 1037.250, 1037.735, and 1037.825. The agencies each reserve 
the right to request information contained in reports separately.
    (1) Manufacturers must organize and maintain records for NHTSA as 
described in this section. NHTSA in conjunction or separately from EPA 
may review a manufacturers records at any time.
    (2) Keep the records required by this section for at least eight 
years after the due date for the end-of-year report. Manufacturers may 
not use fuel consumption credits for any engines if it does not keep all 
the records required under this section. Manufacturers must therefore 
keep these records to continue to bank valid credits. Store these 
records in any electronic format and on any media, as long as the 
manufacturer can promptly send the agencies organized records in English 
if the agencies ask for them. Manufacturers must keep these records 
readily available. NHTSA may review them at any time.
    (3) Keep a copy of the reports required in Sec. 535.8 and 40 CFR 
1036.725,1036.730, 1037.725 and 1037.730.
    (4) Keep records of the vehicles and engine identification number 
(usually the serial number) for each vehicle and engine produced that 
generates or uses fuel consumption credits under the ABT program. 
Manufacturers may identify these numbers as a range. If manufacturers 
change the FEL after the start of production, identify the date started 
using each FEL/FCL and the range of vehicles or engine identification 
numbers associated with each FEL/FCL. Manufacturers must also identify 
the purchaser and destination for each vehicle and engine produced to 
the extent this information is available.
    (5) The agencies may require manufacturers to keep additional 
records or to send relevant information not required by this section in 
accordance with each agency's authority.
    (6) If collected separately and NHTSA finds that information is 
provided fraudulent or grossly negligent or otherwise provided in bad 
faith, the manufacturer may be liable to civil penalties in accordance 
with each agency's authority.



Sec. 535.9  Enforcement approach.

    (a) Compliance. (1) Each year NHTSA will assess compliance with fuel 
consumption standards as specified in Sec. 535.10.
    (i) NHTSA may conduct audits or verification testing prior to first 
sale throughout a given model year or after the model year in order to 
validate data received from manufacturers and will discuss any potential 
issues with EPA and the manufacturer. Audits may periodically be 
performed to confirm manufacturers credit balances or other credit 
transactions.
    (ii) NHTSA may also conduct field inspections either at 
manufacturing plants or at new vehicle dealerships to validate data 
received from manufacturers. Field inspections will be carried out in 
order to validate the condition

[[Page 172]]

of vehicles, engines or technology prior to first commercial sale to 
verify each component's certified configuration as initially built. 
NHTSA reserves the right to conduct inspections at other locations but 
will target only those components for which a violation would apply to 
OEMs and not the fleets or vehicle owners. Compliance inspections could 
be carried out through a number of approaches including during safety 
inspections or during compliance safety testing.
    (iii) NHTSA will conduct audits and inspections in the same manner 
and, when possible, in conjunction with EPA. NHTSA will also attempt to 
coordinate inspections with EPA and share results.
    (iv) Documents collected under NHTSA safety authority may be used to 
support fuel efficiency audits and inspections.
    (2) At the end of each model year NHTSA will confirm a 
manufacturer's fleet or family performance values against the applicable 
standards and, if a manufacturer uses a credit flexibility, the amount 
of credits in each averaging set. The averaging set balance is based 
upon the engines or vehicles performance above or below the applicable 
regulatory subcategory standards in each respective averaging set and 
any credits that are traded into or out of an averaging set during the 
model year.
    (i) If the balance is positive, the manufacturer is designated as 
having a credit surplus.
    (ii) If the balance is negative, the manufacturer is designated as 
having a credit deficit.
    (iii) NHTSA will provide notification to each manufacturer 
confirming its credit balance(s) after the end of each model year 
directly or through EPA.
    (3) Manufacturer are required to confirm the negative balance and 
submit a fuel consumption credit plan as specified in Sec. 535.7(a) 
along with supporting documentation indicating how it will allocate 
existing credits or earn (providing information on future vehicles, 
engines or technologies), and/or acquire credits, or else be liable for 
a civil penalty as determined in paragraph (b) of this section. The 
manufacturer must submit the information within 60 days of receiving 
agency notification.
    (4) Credit shortfall within an averaging set may be carried forward 
only three years, and if not offset by earned or traded credits, the 
manufacturer may be liable for a civil penalty as described in paragraph 
(b) of this section.
    (5) Credit allocation plans received from a manufacturer will be 
reviewed and approved by NHTSA. NHTSA will approve a credit allocation 
plan unless it determines that the proposed credits are unavailable or 
that it is unlikely that the plan will result in the manufacturer 
earning or acquiring sufficient credits to offset the subject credit 
shortfall. In the case where a manufacturer submits a plan to acquire 
future model year credits earned by another manufacturer, NHTSA will 
require a signed agreement by both manufacturers to initiate a review of 
the plan. If a plan is approved, NHTSA will revise the respective 
manufacturer's credit account accordingly by identifying which existing 
or traded credits are being used to address the credit shortfall, or by 
identifying the manufacturer's plan to earn future credits for 
addressing the respective credit shortfall. If a plan is rejected, NHTSA 
will notify the respective manufacturer and request a revised plan. The 
manufacturer must submit a revised plan within 14 days of receiving 
agency notification. The agency will provide a manufacturer one 
opportunity to submit a revised credit allocation plan before it 
initiates civil penalty proceedings.
    (6) For purposes of this regulation, NHTSA will treat the use of 
future credits for compliance, as through a credit allocation plan, as a 
deferral of civil penalties for non-compliance with an applicable fuel 
consumption standard.
    (7) If NHTSA receives and approves a manufacturer's credit 
allocation plan to earn future credits within the following three model 
years in order to comply with regulatory obligations, NHTSA will defer 
levying civil penalties for non-compliance until the date(s) when the 
manufacturer's approved plan indicates that credits will be earned or 
acquired to achieve compliance, and upon receiving confirmed 
CO2 emissions and fuel consumption

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data from EPA. If the manufacturer fails to acquire or earn sufficient 
credits by the plan dates, NHTSA will initiate civil penalty 
proceedings.
    (8) In the event that NHTSA fails to receive or is unable to approve 
a plan for a non-compliant manufacturer due to insufficiency or 
untimeliness, NHTSA may initiate civil penalty proceedings.
    (9) In the event that a manufacturer fails to report accurate fuel 
consumption data for vehicles or engines covered under this rule, 
noncompliance will be assumed until corrected by submission of the 
required data, and NHTSA may initiate civil penalty proceedings.
    (10) If EPA suspends or revoke a certificate of conformity as 
specified in 40 CFR 1036.255 or 1037.255, and a manufacturer is unable 
to take a corrective action allowed by EPA, noncompliance will be 
assumed, and NHTSA may initiate civil penalty proceedings or revoke fuel 
consumption credits.
    (b) Civil penalties--(1) Generally. NHTSA may assess a civil penalty 
for any violation of this part under 49 U.S.C. 32902(k). This section 
states the procedures for assessing civil penalties for violations of 
Sec. 535.3(h). The provisions of 5 U.S.C. 554, 556, and 557 do not 
apply to any proceedings conducted pursuant to this section.
    (2) Initial determination of noncompliance. An action for civil 
penalties is commenced by the execution of a Notice of Violation. A 
determination by NHTSA's Office of Enforcement of noncompliance with 
applicable fuel consumption standards utilizing the certified and 
reported CO2 emissions and fuel consumption data provided by 
the Environmental Protection Agency as described in this part, and after 
considering all the flexibilities available under Sec. 535.7, underlies 
a Notice of Violation. If NHTSA Enforcement determines that a 
manufacturer's averaging set of vehicles or engines fails to comply with 
the applicable fuel consumption standard(s) by generating a credit 
shortfall, the incomplete vehicle, complete vehicle or engine 
manufacturer, as relevant, shall be subject to a civil penalty.
    (3) Numbers of violations and maximum civil penalties. Any violation 
shall constitute a separate violation with respect to each vehicle or 
engine within the applicable regulatory averaging set. The maximum civil 
penalty is not more than $37,500.00 per vehicle or engine. The maximum 
civil penalty under this section for a related series of violations 
shall be determined by multiplying $37,500.00 times the vehicle or 
engine production volume for the model year in question within the 
regulatory averaging set. NHTSA may adjust this civil penalty amount to 
account for inflation.
    (4) Factors for determining penalty amount. In determining the 
amount of any civil penalty proposed to be assessed or assessed under 
this section, NHTSA shall take into account the gravity of the 
violation, the size of the violator's business, the violator's history 
of compliance with applicable fuel consumption standards, the actual 
fuel consumption performance related to the applicable standards, the 
estimated cost to comply with the regulation and applicable standards, 
the quantity of vehicles or engines not complying, and the effect of the 
penalty on the violator's ability to continue in business. The 
``estimated cost to comply with the regulation and applicable 
standards,'' will be used to ensure that penalties for non-compliance 
will not be less than the cost of compliance.
    (5) NHTSA enforcement report of determination of non-compliance. (i) 
If NHTSA Enforcement determines that a violation has occurred, NHTSA 
Enforcement may prepare a report and send the report to the NHTSA Chief 
Counsel.
    (ii) The NHTSA Chief Counsel will review the report prepared by 
NHTSA Enforcement to determine if there is sufficient information to 
establish a likely violation.
    (iii) If the Chief Counsel determines that a violation has likely 
occurred, the Chief Counsel may issue a Notice of Violation to the 
party.
    (iv) If the Chief Counsel issues a Notice of Violation, he or she 
will prepare a case file with recommended actions. A record of any prior 
violations by the same party shall be forwarded with the case file.

[[Page 174]]

    (6) Notice of violation. (i) The Notice of Violation will contain 
the following information:
    (A) The name and address of the party;
    (B) The alleged violation(s) and the applicable fuel consumption 
standard(s) violated;
    (C) The amount of the proposed penalty and basis for that amount;
    (D) The place to which, and the manner in which, payment is to be 
made;
    (E) A statement that the party may decline the Notice of Violation 
and that if the Notice of Violation is declined within 30 days of the 
date shown on the Notice of Violation, the party has the right to a 
hearing, if requested within 30 days of the date shown on the Notice of 
Violation, prior to a final assessment of a penalty by a Hearing 
Officer; and
    (F) A statement that failure to either pay the proposed penalty or 
to decline the Notice of Violation and request a hearing within 30 days 
of the date shown on the Notice of Violation will result in a finding of 
violation by default and that NHTSA will proceed with the civil penalty 
in the amount proposed on the Notice of Violation without processing the 
violation under the hearing procedures set forth in this subpart.
    (ii) The Notice of Violation may be delivered to the party by--
    (A) Mailing to the party (certified mail is not required);
    (B) Use of an overnight or express courier service; or
    (C) Facsimile transmission or electronic mail (with or without 
attachments) to the party or an employee of the party.
    (iii) At any time after the Notice of Violation is issued, NHTSA and 
the party may agree to reach a compromise on the payment amount.
    (iv) Once a penalty amount is paid in full, a finding of ``resolved 
with payment'' will be entered into the case file.
    (v) If the party agrees to pay the proposed penalty, but has not 
made payment within 30 days of the date shown on the Notice of 
Violation, NHTSA will enter a finding of violation by default in the 
matter and NHTSA will proceed with the civil penalty in the amount 
proposed on the Notice of Violation without processing the violation 
under the hearing procedures set forth in this subpart.
    (vi) If within 30 days of the date shown on the Notice of Violation 
a party fails to pay the proposed penalty on the Notice of Violation, 
and fails to request a hearing, then NHTSA will enter a finding of 
violation by default in the case file, and will assess the civil penalty 
in the amount set forth on the Notice of Violation without processing 
the violation under the hearing procedures set forth in this subpart.
    (vii) NHTSA's order assessing the civil penalty following a party's 
default is a final agency action.
    (7) Hearing Officer. (i) If a party timely requests a hearing after 
receiving a Notice of Violation, a Hearing Officer shall hear the case.
    (ii) The Hearing Officer will be appointed by the NHTSA 
Administrator, and is solely responsible for the case referred to him or 
her. The Hearing Officer shall have no other responsibility, direct or 
supervisory, for the investigation of cases referred for the assessment 
of civil penalties. The Hearing Officer shall have no duties related to 
the light-duty fuel economy or medium- and heavy-duty fuel efficiency 
programs.
    (iii) The Hearing Officer decides each case on the basis of the 
information before him or her.
    (8) Initiation of action before the Hearing Officer. (i) After the 
Hearing Officer receives the case file from the Chief Counsel, the 
Hearing Officer notifies the party in writing of--
    (A) The date, time, and location of the hearing and whether the 
hearing will be conducted telephonically or at the DOT Headquarters 
building in Washington, DC;
    (B) The right to be represented at all stages of the proceeding by 
counsel as set forth in paragraph (b)(9) of this section; and
    (C) The right to a free copy of all written evidence in the case 
file.
    (ii) On the request of a party, or at the Hearing Officer's 
direction, multiple proceedings may be consolidated if at any time it 
appears that such consolidation is necessary or desirable.

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    (9) Counsel. A party has the right to be represented at all stages 
of the proceeding by counsel. A party electing to be represented by 
counsel must notify the Hearing Officer of this election in writing, 
after which point the Hearing Officer will direct all further 
communications to that counsel. A party represented by counsel bears all 
of its own attorneys' fees and costs.
    (10) Hearing location and costs. (i) Unless the party requests a 
hearing at which the party appears before the Hearing Officer in 
Washington, DC, the hearing may be held telephonically. In Washington, 
DC, the hearing is held at the headquarters of the U.S. Department of 
Transportation.
    (ii) The Hearing Officer may transfer a case to another Hearing 
Officer at a party's request or at the Hearing Officer's direction.
    (iii) A party is responsible for all fees and costs (including 
attorneys' fees and costs, and costs that may be associated with travel 
or accommodations) associated with attending a hearing.
    (11) Hearing procedures. (i) There is no right to discovery in any 
proceedings conducted pursuant to this subpart.
    (ii) The material in the case file pertinent to the issues to be 
determined by the Hearing Officer is presented by the Chief Counsel or 
his or her designee.
    (iii) The Chief Counsel may supplement the case file with 
information prior to the hearing. A copy of such information will be 
provided to the party no later than three business days before the 
hearing.
    (iv) At the close of the Chief Counsel's presentation of evidence, 
the party has the right to examine respond to and rebut material in the 
case file and other information presented by the Chief Counsel. In the 
case of witness testimony, both parties have the right of cross-
examination.
    (v) In receiving evidence, the Hearing Officer is not bound by 
strict rules of evidence. In evaluating the evidence presented, the 
Hearing Officer must give due consideration to the reliability and 
relevance of each item of evidence.
    (vi) At the close of the party's presentation of evidence, the 
Hearing Officer may allow the introduction of rebuttal evidence that may 
be presented by the Chief Counsel.
    (vii) The Hearing Officer may allow the party to respond to any 
rebuttal evidence submitted.
    (viii) After the evidence in the case has been presented, the Chief 
Counsel and the party may present arguments on the issues in the case. 
The party may also request an opportunity to submit a written statement 
for consideration by the Hearing Officer and for further review. If 
granted, the Hearing Officer shall allow a reasonable time for 
submission of the statement and shall specify the date by which it must 
be received. If the statement is not received within the time 
prescribed, or within the limits of any extension of time granted by the 
Hearing Officer, it need not be considered by the Hearing Officer.
    (ix) A verbatim transcript of the hearing will not normally be 
prepared. A party may, solely at its own expense, cause a verbatim 
transcript to be made. If a verbatim transcript is made, the party shall 
submit two copies to the Hearing Officer not later than 15 days after 
the hearing. The Hearing Officer shall include such transcript in the 
record.
    (12) Determination of violations and assessment of civil penalties. 
(i) Not later than 30 days following the close of the hearing, the 
Hearing Officer shall issue a written decision on the Notice of 
Violation, based on the hearing record. This may be extended by the 
Hearing officer if the submissions by the Chief Counsel or the party are 
voluminous. The decision shall address each alleged violation, and may 
do so collectively. For each alleged violation, the decision shall find 
a violation or no violation and provide a basis for the finding. The 
decision shall set forth the basis for the Hearing Officer's assessment 
of a civil penalty, or decision not to assess a civil penalty. In 
determining the amount of the civil penalty, the gravity of the 
violation, the size of the violator's business, the violator's history 
of compliance with applicable fuel consumption standards, the actual 
fuel consumption performance related to the applicable standard, the 
estimated cost to comply with the regulation and

[[Page 176]]

applicable standard, the quantity of vehicles or engines not complying, 
and the effect of the penalty on the violator's ability to continue in 
business. The assessment of a civil penalty by the Hearing Officer shall 
be set forth in an accompanying final order. The Hearing Officer's 
written final order is a final agency action.
    (ii) If the Hearing Officer assesses civil penalties in excess of 
$1,000,000, the Hearing Officer's decision shall contain a statement 
advising the party of the right to an administrative appeal to the 
Administrator within a specified period of time. The party is advised 
that failure to submit an appeal within the prescribed time will bar its 
consideration and that failure to appeal on the basis of a particular 
issue will constitute a waiver of that issue in its appeal before the 
Administrator.
    (iii) The filing of a timely and complete appeal to the 
Administrator of a Hearing Officer's order assessing a civil penalty 
shall suspend the operation of the Hearing Officer's penalty, which 
shall no longer be a final agency action.
    (iv) There shall be no administrative appeals of civil penalties 
assessed by a Hearing Officer of less than $1,000,000.
    (13) Appeals of civil penalties in excess of $1,000,000. (i) A party 
may appeal the Hearing Officer's order assessing civil penalties over 
$1,000,000 to the Administrator within 21 days of the date of the 
issuance of the Hearing Officer's order.
    (ii) The Administrator will review the decision of the Hearing 
Officer de novo, and may affirm the decision of the hearing officer and 
assess a civil penalty, or
    (iii) The Administrator may--
    (A) Modify a civil penalty;
    (B) Rescind the Notice of Violation; or
    (C) Remand the case back to the Hearing Officer for new or 
additional proceedings.
    (iv) In the absence of a remand, the decision of the Administrator 
in an appeal is a final agency action.
    (14) Collection of assessed or compromised civil penalties. (i) 
Payment of a civil penalty, whether assessed or compromised, shall be 
made by check, postal money order, or electronic transfer of funds, as 
provided in instructions by the agency. A payment of civil penalties 
shall not be considered a request for a hearing.
    (ii) The party must remit payment of any assessed civil penalty to 
NHTSA within 30 days after receipt of the Hearing Officer's order 
assessing civil penalties, or, in the case of an appeal to the 
Administrator, within 30 days after receipt of the Administrator's 
decision on the appeal.
    (iii) The party must remit payment of any compromised civil penalty 
to NHTSA on the date and under such terms and conditions as agreed to by 
the party and NHTSA. Failure to pay may result in NHTSA entering a 
finding of violation by default and assessing a civil penalty in the 
amount proposed in the Notice of Violation without processing the 
violation under the hearing procedures set forth in this part.
    (c) Changes in corporate ownership and control. Manufacturers must 
inform NHTSA of corporate relationship changes to ensure that credit 
accounts are identified correctly and credits are assigned and allocated 
properly.
    (1) In general, if two manufacturers merge in any way, they must 
inform NHTSA how they plan to merge their credit accounts. NHTSA will 
subsequently assess corporate fuel consumption and compliance status of 
the merged fleet instead of the original separate fleets.
    (2) If a manufacturer divides or divests itself of a portion of its 
automobile manufacturing business, it must inform NHTSA how it plans to 
divide the manufacturer's credit holdings into two or more accounts. 
NHTSA will subsequently distribute holdings as directed by the 
manufacturer, subject to provision for reasonably anticipated compliance 
obligations.
    (3) If a manufacturer is a successor to another manufacturer's 
business, it must inform NHTSA how it plans to allocate credits and 
resolve liabilities per 49 CFR part 534.

[[Page 177]]



Sec. 535.10  How do manufacturers comply with fuel consumption
standards?

    (a) Pre-certification process. (1) Regulated manufacturers determine 
eligibility to use exemptions or exclusions in accordance with Sec. 
535.3.
    (2) Manufacturers may seek preliminary approvals as specified in 40 
CFR 1036.210 and 40 CFR 1037.210 from EPA and NHTSA, if needed. 
Manufacturers may request to schedule pre-certification meetings with 
EPA and NHTSA prior to submitting approval requests for certificates of 
conformity to address any joint compliance issues and gain informal 
feedback from the agencies.
    (3) The requirements and prohibitions required by EPA in special 
circumstances in accordance with 40 CFR 1037.601 and 40 CFR part 1068 
apply to manufacturers for the purpose of complying with fuel 
consumption standards. Manufacturers should use good judgment when 
determining how EPA requirements apply in complying with the NHTSA 
program. Manufacturers may contact NHTSA and EPA for clarification about 
how these requirements apply to them.
    (4) In circumstances in which EPA provides multiple compliance 
approaches manufacturers must choose the same compliance path to comply 
with NHTSA's fuel consumption standards that they choose to comply with 
EPA's greenhouse gas emission standards.
    (5) Manufacturers may not introduce new vehicles into commerce 
without a certificate of conformity from EPA. Manufacturers must attest 
to several compliance standards in order to obtain a certificate of 
conformity. This includes stating comparable fuel consumption results 
for all required CO2 emissions rates. Manufacturers not 
completing these steps do not comply with the NHTSA fuel consumption 
standards.
    (6) Manufacturers apply the fuel consumption standards specified in 
Sec. 535.5 to vehicles, engines and components that represent 
production units and components for vehicle and engine families, sub-
families and configurations consistent with the EPA specifications in 40 
CFR 86.1819, 1036.230, and 1037.230.
    (7) Only certain vehicles and engines are allowed to comply 
differently between the NHTSA and EPA programs as detailed in this 
section. These vehicles and engines must be identified by manufacturers 
in the ABT and production reports required in Sec. 535.8.
    (b) Model year compliance. Manufacturers are required to conduct 
testing to demonstrate compliance with CO2 exhaust emissions 
standards in accordance with EPA's provisions in 40 CFR part 600, 
subpart B, 40 CFR 1036, subpart F, 40 CFR part 1037, subpart R, and 40 
CFR part 1066. Manufacturers determine equivalent fuel consumption 
performance values for CO2 results as specified in Sec. 
535.6 and demonstrate compliance by comparing equivalent results to the 
applicable fuel consumption standards in Sec. 535.5.
    (c) End-of-the-year process. Manufacturers comply with fuel 
consumption standards after the end of each model year, if--
    (1) For heavy-duty pickup trucks and vans, the manufacturer's fleet 
average performance, as determined in Sec. 535.6, is less than the 
fleet average standard; or
    (2) For truck tractors, vocational vehicles, engines and box 
trailers the manufacturer's fuel consumption performance for each 
vehicle or engine family (or sub-family), as determined in Sec. 535.6, 
is lower than the applicable regulatory subcategory standards in Sec. 
535.5.
    (3) For non-box and non-aero trailers, a manufacturer is considered 
in compliance with fuel consumption standards if all trailers meet the 
specified standards in Sec. 535.5(e)(1)(i).
    (4) NHTSA will use the EPA final verified values as specified in 40 
CFR 86.1819, 40 CFR 1036.755, and 1037.755 for making final 
determinations on whether vehicles and engines comply with fuel 
consumption standards.
    (5) A manufacturer fails to comply with fuel consumption standards 
if its final reports are not provided in accordance with Sec. 535.8 and 
40 CFR 86.1865, 1036.730, and 1037.730. Manufacturers not providing 
complete or accurate final reports or any plans by the required 
deadlines do not comply with fuel consumption standards. A manufacturer 
that is unable to provide any

[[Page 178]]

emissions results along with comparable fuel consumption values must 
obtain permission for EPA to exclude the results prior to the deadline 
for submitting final reports.
    (6) A manufacturer that would otherwise fail to directly comply with 
fuel consumption standards as described in paragraphs (c)(1) through (3) 
of this section may use one or more of the credit flexibilities provided 
under the NHTSA averaging, banking and trading program, as specified in 
Sec. 535.7, but must offset all credit deficits in its averaging sets 
to achieve compliance.
    (7) A manufacturer failing to comply with the provisions specified 
in this part may be liable to pay civil penalties in accordance with 
Sec. 535.9.
    (8) A manufacturer may also be liable to pay civil penalties if 
found by EPA or NHTSA to have provided false information as identified 
through NHTSA or EPA enforcement audits or new vehicle verification 
testing as specified in Sec. 535.9 and 40 CFR parts 86, 1036, and 1037.



PART 536_TRANSFER AND TRADING OF FUEL ECONOMY CREDITS--
Table of Contents



Sec.
536.1 Scope.
536.2 Application.
536.3 Definitions.
536.4 Credits.
536.5 Trading infrastructure.
536.6 Treatment of credits earned prior to model year 2011.
536.7 Treatment of carryback credits.
536.8 Conditions for trading of credits.
536.9 Use of credits with regard to the domestically manufactured 
          passenger automobile minimum standard.
536.10 Treatment of dual-fuel and alternative fuel vehicles--consistency 
          with 49 CFR part 538.

    Authority: 49 U.S.C. 32903; delegation of authority at 49 CFR 1.50.

    Source: 74 FR 14452, Mar. 30, 2009, unless otherwise noted.



Sec. 536.1  Scope.

    This part establishes regulations governing the use and application 
of CAFE credits up to three model years before and five model years 
after the model year in which the credit was earned. It also specifies 
requirements for manufacturers wishing to transfer fuel economy credits 
between their fleets and for manufacturers and other persons wishing to 
trade fuel economy credits to achieve compliance with prescribed fuel 
economy standards.



Sec. 536.2  Application.

    This part applies to all credits earned (and transferable and 
tradable) for exceeding applicable average fuel economy standards in a 
given model year for domestically manufactured passenger cars, imported 
passenger cars, and light trucks.



Sec. 536.3  Definitions.

    (a) Statutory terms. All terms defined in 49 U.S.C. Sec. 32901(a) 
are used pursuant to their statutory meaning.
    (b) Other terms.
    Above standard fuel economy means, with respect to a compliance 
category, that the automobiles manufactured by a manufacturer in that 
compliance category in a particular model year have greater average fuel 
economy (calculated in a manner that reflects the incentives for 
alternative fuel automobiles per 49 U.S.C. 32905) than that 
manufacturer's fuel economy standard for that compliance category and 
model year.
    Adjustment factor means a factor used to adjust the value of a 
traded or transferred credit for compliance purposes to ensure that the 
compliance value of the credit when used reflects the total volume of 
oil saved when the credit was earned.
    Below standard fuel economy means, with respect to a compliance 
category, that the automobiles manufactured by a manufacturer in that 
compliance category in a particular model year have lower average fuel 
economy (calculated in a manner that reflects the incentives for 
alternative fuel automobiles per 49 U.S.C. 32905) than that 
manufacturer's fuel economy standard for that compliance category and 
model year.
    Compliance means a manufacturer achieves compliance in a particular 
compliance category when
    (1) The average fuel economy of the vehicles in that category exceed 
or meet the fuel economy standard for that category, or

[[Page 179]]

    (2) The average fuel economy of the vehicles in that category do not 
meet the fuel economy standard for that category, but the manufacturer 
proffers a sufficient number of valid credits, adjusted for total oil 
savings, to cover the gap between the average fuel economy of the 
vehicles in that category and the required average fuel economy. A 
manufacturer achieves compliance for its fleet if the above conditions 
(1) or (2) are simultaneously met for all compliance categories.
    Compliance category means any of three categories of automobiles 
subject to Federal fuel economy regulations. The three compliance 
categories recognized by 49 U.S.C. 32903(g)(6) are domestically 
manufactured passenger automobiles, imported passenger automobiles, and 
non-passenger automobiles (``light trucks'').
    Credit holder (or holder) means a legal person that has valid 
possession of credits, either because they are a manufacturer who has 
earned credits by exceeding an applicable fuel economy standard, or 
because they are a designated recipient who has received credits from 
another holder. Credit holders need not be manufacturers, although all 
manufacturers may be credit holders.
    Credits (or fuel economy credits) means an earned or purchased 
allowance recognizing that the average fuel economy of a particular 
manufacturer's vehicles within a particular compliance category and 
model year exceeds that manufacturer's fuel economy standard for that 
compliance category and model year. One credit is equal to \1/10\ of a 
mile per gallon above the fuel economy standard per one vehicle within a 
compliance category. Credits are denominated according to model year in 
which they are earned (vintage), originating manufacturer, and 
compliance category.
    Expiry date means the model year after which fuel economy credits 
may no longer be used to achieve compliance with fuel economy 
regulations. Expiry Dates are calculated in terms of model years: for 
example, if a manufacturer earns credits for model year 2011, these 
credits may be used for compliance in model years 2008-2016.
    Fleet means all automobiles that are manufactured by a manufacturer 
in a particular model year and are subject to fuel economy standards 
under 49 CFR parts 531 and 533. For the purposes of this regulation, a 
manufacturer's fleet means all domestically manufactured and imported 
passenger automobiles and non-passenger automobiles (``light trucks''). 
``Work trucks'' and medium and heavy trucks are not included in this 
definition for purposes of this regulation.
    Light truck means the same as ``non-passenger automobile,'' as that 
term is defined in 49 U.S.C. 32901(a)(17), and as ``light truck,'' as 
that term is defined at 49 CFR 523.5.
    Originating manufacturer means the manufacturer that originally 
earned a particular credit. Each credit earned will be identified with 
the name of the originating manufacturer.
    Trade means the receipt by NHTSA of an instruction from a credit 
holder to place one of its credits in the account of another credit 
holder. A credit that has been traded can be identified because the 
originating manufacturer will be a different party than the current 
credit holder. Traded credits are moved from one credit holder to the 
recipient credit holder within the same compliance category for which 
the credits were originally earned. If a credit has been traded to 
another credit holder and is subsequently traded back to the originating 
manufacturer, it will be deemed not to have been traded for compliance 
purposes.
    Transfer means the application by a manufacturer of credits earned 
by that manufacturer in one compliance category or credits acquired be 
trade (and originally earned by another manufacturer in that category) 
to achieve compliance with fuel economy standards with respect to a 
different compliance category. For example, a manufacturer may purchase 
light truck credits from another manufacturer, and transfer them to 
achieve compliance in the manufacturer's domestically manufactured 
passenger car fleet. Subject to the credit transfer limitations of 49 
U.S.C. 32903(g)(3), credits can also be transferred across compliance 
categories and banked or saved in that

[[Page 180]]

category to be carried forward or backwards later to address a credit 
shortfall.
    Vintage means, with respect to a credit, the model year in which the 
credit was earned.

[74 FR 14452, Mar. 30, 2009, as amended at 75 FR 25727, May 7, 2010]



Sec. 536.4  Credits.

    (a) Type and vintage. All credits are identified and distinguished 
in the accounts by originating manufacturer, compliance category, and 
model year of origin (vintage).
    (b) Application of credits. All credits earned and applied are 
calculated, per 49 U.S.C. 32903(c), in tenths of a mile per gallon by 
which the average fuel economy of vehicles in a particular compliance 
category manufactured by a manufacturer in the model year in which the 
credits are earned exceeds the applicable average fuel economy standard, 
multiplied by the number of vehicles sold in that compliance category. 
However, credits that have been traded between credit holders or 
transferred between compliance categories are valued for compliance 
purposes using the adjustment factor specified in paragraph (c) of this 
section, pursuant to the ``total oil savings'' requirement of 49 U.S.C. 
32903(f)(1).
    (c) Adjustment factor. When traded or transferred and used, fuel 
economy credits are adjusted to ensure fuel oil savings is preserved. 
For traded credits, the user (or buyer) must multiply the calculated 
adjustment factor by the number of its shortfall credits it plans to 
offset in order to determine the number of equivalent credits to acquire 
from the earner (or seller). For transferred credits, the user of 
credits must multiply the calculated adjustment factor by the number of 
its shortfall credits it plans to offset in order to determine the 
number of equivalent credits to transfer from the compliance category 
holding the available credits. The adjustment factor is calculated 
according to the following formula:
[GRAPHIC] [TIFF OMITTED] TR18OC12.016

Where:

A = Adjustment factor applied to traded and transferred credits.
VMTe = Lifetime vehicle miles traveled as provided in the 
          following table for the model year and compliance category in 
          which the credit was earned;
VMTu = Lifetime vehicle miles traveled as provided in the 
          following table for the model year and compliance category in 
          which the credit is used for compliance;

----------------------------------------------------------------------------------------------------------------
                                                       Lifetime vehicle miles traveled (VMT)
            Model year            ------------------------------------------------------------------------------
                                      2011       2012       2013       2014       2015       2016     2017-2025
----------------------------------------------------------------------------------------------------------------
Passenger Cars...................    150,922    177,238    177,366    178,652    180,497    182,134      195,264
Light Trucks.....................    172,552    208,471    208,537    209,974    212,040    213,954      225,865
----------------------------------------------------------------------------------------------------------------

MPGse = Required fuel economy standard for the originating 
          (earning) manufacturer, compliance category, and model year in 
          which the credit was earned;
MPGae = Actual fuel economy for the originating manufacturer, 
          compliance category, and model year in which the credit was 
          earned;
MPGsu = Required fuel economy standard for the user (buying) 
          manufacturer, compliance category, and model year in which the 
          credit is used for compliance; and
MPGau = Actual fuel economy for the user manufacturer, 
          compliance category, and model year in which the credit is 
          used for compliance.

[74 FR 14452, Mar. 30, 2009, as amended at 75 FR 25727, May 7, 2010; 77 
FR 64051, Oct. 18, 2012]

[[Page 181]]



Sec. 536.5  Trading infrastructure.

    (a) Accounts. NHTSA maintains ``accounts'' for each credit holder. 
The account consists of a balance of credits in each compliance category 
and vintage held by the holder.
    (b) Who may hold credits. Every manufacturer subject to fuel economy 
standards under 49 CFR parts 531 or 533 is automatically an account 
holder. If the manufacturer earns credits pursuant to this regulation, 
or receives credits from another party, so that the manufacturer's 
account has a non-zero balance, then the manufacturer is also a credit 
holder. Any party designated as a recipient of credits by a current 
credit holder will receive an account from NHTSA and become a credit 
holder, subject to the following conditions:
    (1) A designated recipient must provide name, address, contacting 
information, and a valid taxpayer identification number or social 
security number;
    (2) NHTSA does not grant a request to open a new account by any 
party other than a party designated as a recipient of credits by a 
credit holder;
    (3) NHTSA maintains accounts with zero balances for a period of 
time, but reserves the right to close accounts that have had zero 
balances for more than one year.
    (c) Automatic debits and credits of accounts. (1) Upon receipt of a 
verified instruction to trade credits from an existing credit holder, 
NHTSA verifies the presence of sufficient credits in the account of the 
trader, then debits the account of the trader and credits the account of 
the recipient with credits of the vintage, origin, and compliance 
category designated. Traded credits identified by a specific compliance 
category are deposited into the recipient's account in that same 
compliance category. If the recipient is not a current account holder, 
NHTSA establishes the account subject to the conditions described in 
Sec. 536.5(b), and adds the credits to the newly-opened account.
    (2) NHTSA automatically deletes unused credits from holders' 
accounts as they reach their expiry date.
    (d) Compliance. (1) NHTSA assesses compliance with fuel economy 
standards each year, utilizing the certified and reported CAFE data 
provided by the Environmental Protection Agency for enforcement of the 
CAFE program pursuant to 49 U.S.C. 32904(e). Credit values are 
calculated based on the CAFE data from the EPA. If a particular 
compliance category within a manufacturer's fleet has above standard 
fuel economy, NHTSA adds credits to the manufacturer's account for that 
compliance category and vintage in the appropriate amount by which the 
manufacturer has exceeded the applicable standard.
    (2) If a manufacturer's vehicles in a particular compliance category 
have below standard fuel economy, NHTSA will provide written 
notification to the manufacturer that it has failed to meet a particular 
fleet target standard. The manufacturer will be required to confirm the 
shortfall and must either: submit a plan indicating how it will allocate 
existing credits or earn, transfer and/or acquire credits; or pay the 
appropriate civil penalty. The manufacturer must submit a plan or 
payment within 60 days of receiving agency notification.
    (3) Credits used to offset shortfalls are subject to the three and 
five year limitations as described in Sec. 536.6.
    (4) Transferred credits are subject to the limitations specified by 
49 U.S.C. 32903(g)(3) and this regulation.
    (5) The value, when used for compliance, of any credits received via 
trade or transfer is adjusted, using the adjustment factor described in 
Sec. 536.4(c), pursuant to 49 U.S.C. 32903(f)(1).
    (6) Credit allocation plans received from a manufacturer will be 
reviewed and approved by NHTSA. NHTSA will approve a credit allocation 
plan unless it finds that the proposed credits are unavailable or that 
it is unlikely that the plan will result in the manufacturer earning 
sufficient credits to offset the subject credit shortfall. If a plan is 
approved, NHTSA will revise the respective manufacturer's credit account 
accordingly. If a plan is rejected, NHTSA will notify the respective 
manufacturer and request a revised plan or payment of the appropriate 
fine.
    (e) Reporting. (1) NHTSA periodically publishes the names and credit 
holdings of all credit holders. NHTSA does not publish individual 
transactions,

[[Page 182]]

nor respond to individual requests for updated balances from any party 
other than the account holder.
    (2) NHTSA issues an annual credit status letter to each party that 
is a credit holder at that time. The letter to a credit holder includes 
a credit accounting record that identifies the credit status of the 
credit holder including any activity (earned, expired, transferred, 
traded, carry-forward and carry-back credit transactions/allocations) 
that took place during the identified activity period.



Sec. 536.6  Treatment of credits earned prior to model year 2011.

    (a) Credits earned in a compliance category before model year 2008 
may be applied by the manufacturer that earned them to carryback plans 
for that compliance category approved up to three model years prior to 
the year in which the credits were earned, or may be applied to 
compliance in that compliance category for up to three model years after 
the year in which the credits were earned.
    (b) Credits earned in a compliance category during and after model 
year 2008 may be applied by the manufacturer that earned them to 
carryback plans for that compliance category approved up to three years 
prior to the year in which the credits were earned, or may be held or 
applied for up to five model years after the year in which the credits 
were earned.
    (c) Credits earned in a compliance category prior to model year 2011 
may not be transferred or traded.



Sec. 536.7  Treatment of carryback credits.

    (a) Carryback credits earned in a compliance category in any model 
year may be used in carryback plans approved by NHTSA, pursuant to 49 
U.S.C. 32903(b), for up to three model years prior to the year in which 
the credit was earned.
    (b) For purposes of this regulation, NHTSA will treat the use of 
future credits for compliance, as through a carryback plan, as a 
deferral of penalties for non-compliance with an applicable fuel economy 
standard.
    (c) If NHTSA receives and approves a manufacturer's carryback plan 
to earn future credits within the following three model years in order 
to comply with current regulatory obligations, NHTSA will defer levying 
fines for non-compliance until the date(s) when the manufacturer's 
approved plan indicates that credits will be earned or acquired to 
achieve compliance, and upon receiving confirmed CAFE data from EPA. If 
the manufacturer fails to acquire or earn sufficient credits by the plan 
dates, NHTSA will initiate compliance proceedings.
    (d) In the event that NHTSA fails to receive or approve a plan for a 
non-compliant manufacturer, NHTSA will levy fines pursuant to statute. 
If within three years, the non-compliant manufacturer earns or acquires 
additional credits to reduce or eliminate the non-compliance, NHTSA will 
reduce any fines owed, or repay fines to the extent that credits 
received reduce the non-compliance.
    (e) No credits from any source (earned, transferred and/or traded) 
will be accepted in lieu of compliance if those credits are not 
identified as originating within one of the three model years after the 
model year of the confirmed shortfall.



Sec. 536.8  Conditions for trading of credits.

    (a) Trading of credits. If a credit holder wishes to trade credits 
to another party, the current credit holder and the receiving party must 
jointly issue an instruction to NHTSA, identifying the quantity, 
vintage, compliance category, and originator of the credits to be 
traded. If the recipient is not a current account holder, the recipient 
must provide sufficient information for NHTSA to establish an account 
for the recipient. Once an account has been established or identified 
for the recipient, NHTSA completes the trade by debiting the 
transferor's account and crediting the recipient's account. NHTSA will 
track the quantity, vintage, compliance category, and originator of all 
credits held or traded by all account-holders.
    (b) Trading between and within compliance categories. For credits 
earned in model year 2011 or thereafter, and used to satisfy compliance 
obligations for model year 2011 or thereafter:

[[Page 183]]

    (1) Manufacturers may use credits originally earned by another 
manufacturer in a particular compliance category to satisfy compliance 
obligations within the same compliance category.
    (2) Once a manufacturer acquires by trade credits originally earned 
by another manufacturer in a particular compliance category, the 
manufacturer may transfer the credits to satisfy its compliance 
obligations in a different compliance category, but only to the extent 
that the CAFE increase attributable to the transferred credits does not 
exceed the limits in 49 U.S.C. 32903(g)(3). For any compliance category, 
the sum of a manufacturer's transferred credits earned by that 
manufacturer and transferred credits obtained by that manufacturer 
through trade must not exceed that limit.
    (c) Changes in corporate ownership and control. Manufacturers must 
inform NHTSA of corporate relationship changes to ensure that credit 
accounts are identified correctly and credits are assigned and allocated 
properly.
    (1) In general, if two manufacturers merge in any way, they must 
inform NHTSA how they plan to merge their credit accounts. NHTSA will 
subsequently assess corporate fuel economy and compliance status of the 
merged fleet instead of the original separate fleets.
    (2) If a manufacturer divides or divests itself of a portion of its 
automobile manufacturing business, it must inform NHTSA how it plans to 
divide the manufacturer's credit holdings into two or more accounts. 
NHTSA will subsequently distribute holdings as directed by the 
manufacturer, subject to provision for reasonably anticipated compliance 
obligations.
    (3) If a manufacturer is a successor to another manufacturer's 
business, it must inform NHTSA how it plans to allocate credits and 
resolve liabilities per 49 CFR Part 534, Rights and Responsibilities of 
Manufacturers in the Context of Corporate Relationships.
    (d) No short or forward sales. NHTSA will not honor any instructions 
to trade or transfer more credits than are currently held in any 
account. NHTSA will not honor instructions to trade or transfer credits 
from any future vintage (i.e., credits not yet earned). NHTSA will not 
participate in or facilitate contingent trades.
    (e) Cancellation of credits. A credit holder may instruct NHTSA to 
cancel its currently held credits, specifying the originating 
manufacturer, vintage, and compliance category of the credits to be 
cancelled. These credits will be permanently null and void; NHTSA will 
remove the specific credits from the credit holder's account, and will 
not reissue them to any other party.
    (f) Errors or fraud in earning credits. If NHTSA determines that a 
manufacturer has been credited, through error or fraud, with earning 
credits, NHTSA will cancel those credits if possible. If the 
manufacturer credited with having earned those credits has already 
traded them when the error or fraud is discovered, NHTSA will hold the 
receiving manufacturer responsible for returning the same or equivalent 
credits to NHTSA for cancellation.
    (g) Error or fraud in trading. In general, all trades are final and 
irrevocable once executed, and may only be reversed by a new, mutually-
agreed transaction. If NHTSA executes an erroneous instruction to trade 
credits from one holder to another through error or fraud, NHTSA will 
reverse the transaction if possible. If those credits have been traded 
away, the recipient holder is responsible for obtaining the same or 
equivalent credits for return to the previous holder.



Sec. 536.9  Use of credits with regard to the domestically
manufactured passenger automobile minimum standard.

    (a) Each manufacturer is responsible for compliance with both the 
minimum standard and the attribute-based standard.
    (b) In any particular model year, the domestically manufactured 
passenger automobile compliance category credit excess or shortfall is 
determined by comparing the actual CAFE value against either the 
required standard value or the minimum standard value, whichever is 
larger.
    (c) Transferred or traded credits may not be used, pursuant to 49 
U.S.C. 32903(g)(4) and (f)(2), to meet the domestically manufactured 
passenger

[[Page 184]]

automobile minimum standard specified in 49 U.S.C. 32902(b)(4) and in 49 
CFR 531.5(d).
    (d) If a manufacturer's average fuel economy level for domestically 
manufactured passenger automobiles is lower than the attribute-based 
standard, but higher than the minimum standard, then the manufacturer 
may achieve compliance with the attribute-based standard by applying 
credits.
    (e) If a manufacturer's average fuel economy level for domestically 
manufactured passenger automobiles is lower than the minimum standard, 
then the difference between the minimum standard and the manufacturer's 
actual fuel economy level may only be relieved by the use of credits 
earned by that manufacturer within the domestic passenger car compliance 
category which have not been transferred or traded. If the manufacturer 
does not have available earned credits to offset a credit shortage below 
the minimum standard then the manufacturer can submit a carry-back plan 
that indicates sufficient future credits will be earned in its domestic 
passenger car compliance category or will be subject to penalties.

[74 FR 14452, Mar. 30, 2009, as amended at 77 FR 63198, Oct. 15, 2012



Sec. 536.10  Treatment of dual-fuel and alternative fuel vehicles
--consistency with 49 CFR part 538.

    (a) Statutory alternative fuel and dual-fuel vehicle fuel economy 
calculations are treated as a change in the underlying fuel economy of 
the vehicle for purposes of this regulation, not as a credit that may be 
transferred or traded. Improvements in alternative fuel or dual fuel 
vehicle fuel economy as calculated pursuant to 49 U.S.C. 32905 and 
limited by 49 U.S.C. 32906 are therefore attributable only to the 
particular compliance category and model year to which the alternative 
or dual-fuel vehicle belongs.
    (b) If a manufacturer's calculated fuel economy for a particular 
compliance category, including any statutorily-required calculations for 
alternative fuel and dual fuel vehicles, is higher or lower than the 
applicable fuel economy standard, manufacturers will earn credits or 
must apply credits or pay civil penalties equal to the difference 
between the calculated fuel economy level in that compliance category 
and the applicable standard. Credits earned are the same as any other 
credits, and may be held, transferred, or traded by the manufacturer 
subject to the limitations of the statute and this regulation.
    (c) For model years up to and including MY 2019, if a manufacturer 
builds enough dual fuel vehicles (except plug-in hybrid electric 
vehicles) to improve the calculated fuel economy in a particular 
compliance category by more than the limits set forth in 49 U.S.C. 
32906(a), the improvement in fuel economy for compliance purposes is 
restricted to the statutory limit. Manufacturers may not earn credits 
nor reduce the application of credits or fines for calculated 
improvements in fuel economy based on dual fuel vehicles beyond the 
statutory limit.
    (d) For model years 2020 and beyond, a manufacturer must calculate 
the fuel economy of dual fueled vehicles in accordance with 40 CFR 
600.510-12(c).

[74 FR 14452, Mar. 30, 2009, as amended at 77 FR 63198, Oct. 15, 2012



PART 537_AUTOMOTIVE FUEL ECONOMY REPORTS--Table of Contents



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

    Authority: 49 U.S.C. 32907, delegation of authority at 49 CFR 1.50.

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



Sec. 537.1  Scope.

    This part establishes requirements for automobile manufacturers to 
submit reports to the National Highway

[[Page 185]]

Traffic Safety Administration regarding their efforts to improve 
automotive fuel economy.



Sec. 537.2  Purpose.

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



Sec. 537.3  Applicability.

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



Sec. 537.4  Definitions.

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



Sec. 537.5  General requirements for reports.

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

[[Page 186]]

    (1) Identify the report as a pre-model year report, mid-model year 
report, or supplementary report as appropriate;
    (2) Identify the manufacturer submitting the report;
    (3) State the full name, title, and address of the official 
responsible for preparing the report;
    (4) Be submitted on CD-ROM for confidential reports provided in 
accordance with Part 537.12 and by email for non-confidential (i.e., 
redacted) versions of reports. The content of reports must be provided 
in a pdf or MS Word format except for the information required in 537.7 
which must be provided in a MS Excel format. Submit 2 copies of the CD-
ROM to: Administrator, National Highway Traffic Administration, 1200 New 
Jersey Avenue SW., Washington, DC 20590, and submit reports 
electronically to the following secure email address: [email protected];
    (5) Identify the current model year;
    (6) Be written in the English language; and
    (7)(i) Specify any part of the information or data in the report 
that the manufacturer believes should be withheld from public disclosure 
as trade secret or other confidential business information.
    (ii) With respect to each item of information or data requested by 
the manufacturer to be withheld under 5 U.S.C. 552(b)(4) and 15 U.S.C. 
2005(d)(1), the manufacturer shall:
    (A) Show that the item is within the scope of sections 552(b)(4) and 
2005(d)(1);
    (B) Show that disclosure of the item would result in significant 
competitive damage;
    (C) Specify the period during which the item must be withheld to 
avoid that damage; and
    (D) Show that earlier disclosure would result in that damage.
    (d) Each report required by this part must be based upon all 
information and data available to the manufacturer 30 days before the 
report is submitted to the Administrator.

[47 FR 34986, Aug. 12, 1982, as amended at 75 FR 25728, May 7, 2010; 77 
FR 63198, Oct. 15, 2012]



Sec. 537.6  General content of reports.

    (a) Pre-model year and mid-model year reports. Except as provided in 
paragraph (c) of this section, each pre-model year report and the mid-
model year report for each model year must contain the information 
required by Sec. 537.7(a).
    (b) Supplementary report. Each supplementary report must contain the 
information required by Sec. 537.8(b) (1), (2), or (3), as appropriate.
    (c) Exceptions. The pre-model year report and the mid-model year 
report submitted by an incomplete automobile manufacturer for any model 
year are not required to contain the information specified in Sec. 
537.7 (c)(4) (xv) through (xviii) and (c)(5). The information provided 
by the incomplete automobile manufacturer under Sec. 537.7(c) shall be 
according to base level instead of model type or carline.

[47 FR 34986, Aug. 12, 1982, as amended at 75 FR 25728, May 7, 2010]



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

    (a)(1) Provide the information required by paragraphs (b) and (c) of 
this section for the manufacturer's passenger automobiles for the 
current model year.
    (2) After providing the information required by paragraph (a)(1) of 
this section provide the information required by paragraphs (b) and (c) 
for this section of each class, as specified in part 533 of this 
chapter, of the manufacturer's light trucks for the current model year.
    (b) Projected average and required fuel economy. (1) State the 
projected average fuel economy for the manufacturer's automobiles 
determined in accordance with Sec. 537.9 and based upon the fuel 
economy values and projected sales figures provided under paragraph 
(c)(2) of this section.
    (2) State the projected final average fuel economy that the 
manufacturer anticipates having if changes implemented during the model 
year will cause that average to be different from the average fuel 
economy projected under paragraph (b)(1) of this section.
    (3) State the projected required fuel economy for the manufacturer's 
passenger automobiles and light trucks determined in accordance with 49 
CFR 531.5(c) and 49 CFR 533.5 and based upon the projected sales figures 
provided

[[Page 187]]

under paragraph (c)(2) of this section. For each unique model type and 
footprint combination of the manufacturer's automobiles, provide the 
information specified in paragraph (b)(3)(i) and (ii) 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 paragraphs 
(b)(3)(i) and (ii) of this section from left to right across the top of 
the table. Other formats, such as those accepted by EPA, which contain 
all of the information in a readily identifiable format are also 
acceptable.
    (i) In the case of passenger automobiles:
    (A) Beginning model year 2013, base tire as defined in 49 CFR 523.2,
    (B) Beginning model year 2013, front axle, rear axle and average 
track width as defined in 49 CFR 523.2,
    (C) Beginning model year 2013, wheelbase as defined in 49 CFR 523.2, 
and
    (D) Beginning model year 2013, footprint as defined in 49 CFR 523.2.
    (E) Optionally, beginning model year 2013, the target standard for 
each unique model type and footprint entry listed in accordance with the 
equation provided in 49 CFR 531 Figure 3.
    (ii) In the case of light trucks:
    (A) Beginning model year 2013, base tire as defined in 49 CFR 523.2,
    (B) Beginning model year 2013, front axle, rear axle and average 
track width as defined in 49 CFR 523.2,
    (C) Beginning model year 2013, wheelbase as defined in 49 CFR 523.2, 
and
    (D) Beginning model year 2013, footprint as defined in 49 CFR 523.2.
    (E) Optionally, beginning model year 2013, the target standard for 
each unique model type and footprint entry listed in accordance with the 
equation provided in 49 CFR 533 Figure 4.
    (4) State the projected final required fuel economy that the 
manufacturer anticipates having if changes implemented during the model 
year will cause the targets to be different from the target fuel economy 
projected under paragraph (b)(3) of this section.
    (5) State whether the manufacturer believes that the projections it 
provides under paragraphs (b)(2) and (b)(4) of this section, or if it 
does not provide an average or target under those paragraphs, the 
projections it provides under paragraphs (b)(1) and (b)(3) of this 
section, sufficiently represent the manufacturer's average and target 
fuel economy for the current model year for purposes of the Act. In the 
case of a manufacturer that believes that the projections are not 
sufficiently representative for those purposes, state the specific 
nature of any reason for the insufficiency and the specific additional 
testing or derivation of fuel economy values by analytical methods 
believed by the manufacturer necessary to eliminate the insufficiency 
and any plans of the manufacturer to undertake that testing or 
derivation voluntarily and submit the resulting data to the 
Environmental Protection Agency under 40 CFR 600.509.
    (c) Model type and configuration fuel economy and technical 
information. (1) For each model type of the manufacturer's automobiles, 
provide the information specified in paragraph (c)(2) of this section in 
tabular form. List the model types in order of increasing average 
inertia weight from top to bottom down the left side of the table and 
list the information categories in the order specified in paragraph 
(c)(2) of this section from left to right across the top of the table.
    (2)(i) Combined fuel economy; and
    (ii) Projected sales for the current model year and total sales of 
all model types.
    (3) (Pre-model year report only.) For each vehicle configuration 
whose fuel economy was used to calculate the fuel economy values for a 
model type under paragraph (c)(2) of this section, provide the 
information specified in paragraph (c)(4) of this section either in 
tabular form or as a fixed format computer tape. If a tabular form is 
used then list the vehicle configurations, by model type in the order 
listed under paragraph (c)(2) of this section, from top to bottom down 
the left of the table and list the information categories across the top 
of the table from left to right in the order specified in paragraph 
(c)(4) of this section. Other formats (such as copies of EPA reports) 
which contain all the required information in a readily identifiable 
form are also acceptable. If a computer tape is used,

[[Page 188]]

any NHTSA approved fixed format structure may be used, but each vehicle 
configuration record should identify the manufacturer, model type, and 
for light trucks the drive wheel code, e.g., 2 or 4 wheel drive. At 
least the information categories specified here and in paragraph (c)(4) 
of this section must be provided, but if preferred the tape may contain 
any additional categories. Each computer tape record must contain all 
the required categories of information to enable direct reading and 
interpretation in the fixed format that was approved. There should be no 
titles, column headings, page numbers, or attachment numbers on the 
tape. It must be possible to directly calculate and produce the tables 
specified in paragraph (c)(1) of this section from the records on this 
tape.
    (4) (i) Loaded vehicle weight;
    (ii) Equivalent test weight;
    (iii) Engine displacement, liters;
    (iv) SAE net rated power, kilowatts;
    (v) SAE net horsepower;
    (vi) Engine code;
    (vii) Fuel system (number of carburetor barrels or, if fuel 
injection is used, so indicate);
    (viii) Emission control system;
    (ix) Transmission class;
    (x) Number of forward speeds;
    (xi) Existence of overdrive (indicate yes or no);
    (xii) Total drive ratio (N/V);
    (xiii) Axle ratio;
    (xiv) Combined fuel economy;
    (xv) Projected sales for the current model year;
    (xvi) (A) In the case of passenger automobiles:
    (1) Interior volume index, determined in accordance with subpart D 
of 40 CFR part 600;
    (2) Body style;
    (B) In the case of light trucks:
    (1) Passenger-carrying volume;
    (2) Cargo-carrying volume;
    (xvii) Frontal area;
    (xviii) 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);
    (xix) 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.
    (5) For each model type of automobile which is classified as a non-
passenger vehicle (light truck) under part 523 of this chapter, provide 
the following data:
    (i) For an automobile designed to perform at least one of the 
following functions in accordance with 523.5 (a) indicate (by ``yes'' or 
``no'' for each function) whether the vehicle can:
    (A) Transport more than 10 persons (if yes, provide actual 
designated seating positions);
    (B) Provide temporary living quarters (if yes, provide applicable 
conveniences as defined in 523.2);
    (C) Transport property on an open bed (if yes, provide bed size 
width and length);
    (D) Provide, as sold to the first retail purchaser, greater cargo-
carrying than passenger-carrying volume, such as in a cargo van and 
quantify the value which should be the difference between the values 
provided in (4)(xvi)(B)(1) and (2) above; if a vehicle is sold with a 
second-row seat, its cargo-carrying volume is determined with that seat 
installed, regardless of whether the manufacturer has described that 
seat as optional; or
    (E) Permit expanded use of the automobile for cargo-carrying 
purposes or other non-passenger-carrying purposes through:
    (1) For non-passenger automobiles 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 forward-most point of installation of those seats to the rear of the 
automobile's interior; or
    (2) For non-passenger automobiles 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

[[Page 189]]

pivoting seats so as to create a flat, leveled cargo surface extending 
from the forward-most point of installation of those seats to the rear 
of the automobile's interior.
    (ii) For an automobile capable of off-highway operation, identify 
which of the features below qualify the vehicle as off-road in 
accordance with 523.5 (b) and quantify the values of each feature:
    (A) 4-wheel drive; or
    (B) A rating of more than 6,000 pounds gross vehicle weight; and
    (C) Has at least four of the following characteristics 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. The exact 
value of each feature should be quantified:
    (1) Approach angle of not less than 28 degrees.
    (2) Breakover angle of not less than 14 degrees.
    (3) Departure angle of not less than 20 degrees.
    (4) Running clearance of not less than 20 centimeters.
    (5) Front and rear axle clearances of not less than 18 centimeters 
each.
    (6) The fuel economy values provided under paragraphs (c) (2) and 
(4) of this section shall be determined in accordance with Sec. 537.9.
    (7) Identify any air-conditioning (AC), off-cycle and full-size 
pick-up truck technologies used each model year to calculate the average 
fuel economy specified in 40 CFR 600.510-12.
    (i) Provide a list of each air conditioning efficiency improvement 
technology utilized in your fleet(s) of vehicles for each model year. 
For each technology identify vehicles by make and model types that have 
the technology, which compliance category those vehicles belong to and 
the number of vehicles for each model equipped with the technology. For 
each compliance category (domestic passenger car, import passenger car 
and light truck) report the ``Air conditioning fuel consumption 
improvements'' value in gallons/mile in accordance with the equation 
specified in 40 CFR 600.510-12(c)(3)(i).
    (ii) Provide a list of off-cycle efficiency improvement technologies 
utilized in your fleet(s) of vehicles for each model year that is 
pending or approved by EPA. For each technology identify vehicles by 
make and model that have the technology, which compliance category those 
vehicles belong to, the number of vehicles for each model equipped with 
the technology, and the associated fuel efficiency credits (grams/mile) 
available for each technology. For each compliance category (domestic 
passenger car, import passenger car and light truck) calculate the fleet 
``Off-Cycle Credit'' value in gallons/mile in accordance with the 
equation specified in 40 CFR 600.510-12(c)(3)(ii).
    (iii) Provide a list of full-size pick-up trucks in your fleet that 
meet the mild and strong hybrid vehicle definitions. For each mild and 
strong hybrid type, identify vehicles by make and model that have the 
technology, the number of vehicles produced for each model equipped with 
the technology, the total number of full size pick-up trucks produced 
with and without the technology, the calculated percentage of hybrid 
vehicles relative to the total number of vehicles produced and the 
associated fuel efficiency credits (grams/mile) available for each 
technology. For the light truck compliance category calculate the fleet 
``Pick-up Truck Credit'' value in gallons/mile in accordance with the 
equation specified in 40 CFR 600.510-12(c)(3)(iii).
    (iv) For each model year and compliance category, provide the 
``MPG'' and ``Average MPG'' which are the fleet CAFE value before and 
the revised fleet CAFE value after taking into consideration adjustments 
for AC, Off-Cycle and full-size pick-up truck technologies calculated in 
accordance with 40 CFR 600.510-12 (c)(1)(ii).

[47 FR 34986, Aug. 12, 1982, as amended at 58 FR 18029, Apr. 7, 1993; 71 
FR 17678, Apr. 6, 2006; 74 FR 14456, Mar. 30, 2009; 75 FR 25728, May 7, 
2010; 77 FR 63198, Oct. 15, 2012]



Sec. 537.8  Supplementary reports.

    (a)(1) Except as provided in paragraph (d) of this section, each 
manufacturer whose most recently submitted semiannual report contained 
an average fuel economy projection under

[[Page 190]]

Sec. 537.7(b)(2) or, if no average fuel economy was projected under 
that section, under Sec. 537.7(b)(1), that was not less than the 
applicable average fuel economy standard and who now projects an average 
fuel economy which is less than the applicable standard shall file a 
supplementary report containing the information specified in paragraph 
(b)(1) of this section.
    (2) Except as provided in paragraph (d) of this section, each 
manufacturer that determines that its average fuel economy for the 
current model year as projected under Sec. 537.7(b)(2) or, if no 
average fuel economy was projected under that section, as projected 
under Sec. 537.7(b)(1), is less representative than the manufacturer 
previously reported it to be under Sec. 537.7(b)(3), this section, or 
both, shall file a supplementary report containing the information 
specified in paragraph (b)(2) of this section.
    (3) Each manufacturer whose pre-model year report omits any of the 
information specified in Sec. 537.7(b), (c)(1) and (2), or (c)(4) shall 
file a supplementary report containing the information specified in 
paragraph (b)(3) of this section.
    (b)(1) The supplementary report required by paragraph (a)(1) of this 
section must contain:
    (i) Such revisions of and additions to the information previously 
submitted by the manufacturer under this part regarding the automobiles 
whose projected average fuel economy has decreased as specified in 
paragraph (a)(1) of this section as are necessary--
    (A) To reflect the decrease and its cause;
    (B) To indicate a new projected average fuel economy based upon 
these additional measures.
    (ii) An explanation of the cause of the decrease in average fuel 
economy that led to the manufacturer's having to submit the 
supplementary report required by paragraph (a)(1) of this section.
    (2) The supplementary report required by paragraph (a)(2) of this 
section must contain:
    (i) A statement of the specific nature of and reason for the 
insufficiency in the representativeness of the projected average fuel 
economy;
    (ii) A statement of specific additional testing or derivation of 
fuel economy values by analytical methods believed by the manufacturer 
necessary to eliminate the insufficiency; and
    (iii) A description of any plans of the manufacturer to undertake 
that testing or derivation voluntarily and submit the resulting data to 
the Environmental Protection Agency under 40 CFR 600.509.
    (3) The supplementary report required by paragraph (a)(3) of this 
section must contain:
    (i) All of the information omitted from the pre-model year report 
under Sec. 537.6(c)(2); and
    (ii) Such revisions of and additions to the information submitted by 
the manufacturer in its pre-model year report regarding the automobiles 
produced during the current model year as are necessary to reflect the 
information provided under paragraph (b)(3)(i) of this section.
    (c)(1) Each report required by paragraph (a)(1), (2), or (3) of this 
section must be submitted in accordance with Sec. 537.5(c) not more 
than 45 days after the date on which the manufacturer determined, or 
could have determined with reasonable diligence, that a report is 
required under paragraph (a)(1), (2), or (3) of this section.
    (2) [Reserved]
    (d) A supplementary report is not required to be submitted by the 
manufacturer under paragraph (a) (1) or (2) of this section:
    (1) With respect to information submitted under this part before the 
most recent semiannual report submitted by the manufacturer under this 
part, or
    (2) When the date specified in paragraph (c) of this section occurs:
    (i) During the 60-day period immediately preceding the day by which 
the mid-model year report for the current model year must be submitted 
by the manufacturer under this part, or
    (ii) After the day by which the pre-model year report for the model 
year immediately following the current model year must be submitted by 
the manufacturer under this part.
    (e) Reporting compliance option in model years 2008-2010. For model 
years 2008, 2009, and 2010, each manufacturer of light trucks, as that 
term is defined

[[Page 191]]

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).

[47 FR 34986, Aug. 12, 1982, as amended at 71 FR 17678, Apr. 6, 2006; 75 
FR 25728, May 7, 2010; 77 FR 63199, Oct. 15, 2012]



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

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

[47 FR 34986, Aug. 12, 1982, as amended at 75 FR 25728, May 7, 2010]



Sec. 537.10  Incorporation by reference.

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



Sec. 537.11  Public inspection of information.

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



Sec. 537.12  Confidential information.

    (a) Information made available under Sec. 537.11 for public 
inspection does not include information for which confidentiality is 
requested under Sec. 537.5(c)(7), is granted in accordance with section 
505 of the Act and section 552(b) of Title 5 of the United States Code 
and is not subsequently released under paragraph (c) of this section in 
accordance with section 505 of the Act.
    (b) Denial of confidential treatment. When the Administrator denies 
a manufacturer's request under Sec. 537.5(c)(7)

[[Page 192]]

for confidential treatment of information, the Administrator gives the 
manufacturer written notice of the denial and reasons for it. Public 
disclosure of the information is not made until after the ten-day period 
immediately following the giving of the notice.
    (c) Release of confidential information. After giving written notice 
to a manufacturer and allowing ten days, when feasible, for the 
manufacturer to respond, the Administrator may make available for public 
inspection any information submitted under this part that is relevant to 
a proceeding under the Act, including information that was granted 
confidential treatment by the Administrator pursuant to a request by the 
manufacturer under Sec. 537.5(c)(7).



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



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

    Authority: 49 U.S.C. 32901, 32905, and 32906; delegation of 
authority at 49 CFR 1.95.

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



Sec. 538.1  Scope.

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

[75 FR 25728, May 7, 2010]



Sec. 538.2  Purpose.

    The purpose of this part is to specify one of the criteria in 49 
U.S.C. chapter 329 ``Automobile Fuel Economy'' for identifying dual-
fueled passenger automobiles that are manufactured in model years 1993 
through 2019. 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.

[75 FR 25728, May 7, 2010]



Sec. 538.3  Applicability.

    This part applies to manufacturers of automobiles.



Sec. 538.4  Definitions.

    (a) Statutory terms. (1) The terms alternative fuel, alternative 
fueled automobile, and dual fueled automobile, are used as defined in 49 
U.S.C. 32901(a).
    (2) The terms automobile and passenger automobile, are used as 
defined in 49 U.S.C. 32901(a), and in accordance with the determinations 
in part 523 of this chapter.
    (3) The term manufacturer is used as defined in 49 U.S.C. 
32901(a)(13), and in accordance with part 529 of this chapter.
    (4) The term model year is used as defined in 49 U.S.C. 
32901(a)(15).
    (b)(1) Other terms. The terms average fuel economy, fuel economy, 
and model type are used as defined in subpart A of 40 CFR part 600.
    (2) The term EPA means the U.S. Environmental Protection Agency.



Sec. 538.5  Minimum driving range.

    (a) The minimum driving range that a passenger automobile must have 
in order to be treated as a dual fueled automobile pursuant to 49 U.S.C. 
32901(c) is 200 miles when operating on its nominal useable fuel tank 
capacity of the alternative fuel, except when the alternative fuel is 
electricity or compressed natural gas. Beginning model year 2016, a 
natural gas passenger automobile must have a minimum driving range of 
150 miles when operating on its nominal useable fuel tank capacity of 
the alternative fuel to be treated as a dual fueled automobile, pursuant 
to 49 U.S.C. 32901(c)(2).
    (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

[[Page 193]]

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.

[81 FR 74274, Oct. 25, 2016]



Sec. 538.6  Measurement of driving range.

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

[63 FR 66069, Dec. 1, 1998]



Sec. 538.7  Petitions for reduction of minimum driving range.

    (a) A manufacturer of a model type of passenger automobile capable 
of operating on both electricity and either gasoline or diesel fuel may 
petition for a reduced minimum driving range for that model type in 
accordance with paragraphs (b) and (c) of this section.
    (b) Each petition shall:
    (1) Be addressed to: Administrator, National Highway Traffic Safety 
Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590.
    (2) Be submitted not later than the beginning of the first model 
year in which the petitioner seeks to have the model type treated as an 
electric dual fueled automobile.
    (3) Be written in the English language.
    (4) State the full name, address, and title of the official 
responsible for preparing the petition, and the name and address of the 
petitioner.
    (5) Set forth in full data, views, and arguments of the petitioner, 
including the information and data specified in paragraph (c) of this 
section, and the calculations and analyses used to develop that 
information and data. No documents may be incorporated by reference in a 
petition unless the documents are submitted with the petition.
    (6) Specify and segregate any part of the information and data 
submitted under this section that the petitioner wishes to have withheld 
from public disclosure in accordance with part 512 of this chapter.
    (c) Each petitioner shall include the following information in its 
petition:
    (1) Identification of the model type or types for which a lower 
driving range is sought under this section.
    (2) For each model type identified in accordance with paragraph 
(c)(1) of this section:
    (i) The driving range sought for that model type.
    (ii) The number of years for which that driving range is sought.
    (iii) A description of the model type, including car line 
designation, engine displacement and type, electric storage capacity, 
transmission type, and average fuel economy when operating on:
    (A) Electricity; and
    (B) Gasoline or diesel fuel.
    (iv) An explanation of why the petitioner cannot modify the model 
type so as to meet the generally applicable minimum range, including the 
steps taken by the petitioner to improve the minimum range of the 
vehicle, as well as additional steps that are technologically feasible, 
but have not been taken. The costs to the petitioner of taking these 
additional steps shall be included.
    (3) A discussion of why granting the petition would be consistent 
with the following factors:

[[Page 194]]

    (i) The purposes of 49 U.S.C. chapter 329, including encouraging the 
development and widespread use of electricity as a transportation fuel 
by consumers, and the production of passenger automobiles capable of 
being operated on both electricity and gasoline/diesel fuel;
    (ii) Consumer acceptability;
    (iii) Economic practicability;
    (iv) Technology;
    (v) Environmental impact;
    (vi) Safety;
    (vii) Driveability; and
    (viii) Performance.
    (d) If a petition is found not to contain the information required 
by this section, the petitioner is informed about the areas of 
insufficiency and advised that the petition will not receive further 
consideration until the required information is received.
    (e) The Administrator may request the petitioner to provide 
information in addition to that required by this section.
    (f) The Administrator publishes in the Federal Register a notice of 
receipt for each petition containing the information required by this 
section. Any interested person may submit written comments regarding the 
petition.
    (g) In reaching a determination on a petition submitted under this 
section, the Administrator takes into account:
    (1) The purposes of 49 U.S.C. chapter 329, including encouraging the 
development and widespread use of alternative fuels as transportation 
fuels by consumers, and the production of alternative fuel powered motor 
vehicles;
    (2) Consumer acceptability;
    (3) Economic practicability;
    (4) Technology;
    (5) Environmental impact;
    (6) Safety;
    (7) Driveability; and
    (8) Performance.
    (h) If the Administrator grants the petition, the petitioner is 
notified in writing, specifying the reduced minimum driving range, and 
specifying the model years for which the reduced driving range applies. 
The Administrator also publishes a notice of the grant of the petition 
in the Federal Register and the reasons for the grant.
    (i) If the Administrator denies the petition, the petitioner is 
notified in writing. The Administrator also publishes a notice of the 
denial of the petition in the Federal Register and the reasons for the 
denial.

[63 FR 66069, Dec. 1, 1998, as amended at 75 FR 25728, May 7, 2010]



Sec. 538.8  Gallon Equivalents for Gaseous Fuels.

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

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



Sec. 538.9  Dual fuel vehicle incentive.

    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.

[69 FR 7703, Feb. 19, 2004]



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



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

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

[[Page 195]]

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

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

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



Sec. 541.1  Scope.

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



Sec. 541.2  Purpose.

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



Sec. 541.3  Application.

    (a) Except as provided in paragraph (b) and (c) of this section, 
this standard applies to the following:
    (1) Passenger motor vehicle parts identified in Sec. 541.5(a) that 
are present in:
    (i) Passenger cars; and
    (ii) Multipurpose passenger vehicles with a gross vehicle weight 
rating of 6,000 pounds or less; and
    (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
    (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.
    (2) Replacement passenger motor vehicle parts identified in Sec. 
541.5(a) for vehicles listed in paragraphs (1)(i) to (iv) of this 
section.
    (b) Exclusions. This standard does not apply to the following:
    (1) Passenger motor vehicle parts identified in Sec. 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.
    (2) Passenger motor vehicle parts identified in Sec. 541.5(a) that 
are present in a line with an annual production of not more than 3,500 
vehicles.
    (3) Passenger motor vehicle parts identified in Sec. 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.
    (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.

[70 FR 28851, May 19, 2005]



Sec. 541.4  Definitions.

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

[[Page 196]]

    (5) Multipurpose passenger vehicle (MPV) means a passenger motor 
vehicle which is constructed either on a truck chassis or with special 
features for occasional off-road operation and which is rated at 6,000 
pounds gross vehicle weight or less.
    (6) Passenger car is used as defined in Sec. 571.3 of this chapter.
    (7) VIN means the vehicle identification number required by part 565 
of this chapter.

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



Sec. 541.5  Requirements for passenger motor vehicles.

    (a) Each passenger motor vehicle subject to this standard must have 
an identifying number affixed or inscribed on each of the parts 
specified in paragraphs (a)(1) through (a)(18) inclusive, if the part is 
present on the passenger motor vehicle. In the case of passenger motor 
vehicles not originally manufactured to comply with applicable U.S. 
vehicle safety and bumper standards, each such motor vehicle subject to 
this standard must have an identifying number inscribed in a manner 
which conforms to paragraph (d)(2) of this section, on each of the parts 
specified in paragraphs (a)(1) through (a)(18), inclusive, if the part 
is present on the motor vehicle.

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

    (b)(1) Except as provided in paragraphs (b)(2) and (b)(3) of this 
section, the number required to be inscribed or affixed by paragraph (a) 
shall be the VIN of the passenger motor vehicle.
    (2) In place of the VIN, manufacturers who were marking engines and/
or transmissions with a VIN derivative consisting of at least the last 
eight characters of the VIN on October 24, 1984, may continue to mark 
engines and/or transmissions with such VIN derivative.
    (3) In the case of passenger motor vehicles not originally 
manufactured to comply with U.S. vehicle safety and bumper standards, 
the number required to be inscribed by paragraph (a) of this section 
shall be the original vehicle identification number assigned to the 
motor vehicle by its original manufacturer in the country where the 
motor vehicle was originally produced or assembled.
    (c) The characteristics of the number required to be affixed or 
inscribed by paragraph (a) of this section shall satisfy the size and 
style requirements set forth for vehicle certification labels in Sec. 
567.4(g) of this chapter.
    (d) The number required by paragraph (a) of this section must be 
affixed by means that comply with paragraph (d)(1) of this section or 
inscribed by means that comply with paragraph (d)(2) of this section.
    (1) Labels. (i) The number must be printed indelibly on a label, and 
the label must be permanently affixed to the passenger motor vehicle's 
part.
    (ii) The number must be placed on each part specified in paragraph 
(a) of this section in a location such that the number is, if 
practicable, on an interior surface of the part as installed on the 
vehicle and in a location where it:
    (A) Will not be damaged by the use of any tools necessary to 
install, adjust, or remove the part and any adjoining parts, or any 
portions thereof;
    (B) Is on a portion of the part not likely to be damaged in a 
collision; and
    (C) Will not be damaged or obscured during normal dealer preparation 
operations (including rustproofing and undercoating).
    (iii) The number must be placed on each part specified in paragraph 
(a) of this section in a location that is visible

[[Page 197]]

without further disassembly once the part has been removed from the 
vehicle.
    (iv) The number must be placed entirely within the target area 
specified by the original manufacturer for that part, pursuant to 
paragraph (e) of this section, on each part specified in paragraph (a) 
of this section.
    (v) Removal of the label must--
    (A) Cause the label to self-destruct by tearing or rendering the 
number on the label illegible, and
    (B) Discernibly alter the appearance of that area of the part where 
the label was affixed by leaving residual parts of the label or adhesive 
in that area, so that investigators will have evidence that a label was 
originally present.
    (vi) Alteration of the number on the label must leave traces of the 
original number or otherwise visibly alter the appearance of the label 
material.
    (vii) The label and the number shall be resistant to counterfeiting.
    (viii) The logo or some other unique identifier of the vehicle 
manufacturer must be placed in the material of the label in a manner 
such that alteration or removal of the logo visibly alters the 
appearance of the label.
    (2) Other means of identification. (i) Removal or alteration of any 
portion of the number must visibly alter the appearance of the section 
of the vehicle part on which the identification is marked.
    (ii) The number must be placed on each part specified in paragraph 
(a) of this section in a location that is visible without further 
disassembly once the part has been removed from the vehicle.
    (iii) The number must be placed entirely within the target area 
specified by the original manufacturer for that part, pursuant to 
paragraph (e) of this section, on each part specified in paragraph (a) 
of this section.
    (e) Target areas. (1) Each manufacturer that is the original 
producer who installs or assembles the covered major parts on a line 
shall designate a target area for the identifying numbers to be marked 
on each part specified in paragraph (a) of this section for each of its 
lines subject to this standard. The target area shall not exceed 50 
percent of the surface area on the surface of the part on which the 
target area is located.
    (2) Each manufacturer subject to paragraph (e)(1) of this section 
shall, not later than 30 days before the line is introduced into 
commerce, inform NHTSA in writing of the target areas designated for 
each line subject to this standard. In those instances where a 
manufacturer has submitted this target area information to NHTSA with a 
request for confidential treatment pursuant to 49 CFR part 512, the 
manufacturer must also submit a complete copy of the target area 
information within seven (7) days after the information becomes public, 
or the new line is released for sale to the public, whichever comes 
first. The information must be submitted to: Docket Management, Room 
W12-140, West Building, Ground Floor, 1200 New Jersey Avenue, SE., 
Washington, DC 20590 by any of the following methods. In all cases, the 
docket number for the submission, (Docket No. NHTSA-2009-0069) must be 
cited.
    (i) Electronic submission to the Federal eRulemaking Portal: http://
www.regulations.gov. Follow the instructions for submitting information.
    (ii) By U.S. Mail: Docket Management Facility: U.S. Department of 
Transportation, 1200 New Jersey Avenue, SE., West Building, Ground 
Floor, Room W12-140, Washington, D.C. 20590.
    (iii) Hand delivery or by courier: 1200 New Jersey Avenue, SE., West 
Building, Ground Floor, Room W12-140, Washington, DC 20590, between 9 
a.m. and 5 p.m., Monday through Friday, except Federal holidays. 
Telephone: 1-800-647-5527.
    (iv) By Fax transmission: (202) 493-2251.
    (3) The target areas designated by the original vehicle manufacturer 
for a part on a line shall be maintained for the duration of the 
production of such line, unless a restyling of the part makes it no 
longer practicable to mark the part within the original target area. If 
there is such a restyling, the original vehicle manufacturer shall 
inform NHTSA of that fact and the new target area, in accordance with 
the requirements of paragraph (e)(2) of this section.

[59 FR 64168, Dec. 13, 1994, as amended at 69 FR 17967, Apr. 6, 2004; 76 
FR 24403, May 2, 2011]

[[Page 198]]



Sec. 541.6  Requirements for replacement parts.

    (a) Each replacement part for a part specified in Sec. 541.5(a) 
must have the registered trademark of the manufacturer of the 
replacement part, or some other unique identifier if the manufacturer 
does not have a registered trademark, and the letter ``R'' affixed or 
inscribed on such replacement part by means that comply with Sec. 
541.5(d), except as provided in paragraph (d) of this section. In the 
case of replacement parts subject to the marking requirements of this 
section, which were not originally manufactured for sale in the United 
States, the importer of the part shall inscribe its registered 
trademark, or some other unique identifier if the importer does not have 
a registered trademark, and the letter ``R'' on the part by means that 
comply with Sec. 541.5(d)(2), except as provided in paragraph (d) of 
this section.
    (b) A replacement part subject to paragraph (a) of this section 
shall not be marked pursuant to Sec. 541.5.
    (c) The trademark and the letter ``R'' required by paragraph (a) of 
this section must be at least one centimeter high.
    (d) The trademark and the letter ``R'' required by paragraph (a) of 
this section must be placed entirely within the target area specified by 
the vehicle manufacturer, pursuant to paragraph (e) of this section.
    (e) Target areas. (1) Each manufacturer that is the original 
producer or assembler of the vehicle for which the replacement part is 
designed shall designate a target area for the identifying symbols to be 
marked on each replacement part subject to the requirements of paragraph 
(a) of this section. Such target areas shall not exceed 25 percent of 
the surface area of the surface on which the replacement part marking 
will appear.
    (2) The boundaries of the target area designated under paragraph 
(e)(1) of this section shall be at least 10 centimeters at all points 
from the nearest boundaries of the target area designated for that part 
under Sec. 541.5(e) of this part.
    (3) Each manufacturer subject to paragraph (e)(1) of this section 
shall inform NHTSA in writing of the target areas designated for each 
replacement part subject to paragraph (a) of this section, at the same 
time as it informs the agency of the target area designated for the 
original equipment parts of the line, pursuant to Sec. 541.5(e)(2) of 
this part. In those instances where a manufacturer has submitted this 
target area information to NHTSA with a request for confidential 
treatment under 49 CFR part 512, the manufacturer shall also submit a 
complete copy of the target area information within seven (7) days after 
the information has become public or the new line has been released for 
sale to the public, whichever comes first. The information should be 
submitted to: Docket Management, Room W12-140, Ground Floor, 1200 New 
Jersey Avenue, SE., Washington, DC 20590 by any of the following 
methods. In all cases, the docket number for the submission, (Docket No. 
NHTSA-2009-0069) must be cited.
    (i) Electronic submission to the Federal eRulemaking Portal: http://
www.regulations.gov. Follow the instructions for submitting information.
    (ii) By U.S. Mail: Docket Management Facility: U.S. Department of 
Transportation, 1200 New Jersey Avenue, SE., West Building, Ground 
Floor, Room W12-140, Washington, DC 20590.
    (iii) Hand delivery or by courier: 1200 New Jersey Avenue, S.E., 
West Building, Ground Floor, Room W12-140, Washington, DC 20590, between 
9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. 
Telephone: 1-800-647-5527.
    (iv) By Fax transmission: (202) 493-2251.
    (4) The target area designated by the original vehicle manufacturer 
for the parts subject to the requirements of paragraph (a) of this 
section shall be maintained for the duration of the production of such 
replacement part, unless a restyling of the part makes it no longer 
practicable to mark the part within the original target area. If there 
is such a restyling, the original vehicle manufacturer shall inform 
NHTSA of that fact and the new target area, in accordance with the 
requirements of paragraph (e)(3) of this section.
    (f) Each replacement part must bear the symbol ``DOT'' in letters at 
least

[[Page 199]]

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.

[50 FR 43190, Oct. 24, 1985, as amended at 76 FR 24403, May 2, 2011]



   Sec. Appendix A to Part 541--Light Duty Truck Lines Subject to the 
                      Requirements of This Standard

------------------------------------------------------------------------
               Manufacturer                         Subject lines
------------------------------------------------------------------------
General Motors............................  Chevrolet S-10 Pickup.
                                            GMC Sonoma Pickup.
------------------------------------------------------------------------


[69 FR 17967, Apr. 6, 2004]

    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

------------------------------------------------------------------------
             Manufacturer                        Subject lines
------------------------------------------------------------------------
BMW..................................  MINI.
                                       X1 (MPV).\1\
                                       X1(2012-2015).\2\
                                       X3.
                                       X4.
                                       X5.
                                       Z4.
                                       1 Car Line.
                                       3 Car Line.
                                       4 Car Line.
                                       5 Car Line.
                                       6 Car Line.
                                       7 Car Line.
CHRYSLER.............................  200.\3\
                                       300C.
                                       Jeep Cherokee.
                                       Fiat 500.
                                       Town and Country MPV.
                                       Jeep Grand Cherokee.
                                       Jeep Patriot.
                                       Jeep Wrangler.
                                       Dodge Charger.
                                       Dodge Challenger.
                                       Dodge Dart.
                                       Dodge Journey.
FORD MOTOR CO........................  C-Maxx.
                                       Edge.
                                       Escape.
                                       Explorer.
                                       Fiesta.
                                       Focus.
                                       Fusion.
                                       Lincoln MKX.\1\
                                       Lincoln Town Car.
                                       Mustang.
                                       Mercury Mariner.
                                       Mercury Grand Marquis.
                                       Taurus.
GENERAL MOTORS.......................  Buick Lucerne.
                                       Buick LaCrosse.
                                       Buick LaCrosse/Regal.
                                       Buick Verano.
                                       Cadillac ATS.
                                       Cadillac CTS.
                                       Cadillac DTS/Deville.
                                       Cadillac SRX.
                                       Cadillac XTS/Deville.
                                       Chevrolet Camaro.

[[Page 200]]

 
                                       Chevrolet Corvette.
                                       Chevrolet Cruze.
                                       Chevrolet Equinox.
                                       Chevrolet Impala/Monte Carlo.
                                       Chevrolet Malibu.
                                       Chevrolet Sonic.
                                       Chevrolet Spark.\1\
                                       GMC Terrain.
                                       Pontiac G6.
                                       Saturn Aura.
HONDA................................  Accord.
                                       Acura TL.
                                       Civic.
                                       CRV.\1\
HYUNDAI..............................  Azera.
                                       Genesis.
                                       Equus.
JAGUAR...............................  F-Type.
                                       XF.\1\
                                       XJ.
                                       XK.
                                       Land Rover Discovery Sport.
                                       Land Rover LR2.
                                       Land Rover Range Rover Evoque.
MASERATI.............................  Ghibli.\1\
                                       Quattroporte.
MAZDA................................  2.
                                       3.
                                       5.
                                       6.
                                       CX-3.\1\
                                       CX-5.
                                       CX-7.
                                       CX-9.
                                       MX-5 Miata.
                                       Tribute.
MERCEDES-BENZ........................  smart USA fortwo.
                                       smart Line Chassis.\1\
                                       SL-Line Chassis (SL-Class) (the
                                        models within this line are):
                                          SL400.
                                          SL550.
                                          SL 63/AMG.
                                          SL 65/AMG.
                                       SLK-Line Chassis (SLK-Class) (the
                                        models within this line are):
                                          SLK 250.
                                          SLK 300.
                                          SLK 350.
                                          SLK 55 AMG.
                                       S-Line Chassis (S/CL/S-Coupe
                                        Class) \4\ (the models within
                                        this line are):
                                          S450.
                                          S500.
                                          S550.
                                          S600.
                                          S55.
                                          S63 AMG.
                                          S65 AMG.
                                          CL55.
                                          CL65.
                                          CL500.
                                          CL550.
                                          CL600.
                                       NGCC Chassis Line (CLA/GLA-
                                        Class) (the models within this
                                        line are):
                                          CLA250.
                                          CLA250 4MATIC.
                                          CLA45 4MATIC AMG.
                                          GLA250.
                                          GLA45 AMG.
                                       C-Line Chassis (C-Class/CLK/GLK-
                                        Class) (the models within this
                                        line are):
                                          C63 AMG.
                                          C240.
                                          C250.

[[Page 201]]

 
                                          C300.
                                          C350.
                                          CLK 350.
                                          CLK 550.
                                          CLK 63AMG.
                                          GLK250.
                                          GLK350.
                                       E-Line Chassis (E-Class/CLS
                                        Class) (the models within this
                                        line are):
                                          E55.
                                          E63 AMG.
                                          E320 BLUETEC.
                                          E350 BLUETEC.
                                          E320/E320DT CDi.
                                          E350/E500/E550.
                                          E400 HYBRID.
                                          CLS400.
                                          CLS500.
                                          CLS55 AMG.
                                          CLS63 AMG.
MITSUBISHI...........................  Eclipse.
                                       Endeavor.
                                       Galant.
                                       iMiEV.
                                       Lancer.
                                       Outlander.
                                       Outlander Sport.
                                       Mirage.
NISSAN...............................  Altima.
                                       Cube.
                                       Juke.
                                       Leaf.
                                       Maxima.
                                       Murano.
                                       NV200 Taxi.
                                       Pathfinder.
                                       Quest.
                                       Rogue.
                                       Sentra.
                                       Versa (2008-2011).
                                       Versa Hatchback.
                                       Versa Note.
                                       Infiniti G (2003-2013).
                                       Infiniti M (2004-2013).
                                       Infiniti Q70.
                                       Infiniti Q50/60.
                                       Infiniti QX60.
PORSCHE..............................  911.
                                       Boxster/Cayman.
                                       Macan.
                                       Panamera.
SAAB.................................  9-3.
                                       9-5.
SUBARU...............................  Forester.
                                       Impreza.
                                       Legacy.
                                       B9 Tribeca.
                                       Outback.
                                       WRX.
                                       XV Crosstrek.
SUZUKI...............................  Kizashi.
TESLA................................  Model S.
                                       Model X.
TOYOTA...............................  Camry.
                                       Corolla.
                                       Highlander.
                                       Lexus ES.
                                       Lexus GS.
                                       Lexus LS.
                                       Prius.
                                       RAV4.
                                       Sienna.\1\
VOLKSWAGEN...........................  Audi A3.
                                       Audi A4.
                                       A4 Allroad MPV.

[[Page 202]]

 
                                       Audi A6.
                                       Audi A8.
                                       Audi Q3.
                                       Audi Q5.
                                       Audi TT.\1\
                                       Beetle.
                                       Eos.
                                       Golf/Rabbit/GTI/R32.
                                       Jetta.
                                       New Beetle (renamed ``Beetle'' in
                                        MY 2012).
                                       Passat.
                                       Tiguan.
VOLVO................................  S60.
------------------------------------------------------------------------
\1\ Granted an exemption from the parts marking requirements beginning
  with MY 2016.
\2\ The X1 carline was replaced by the X1 MPV line beginning in MY 2016.
  According to BMW, production of its X1 carline ceased in MY 2015.
\3\ Granted an exemption from the parts marking requirements beginning
  with MY 2015.
\4\ According to Mercedes-Benz, the CL-Class was renamed the S-Coupe
  Class beginning with MY 2015.


[80 FR 60557, Oct. 7, 2015]



 Sec. 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

------------------------------------------------------------------------
         Manufacturers            Subject lines      Parts to be marked
------------------------------------------------------------------------
General Motors................  Cadillac Eldorado  Engine, Transmission.
                                Cadillac Concours  Engine, Transmission.
                                Oldsmobile Ninety- Engine, Transmission.
                                 Eight.
                                Pontiac Firebird.  Engine, Transmission.
                                Chevrolet Camaro.  Engine, Transmission.
                                Oldsmobile Eighty- Engine, Transmission.
                                 Eight.
------------------------------------------------------------------------


[66 FR 40625, Aug. 3, 2001]



  Sec. 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

------------------------------------------------------------------------
               Manufacturer                         Subject lines
------------------------------------------------------------------------
None
------------------------------------------------------------------------


[69 FR 17967, Apr. 6, 2004]



  Sec. Appendix C to Part 541--Criteria for Selecting Light Duty Truck 
                  Lines Likely To Have High Theft Rates

                                  Scope

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

                                 Purpose

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

                               Application

    These criteria apply to lines of passenger motor vehicles initially 
introduced into commerce on or after September 1, 2006.

                               Methodology

    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 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.

                                Criteria

    1. Retail price of the vehicle line.
    2. Vehicle image or marketing strategy.

[[Page 203]]

    3. Vehicle lines with which the new line is intended to compete, and 
the theft rates of such lines.
    4. Vehicle line(s), if any, which the new line is intended to 
replace, and the theft rate(s) of such line(s).
    5. Presence or absence of any new theft prevention devices or 
systems.
    6. Preliminary theft rate for the line, if it can be determined on 
the basis of currently available data.

[50 FR 43190, Oct. 24, 1985, as amended at 69 FR 17967, Apr. 6, 2004; 69 
FR 34613, June 22, 2004]



PART 542_PROCEDURES FOR SELECTING LIGHT DUTY TRUCK LINES TO BE COVERED
BY THE THEFT PREVENTION STANDARD--Table of Contents



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

    Authority: 49 U.S.C. 322, 33101, 33102, 33103, 33104, 33105; 
delegation of authority at 49 CFR 1.50.

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



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

    (a) Scope. This section sets forth the procedures for motor vehicle 
manufacturers and NHTSA to follow in the determination of whether any 
new light duty truck line is likely to have a theft rate above or below 
the 1990/91 median theft rate.
    (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.
    (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.
    (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.
    (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 Sec. 
541.2 of this chapter. NHTSA informs the manufacturer by letter of the 
agency's evaluations and determinations, together with the factual 
information considered by the agency in making them.
    (4) The manufacturer may request the agency to reconsider any of its 
preliminary determinations made under paragraph (c)(3) of this section. 
The manufacturer shall submit its request to the agency within 30 days 
of its receipt of the letter under paragraph (c)(3) of this section. The 
request shall include the facts and arguments underlying the 
manufacturer's objections to the agency's preliminary determinations. 
During this 30-day period, the manufacturer may also request a meeting 
with the agency to discuss those objections.
    (5) Each of the agency's preliminary determinations under paragraph 
(c)(3) of this section shall become final 45 days after the agency sends 
the letter specified in paragraph (c)(3) of this section unless a 
request for reconsideration has been received in accordance with 
paragraph (c)(4) of this section. If such a request has been received, 
the agency makes its final determinations within 60 days of its receipt 
of the request. NHTSA informs the manufacturer by letter of those 
determinations and its response to the request for reconsideration.

[69 FR 17967, Apr. 6, 2004; 69 FR 34613, June 22, 2004]

[[Page 204]]



Sec. 542.2  Procedures for selecting low theft light duty truck lines
with a majority of major parts interchangeable with those of 
a passenger motor vehicle line
          .

    (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.
    (b) Application. These procedures apply to:
    (1) Each manufacturer that produces--
    (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
    (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
    (2) Each of those likely sub-median theft rate light duty truck 
lines.
    (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.
    (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.
    (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.
    (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 Sec. 
541.5 of this chapter. NHTSA informs the manufacturer by letter of the 
agency's preliminary determinations, together with the factual 
information considered by the agency in making them.
    (5) The manufacturer may request the agency to reconsider any of its 
preliminary determinations made under paragraph (c)(4) of this section. 
The manufacturer must submit its request to the agency within 30 days of 
its receipt of the letter under paragraph (c)(4) of this section 
informing it of the agency's evaluations and preliminary determinations. 
The request must include the facts and arguments underlying the 
manufacturer's objections to the agency's preliminary determinations. 
During this 30-day period, the manufacturer may also request a meeting 
with the agency to discuss those objections.
    (6) Each of the agency's preliminary determinations made under 
paragraph (c)(4) of this section becomes final 45 days after the agency 
sends the letter specified in that paragraph unless a request for 
reconsideration has been received in accordance with paragraph (c)(5) of 
this section. If such a request has been received, the agency makes its 
final determinations within 60 days of its receipt of the request. NHTSA 
informs the manufacturer by letter of those determinations and its 
response to the request for reconsideration.

[69 FR 17968, Apr. 6, 2004]

[[Page 205]]



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



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

Appendix A to Part 543--Performance Criteria (Subsections 8 Through 21) 
          of C.R.C, c. 1038.114 (in Effect March 30, 2011)

    Authority: 49 U.S.C. 322, 33101, 33102, 33103, 33104 and 33105; 
delegation of authority at 49 CFR 1.95.

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



Sec. 543.1  Scope.

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



Sec. 543.2  Purpose.

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



Sec. 543.3  Application.

    This part applies to manufacturers of vehicles subject to the 
requirements of part 541 of this chapter, and to any interested person 
who seeks to have NHTSA terminate an exemption.

[70 FR 28851, May 19, 2005]



Sec. 543.4  Definitions.

    (a) Statutory terms. All terms defined in sections 2, 601, and 605 
of the Motor Vehicle Information and Cost Savings Act are used in 
accordance with their statutory meanings unless otherwise defined in 
paragraph (b) of this section.
    (b) Other definitions.
    Accessory mode means the ignition switch setting in which certain 
electrical systems (such as the radio and power windows) can be operated 
without the operation of the vehicle's propulsion engine.
    Immobilizer means a device that, when activated, is intended to 
prevent a motor vehicle from being powered by its own propulsion system.
    Line or car line means a name which a manufacturer applies to a 
group of motor vehicles of the same make which have the same body or 
chassis, or otherwise are similar in construction or design. A ``line'' 
may, for example, include 2-door, 4-door, station wagon, and hatchback 
vehicles of the same make.
    NHTSA means the National Highway Traffic Safety Administration.

[52 FR 33829, Sept. 8, 1987, as amended at 81 FR 66841, Sept. 29, 2016]



Sec. 543.5  Petition: General requirements.

    (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.
    (b) Each petition filed under this part for an exemption must--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, 
DC 20590.

[[Page 206]]

    (3) State the full name and address of the petitioner, the nature of 
its organization (individual, partnership, corporation, etc.), and the 
name of the State or country under the laws of which it is organized;
    (4) Be submitted at least 8 months before the commencement of 
production of the lines specified under paragraph (5) of Sec. 543.5(b) 
for the first model year in which the petitioner wishes those lines to 
be exempted, and identify that model year;
    (5) Identify the passenger motor vehicle line or lines for which 
exemption is sought;
    (6) Identify whether the exemption is sought under Sec. 543.6 or 
Sec. 543.7.
    (7) If the exemption is sought under Sec. 543.6, set forth in full 
the data, views, and arguments of the petitioner supporting the 
exemption, including the information specified in that section.
    (8) If the exemption is sought under Sec. 543.7, submission of the 
information required in that section.
    (9) Specify and segregate any part of the information or data 
submitted that the petitioner requests be withheld from public 
disclosure in accordance with part 512, Confidential Business 
Information, of this chapter.

[52 FR 33829, Sept. 8, 1987, as amended at 59 FR 10758, Mar. 8, 1994; 70 
FR 28851, May 19, 2005; 81 FR 66841, Sept. 29, 2016]



Sec. 543.6  Petition: Specific content requirements.

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

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



Sec. 543.7  Petitions based on performance criteria.

    A petition submitted under this section must include:
    (a) A statement that the entire line of vehicles is equipped with an 
immobilizer, as standard equipment, that meets one of the following:
    (1) The performance criteria (subsections 8 through 21) of C.R.C, c. 
1038.114, Theft Protection and Rollaway Prevention (in effect March 30, 
2011), as excerpted in appendix A of this part;
    (2) National Standard of Canada CAN/ULC-S338-98, Automobile Theft 
Deterrent Equipment and Systems: Electronic Immobilization (May 1998);

[[Page 207]]

    (3) United Nations Economic Commission for Europe (UN/ECE) 
Regulation No. 97 (ECE R97), Uniform Provisions Concerning Approval of 
Vehicle Alarm System (VAS) and Motor Vehicles with Regard to Their Alarm 
System (AS) in effect August 8, 2007; or
    (4) UN/ECE Regulation No. 116 (ECE R116), Uniform Technical 
Prescriptions Concerning the Protection of Motor Vehicles Against 
Unauthorized Use in effect on February 10, 2009.
    (b) Compliance documentation kept to demonstrate the basis for 
certification with the performance criteria specified in paragraph (a) 
of this section.
    (c) A statement that the immobilizer device is durable and reliable.

[81 FR 66841, Sept. 29, 2016]



Sec. 543.8  Processing an exemption petition.

    (a) NHTSA processes any complete petition. If a manufacturer submits 
a petition that does not contain all the information required by this 
part, NHTSA informs the manufacturer of the areas of insufficiency and 
advises the manufacturer that the agency does not process the petition 
until it receives the required information.
    (b) The agency grants a petition for an exemption from the parts-
marking requirements of part 541 either in whole or in part, if it 
determines that, based upon substantial evidence, the standard equipment 
antitheft device is likely to be as effective in reducing and deterring 
motor vehicle theft as compliance with the parts-marking requirements of 
part 541.
    (c) The agency issues its decision either to grant or deny an 
exemption petition not later than 120 days after the date on which a 
complete petition is filed.
    (d) Any exemption granted under this part applies only to the 
vehicle line or lines that are the subject of the grant, and are 
equipped with the antitheft device on which the line's exemption was 
based.
    (e) An exemption granted under this part is effective for the model 
year beginning after the model year in which NHTSA issue the notice of 
exemption, unless the notice of exemption specifies a later model year.
    (f) If the petition is sought under Sec. 543.6, NHTSA publishes a 
notice of its decision to grant or deny an exemption petition in the 
Federal Register and notifies the petitioner in writing of the agency's 
decision.
    (g) If the petition is sought under Sec. 543.7, NHTSA notifies the 
petitioner in writing of the agency's decision to grant or deny an 
exemption petition.

[52 FR 33829, Sept. 8, 1987. Redesignated and amended at 81 FR 66841, 
Sept. 29, 2016]



Sec. 543.9  Duration of exemption.

    Each exemption under this part continues in effect unless it is 
modified or terminated under Sec. 543.10, or the manufacturer ceases 
production of the exempted line.

[81 FR 66841, Sept. 29, 2016]



Sec. 543.10  Terminating or modifying an exemption.

    (a) On its own initiative or in response to a petition, NHTSA may 
commence a proceeding to terminate or modify any exemption granted under 
this part.
    (b) Any interested person may petition the agency to commence a 
proceeding to terminate or modify an exemption.
    (c)(1) In a petition to terminate an exemption, the petitioner must:
    (i) Identify the vehicle line or lines that are the subject of the 
exemption;
    (ii) State the reasons for petitioner's belief that the standard 
equipment antitheft device installed under the exemption is not as 
effective as compliance with the parts-marking requirements of part 541 
in reducing and deterring motor vehicle theft;
    (iii) Comply with Sec. 543.5, paragraphs (b) (1) through (3) and 
(7).
    (2) In a petition to modify an exemption, the petitioner must:
    (i) Identify the vehicle line or lines that are the subject of the 
exemption;
    (ii) Request permission to use an antitheft device similar to, but 
different from the standard equipment antitheft device which is 
installed under the exemption;
    (iii) Comply with Sec. 543.5, paragraphs (b) (1) through (3) and 
(7); and
    (iv) Provide the same information for the modified device that is 
required

[[Page 208]]

under Sec. 543.6 for a new device, except that the information 
specified by Sec. 543.6(a)(3) need by provided only to the extent that 
the modified device differs from the standard equipment antitheft device 
installed under the exemption.
    (d) NHTSA processes any complete petition. If a person submits a 
petition under this section that does not contain all the information 
required by it, NHTSA informs the manufacturer of the areas of 
insufficiency and advises the manufacturer that the agency does not 
process the petition until it receives the required information.
    (e) If NHTSA denies a petition requesting a proceeding to terminate 
or modify an exemption, the agency notifies the petitioner by letter.
    (f) If NHTSA commences a termination proceeding on its own 
initiative or in response to a petition, the agency provides the 
manufacturer of the exempted line with a copy of the petition, if any, a 
written statement of NHTSA's reasons for commencing the proceeding, and 
an opportunity to present its written views.
    (g)(1) The agency terminates an exemption if it determines that the 
antitheft device installed under the exemption has not been as effective 
as parts-marking in reducing and deterring motor vehicle theft.
    (2) Except as provided in paragraph (g)(3) of this section, a 
decision to terminate an exemption under this section takes effect on 
the later of the following dates:
    (i) The last day of the model year in which NHTSA issues the 
termination decision, or
    (ii) Six months after the manufacturer receives written notice of 
the termination.
    (3) If a manufacturer shows good cause why terminating its exemption 
effective on a date later than the one specified in paragraph (g)(2) of 
this section is consistent with the public interest and the purposes of 
the Act, the agency may set such later date.
    (h)(1) The agency modifies an exemption if it detemines, based on 
substantial evidence, that the modified antitheft device described in 
the petition is likely to be as effective in reducing and deterring 
motor vehicle theft as compliance with the parts-marking requirements of 
part 541.
    (2)(i) Except as provided in paragraph (h)(2)(ii) of this section, a 
decision to modify an exemption under this section takes effect on the 
first day of the model year following the model year in which NHTSA 
issued the modification decision.
    (ii) If a manufacturer shows good cause why modifying its exemption 
effective on a date earlier than the one specified in paragraph 
(h)(2)(i) of this section is consistent with the public interest and the 
purposes of the Act, the agency may set such earlier date.
    (i) [Reserved]
    (j) NHTSA publishes notice in the Federal Register of any agency 
decision terminating or modifying an exemption, and notifies the 
affected manufacturer in writing.

[52 FR 33829, Sept. 8, 1987. Redesignated at 81 FR 66841, Sept. 29, 
2016]



Sec. Appendix A to Part 543--Performance Criteria (Subsections 8 Through 
          21) of C.R.C, c. 1038.114 (in Effect March 30, 2011)

    In order to be eligible for an exemption under Sec. 543.7(a)(1), 
the entire vehicle line must be equipped with an immobilizer meeting the 
following criteria:
    (1) Subject to paragraph (2) of this appendix, an immobilization 
system shall arm automatically within a period of not more than 1 minute 
after the disarming device is removed from the vehicle, if the vehicle 
remains in a mode of operation other than accessory mode or on 
throughout that period.
    (2) If the disarming device is a keypad or biometric identifier, the 
immobilization system shall arm automatically within a period of not 
more than 1 minute after the motors used for the vehicle's propulsion 
are turned off, if the vehicle remains in a mode of operation other than 
accessory mode or on throughout that period.
    (3) The immobilization system shall arm automatically not later than 
2 minutes after the immobilization system is disarmed, unless:
    (i) Action is taken for starting one or more motors used for the 
vehicle's propulsion;
    (ii) Disarming requires an action to be taken on the engine start 
control or electric motor start control, the engine stop control or 
electric motor stop control, or the ignition switch; or
    (iii) Disarming occurs automatically by the presence of a disarming 
device and the device is inside the vehicle.

[[Page 209]]

    (4) If armed, the immobilization system shall prevent the vehicle 
from moving more than 3 meters (9.8 feet) under its own power by 
inhibiting the operation of at least one electronic control unit and 
shall not have any impact on the vehicle's brake system except that it 
may prevent regenerative braking and the release of the parking brake.
    (5) During the disarming process, a code shall be sent to the 
inhibited electronic control unit in order to allow the vehicle to move 
under its own power.
    (6) It shall not be possible to disarm the immobilization system by 
interrupting its normal operating voltage.
    (7) When the normal starting procedure requires that the disarming 
device mechanically latch into a receptacle and the device is physically 
separate from the ignition switch key, one or more motors used for the 
vehicle's propulsion shall start only after the device is removed from 
that receptacle.
    (8)(i) The immobilization system shall have a minimum capacity of 
50,000 code variants, shall not be disarmed by a code that can disarm 
all other immobilization systems of the same make and model; and
    (ii) subject to paragraph (9) of this appendix, it shall not have 
the capacity to process more than 5,000 codes within 24 hours.
    (9) If an immobilization system uses rolling or encrypted codes, it 
may conform to the following criteria instead of the criteria set out in 
paragraph (8)(ii) of this appendix:
    (i) The probability of obtaining the correct code within 24 hours 
shall not exceed 4 per cent; and
    (ii) It shall not be possible to disarm the system by re-
transmitting in any sequence the previous 5 codes generated by the 
system.
    (10) The immobilization system shall be designed so that, when 
tested as installed in the vehicle neither the replacement of an 
original immobilization system component with a manufacturer's 
replacement component nor the addition of a manufacturer's component can 
be completed without the use of software; and it is not possible for the 
vehicle to move under its own power for at least 5 minutes after the 
beginning of the replacement or addition of a component referred to in 
this paragraph (1).
    (11) The immobilization system's conformity to paragraph (10) of 
this appendix shall be demonstrated by testing that is carried out 
without damaging the vehicle.
    (12) Paragraph (10)(i) of this appendix does not apply to the 
addition of a disarming device that requires the use of another 
disarming device that is validated by the immobilization system.
    (13) The immobilization system shall be designed so that it can 
neither be bypassed nor rendered ineffective in a manner that would 
allow a vehicle to move under its own power, or be disarmed, using one 
or more of the tools and equipment listed in paragraph (14) of this 
appendix;
    (i) Within a period of less than 5 minutes, when tested as installed 
in the vehicle; or
    (ii) Within a period of less than 2.5 minutes, when bench-tested 
outside the vehicle.
    (14) During a test referred to in paragraph (13) of this appendix, 
only the following tools or equipment may be used: Scissors, wire 
strippers, wire cutters and electrical wires, a hammer, a slide hammer, 
a chisel, a punch, a wrench, a screwdriver, pliers, steel rods and 
spikes, a hacksaw, a battery operated drill, a battery operated angle 
grinder; and a battery operated jigsaw.
    Note: C.R.C, c. 1038.114, Theft Protection and Rollaway Prevention 
(in effect March 30, 2011). See: SOR/2011-69 March, 2011 ``Regulations 
Amending the Motor Vehicle Safety Regulations (Theft Prevention and 
Rollaway Prevention--Standard 114)'' 2011-03-30 Canada Gazette Part II, 
Vol 145, No. 7.

[81 FR 66841, Sept. 29, 2016]



PART 545_FEDERAL MOTOR VEHICLE THEFT PREVENTION STANDARD PHASE-IN
AND SMALL-VOLUME LINE REPORTING REQUIREMENTS--Table of Contents



Sec.
545.1 Scope.
545.2 Purpose.
545.3 Applicability.
545.4 Response to inquiries.
545.5 Definitions.
545.6 Reporting requirements for vehicles listed in Sec. 541.3(a)(1).
545.7 Reporting requirements for vehicles listed in Sec. 541.3(b)(2).
545.8 Records.
545.9 Petition to extend period to file report.

    Authority: 49 U.S.C. 322, 33101, 33102, 33103, 33104, 33105; 
delegation of authority at 49 CFR 1.50.

    Source: 70 FR 28851, May 19, 2005, unless otherwise noted.



Sec. 545.1  Scope.

    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).

[72 FR 46176, Aug. 17, 2007]

[[Page 210]]



Sec. 545.2  Purpose.

    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.



Sec. 545.3  Applicability.

    This subpart applies to manufacturers of motor vehicles.



Sec. 545.4  Response to inquiries.

    (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.
    (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).

[70 FR 28851, May 19, 2005, as amended at 72 FR 46176, Aug. 17, 2007]



Sec. 545.5  Definitions.

    Production year means the 12-month period between September 1 of 
2006 and August 31, 2007, inclusive.
    Small-volume line means a line with an annual production of not more 
than 3,500 vehicles.



Sec. 545.6  Reporting requirements for vehicles listed in Sec. 541.3(a)(1).

    (a) General reporting requirements. 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 
Sec. 541.3(a)(1) that were manufactured between September 1, 2006 and 
August 31, 2007. Each report must--
    (1) Identify the manufacturer;
    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (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;
    (5) Provide the information specified in paragraph (b) of this 
section;
    (6) Be written in the English language; and
    (7) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, Room, 400 7th Street, SW., Washington, DC 20590.
    (b) Report content--(1) Basis for Statement of Compliance. Each 
manufacturer shall provide the number of motor vehicles listed in Sec. 
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).
    (2) Production. 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.
    (3) Statement regarding compliance. 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.

[70 FR 28851, May 19, 2005, as amended at 72 FR 46176, Aug. 17, 2007]



Sec. 545.7  Reporting requirements for vehicles listed in 
Sec. 541.3(b)(2).

    (a) General reporting requirements. Within 60 days after the end of 
the production year ending August 31, 2007,

[[Page 211]]

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--
    (1) Identify the manufacturer;
    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (4) Provide the information specified in paragraph (b) of this 
section;
    (5) Be written in the English language; and
    (6) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, Room, 400 7th Street, SW., Washington, DC 20590.
    (b) Report content. 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.

[70 FR 28851, May 19, 2005, as amended at 72 FR 46176, Aug. 17, 2007]



Sec. 545.8  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec. Sec. 545.6(b)(2) and 545.7(b)(2) until December 31, 2008.



Sec. 545.9  Petition to extend period to file report.

    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 Sec. 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 Traffic 
Safety Administration, 400 7th Street, SW., Washington, DC 20590.



PART 551_PROCEDURAL RULES--Table of Contents



                            Subpart A_General

Sec.
551.1 Scope.

Subpart B [Reserved]

                     Subpart C_Submittals in Writing

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

   Subpart D_Service of Process on Foreign Manufacturers and Importers

             Designation of an Agent for Service of Process

551.45 What is the purpose of this subpart?
551.46 Who must comply with this subpart and when?
551.47 Who may serve as an agent for a foreign manufacturer?
551.48 May an official of a foreign manufacturer serve as its agent?
551.49 May a foreign manufacturer replace its agent?
551.50 May more than one foreign manufacturer designate the same person 
          as agent?
551.51 May an agent assign performance of its functions to another 
          individual or entity?
551.52 How long will a foreign manufacturer's designation of agent 
          remain in effect?

                    Form and Contents of Designation

551.53 What is the required format for a designation?
551.54 What are the required contents for a designation?
551.55 What information must a Designation by Foreign Manufacturer 
          contain?
551.56 What information must an Acceptance by Agent contain?
551.57 Who may sign the Designation by Foreign Manufacturer?
551.58 Who may sign the Acceptance by Agent?
551.59 May the same individual sign both the Designation by Foreign 
          Manufacturer and Acceptance by Agent?
551.60 When must the Designation by Foreign Manufacturer be signed?
551.61 When must the Acceptance by Agent be signed?
551.62 Where should a foreign manufacturer mail the designation?
551.63 May a foreign manufacturer submit a designation by email or 
          facsimile?

[[Page 212]]

551.64 What if designation documents submitted by a foreign manufacturer 
          do not comply with this subpart?
551.65 What if a foreign manufacturer changes its name, address or 
          product names or marks?

                      Method of Service of Process

551.66 What is the legal effect of service of process on an agent?
551.67 Where and how may an agent be served?
551.68 What if an agent cannot be served?

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

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



                            Subpart A_General



Sec. 551.1  Scope.

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

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

Subpart B [Reserved]



                     Subpart C_Submittals in Writing



Sec. 551.31  Form of communications.

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



Sec. 551.33  Address of communications.

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

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



Sec. 551.35  Subscription of communications.

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



Sec. 551.37  Language of communications.

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



   Subpart D_Service of Process on Foreign Manufacturers and Importers

    Source: 70 FR 45567, Aug. 8, 2005, unless otherwise noted.

    Authority: 49 U.S.C. 30164.

             Designation of an Agent for Service of Process



Sec. 551.45  What is the purpose of this subpart?

    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.

[[Page 213]]



Sec. 551.46  Who must comply with this subpart and when?

    (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.
    (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.



Sec. 551.47  Who may serve as an agent for a foreign manufacturer?

    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.



Sec. 551.48  May an official of a foreign manufacturer serve as
its agent?

    (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.
    (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.



Sec. 551.49  May a foreign manufacturer replace its agent?

    (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.
    (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.



Sec. 551.50  May more than one foreign manufacturer designate the same
person as agent?

    Yes, any number of foreign manufacturers separately may designate 
the same person as agent.



Sec. 551.51  May an agent assign performance of its functions 
to another individual or entity?

    No, an agent may not assign performance of its functions.



Sec. 551.52  How long will a foreign manufacturer's designation 
of agent remain in effect?

    (a) A designation of agent remains in effect until replaced or 
withdrawn by a foreign manufacturer.
    (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.

                    Form and Contents of Designation



Sec. 551.53  What is the required format for a designation?

    (a) All documents submitted under this subpart must be:
    (1) Original documents;

[[Page 214]]

    (2) Written in English; and
    (3) Signed in ink.
    (b) For each signature, the document must indicate in English:
    (1) The date of signature; and
    (2) The name and title of the individual who signed the document.
    (c) As long as documents submitted by a foreign manufacturer and its 
agent contain all required information (identified in Sec. Sec. 551.54, 
551.55 and 551.56 below), there is no mandatory format for the 
designation
    (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 Sec. Sec. 551.53 
through 551.65.



Sec. 551.54  What are the required contents for a designation?

    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:
    (a) A Designation by Foreign Manufacturer; and
    (b) An Acceptance by Agent.



Sec. 551.55  What information must a Designation by Foreign 
Manufacturer contain?

    A Designation by Foreign Manufacturer must contain:
    (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;
    (b) The full legal name, principal place of business and mailing 
address of the foreign manufacturer;
    (c) All trade or brand names, marks, logos or other designations of 
origin under which the foreign manufacturer's products will be sold; and
    (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 must have authority to appoint an agent.



Sec. 551.56  What information must an Acceptance by Agent contain?

    An Acceptance by Agent must contain:
    (a) The full legal name, mailing address and telephone number of the 
agent;
    (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;
    (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
    (d) The name and title of the individual signing the acceptance.



Sec. 551.57  Who may sign the Designation by Foreign Manufacturer?

    Only an official or employee of the foreign manufacturer with 
authority to appoint an agent may sign the Designation by Foreign 
Manufacturer.



Sec. 551.58  Who may sign the Acceptance by Agent?

    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.



Sec. 551.59  May the same individual sign both the Designation by
Foreign Manufacturer and Acceptance by Agent?

    (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.
    (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

[[Page 215]]

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.



Sec. 551.60  When must the Designation by Foreign Manufacturer
be signed?

    (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.
    (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.



Sec. 551.61  When must the Acceptance by Agent be signed?

    (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.
    (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.



Sec. 551.62  Where should a foreign manufacturer mail the designation?

    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.



Sec. 551.63  May a foreign manufacturer submit a designation by email
or facsimile?

    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.



Sec. 551.64  What if designation documents submitted by a foreign
manufacturer do not comply with this subpart?

    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.



Sec. 551.65  What if a foreign manufacturer changes its name,
address or product names or marks?

    (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.
    (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.

                      Method of Service of Process



Sec. 551.66  What is the legal effect of service of process on
an agent?

    Service on an agent of administrative or judicial notices or process 
is deemed to be service on a manufacturer.

[[Page 216]]



Sec. 551.67  Where and how may an agent be served?

    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.



Sec. 551.68  What if an agent cannot be served?

    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.

[[Page 217]]

[GRAPHIC] [TIFF OMITTED] TR08AU05.043


[[Page 218]]





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



                            Subpart A_General

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

   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

552.11 Application.
552.12 Definitions.
552.13 Form of petition.
552.14 Content of petition.
552.15 Processing of petition.

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

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



                            Subpart A_General



Sec. 552.1  Scope.

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

[60 FR 17267, Apr. 5, 1995]



Sec. 552.2  Purpose.

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

[60 FR 17267, Apr. 5, 1995]



Sec. 552.3  General.

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

[60 FR 17267, Apr. 5, 1995]



Sec. 552.4  Requirements for petition.

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



Sec. 552.5  Improperly filed petitions.

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

[[Page 219]]

will be considered at the discretion of the Administrator or his 
delegate.



Sec. 552.6  Technical review.

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

[60 FR 17267, Apr. 5, 1995]



Sec. 552.7  Public meeting.

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



Sec. 552.8  Notification of agency action on the petition.

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

[60 FR 17267, Apr. 5, 1995]



Sec. 552.9  Grant of petition.

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



Sec. 552.10  Denial of petition.

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



   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

    Source: 65 FR 30744, May 12, 2000, unless otherwise noted.



Sec. 552.11  Application.

    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.



Sec. 552.12  Definitions.

    For purposes of this subpart, the following definitions apply:
    (a) Dynamic automatic suppression system (DASS) means a portion of 
an air bag system that automatically controls whether or not the air bag 
deploys during a crash by:
    (1) Sensing the location of an occupant, moving or still, in 
relation to the air bag;

[[Page 220]]

    (2) Interpreting the occupant characteristics and location 
information to determine whether or not the air bag should deploy; and
    (3) Activating or suppressing the air bag system based on the 
interpretation of characteristics and occupant location information.
    (b) Automatic suppression zone (ASZ) 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.
    (c) Standard No. 208 means 49 CFR 571.208.



Sec. 552.13  Form of petition.

    Each petition filed under this subpart shall--
    (a) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, S.W., Washington, DC 20590.
    (b) Be written in the English language.
    (c) State the name and address of the petitioner.
    (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 Sec. 552.14. Any documents 
incorporated by reference in the procedure shall be submitted with the 
petition.
    (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.
    (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.
    (g) Set forth a requested effective date and be submitted at least 
nine months before that date.



Sec. 552.14  Content of petition.

    The petitioner shall provide the following information:
    (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.
    (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:
    (i) Outside but adjacent to the ASZ, and
    (ii) Representative of an unbelted occupant position that is likely 
to occur during a frontal crash.
    (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:
    (i) Outside but adjacent to the ASZ, and
    (ii) Representative of unbelted occupant positions that are likely 
to occur during a frontal crash where pre-crash braking occurs.
    (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.
    (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

[[Page 221]]

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.
    (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:
    (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.
    (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.
    (c) Analysis and data supporting the appropriateness, repeatability, 
reproducibility and practicability of each of the proposed test 
procedures.
    (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.
    (2) For the procedures proposed for inclusion in S28.3 and S28.4 of 
Standard No. 208, the petitioner shall provide:
    (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.
    (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.
    (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.
    (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.
    (v) High speed film or video of at least two tests of the DASS using 
the proposed test procedure.
    (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.
    (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.



Sec. 552.15  Processing of petition.

    (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

[[Page 222]]

any such deficiency within 30 days after receipt of the petition.
    (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.
    (c) The agency will publish in the Federal Register 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.



PART 553_RULEMAKING PROCEDURES--Table of Contents



                            Subpart A_General

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

               Subpart B_Procedures for Adoption of Rules

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

Appendix A to Part 553--Statement of Policy: Action on Petitions for 
          Reconsideration
Appendix B to Part 553--Statement of Policy: Rulemakings Involving the 
          Assessment of the Functional Equivalence of Safety Standards
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

    Authority: 49 U.S.C. 322, 1657, 30103, 30122, 30124, 30125, 30127, 
30146, 30162, 32303, 32502, 32504, 32505, 32705, 32901, 32902, 33102, 
33103, and 33107; delegation of authority at 49 CFR 1.95.

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



                            Subpart A_General



Sec. 553.1  Applicability.

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



Sec. 553.3  Definitions.

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



Sec. 553.5  Regulatory docket.

    (a) Information and data deemed relevant by the Administrator 
relating to rulemaking actions, including notices of proposed 
rulemaking; comments received in response to notices; petitions

[[Page 223]]

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



Sec. 553.7  Records.

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



               Subpart B_Procedures for Adoption of Rules



Sec. 553.11  Initiation of rulemaking.

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



Sec. 553.13  Notice of proposed rulemaking.

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



Sec. 553.14  Direct final rulemaking.

    If the Administrator, for good cause, finds that notice is 
unnecessary, and incorporates that finding and a brief statement of the 
reasons for it in the rule, a direct final rule may be issued according 
to the following procedures.
    (a) Rules that the Administrator judges to be non-controversial and 
unlikely to result in adverse public comment may be published as direct 
final rules. These may include rules that:
    (1) Are non-substantive amendments, such as clarifications or 
corrections, to an existing rule;
    (2) Update existing forms or rules, such as incorporations by 
reference of the latest technical standards where the standards have not 
been changed in a complex or controversial way;
    (3) Affect NHTSA's internal procedures, such as filing requirements 
and rules governing inspection and copying of documents;
    (4) Are minor substantive rules or changes to existing rules on 
which the agency does not expect adverse comment.
    (b) The Federal Register document will state that any adverse 
comment or notice of intent to submit adverse comment must be received 
in writing by NHTSA within the specified time after the date of 
publication of the direct final rule and that, if no written adverse 
comment or written notice of intent to submit adverse comment is 
received in that period, the rule will become effective a specified 
number of days (no less than 45) after the date of publication of the 
direct final rule. NHTSA will provide a minimum comment period of 30 
days.
    (c) If no written adverse comment or written notice of intent to 
submit adverse comment is received by NHTSA within the specified time 
after the date of publication in the Federal Register, NHTSA will 
publish a document in the Federal Register indicating that no adverse 
comment was received and confirming that the rule will become effective 
on the date that was indicated in the direct final rule.
    (d) If NHTSA receives any written adverse comment or written notice 
of intent to submit adverse comment within the specified time after 
publication of the direct final rule in the Federal Register, the agency 
will publish a document withdrawing the direct final rule, in whole or 
in part, in the

[[Page 224]]

final rule section of the Federal Register. If NHTSA decides to proceed 
with a provision on which adverse comment was received, the agency will 
publish a notice of proposed rulemaking in the proposed rule section of 
the Federal Register to provide another opportunity to comment.
    (e) An ``adverse'' comment, for the purpose of this subpart, means 
any comment that NHTSA determines is critical of any provision of the 
rule, suggests that the rule should not be adopted, or suggests a change 
that should be made in the rule. A comment suggesting that the policy or 
requirements of the rule should or should not also be extended to other 
Departmental programs outside the scope of the rule is not adverse.

[80 FR 36492, June 25, 2015]



Sec. 553.15  Contents of notices of proposed rulemaking and direct
final rules.

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

[60 FR 62222, Dec. 5, 1995, as amended at 80 FR 36492, June 25, 2015]



Sec. 553.17  Participation of interested persons.

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



Sec. 553.19  Petitions for extension of time to comment.

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



Sec. 553.21  Contents of written comments.

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



Sec. 553.23  Consideration of comments received.

    All timely comments are considered before final action is taken on a 
rulemaking proposal or direct final rule. Late filed comments will be 
considered to the extent practicable.

[80 FR 36492, June 25, 2015]

[[Page 225]]



Sec. 553.25  Additional rulemaking proceedings.

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



Sec. 553.27  Hearings.

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



Sec. 553.29  Adoption of final rules.

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



Sec. Sec. 553.31-553.33  [Reserved]



Sec. 553.35  Petitions for reconsideration.

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



Sec. 553.37  Proceedings on petitions for reconsideration.

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



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

    The filing of a timely petition for reconsideration of any rule 
issued under this part postpones the expiration of the statutory period 
in which to seek judicial review of that rule only as to

[[Page 226]]

the petitioner, and not as to other interested persons. For the 
petitioner, the period for seeking judicial review will commence at the 
time the agency takes final action upon the petition for 
reconsideration.

[60 FR 63651, Dec. 12, 1995]



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

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



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

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

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                        Explanation of Flowchart

                            A. Ultimate Goal

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

                          B. Guiding Principles

                             Best Practices

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

                              Conservatism

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

                         Best Available Evidence

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

                         Sufficiency of Evidence

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

                               Reciprocity

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

[[Page 229]]

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

             C. Agency Decisions in Which Flowchart Is Used

    This flowchart guides agency decisions in connection with a 
rulemaking proceeding that involves the issue of relative benefits and 
functional equivalence.
    1. Decision whether to grant a rulemaking petition. If the agency 
receives a petition for rulemaking based on a claim that one of Country 
B's standards is better than or at least functionally equivalent to one 
of the Federal Motor Vehicle Safety Standards (FMVSSs), the agency will 
consider the merits of the petition in accordance with 49 CFR Part 552, 
Petitions for rulemaking, defect, and noncompliance orders, and with the 
functional equivalence process set forth in the flowchart. If it appears 
that there is reason to believe that Country B's standard provides 
safety benefits are greater than or at least equal to those of the 
FMVSS, the agency will likely grant the petition and commence a 
rulemaking proceeding.
    The agency emphasizes that its priority with respect to 
international harmonization is identifying and adopting those foreign 
safety standards that represent best practices. Accordingly, if resource 
limitations make it necessary to choose between competing petitions in 
granting or processing them, the agency would give priority to petitions 
asking the agency to upgrade one of its standards to the level of a 
superior foreign standard over petitions simply asking the agency to add 
a compliance alternative.
    2. Decision whether to issue a notice of proposed rulemaking. If 
NHTSA grants the petition, it will proceed, as in any other rulemaking 
regarding the FMVSSs, to determine whether amending an FMVSS would be 
appropriate under the applicable statutory criteria in chapter 301 of 
title 49, U.S.C. Following the process set forth in the flowchart, the 
agency will use data submitted by the petitioner, supplemented by data 
from other sources, to compare performance and tentatively determine 
whether Country B's standard specified in the petition is better than or 
at least functionally equivalent to the FMVSS specified in the petition.
    This comparison could have a variety of possible outcomes:
    a. The comparison may indicate that the foreign standard's safety 
benefits are less than those of the counterpart FMVSS. If NHTSA 
determines that the foreign standard results in fewer safety benefits 
than the counterpart FMVSS, it will terminate the rulemaking proceeding.
    b. The comparison may indicate that the foreign standard's safety 
benefits are approximately equal to those of the counterpart FMVSS. If 
the agency tentatively determines that the safety benefits of a foreign 
standard are approximately equal to those of a FMVSS, it will take one 
of two steps in most instances. One possibility is that it will develop 
a notice of proposed rulemaking (NPRM) proposing to amend the FMVSS by 
adding the foreign standard as an alternative to the existing 
requirements of the FMVSS. The other possibility is that the agency will 
develop an NPRM proposing to harmonize the FMVSS with the foreign 
standard. This second approach would enable NHTSA to maintain a single 
set of requirements and test procedures in its standard, thereby 
minimizing any drain on its enforcement resources. An additional 
possibility that might be considered in some instances would be 
``qualified functional equivalence.'' Under this third approach, the 
agency would regard Country B's standard to be functionally equivalent 
if it is supplemented by a specified requirement in the counterpart 
FMVSS.
    c. The comparison may indicate that the foreign standard's safety 
benefits are greater than those of the counterpart FMVSS. If NHTSA 
tentatively determines that the foreign standard results in greater 
safety benefits than the counterpart FMVSS, and if upgrading is 
appropriate, based on the incremental benefits and costs and applicable 
statutory criteria, the agency issues an NPRM proposing to upgrade the 
FMVSS to the level of Country B's std. If upgrading is not appropriate, 
NHTSA considers issuing an NPRM proposing to add the requirements of 
Country B's std to the FMVSS as an alternative compliance option. The 
proposal to add the compliance option would set forth the basis for the 
agency's conclusion that upgrading the FMVSS is inappropriate.
If NHTSA issues an NPRM, it would request comment on the tentative 
determination and the proposed amendment.
    3. Decision whether to issue a final rule. Any final decision to 
make a determination regarding relative benefits and functional 
equivalency and to amend the FMVSS will be made in accordance with the 
process in the flowchart and applicable law and only after careful 
consideration and analysis of the public comments.

[63 FR 26514, May 13, 1998]

[[Page 230]]



Sec. 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

 I. Agency Policy Goals for the 1998 Global Agreement and International 
                   Motor Vehicle Safety Harmonization

        A. Paramount Policy Goal Under the 1998 Global Agreement

    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.

                          B. Other Policy Goals

    1. Adopt and maintain U.S. standards that fully meet the need in the 
U.S. for vehicle safety.
    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.
    3. Enhance regulatory effectiveness through regulatory cooperation 
with other countries and regions, thereby providing greater safety 
protection with available government resources.

   II. Public Participation and the Establishing of Global Technical 
   Regulations for Motor Vehicle Safety, Theft, and Energy Efficiency

     A. Summary of the Process Under the 1998 Global Agreement for 
                Establishing Global Technical Regulations

                            1. Proposal Stage

    A Contracting Party submits a proposal for either a harmonized or 
new global technical regulation to the Executive Committee of the 1998 
Global Agreement (i.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.

                         2. Recommendation Stage

    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.

                         3. Establishment Stage

    If the Executive Committee reaches consensus in favor of that 
recommended global technical regulation, the global technical regulation 
is established in the Global Registry.

                B. Notice of Annual Work Program of WP.29

    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:
    1. A calendar of scheduled meetings of WP.29 participants and 
working parties of experts, and meetings of the Executive Committee; and
    2. A list of the global technical regulations that:
    a. Have been proposed and referred to a working party of experts, or
    b. Have been recommended by a working party of experts.

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.

                           C. Public Meetings

    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:
    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;
    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
    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.


[[Page 231]]


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.

      D. Notices Concerning Individual Global Technical Regulations

   1. Notice Requesting Written Comment on Proposed Global Technical 
                               Regulations

    a. Proposals by the U.S. (See Figure 1.)
    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.
    b. Proposals by a Contracting Party other than the U.S. (See Figure 
2.)
    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 (http://dms.dot.gov/). 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.

  2. Notice Requesting Written Comment on Recommended Global Technical 
                               Regulations

    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 (http://
dms.dot.gov/) 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.

  3. Notice Requesting Written Comment on Established Global Technical 
                               Regulations

    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.

                      E. Availability of Documents

    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 (http://
dms.dot.gov/). Within the limits of available resources, we will also 
place the documents on an international activities page that will be 
included in our Website (http://www.nhtsa.dot.gov/cars/rules/
international/index.html).

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[[Page 233]]


[GRAPHIC] [TIFF OMITTED] TR23AU00.001


[65 FR 51245, Aug. 23, 2000]

[[Page 234]]



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



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

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

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



Sec. 554.1  Scope.

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



Sec. 554.2  Purpose.

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

[60 FR 17267, Apr. 5, 1995]



Sec. 554.3  Application.

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

[60 FR 17267, Apr. 5, 1995]



Sec. 554.4  Office of Vehicle Safety Compliance.

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



Sec. 554.5  Office of Defects Investigation.

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



Sec. 554.6  Opening an investigation.

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



Sec. 554.7  Investigation priorities.

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

[[Page 235]]



Sec. 554.8  Monthly reports.

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



Sec. 554.9  Availability of files.

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



Sec. 554.10  Initial determinations and public meetings.

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

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



Sec. 554.11  Final decisions.

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

[60 FR 17268, Apr. 5, 1995]

[[Page 236]]



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



                            Subpart A_General

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

   Subpart B_Vehicles Built In Two or More Stages and Altered Vehicles

555.11 Application.
555.12 Petition for exemption.
555.13 Basis for petition.
555.14 Processing of petitions.
555.15 Time period for exemptions.
555.16 Renewal of exemptions.
555.17 Termination of temporary exemptions.
555.18 Temporary exemption labels.

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

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



                            Subpart A_General



Sec. 555.1  Scope.

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

[64 FR 2861, Jan. 19, 1999]



Sec. 555.2  Purpose.

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

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



Sec. 555.3  Application.

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

[64 FR 2861, Jan. 19, 1999]



Sec. 555.4  Definitions.

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

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



Sec. 555.5  Application for exemption.

    (a) A manufacturer of motor vehicles or passenger motor vehicles may 
apply to NHTSA for a temporary exemption from any Federal motor vehicle 
safety or bumper standard or for a renewal of any exemption on the bases 
of substantial economic hardship, making easier the development or field 
evaluation of new motor vehicle safety or impact protection, or low-
emission vehicle features, or that compliance with a standard would 
prevent it from selling a vehicle with an overall level of safety or 
impact protection at least equal to that of nonexempted vehicles.

[[Page 237]]

    (b) Each application filed under this part for an exemption or its 
renewal must--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;
    (3) State the full name and address of the applicant, the nature of 
its organization (individual, partnership, corporation, etc.) and the 
name of the State or country under the laws of which it is organized;
    (4) State the number and title, and the text or substance of the 
standard or portion thereof from which the temporary exemption is 
sought, and the length of time desired for such exemption;
    (5) Set forth the basis for the application and the information 
required by Sec. 555.6(a), (b), (c), or (d) as appropriate.
    (6) Specify any part of the information and data submitted which 
petitioner requests be withheld from public disclosure in accordance 
with part 512 of this chapter.
    (i) The information and data which petitioner requests be withheld 
from public disclosure must be submitted in accordance with Sec. 512.4 
of this chapter.
    (ii) The petitioner's request for withholding from public disclosure 
must be accompanied by a certification in support as set forth in 
appendix A to part 512 of this chapter.
    (7) Set forth the reasons why the granting of the exemption would be 
in the public interest, and, as applicable, consistent with the 
objectives of 49 U.S.C. Chapter 301 or Chapter 325.
    (c) The knowing and willful submission of false, fictitious or 
fraudulent information will subject the petitioner to the civil and 
criminal penalties of 18 U.S.C. 1001.

[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 5489, Feb. 13, 1974; 46 
FR 2063, Jan. 8, 1981; 63 FR 44173, Aug. 18, 1998; 64 FR 2861, Jan. 19, 
1999; 70 FR 7429, Feb. 14, 2005]



Sec. 555.6  Basis for application.

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

[[Page 238]]

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

[[Page 239]]

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

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



Sec. 555.7  Processing of applications.

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

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

[[Page 240]]



Sec. 555.8  Termination of temporary exemptions.

    (a) A temporary exemption from a standard granted on the basis of 
substantial economic hardship terminates according to its terms but not 
later than 3 years after the date of issuance unless terminated sooner 
pursuant to paragraph (d) of this section.
    (b) A temporary exemption from a standard granted on a basis other 
than substantial economic hardship terminates according to its terms but 
not later than 2 years after the date of issuance unless terminated 
sooner pursuant to paragraph (d) of this section.
    (c) Any interested person may petition for the termination or 
modification of an exemption granted under this part. The petition will 
be processed in accordance with the procedures of part 552 of this 
chapter.
    (d) The Administrator terminates or modifies a temporary exemption 
if he determines that--
    (1) The temporary exemption is no longer consistent with the public 
interest and the objectives of the Act; or
    (2) The temporary exemption was granted on the basis of false, 
fraudulent, or misleading representations or information.
    (e) If an application for renewal of a temporary exemption that 
meets the requirements of Sec. 555.5 has been filed not later than 60 
days before the termination date of an exemption, the exemption does not 
terminate until the Administrator grants or denies the application for 
renewal.
    (f) The Administrator publishes in the Federal Register a notice of:
    (1) An application for termination or modification of an exemption 
and the action taken in response to it; and
    (2) Any termination or modification of an exemption pursuant to the 
Administrator's own motion.

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



Sec. 555.9  Temporary exemption labels.

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

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

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

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



Sec. 555.10  Availability for public inspection.

    (a) Information relevant to an application under this part, 
including the application and supporting data, memoranda of informal 
meetings with the applicant or any other interested person, and the 
grant or denial of the application, is available for public inspection, 
except as specified in paragraph (b) of this section, in Room PL-401 
(Docket Management), 400 Seventh Street, SW., Washington, DC 20590. 
Copies of available information may be obtained, as provided in part 7 
of the regulations of the Office of the Secretary of Transportation (49 
CFR part 7).

[[Page 241]]

    (b) Except for the release of confidential information authorized by 
part 512 of this chapter, information made available for inspection 
under paragraph (a) shall not include materials not relevant to the 
petition for which confidentiality is requested and granted in 
accordance with 49 U.S.C. 30166 and 30167 and section 552(b) of title 5 
of the U.S.C.).

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



   Subpart B_Vehicles Built in Two or More Stages and Altered Vehicles

    Source: 70 FR 7429, Feb. 14, 2005, unless otherwise noted.



Sec. 555.11  Application.

    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.

[71 FR 28196, May 15, 2006]



Sec. 555.12  Petition for exemption.

    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:
    (a) Be written in the English language;
    (b) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh St., SW., Washington, DC 
20590;
    (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;
    (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;
    (e) Describe by type and use each vehicle configuration (or range of 
vehicle configurations) for which the exemption is sought;
    (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;
    (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 Sec. 555.5(b)(6).
    (1) The information and data which petitioner requests be withheld 
from public disclosure must be submitted in accordance with Sec. 512.4 
of this chapter.
    (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.

[71 FR 28196, May 15, 2006]

[[Page 242]]



Sec. 555.13  Basis for petition.

    The petition shall:
    (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.
    (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:
    (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;
    (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;
    (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;
    (4) The existence, or lack thereof, of generic or cooperative 
testing that would provide a basis for demonstrating compliance with the 
standard(s); and
    (c) Explain why the requested temporary exemption would not 
unreasonably degrade safety.

[71 FR 28196, May 15, 2006]



Sec. 555.14  Processing of petitions.

    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.



Sec. 555.15  Time period for exemptions.

    Subject to Sec. 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.



Sec. 555.16  Renewal of exemptions.

    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.



Sec. 555.17  Termination of temporary exemptions.

    The Administrator may terminate or modify a temporary exemption if 
(s)he determines that:
    (a) The temporary exemption was granted on the basis of false, 
fraudulent, or misleading representations or information; or
    (b) The temporary exemption is no longer consistent with the public 
interest and the objectives of the Act.



Sec. 555.18  Temporary exemption labels.

    An alterer or final-stage manufacturer of a vehicle that is covered 
by

[[Page 243]]

one or more exemptions issued under this sub-part shall affix a label 
that meets meet all the requirements of 49 CFR 555.9.



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



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

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

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



Sec. 556.1  Scope.

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



Sec. 556.2  Purpose.

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



Sec. 556.3  Application.

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



Sec. 556.4  Petition for exemption.

    (a) A manufacturer who has determined the existence, in a motor 
vehicle or item of replacement equipment that he produces, of a defect 
related to motor vehicle safety or a noncompliance with an applicable 
Federal motor vehicle safety standard, or who has received notice of an 
initial determination by the NHTSA of the existence of a defect related 
to motor vehicle safety or a noncompliance, may petition for exemption 
from the Act's notification and remedy requirements on the grounds that 
the defect or noncompliance is inconsequential as it relates to motor 
vehicle safety.
    (b) Each petition submitted under this part shall--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;
    (3) State the full name and address of the applicant, the nature of 
its organization (e.g., individual, partnership, or corporation) and the 
name of the State or country under the laws of which it is organized.
    (4) Describe the motor vehicle or item of replacement equipment, 
including the number involved and the period of production, and the 
defect or noncompliance concerning which an exemption is sought; and
    (5) Set forth all data, views, and arguments of the petitioner 
supporting his petition.
    (6) Be accompanied by three copies of the report the manufacturer 
has submitted, or is submitting, to NHTSA in accordance with part 573 of 
this chapter, relating to its determination of the existence of safety 
related defect or noncompliance with an applicable safety standard that 
is the subject of the petition.
    (c) In the case of defects related to motor vehicle safety or 
noncompliances determined to exist by a manufacturer, petitions under 
this part must be submitted not later than 30 days after such 
determination. In the case of defects related to motor vehicle safety or 
noncompliances initially determined to exist by the NHTSA, petitions 
must be submitted not later than 30 days after notification of the 
determination has been received by the manufacturer. Such a petition 
will not

[[Page 244]]

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.

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



Sec. 556.5  Processing of petition.

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



Sec. 556.6  Meetings.

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



Sec. 556.7  Disposition of petition.

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



Sec. 556.8  Rescission of decision.

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



Sec. 556.9  Public inspection of relevant information.

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

[[Page 245]]

the Secretary of Transportation (49 CFR part 7).

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

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



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



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

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

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



Sec. 557.1  Scope.

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



Sec. 557.2  Purpose.

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



Sec. 557.3  General.

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



Sec. 557.4  Requirements for petition.

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



Sec. 557.5  Improperly filed petitions.

    (a) A petition that is not addressed as specified in Sec. 557.4, 
but that meets the other requirements of that section, will

[[Page 246]]

be treated as a properly filed petition, received as of the time it is 
discovered and identified.
    (b) A document that fails to conform to one or more of the 
requirements of Sec. 557.4(a) (1) through (5) will not be treated as a 
petition under this part. Such a document will be treated according to 
the existing correspondence and other procedures of the NHTSA, and any 
information contained in it will be considered at the discretion of the 
Administrator.



Sec. 557.6  Determination whether to hold a public hearing.

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



Sec. 557.7  Public hearing.

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



Sec. 557.8  Determination of manufacturer's obligation.

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



PART 562_LIGHTING AND MARKING OF AGRICULTURAL EQUIPMENT--
Table of Contents



Sec.
562.1 Scope and purpose.
562.3 Definitions.
562.5 Applicability.
562.7 Lighting and marking requirements for new agricultural equipment.
562.9 Compliance not affected by addition of certain materials and 
          equipment.
562.11 Incorporation by reference.

    Authority: Sec. 31601, Pub. L. 112-141, 126 Stat. 405; 49 U.S.C. 
30111 note; delegation of authority at 49 CFR 1.95.

    Source: 81 FR 40533, June 22, 2016, unless otherwise noted.



Sec. 562.1  Scope and purpose.

    This part establishes minimum lighting and marking standards for new 
agricultural equipment as required by the Moving Ahead for Progress in 
the 21st Century Act (Sec. 31601, Pub. L. 112-141).



Sec. 562.3  Definitions.

    Agricultural equipment has the meaning given the term ``agricultural 
field equipment'' in the ANSI/ASAE 390.4

[[Page 247]]

JAN2005, ``Definitions and Classifications of Agricultural Field 
Equipment'' (incorporated by reference, see Sec. 562.11).
    Public road means any road or street under the jurisdiction of and 
maintained by a public authority and open to public travel.



Sec. 562.5  Applicability.

    This standard applies to new agricultural equipment that may be 
operated on a public road.



Sec. 562.7  Lighting and marking requirements for new agricultural
equipment.

    New agricultural equipment that may be operated on a public road 
must meet the lighting and marking standards set forth in ANSI/ASAE 
279.14 JUL2008, ``Lighting and Marking of Agricultural Equipment on 
Highways'' (incorporated by reference, see Sec. 562.11).



Sec. 562.9  Compliance not affected by addition of certain materials
and equipment.

    (a) Successor standards. Equipping new agricultural equipment that 
may be operated on a public road with lighting and marking materials and 
equipment that comply with a revision of ANSI/ASAE Standard 279 adopted 
after the version cited in Sec. 562.7 does not affect compliance with 
the requirements of this part.
    (b) Additional materials and equipment. Equipping new agricultural 
equipment that may be operated on a public road with lighting and 
marking materials and equipment that are in addition to the minimum 
requirements specified in Sec. 562.7 does not affect compliance with 
the requirements of this part.



Sec. 562.11  Incorporation by reference.

    Certain material is incorporated by reference into this part with 
the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. You may inspect approved material at the 
National Highway Traffic Safety Administration, 1200 New Jersey Avenue 
SE., Washington, DC 20590 or at the National Archives and Records 
Administration. For information on the availability of this material at 
NARA, call 202-741-6030, or go to: http://www.archives.gov/federal--
register/code--of--federal--regulations/ibr--locations.html.
    (a) American Society of Agricultural and Biological Engineers 
(ASABE) 2950 Niles Road, St. Joseph, Michigan 49085-9659, (269) 429-
0300. http://www.asabe.org/publications/publications/standards.aspx.
    (1) ANSI/ASABE 279.14 JUL2008, ``Lighting and Marking of 
Agricultural Equipment on Highways,'' approved August 2008, into Sec. 
562.7.
    (2) ANSI/ASAE 390.4 JAN2005, ``Definitions and Classifications of 
Agricultural Field Equipment,'' approved February 2005, into Sec. 
562.3.
    (b) [Reserved]



PART 563_EVENT DATA RECORDERS--Table of Contents



Sec.
563.1 Scope.
563.2 Purpose.
563.3 Application.
563.4 [Reserved]
563.5 Definitions.
563.6 Requirements for vehicles.
563.7 Data elements.
563.8 Data format.
563.9 Data capture.
563.10 Crash test performance and survivability.
563.11 Information in owner's manual.
563.12 Data retrieval tools.

    Authority: 49 U.S.C. 322, 30101, 30111, 30115, 30117, 30166, 30168; 
delegation of authority at 49 CFR 1.50.

    Source: 71 FR 51043, Aug. 28, 2006, unless otherwise noted.



Sec. 563.1  Scope.

    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 to make tools 
and/or methods commercially available so that crash investigators and 
researchers are able to retrieve data from EDRs.



Sec. 563.2  Purpose.

    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

[[Page 248]]

(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.



Sec. 563.3  Application.

    This part applies to the following vehicles manufactured on or after 
September 1, 2012, 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, 2013 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.

[73 FR 2179, Jan. 14, 2008]



Sec. 563.4  [Reserved]



Sec. 563.5  Definitions.

    (a) Motor vehicle safety standard definitions. 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.
    (b) Other definitions.
    ABS activity means the anti-lock brake system (ABS) is actively 
controlling the vehicle's brakes.
    Air bag warning lamp status means whether the warning lamp required 
by FMVSS No. 208 is on or off.
    Capture means the process of buffering EDR data in a temporary, 
volatile storage medium where it is continuously updated at regular time 
intervals.
    Delta-V, lateral 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, recorded every 0.01 
seconds.
    Delta-V, longitudinal 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.
    Deployment time, frontal air bag 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.
    Disposal means the deployment command of the second (or higher, if 
present) stage of a frontal air bag for the purpose of disposing the 
propellant from the air bag device.
    End of event time means the moment at which the resultant cumulative 
delta-V within a 20 ms time period becomes 0.8 km/h (0.5 mph) or less, 
or the moment at which the crash detection algorithm of the air bag 
control unit resets.
    Engine RPM means
    (1) For vehicles powered by internal combustion engines, the number 
of revolutions per minute of the main crankshaft of the vehicle's 
engine; and
    (2) For vehicles not entirely 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.
    Engine throttle, percent full means the driver-requested 
acceleration as measured by the throttle position sensor on the 
accelerator pedal compared to the fully-depressed position.
    Event means a crash or other physical occurrence that causes the 
trigger threshold to be met or exceeded, or any non-reversible 
deployable restraint to be deployed, whichever occurs first.
    Event data recorder (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.

[[Page 249]]

    Frontal air bag 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.
    Ignition cycle, 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.
    Ignition cycle download 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.
    Lateral acceleration 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.
    Longitudinal acceleration 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.
    Maximum delta-V, lateral 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.
    Maximum delta-V, longitudinal 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.
    Maximum delta-V, resultant means the time-correlated maximum value 
of the cumulative change in velocity, as recorded by the EDR or 
processed during data download, along the vector-added longitudinal and 
lateral axes.
    Multi-event crash means the occurrence of 2 events, the first and 
last of which begin not more than 5 seconds apart.
    Non-volatile memory means the memory reserved for maintaining 
recorded EDR data in a semi-permanent fashion. Data recorded in non-
volatile memory is retained after loss of power and can be retrieved 
with EDR data extraction tools and methods.
    Normal acceleration 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.
    Occupant position classification 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.
    Occupant size classification means, for the right front passenger, 
the classification of the occupant as a child (as defined in 49 CFR part 
572, subpart N or smaller) or not as an adult (as defined in 49 CFR part 
572, subpart O), and for the driver, the classification of the driver as 
being a 5th percentile female (as defined in 49 CFR Part 572, subpart O) 
or larger.
    Pretensioner means a device that is activated by a vehicle's crash 
sensing system and removes slack from a vehicle safety belt system.
    Record means the process of saving captured EDR data into a non-
volatile device for subsequent retrieval.
    Safety belt status means the feedback from the safety system that is 
used to determine that an occupant's safety belt (for both driver and 
right front passenger) is fastened or unfastened.
    Seat track position switch, foremost, status means the status of the 
switch that is installed to detect whether the seat is moved to a 
forward position.
    Service brake, on or off 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.
    Side air bag 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.
    Side curtain/tube air bag 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.

[[Page 250]]

    Speed, vehicle indicated means the vehicle speed indicated by a 
manufacturer-designated subsystem designed to indicate the vehicle's 
ground travel speed during vehicle operation.
    Stability control means any device that complies with FMVSS No. 126, 
``Electronic stability control systems.''
    Steering input 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).
    Suppression switch status means the status of the switch indicating 
whether an air bag suppression system is on or off.
    Time from event 1 to 2 means the elapsed time from time zero of the 
first event to time zero of the second event.
    Time, maximum delta-V, lateral 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 lateral axis.
    Time, maximum delta-V, longitudinal 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.
    Time, maximum delta-V, resultant means the time from crash time zero 
to the point where the maximum delta-V resultant occurs, as recorded by 
the EDR or processed during data download.
    Time to deploy, pretensioner means the elapsed time from crash time 
zero to the deployment command for the safety belt pretensioner (for 
both driver and right front passenger).
    Time to deploy, side air bag/curtain 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).
    Time to first stage means the elapsed time between time zero and the 
time when the first stage of a frontal air bag is commanded to fire.
    Time to n\th\ stage means the elapsed time from crash time zero to 
the deployment command for the nth stage of a frontal air bag (for both 
driver and right front passenger).
    Time zero means whichever of the following occurs first:
    (1) For systems with ``wake-up'' air bag control systems, the time 
at which the occupant restraint control algorithm is activated; or
    (2) For continuously running algorithms,
    (i) 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
    (ii) 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; or
    (3) Deployment of a non-reversible deployable restraint.
    Trigger threshold 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.
    Vehicle roll angle means the angle between the vehicle's y-axis and 
the ground plane.
    Volatile memory 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 volatile memory is continuously 
overwritten and is not retained in the event of a power loss or 
retrievable with EDR data extraction tools.
    X-direction means in the direction of the vehicle's X-axis, which is 
parallel to the vehicle's longitudinal centerline. The X-direction is 
positive in the direction of forward vehicle travel.
    Y-direction means in the direction of the vehicle's 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.

[[Page 251]]

    Z-direction means in the direction of the vehicle's Z-axis, which is 
perpendicular to the X- and Y-axes. The Z-direction is positive in a 
downward direction.

[73 FR 2180, Jan. 14, 2008, as amended at 76 FR 47486, Aug. 5, 2011]



Sec. 563.6  Requirements for vehicles.

    Each vehicle equipped with an EDR must meet the requirements 
specified in Sec. 563.7 for data elements, Sec. 563.8 for data format, 
Sec. 563.9 for data capture, Sec. 563.10 for crash test performance 
and survivability, and Sec. 563.11 for information in owner's manual.



Sec. 563.7  Data elements.

    (a) Data elements required for all vehicles. 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.

  Table I--Data Elements Required for All Vehicles Equipped With an EDR
------------------------------------------------------------------------
                                 Recording interval/time    Data sample
          Data element            \1\ (relative to time    rate (samples
                                          zero)             per second)
------------------------------------------------------------------------
Delta-V, longitudinal..........  0 to 250 ms or 0 to End             100
                                  of Event Time plus 30
                                  ms, whichever is
                                  shorter.
Maximum delta-V, longitudinal..  0-300 ms or 0 to End of             N/A
                                  Event Time plus 30 ms,
                                  whichever is shorter.
Time, maximum delta-V..........  0-300 ms or 0 to End of             N/A
                                  Event Time plus 30 ms,
                                  whichever is shorter.
Speed, vehicle indicated.......  -5.0 to 0 sec..........               2
Engine throttle, % full (or      -5.0 to 0 sec..........               2
 accelerator pedal, % full).
Service brake, on/off..........  -5.0 to 0 sec..........               2
Ignition cycle, crash..........  -1.0 sec...............             N/A
Ignition cycle, download.......  At time of download \3\             N/A
Safety belt status, driver.....  -1.0 sec...............             N/A
Frontal air bag warning lamp,    -1.0 sec...............             N/A
 on/off \2\.
Frontal air bag deployment,      Event..................             N/A
 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.
Frontal air bag deployment,      Event..................             N/A
 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.
Multi-event, number of event...  Event..................             N/A
Time from event 1 to 2.........  As needed..............             N/A
Complete file recorded (yes,     Following other data...             N/A
 no).
------------------------------------------------------------------------
\1\ 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.)
\2\ The frontal air bag warning lamp is the readiness indicator
  specified in S4.5.2 of FMVSS No. 208, and may also illuminate to
  indicate a malfunction in another part of the deployable restraint
  system.
\3\ The ignition cycle at the time of download is not required to be
  recorded at the time of the crash, but shall be reported during the
  download process.

    (b) Data elements required for vehicles under specified conditions. 
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.

                Table II--Data Elements Required for Vehicles Under Specified Minimum Conditions
----------------------------------------------------------------------------------------------------------------
                                                                        Recording interval/time     Data sample
            Data element name              Condition for requirement     \1\ (relative to time       rate (per
                                                                                 zero)                second)
----------------------------------------------------------------------------------------------------------------
Lateral acceleration....................  If recorded \2\...........  N/A.......................             N/A
Longitudinal acceleration...............  If recorded...............  N/A.......................             N/A
Normal acceleration.....................  If recorded...............  N/A.......................             N/A
Delta-V, lateral........................  If recorded...............  0-250 ms or 0 to End of                100
                                                                       Event Time plus 30 ms,
                                                                       whichever is shorter.

[[Page 252]]

 
Maximum delta-V, lateral................  If recorded...............  0-300 ms or 0 to End of                N/A
                                                                       Event Time plus 30 ms,
                                                                       whichever is shorter.
Time maximum delta-V, lateral...........  If recorded...............  0-300 ms or 0 to End of                N/A
                                                                       Event Time plus 30 ms,
                                                                       whichever is shorter.
Time for maximum delta-V, resultant.....  If recorded...............  0-300 ms or 0 to End of                N/A
                                                                       Event Time plus 30 ms,
                                                                       whichever is shorter.
Engine rpm..............................  If recorded...............  -5.0 to 0 sec.............               2
Vehicle roll angle......................  If recorded...............  -1.0 up to 5.0 sec \3\....              10
ABS activity (engaged, non-engaged).....  If recorded...............  -5.0 to 0 sec.............               2
Stability control (on, off, or engaged).  If recorded...............  -5.0 to 0 sec.............               2
Steering input..........................  If recorded...............  -5.0 to 0 sec.............               2
Safety belt status, right front           If recorded...............  -1.0 sec..................             N/A
 passenger (buckled, not buckled).
Frontal air bag suppression switch        If recorded...............  -1.0 sec..................             N/A
 status, right front passenger (on, off,
 or auto).
Frontal air bag deployment, time to nth   If equipped with a          Event.....................             N/A
 stage, driver \4\.                        driver's frontal air bag
                                           with a multi-stage
                                           inflator.
Frontal air bag deployment, time to nth   If equipped with a right    Event.....................             N/A
 stage, right front passenger \4\.         front passenger's frontal
                                           air bag with a multi-
                                           stage inflator.
Frontal air bag deployment, nth stage     If recorded...............  Event.....................             N/A
 disposal, driver, Y/N (whether the nth
 stage deployment was for occupant
 restraint or propellant disposal
 purposes).
Frontal air bag deployment, nth stage     If recorded...............  Event.....................             N/A
 disposal, right front passenger, Y/N
 (whether the nth stage deployment was
 for occupant restraint or propellant
 disposal purposes).
Side air bag deployment, time to deploy,  If recorded...............  Event.....................             N/A
 driver.
Side air bag deployment, time to deploy,  If recorded...............  Event.....................             N/A
 right front passenger.
Side curtain/tube air bag deployment,     If recorded...............  Event.....................             N/A
 time to deploy, driver side.
Side curtain/tube air bag deployment,     If recorded...............  Event.....................             N/A
 time to deploy, right side.
Pretensioner deployment, time to fire,    If recorded...............  Event.....................             N/A
 driver.
Pretensioner deployment, time to fire,    If recorded...............  Event.....................             N/A
 right front passenger.
Seat track position switch, foremost,     If recorded...............  -1.0 sec..................             N/A
 status, driver.
Seat track position switch, foremost,     If recorded...............  -1.0 sec..................             N/A
 status, right front passenger.
Occupant size classification, driver....  If recorded...............  -1.0 sec..................             N/A
Occupant size classification, right       If recorded...............  -1.0 sec..................             N/A
 front passenger.
Occupant position classification, driver  If recorded...............  -1.0 sec..................             N/A
Occupant position classification, right   If recorded...............  -1.0 sec..................             N/A
 front passenger.
----------------------------------------------------------------------------------------------------------------
\1\ 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.)
\2\ ``If recorded'' means if the data is recorded in non-volatile memory for the purpose of subsequent
  downloading.
\3\ ``vehicle roll angle'' may be recorded in any time duration; -1.0 sec to 5.0 sec is suggested.
\4\ List this element n - 1 times, once for each stage of a multi-stage air bag system.


[73 FR 2181, Jan. 14, 2008, 73 FR 8408, Feb. 13, 2008, as amended at 76 
FR 47486, Aug. 5, 2011]

[[Page 253]]



Sec. 563.8  Data format.

    (a) The data elements listed in Tables I and II, as applicable, must 
be reported in accordance with the range, accuracy, and resolution 
specified in Table III

                                     Table III--Reported Data Element Format
----------------------------------------------------------------------------------------------------------------
            Data element                    Minimum range             Accuracy \1\              Resolution
----------------------------------------------------------------------------------------------------------------
Lateral acceleration................  At option of              At option of             At option of
                                       manufacturer.             manufacturer.            manufacturer.
Longitudinal acceleration...........  At option of              At option of             At option of
                                       manufacturer.             manufacturer.            manufacturer.
Normal Acceleration.................  At option of              At option of             At option of
                                       manufacturer.             manufacturer.            manufacturer.
Longitudinal delta-V................  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Lateral delta-V.....................  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Maximum delta-V, longitudinal.......  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Maximum delta-V, lateral............  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Time, maximum delta-V, longitudinal.  0-300 ms, or 0-End of     [3 ms..................  2.5 ms.
                                       Event Time plus 30 ms,
                                       whichever is shorter.
Time, maximum delta-V, lateral......  0-300 ms, or 0-End of     [3 ms..................  2.5 ms.
                                       Event Time plus 30 ms,
                                       whichever is shorter.
Time, maximum delta-V, resultant....  0-300 ms, or 0-End of     [3 ms..................  2.5 ms.
                                       Event Time plus 30 ms,
                                       whichever is shorter.
Vehicle Roll Angle..................  -1080 deg to + 1080 deg.  [10%...................  10 deg.
Speed, vehicle indicated............  0 km/h to 200 km/h......  [1 km/h................  1 km/h.
Engine throttle, percent full         0 to 100%...............  [5%....................  1%.
 (accelerator pedal percent full).
Engine rpm..........................  0 to 10,000 rpm.........  [100 rpm...............  100 rpm.
Service brake.......................  On or Off...............  N/A....................  On or Off.
ABS activity........................  On or Off...............  N/A....................  On or Off.
Stability control...................  On, Off, or Engaged.....  N/A....................  On, Off, or Engaged.
Steering input......................  -250 deg CW to + 250 deg  [5%....................  [1%.
                                       CCW.
Ignition cycle, crash...............  0 to 60,000.............  [1 cycle...............  1 cycle.
Ignition cycle, download............  0 to 60,000.............  [1 cycle...............  1 cycle.
Safety belt status, driver..........  On or Off...............  N/A....................  On or Off.
Safety belt status, right front       On or Off...............  N/A....................  On or Off.
 passenger.
Frontal air bag warning lamp........  On or Off...............  N/A....................  On or Off.
Frontal air bag suppression switch    On, Off, or Auto........  N/A....................  On, Off, or Auto.
 status, right front passenger.
Frontal air bag deployment, time to   0 to 250 ms.............  [2ms...................  1 ms.
 deploy/first stage, driver.
Frontal air bag deployment, time to   0 to 250 ms.............  [2 ms..................  1 ms.
 deploy/first stage, right front
 passenger.
Frontal air bag deployment, time to   0 to 250 ms.............  [2 ms..................  1 ms.
 nth stage, driver.

[[Page 254]]

 
Frontal air bag deployment, time to   0 to 250 ms.............  [2 ms..................  1 ms.
 nth stage, right front passenger.
Frontal air bag deployment, nth       Yes or No...............  N/A....................  Yes or No.
 stage disposal, driver.
Frontal air bag deployment, nth       Yes or No...............  N/A....................  Yes or No.
 stage disposal, right front
 passenger.
Side air bag deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 deploy, driver.
Side air bag deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 deploy, right front passenger.
Side curtain/tube air bag             0 to 250 ms.............  [2 ms..................  1 ms.
 deployment, time to deploy, driver
 side.
Side curtain/tube air bag             0 to 250 ms.............  [2 ms..................  1 ms.
 deployment, time to deploy, right
 side.
Pretensioner deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 fire, driver.
Pretensioner deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 fire, right front passenger.
Seat track position switch,           Yes or No...............  N/A....................  Yes or No.
 foremost, status, driver.
Seat track position switch,           Yes or No...............  N/A....................  Yes or No.
 foremost, status, right front
 passenger.
Occupant size classification, driver  5th percentile female or  N/A....................  Yes or No.
                                       larger.
Occupant size classification, right   Child...................  N/A....................  Yes or No.
 front passenger.
Occupant position classification,     Out of position.........  N/A....................  Yes or No.
 driver.
Occupant position classification,     Out of position.........  N/A....................  Yes or No.
 right front passenger.
Multi-event, number of event........  1 or 2..................  N/A....................  1 or 2.
Time from event 1 to 2..............  0 to 5.0 sec............  0.1 sec................  0.1 sec.
Complete file recorded..............  Yes or No...............  N/A....................  Yes or No.
----------------------------------------------------------------------------------------------------------------
\1\ Accuracy requirement only applies within the range of the physical sensor. For vehicles manufactured after
  September 1, 2014, if measurements captured by a sensor exceed the design range of the sensor, the reported
  element must indicate when the measurement first exceeded the design range of the sensor.

    (b) Acceleration Time-History data and format: the longitudinal, 
lateral, and normal acceleration time-history data, as applicable, must 
be filtered either during the recording phase or during the data 
downloading phase to include:
    (1) The Time Step (TS) that is the inverse of the sampling frequency 
of the acceleration data and which has units of seconds;
    (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;
    (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

[[Page 255]]

    (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.

[73 FR 2183, Jan. 14, 2008, as amended at 76 FR 47488, Aug. 5, 2011; 77 
FR 47556, Aug. 9, 2012; 77 FR 59566, Sept. 28, 2012]

    Effective Date Note: At 77 FR 47556, Aug. 9, 2012, Sec. 563.8 was 
amended by revising Table III in paragraph (a), effective Oct. 9, 2012. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec. 563.8  Data format.

    (a) * * *

                                     Table III--Reported Data Element Format
----------------------------------------------------------------------------------------------------------------
            Data element                    Minimum range             Accuracy \1\              Resolution
----------------------------------------------------------------------------------------------------------------
Lateral acceleration................  At option of              At option of             At option of
                                       manufacturer.             manufacturer.            manufacturer.
Longitudinal acceleration...........  At option of              At option of             At option of
                                       manufacturer.             manufacturer.            manufacturer.
Normal Acceleration.................  At option of              At option of             At option of
                                       manufacturer.             manufacturer.            manufacturer.
Longitudinal delta-V................  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Lateral delta-V.....................  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Maximum delta-V, longitudinal.......  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Maximum delta-V, lateral............  -100 km/h to + 100 km/h.  [10%...................  1 km/h.
Time, maximum delta-V, longitudinal.  0-300 ms, or 0-End of     [3 ms..................  2.5 ms.
                                       Event Time plus 30 ms,
                                       whichever is shorter.
Time, maximum delta-V, lateral......  0-300 ms, or 0-End of     [3 ms..................  2.5 ms.
                                       Event Time plus 30 ms,
                                       whichever is shorter.
Time, maximum delta-V, resultant....  0-300 ms, or 0-End of     [3 ms..................  2.5 ms.
                                       Event Time plus 30 ms,
                                       whichever is shorter.
Vehicle Roll Angle..................  -1080 deg to + 1080 deg.  [10%...................  10 deg.
Speed, vehicle indicated............  0 km/h to 200 km/h......  [1 km/h................  1 km/h.
Engine throttle, percent full         0 to 100%...............  [5%....................  1%.
 (accelerator pedal percent full).
Engine rpm..........................  0 to 10,000 rpm.........  [100 rpm...............  100 rpm.
Service brake.......................  On or Off...............  N/A....................  On or Off.
ABS activity........................  On or Off...............  N/A....................  On or Off.
Stability control...................  On, Off, or Engaged.....  N/A....................  On, Off, or Engaged.
Steering input......................  -250 deg CW to + 250 deg  [5%....................  [1%.
                                       CCW.
Ignition cycle, crash...............  0 to 60,000.............  [1 cycle...............  1 cycle.
Ignition cycle, download............  0 to 60,000.............  [1 cycle...............  1 cycle.
Safety belt status, driver..........  On or Off...............  N/A....................  On or Off.
Safety belt status, right front       On or Off...............  N/A....................  On or Off.
 passenger.
Frontal air bag warning lamp........  On or Off...............  N/A....................  On or Off.
Frontal air bag suppression switch    On, Off, or Auto........  N/A....................  On, Off, or Auto.
 status, right front passenger.

[[Page 256]]

 
Frontal air bag deployment, time to   0 to 250 ms.............  [ms....................  1 ms.
 deploy/first stage, driver.
Frontal air bag deployment, time to   0 to 250 ms.............  [2 ms..................  1 ms.
 deploy/first stage, right front
 passenger.
Frontal air bag deployment, time to   0 to 250 ms.............  [2 ms..................  1 ms.
 nth stage, driver.
Frontal air bag deployment, time to   0 to 250 ms.............  [2 ms..................  1 ms.
 nth stage, right front passenger.
Frontal air bag deployment, nth       Yes or No...............  N/A....................  Yes or No.
 stage disposal, driver.
Frontal air bag deployment, nth       Yes or No...............  N/A....................  Yes or No.
 stage disposal, right front
 passenger.
Side air bag deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 deploy, driver.
Side air bag deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 deploy, right front passenger.
Side curtain/tube air bag             0 to 250 ms.............  [2 ms..................  1 ms.
 deployment, time to deploy, driver
 side.
Side curtain/tube air bag             0 to 250 ms.............  [2 ms..................  1 ms.
 deployment, time to deploy, right
 side.
Pretensioner deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 fire, driver.
Pretensioner deployment, time to      0 to 250 ms.............  [2 ms..................  1 ms.
 fire, right front passenger.
Seat track position switch,           Yes or No...............  N/A....................  Yes or No.
 foremost, status, driver.
Seat track position switch,           Yes or No...............  N/A....................  Yes or No.
 foremost, status, right front
 passenger.
Occupant size classification, driver  5th percentile female or  N/A....................  Yes or No.
                                       larger.
Occupant size classification, right   Child...................  N/A....................  Yes or No.
 front passenger.
Occupant position classification,     Out of position.........  N/A....................  Yes or No.
 driver.
Occupant position classification,     Out of position.........  N/A....................  Yes or No.
 right front passenger.
Multi-event, number of event........  1 or 2..................  N/A....................  1 or 2.
Time from event 1 to 2..............  0 to 5.0 sec............  0.1 sec................  0.1 sec.
Complete file recorded..............  Yes or No...............  N/A....................  Yes or No.
----------------------------------------------------------------------------------------------------------------
\1\ Accuracy requirement only applies within the range of the physical sensor. For vehicles manufactured after
  September 1, 2014, if measurements captured by a sensor exceed the design range of the sensor, the reported
  element must indicate when the measurement first exceeded the design range of the sensor.


[[Page 257]]

                                * * * * *



Sec. 563.9  Data capture.

    The EDR must capture and record the data elements for events in 
accordance with the following conditions and circumstances:
    (a) In a frontal air bag deployment crash, capture and record the 
current deployment data. In a side or side curtain/tube air bag 
deployment crash, where lateral delta-V is recorded by the EDR, capture 
and record the current deployment data. The memory for the air bag 
deployment event must be locked to prevent any future overwriting of the 
data.
    (b) In an event that does not meet the criteria in Sec. 563.9(a), 
capture and record the current event data, up to two events, subject to 
the following conditions:
    (1) If an EDR non-volatile memory buffer void of previous-event data 
is available, the current event data is recorded in the buffer.
    (2) If an EDR non-volatile memory buffer void of previous-event data 
is not available, the manufacturer may choose to either overwrite any 
previous event data that does not deploy an air bag with the current 
event data, or to not record the current event data.
    (3) EDR buffers containing previous frontal, side, or side curtain/
tube air bag deployment-event data must not be overwritten by the 
current event data.

[76 FR 47489, Aug. 5, 2011]



Sec. 563.10  Crash test performance and survivability.

    (a) Each vehicle subject to the requirements of S5, S14.5, S15, or 
S17 of 49 CFR 571.208, Occupant crash protection, must comply with the 
requirements in subpart (c) of this section when tested according to S8, 
S16, and S18 of 49 CFR 571.208.
    (b) Each vehicle subject to the requirements of 49 CFR 571.214, Side 
impact protection, 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.
    (c) The data elements required by Sec. 563.7, except for the 
``Engine throttle, percent full,'' ``engine RPM,'' and ``service brake, 
on/off,'' must be recorded in the format specified by Sec. 563.8, exist 
at the completion of the crash test, and be retrievable by the 
methodology specified by the vehicle manufacturer under Sec. 563.12 for 
not less than 10 days after the test, and the complete data recorded 
element must read ``yes'' after the test.



Sec. 563.11  Information in owner's manual.

    (a) The owner's manual in each vehicle covered under this regulation 
must provide the following statement in English:

    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:
     How various systems in your vehicle were 
operating;
     Whether or not the driver and passenger safety 
belts were buckled/fastened;
     How far (if at all) the driver was depressing the 
accelerator and/or brake pedal; and,
     How fast the vehicle was traveling.
    These data can help provide a better understanding of the 
circumstances in