Transportation

49 Parts 572 to 999 Revised as of October 1, 2010

Transportation

Containing a codification of documents of general applicability and future effect

As of October 1, 2010

With Ancillaries

Published by Office of the Federal Register National Archives and Records Administration

A Special Edition of the Federal Register

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Legal Status and Use of Seals and Logos The seal of the National Archives and Records Administration (NARA) authenticates the Code of Federal Regulations (CFR) as the official codification of Federal regulations established under the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the contents of the CFR, a special edition of the Federal Register, shall be judicially noticed. The CFR is prima facie evidence of the original documents published in the Federal Register (44 U.S.C. 1510). It is prohibited to use NARA’s official seal and the stylized Code of Federal Regulations logo on any republication of this material without the express, written permission of the Archivist of the United States or the Archivist’s designee. Any person using NARA’s official seals and logos in a manner inconsistent with the provisions of 36 CFR part 1200 is subject to the penalties specified in 18 U.S.C. 506, 701, and 1017.

Use of ISBN Prefix This is the Official U.S. Government edition of this publication and is herein identified to certify its authenticity. Use of the 0–16 ISBN prefix is for U.S. Government Printing Office Official Edi- tions only. The Superintendent of Documents of the U.S. Govern- ment Printing Office requests that any reprinted edition clearly be labeled as a copy of the authentic work with a new ISBN.

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Page Explanation ...... v

Title 49:

SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION (CONTINUED)

Chapter V—National Highway Traffic Safety Administration, De- partment of Transportation, (Continued) ...... 5

Chapter VI—Federal Transit Administration, Department of Transportation ...... 401

Chapter VII—National Railroad Passenger Corporation (AM- TRAK) ...... 513

Chapter VIII—National Transportation Safety Board ...... 529

Finding Aids:

Table of CFR Titles and Chapters ...... 621

Alphabetical List of Agencies Appearing in the CFR ...... 641

List of CFR Sections Affected ...... 651

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To cite the regulations in this volume use title, part and section number. Thus, 49 CFR 572.1 refers to title 49, part 572, section 1.

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The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further sub- divided into parts covering specific regulatory areas. Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows: Title 1 through Title 16...... as of January 1 Title 17 through Title 27 ...... as of April 1 Title 28 through Title 41 ...... as of July 1 Title 42 through Title 50...... as of October 1 The appropriate revision date is printed on the cover of each volume. LEGAL STATUS The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510). HOW TO USE THE CODE OF FEDERAL REGULATIONS The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to determine the latest version of any given rule. To determine whether a Code volume has been amended since its revision date (in this case, October 1, 2010), consult the ‘‘List of CFR Sections Affected (LSA),’’ which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule. EFFECTIVE AND EXPIRATION DATES Each volume of the Code contains amendments published in the Federal Reg- ister since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usually not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut- off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text. OMB CONTROL NUMBERS The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies to display an OMB control number with their information collection request.

VerDate Mar<15>2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00005 Fmt 8008 Sfmt 8092 Y:\SGML\220218.XXX 220218 wwoods2 on DSK1DXX6B1PROD with CFR Many agencies have begun publishing numerous OMB control numbers as amendments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements. OBSOLETE PROVISIONS Provisions that become obsolete before the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on a given date in the past by using the appropriate numerical list of sections affected. For the period before January 1, 2001, consult either the List of CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, or 1986–2000, published in eleven separate volumes. For the period beginning January 1, 2001, a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume. ‘‘[RESERVED]’’ TERMINOLOGY The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ location at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that a portion of the CFR was left vacant and not accidentally dropped due to a printing or computer error. INCORPORATION BY REFERENCE What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regulations in the Federal Register by referring to materials already published elsewhere. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the material is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law. What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are: (a) The incorporation will substantially reduce the volume of material published in the Federal Register. (b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process. (c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51. What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorporation by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010. CFR INDEXES AND TABULAR GUIDES A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies publishing in the CFR are also included in this volume. An index to the text of ‘‘Title 3—The President’’ is carried within that volume.

VerDate Mar<15>2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00006 Fmt 8008 Sfmt 8092 Y:\SGML\220218.XXX 220218 wwoods2 on DSK1DXX6B1PROD with CFR The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg- ister. A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles. REPUBLICATION OF MATERIAL There are no restrictions on the republication of material appearing in the Code of Federal Regulations. INQUIRIES For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency’s name appears at the top of odd-numbered pages. For inquiries concerning CFR reference assistance, call 202–741–6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail [email protected]. SALES The Government Printing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202- 512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2250, 24 hours a day. For payment by check, write to: US Government Printing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. For GPO Customer Service call 202-512-1803. ELECTRONIC SERVICES The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers, Daily Compilation of Presidential Documents and the Pri- vacy Act Compilation are available in electronic format via Federalregister.gov. For more information, contact Electronic Information Dissemination Services, U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 (toll-free). E- mail, [email protected]. The Office of the Federal Register also offers a free service on the National Archives and Records Administration’s (NARA) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s web site at www.archives.gov/federal-register. The NARA site also contains links to GPO Access.

RAYMOND A. MOSLEY, Director, Office of the Federal Register. October 1, 2010.

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Title 49—TRANSPORTATION is composed of nine volumes. The parts in these volumes are arranged in the following order: Parts 1–99, parts 100–185, parts 186– 199, parts 200–299, parts 300–399, parts 400–571, 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 100–185) and the third volume (parts 186–199) contain the current regulations issued under chapter I—Pipeline and Hazardous Materials Safety Adminis- tration (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 Transpor- tation. The contents of these volumes represent all current regulations codified under this title of the CFR as of October 1, 2010.

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

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

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

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(This book contains parts 572 to 999)

SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION (CONTINUED) Part

CHAPTER V—National Highway Traffic Safety Administra- tion, Department of Transportation (Continued) ...... 572 CHAPTER VI—Federal Transit Administration, Department of Transportation ...... 601 CHAPTER VII—National Railroad Passenger Corporation (AMTRAK) ...... 700 CHAPTER VIII—National Transportation Safety Board ...... 800

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Part Page 572 Anthropomorphic test devices ...... 7 573 Defect and noncompliance responsibility and reports ...... 160 574 Tire identification and recordkeeping ...... 173 575 Consumer information...... 182 576 Record retention...... 220 577 Defect and noncompliance notification ...... 221 578 Civil and criminal penalties ...... 231 579 Reporting of information and communications about potential defects ...... 234 580 Odometer disclosure requirements ...... 258 581 Bumper standard...... 267 582 Insurance cost information regulation ...... 271 583 Automobile parts content labeling ...... 272 585 Phase-in reporting requirements ...... 284 586 [Reserved] 587 Deformable barriers...... 299 588 Child restraint systems recordkeeping requirements ...... 308 589–590 [Reserved] 591 Importation of vehicles and equipment subject to Federal safety, bumper and theft prevention standards ...... 309 592 Registered importers of vehicles not originally manufactured to conform to the Federal motor vehicle safety standards ...... 320 593 Determinations that a vehicle not originally manufactured to conform to the Federal motor vehicle safety standards is eligible for importation ... 333 594 Schedule of fees authorized by 49 U.S.C. 30141 ...... 347 595 Make inoperative exemptions ...... 351 596–598 [Reserved]

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Part Page 599 Requirements and procedures for Consumer Assist- ance to Recycle and Save Act program ...... 368

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Subpart A—General Subpart J—9-Month Old Child Sec. 572.80 Incorporated materials. 572.1 Scope. 572.81 General description. 572.2 Purpose. 572.82 Head. 572.3 Application. 572.83 Head-neck. 572.4 Terminology. 572.84 Thorax. 572.85 Lumbar spine flexure. Subpart B—50th Percentile Male 572.86 Test conditions and dummy adjust- 572.5 General description. ment. 572.6 Head. 572.7 Neck. Subpart K—Newborn Infant 572.8 Thorax. 572.90 Incorporation by reference. 572.9 Lumbar spine, abdomen, and pelvis. 572.91 General description. 572.10 Limbs. 572.11 Test conditions and instrumentation. Subpart L—Free Motion Headform Subpart C—3-Year-Old Child 572.100 Incorporation by reference. 572.101 General description. 572.15 General description. 572.102 Drop test. 572.16 Head. 572.103 Test conditions and instrumenta- 572.17 Neck. tion. 572.18 Thorax. 572.19 Lumbar spine, abdomen and pelvis. Subpart M—Side Impact Hybrid Dummy 572.20 Limbs. 572.21 Test conditions and instrumentation. 50th Percentile Male. 572.110 Materials incorporated by reference. Subpart D—6-Month-Old Infant 572.111 General description. 572.25 General description. 572.112 Head assembly. 572.113 Neck assembly. Subpart E—Hybrid III Test Dummy 572.114 Thorax. 572.115 Lumbar spine and pelvis. 572.30 Incorporated materials. 572.116 Instrumentation and test conditions. 572.31 General description. 572.32 Head. Subpart N—Six-year-old Child Test 572.33 Neck. Dummy, Beta Version 572.34 Thorax. 572.35 Limbs. 572.120 Incorporation by reference. 572.36 Test conditions and instrumentation. 572.121 General description. 572.122 Head assembly and test procedure. Subpart F—Side Impact Dummy 50th 572.123 Neck assembly and test procedure. Percentile Male 572.124 Thorax assembly and test procedure. 572.125 Upper and lower torso assemblies 572.40 Incorporated materials. and torso flexion test procedure. 572.41 General description. 572.126 Knees and knee impact test proce- 572.42 Thorax. dure. 572.43 Lumbar spine and pelvis. 572.127 Test conditions and instrumenta- 572.44 Instrumentation and test conditions. tion. APPENDIX A TO SUBPART F FIGURES TO SUBPART N

Subparts G–H [Reserved] Subpart O—Hybrid III 5th Percentile Female Test Dummy, Alpha Version Subpart I—6-Year-Old Child 572.130 Incorporation by reference. 572.70 Incorporation by reference. 572.131 General description. 572.71 General description. 572.132 Head assembly and test procedure. 572.72 Head assembly and test procedure. 572.133 Neck assembly and test procedure. 572.73 Neck assembly and test procedure. 572.134 Thorax assembly and test procedure. 572.74 Thorax assembly and test procedure. 572.135 Upper and lower torso assemblies 572.75 Lumbar spine, abdomen, and pelvis and torso flexion test procedure. assembly and test procedure. 572.136 Knees and knee impact test proce- 572.76 Limbs assembly and test procedure. dure.

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572.137 Test conditions and instrumenta- Subpart V, SID–IIsD Side Impact Crash Test tion. Dummy, Small Adult Female FIGURES TO SUBPART O 572.190 Incorporated materials. Subpart P—Hybrid III 3-Year-Old Child 572.191 General description. 572.192 Head assembly. Crash Test Dummy, Alpha Version 572.193 Neck assembly. 572.194 Shoulder. 572.140 Incorporation by reference. 572.195 Thorax with arm. 572.141 General description. 572.196 Thorax without arm. 572.142 Head assembly and test procedure. 572.197 Abdomen. 572.143 Neck-headform assembly and test 572.198 Pelvis acetabulum. procedure. 572.199 Pelvis iliac. 572.144 Thorax assembly and test procedure. 572.200 Instrumentation and test conditions. 572.145 Upper and lower torso assemblies APPENDIX A TO SUBPART V OF PART 572—FIG- and torso flexion test procedure. URES 572.146 Test condition and instrumentation. AUTHORITY: 49 U.S.C. 322, 30111, 30115, 30117 FIGURES TO SUBPART P and 30166; delegation of authority at 49 CFR 1.50. Subpart R—CRABI 12-Month-Old Infant Crash Test Dummy, Alpha Version EDITORIAL NOTES: 1. For compliance provisions relating to a vehicle’s conformance 572.150 Incorporation by reference. with the performance requirements of Stand- 572.151 General description. ard No. 208 (§ 571.208) relating to the part 572 572.152 Head assembly and test procedure. test dummy, see the ‘‘Effective Date Note’’ at subpart E of this part. 572.153 Neck-headform assembly and test procedure. 2. Nomenclature changes to part 572 appear 572.154 Thorax assembly and test procedure. at 69 FR 18803, Apr. 9, 2004. 572.155 Test condition and instrumentation. FIGURES TO SUBPART R Subpart A—General

Subpart S—Hybrid III Six-Year-Old § 572.1 Scope. Weighted Child Test Dummy This part describes the anthropomorphic test devices that are 572.160 Incorporation by reference. to be used for compliance testing of 572.161 General description. motor vehicles and motor vehicle 572.162 Head assembly and test procedure. equipment with motor vehicle safety 572.163 Neck assembly and test procedure. 572.164 Thorax assembly and test procedure. standards. 572.165 Upper and lower torso assemblies [60 FR 43058, Aug. 18, 1995] and torso flexion test procedure. 572.166 Knees and knee impact test proce- § 572.2 Purpose. dure. The design and performance criteria 572.167 Test conditions and instrumentation. specified in this part are intended to describe measuring tools with suffi- FIGURES TO SUBPART S cient precision to give repetitive and Subpart T [Reserved] correlative results under similar test conditions and to reflect adequately Subpart U— ES–2re Side Impact Crash Test the protective performance of a vehicle Dummy, 50th Percentile Adult Male or item of motor vehicle equipment with respect to human occupants. 572.180 Incorporated materials. 572.181 General description. [38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7151, Feb. 7, 1977] 572.182 Head assembly. 572.183 Neck assembly. § 572.3 Application. 572.184 Shoulder assembly. 572.185 Thorax (upper torso) assembly. This part does not in itself impose 572.186 Abdomen assembly. duties or liabilities on any person. It is 572.187 Lumbar spine. a description of tools that measure the 572.188 Pelvis. performance of occupant protection 572.189 Instrumentation and test conditions. systems required by the safety stand- APPENDIX A TO SUBPART U OF PART 572—FIG- ards that incorporate it. It is designed URES to be referenced by, and become a part

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of, the test procedures specified in FEDERAL REGISTER. As a convenience motor vehicle safety standards such as to the reader, the materials incor- Standard No. 208, Occupant Crash Pro- porated by reference are listed in the tection. Finding Aid Table found at the end of this volume of the Code of Federal Reg- [38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977] ulations. (c) The materials incorporated by § 572.4 Terminology. reference are available for examination (a) The term dummy, when used in in Docket 73–08, Docket Section, Na- this subpart A, refers to any test de- tional Highway Traffic Safety Admin- vice described by this part. The term istration, Room 5109, 400 Seventh dummy, when used in any other subpart Street SW., Washington, DC, 20590. of this part, refers to the particular Copies may be obtained from Rowley- dummy described in that part. Scher Reprographics, Inc., 1216 K (b) Terms describing parts of the Street NW., Washington, DC 20005 ((202) dummy, such as head, are the same as 628–6667). The drawings and specifica- names for corresponding parts of the tions are also on file in the reference human body. library of the Office of the Federal (c) The term unimodal, when used in Register, National Archives and subparts C and I, refers to an accelera- Records Administration, Washington, tion-time curve which has only one DC. prominent peak. (d) Adjacent segments are joined in a manner such that throughout the [38 FR 20451, Aug. 1, 1973, as amended at 42 range of motion and also under crash FR 7152, Feb. 7, 1977; 44 FR 76530, Dec. 27, impact conditions there is no contact 1979; 56 FR 57836, Nov. 14, 1991] between metallic elements except for contacts that exist under static condi- Subpart B—50th Percentile Male tions. (e) The structural properties of the § 572.5 General description. dummy are such that the dummy con- (a) The dummy consists of the com- forms to this part in every respect both ponent assemblies specified in Figure 1, before and after being used in vehicle which are described in their entirety tests specified in Standard No. 208 of by means of approximately 250 draw- this chapter (571.208). ings and specifications that are (f) A specimen of the dummy is avail- grouped by component assemblies able for surface measurements and ac- under the following nine headings: cess can be arranged by contacting: Of- SA 150 M070—Right arm assembly fice of Vehicle Safety Standards, Na- SA 150 M071—Left arm assembly tional Highway Traffic Safety Admin- SA 150 M050—Lumbar spine assembly istration, 400 Seventh Street, SW., SA 150 M060—Pelvis and abdomen assembly Washington, DC 20590. SA 150 M080—Right leg assembly SA 150 M081—Left leg assembly [50 FR 25423, June 19, 1985] SA 150 M010—Head assembly SA 150 M020—Neck assembly § 572.6 Head. SA 150 M030—Shoulder-thorax assembly. (a) The head consists of the assembly (b) The drawings and specifications shown as number SA 150 M010 in Figure referred to in this regulation that are 1 and conforms to each of the drawings not set forth in full are hereby incor- subtended by number SA 150 M010. porated in this part by reference. These (b) When the head is dropped from a materials are thereby made part of this height of 10 inches in accordance with regulation. The Director of the Federal paragraph (c) of this section, the peak Register has approved the materials in- resultant accelerations at the location corporated by reference. For materials of the accelerometers mounted in the subject to change, only the specific head form in accordance with § 572.11(b) version approved by the Director of the shall be not less than 210g, and not Federal Register and specified in the more than 260g. The acceleration/time regulation are incorporated. A notice curve for the test shall be unimodal of any change will be published in the and shall lie at or above the 100g level

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for an interval not less than 0.9 milli- Chordal Dis- Time (ms) placement seconds and not more than 1.5 milli- Rotation (degrees) ±(2+.08T) (inches seconds. The lateral acceleration vec- ±0.5) tor shall not exceed 10g. 0 ...... 0 0.0 (c) Test procedure: 30 ...... 30 2.6 (1) Suspend the head as shown in Fig- 60 ...... 46 4.8 ure 2, so that the lowest point on the Maximum ...... 60 5.5 60 ...... 75 4.8 forehead is 0.5 inches below the lowest 30 ...... 95 2.6 point on the dummy’s nose when the 0 ...... 112 0.0 midsagittal plane is vertical. (2) Drop the head from the specified (c) Test procedure: (1) Mount the height by means that ensures instant head and neck on a rigid pendulum as release onto a rigidly supported flat specified in Figure 4, so that the head’s horizontal steel plate, 2 inches thick midsagittal plane is vertical and coin- and 2 feet square, which has a clean, cides with the plane of motion of the pendulum’s longitudinal centerline. dry surface and any microfinish of not Mount the neck directly to the pen- less than 8 microinches (rms) and not dulum as shown in Figure 4. more than 80 microinches (rms). (2) Release the pendulum and allow it (3) Allow a time period of at least 2 to fall freely from a height such that hours between successive tests on the the velocity at impact is 23.5 ±2.0 feet same head. per second (fps), measured at the cen- [38 FR 20451, Aug. 1, 1973, as amended at 42 ter of the accelerometer specified in FR 7152, Feb. 7, 1977] Figure 4. (3) Decelerate the pendulum to a stop § 572.7 Neck. with an acceleration-time pulse de- (a) The neck consists of the assembly scribed as follows: shown as number SA 150 M020 in Figure (i) Establish 5g and 20g levels on the a-t curve. 1 and conforms to each of the drawings (ii) Establish t at the point where subtended by number SA 150 M020. 1 the rising a-t curve first crosses the 5g (b) When the neck is tested with the level, t at the point where the rising a- head in accordance with paragraph (c) 2 t curve first crosses the 20g level, t2 at of this section, the head shall rotate in the point where the decaying a-t curve reference to the pendulum’s longitu- last crosses the 20g level, and t4 at the dinal centerline a total of 68° ±5° about point where the decaying a-t curve its center of gravity, rotating to the first crosses the 5g level. extent specified in the following table (iii) t2–t1 shall be not more than 3 at each indicated point in time, meas- milliseconds. ured from impact, with a chordal dis- (iv) t3–t2 shall be not less than 25 mil- placement measured at its center of liseconds and not more than 30 milli- gravity that is within the limits speci- seconds. fied. The chordal displacement at time (v) t4–t3 shall be not more than 10 T is defined as the straight line dis- milliseconds. tance between (1) the position relative (vi) The average deceleration be- to the pendulum arm of the head cen- tween t2 and t3 shall be not less than ter of gravity at time zero, and (2) the 20g and not more than 24g. position relative to the pendulum arm (4) Allow the neck to flex without im- of the head center of gravity at time T pact of the head or neck with any ob- as illustrated by Figure 3. The peak re- ject other than the pendulum arm. sultant acceleration recorded at the lo- [38 FR 20451, Aug. 1, 1973, as amended at 42 cation of the accelerometers mounted FR 7152, Feb. 7, 1977; 42 FR 12176, Mar. 3, 1977; in the head form in accordance with 45 FR 40596, June 16, 1980] § 572.11(b) shall not exceed 26g. The pendulum shall not reverse direction until § 572.8 Thorax. the head’s center of gravity returns to (a) The thorax consists of the assem- the original zero time position relative bly shown as number SA 150 M030 in to the pendulum arm. Figure 1, and conforms to each of the

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drawings subtended by number SA 150 (6) Guide the probe during impact so M030. that it moves with no significant lat- (b) The thorax contains enough unob- eral, vertical, or rotational movement. structed interior space behind the rib (7) Measure the horizontal deflection cage to permit the midpoint of the of the sternum relative to the thoracic sternum to be depressed 2 inches with- spine along the line established by the out contact between the rib cage and longitudinal centerline of the probe at other parts of the dummy or its instru- the moment of impact, using a poten- mentation, except for instruments tiometer mounted inside the sternum. (8) Measure hysteresis by deter- specified in paragraph (d)(7) of this sec- mining the ratio of the area between tion. the loading and unloading portions of (c) When impacted by a test probe the force deflection curve to the area conforming to § 572.11(a) at 14 fps and at under the loading portion of the curve. 22 fps in accordance with paragraph (d) of this section, the thorax shall resist [38 FR 20451, Aug. 1, 1973, as amended at 42 with forces measured by the test probe FR 7152, Feb. 7, 1977] of not more than 1450 pounds and 2250 § 572.9 Lumbar spine, abdomen, and pounds, respectively, and shall deflect pelvis. by amounts not greater than 1.1 inches (a) The lumbar spine, abdomen, and and 1.7 inches, respectively. The inter- pelvis consist of the assemblies des- nal hysteresis in each impact shall not ignated as numbers SA 150 M050 and SA be less than 50 percent and not more 150 M060 in Figure 1 and conform to the than 70 percent. drawings subtended by these numbers. (d) Test procedure: (1) With the (b) When subjected to continuously dummy seated without back support on applied force in accordance with para- a surface as specified in § 572.11(i) and graph (c) of this section, the lumbar in the orientation specified in spine assembly shall flex by an amount § 572.11(i), adjust the dummy arms and that permits the rigid thoracic spine to legs until they are extended hori- rotate from its initial position in ac- zontally forward parallel to the cordance with Figure 11 by the number midsagittal plane. of degrees shown below at each speci- (2) Place the longitudinal center line fied force level, and straighten upon re- of the test probe so that it is 17.7 ±0.1 moval of the force to within 12 degrees inches above the seating surface at im- of its initial position in accordance pact. with Figure 11.

(3) Align the test probe specified in Force ( ±6 § 572.11(a) so that at impact its longitu- Flexion (degrees) pounds) dinal centerline coincides within 2 de- 0 ...... 0 grees of a horizontal line in the dum- 20 ...... 28 my’s midsagittal plane. 30 ...... 40 (4) Adjust the dummy so that the sur- 40 ...... 52 face area on the thorax immediately (c) Test procedure: (1) Assemble the adjacent to the projected longitudinal thorax, lumbar spine, pelvic, and upper center line of the test probe is vertical. leg assemblies (above the femur force Limb support, as needed to achieve and transducers), ensuring that all compo- maintain this orientation, may be pro- nent surfaces are clean, dry, and un- vided by placement of a steel rod of treated unless otherwise specified, and any diameter not less than one-quarter attach them to the horizontal fixture of an inch and not more than three- shown in Figure 5 at the two link rod eighths of an inch, with hemispherical pins and with the mounting brackets ends, vertically under the limb at its for the lumbar test fixtures illustrated projected geometric center. in Figures 6 to 9. (5) Impact the thorax with the test (2) Attach the rear mounting of the probe so that its longitudinal center- pelvis to the pelvic instrument cavity line falls within 2 degrees of a hori- rear face at the four 1⁄4″ cap screw holes zontal line in the dummy’s midsagittal and attach the front mounting at the plane at the moment of impact. femur axial rotation joint. Tighten the

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mountings so that the pelvic-lumbar § 572.10 Limbs. adapter is horizontal and adjust the (a) The limbs consist of the assem- femur friction plungers at each hip blies shown as numbers SA 150 M070, socket joint to 240 inch-pounds torque. SA 150 M071, SA 150 M080, and SA 150 ° (3) Flex the thorax forward 50 and M081 in Figure 1 and conform to the then rearward as necessary to return it drawings subtended by these numbers. to its initial position in accordance (b) When each knee is impacted at 6.9 with Figure 11 unsupported by external ft/sec. in accordance with paragraph (c) means. of this section, the maximum force on (4) Apply a forward force perpen- the femur shall be not more than 2500 dicular to the thorax instrument cav- pounds and not less than 1850 pounds, ity rear face in the midsagittal plane 15 with a duration above 1000 pounds of inches above the top surface of the pel- not less than 1.7 milliseconds. vic-lumbar adapter. Apply the force at (c) Test procedure: (1) Seat the any torso deflection rate between .5 dummy without back support on a sur- ° and 1.5 degrees per second up to 40 of face as specified in § 572.11(i) that is 17.3 flexion but no further, continue to ±0.2 inches above a horizontal surface, apply for 10 seconds that force nec- oriented as specified in § 572.11(i), and ° essary to maintain 40 of flexion, and with the hip joint adjustment at any record the force with an instrument setting between 1g and 2g. Place the mounted to the thorax as shown in Fig- dummy legs in planes parallel to its ure 5. Release all force as rapidly as midsagittal plane (knee pivot center- possible and measure the return angle 3 line perpendicular to the midsagittal minutes after the release. plane) and with the feet flat on the (d) When the abdomen is subjected to horizontal surface. Adjust the feet and continuously applied force in accord- lower legs until the lines between the ance with paragraph (e) of this section, midpoints of the knee pivots and the the abdominal force-deflection curve ankle pivots are at any angle not less shall be within the two curves plotted than 2 degrees and not more than 4 de- in Figure 10. grees rear of the vertical, measured at (e) Test procedure: (1) Place the as- the centerline of the knee pivots. sembled thorax, lumbar spine and pel- (2) Reposition the dummy if nec- vic assemblies in a supine position on a essary so that the rearmost point of flat, rigid, smooth, dry, clean hori- the lower legs at the level one inch zontal surface, ensuring that all com- below the seating surface remains at ponent surfaces are clean, dry, and un- any distance not less than 5 inches and treated unless otherwise specified. not more than 6 inches forward of the (2) Place a rigid cylinder 6 inches in forward edge of the seat. diameter and 18 inches long trans- (3) Align the test probe specified in versely across the abdomen, so that the § 572.11(a) so that at impact its longitu- cylinder is symmetrical about the dinal centerline coincides within ±2° midsagittal plane, with its longitudinal with the longitudinal centerline of the centerline horizontal and perpen- femur. dicular to the midsagittal plane at a (4) Impact the knee with the test point 9.2 inches above the bottom line probe moving horizontally and parallel of the buttocks, measured with the to the midsagittal plane at the speci- dummy positioned in accordance with fied velocity. Figure 11. (5) Guide the probe during impact so (3) Establish the zero deflection point that it moves with no significant lat- as the point at which a force of 10 eral, vertical, or rotational movement. pounds has been reached. (4) Apply a vertical downward force [38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7153, Feb. 7, 1977] through the cylinder at any rate between 0.25 and 0.35 inches per second. § 572.11 Test conditions and instru- (5) Guide the cylinder so that it mentation. moves without significant lateral or (a) The test probe used for thoracic rotational movement. and knee impact tests is a cylinder 6 [42 FR 7152, Feb. 7, 1977] inches in diameter that weighs 51.5

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pounds including instrumentation. Its third accelerometer has its sensitive impacting end has a flat right face that axis oriented perpendicular to the at- is rigid and that has an edge radius of tachment surface in the midsagittal 0.5 inches. plane, with its seismic mass center at (b) Accelerometers are mounted in any distance up to 1.3 inches dorsal to the head on the horizontal transverse the intersection of the sensitive axes bulkhead shown in the drawings subref- specified above. Accelerometers are erenced under assembly No. SA 150 oriented with the dummy in the posi- M010 in Figure 1, so that their sensitive tion specified in § 572.11(i). axes intersect at a point in the (d) A force-sensing device is mounted midsagittal plane 0.5 inches above the axially in each femur shaft so that the horizontal bulkhead and 1.9 inches ven- transverse centerline of the sensing tral of the vertical mating surface of element is 4.25 inches from the knee’s the skull with the skull cover. One ac- center of rotation. celerometer is aligned with its sen- (e) The outputs of acceleration and sitive axis perpendicular to the hori- force-sensing devices installed in the zontal bulkhead in the midsagittal dummy and in the test apparatus speci- plane and with its seismic mass center fied by this part are recorded in indi- at any distance up to 0.3 inches supe- vidual data channels that conform to rior to the axial intersection point. An- the requirements of SAE Rec- other accelerometer is aligned with its ommended Practice J211a, December sensitive axis parallel to the horizontal 1971, with channel classes as follows: bulkhead and perpendicular to the (1) Head acceleration—Class 1000. midsagittal plane, and with its seismic (2) Pendulum acceleration—Class 60. mass center at any distance up to 1.3 (3) Thorax acceleration—Class 180. inches to the left of the axial intersec- (4) Thorax compression—Class 180. tion point (left side of dummy is the (5) Femur force—Class 600. same as that of man). A third acceler- (f) The mountings for sensing devices ometer is aligned with its sensitive have no resonance frequency within a axis parallel to the horizontal bulk- range of 3 times the frequency range of head in the midsagittal plane, and with the applicable channel class. its seismic mass center at any distance (g) Limb joints are set at 1g, barely up to 1.3 inches dorsal to the axial restraining the weight of the limb intersection point. when it is extended horizontally. The (c) Accelerometers are mounted in force required to move a limb segment the thorax by means of a bracket at- does not exceed 2g throughout the tached to the rear vertical surface range of limb motion. (hereafter ‘‘attachment surface’’) of (h) Performance tests are conducted the thoracic spine so that their sen- at any temperature from 66 °F to 78 °F sitive axes intersect at a point in the and at any relative humidity from 10 midsagittal plane 0.8 inches below the percent to 70 percent after exposure of upper surface of the plate to which the the dummy to these conditions for a neck mounting bracket is attached and period of not less than 4 hours. 3.2 inches perpendicularly forward of (i) For the performance tests speci- the surface to which the accelerometer fied in §§ 572.8, 572.9, and 572.10, the bracket is attached. One accelerometer dummy is positioned in accordance has its sensitive axis oriented parallel with Figure 11 as follows: to the attachment surface in the (1) The dummy is placed on a flat, midsagittal plane, with its seismic rigid, smooth, clean, dry, horizontal, mass center at any distance up to 1.3 steel test surface whose length and inches inferior to the intersection of width dimensions are not less than 16 the sensitive axes specified above. An- inches, so that the dummy’s other accelerometer has its sensitive midsagittal plane is vertical and cen- axis oriented parallel to the attach- tered on the test surface and the rear- ment surface and perpendicular to the most points on its lower legs at the midsagittal plane, with its seismic level of the test surface are at any dis- mass center at any distance up to 0.2 tance not less than 5 inches and not inches to the right of the intersection more than 6 inches forward of the for- of the sensitive axes specified above. A ward edge of the test surface.

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(2) The pelvis is adjusted so that the accordance with paragraphs (j) (1) and upper surface of the lumbar-pelvic (2) of this section. adapter is horizontal. (4) The chest skin and abdominal sac (3) The shoulder yokes are adjusted are removed and all following measure- so that they are at the midpoint of ments are made without them. their anterior-posterior travel with (5) Seated height is measured from their upper surfaces horizontal. the seating surface to the uppermost (4) The dummy is adjusted so that point on the head-skin surface. the rear surfaces of the shoulders and (6) Shoulder pivot height is measured buttocks are tangent to a transverse from the seating surface to the center vertical plane. of the arm elevation pivot. (5) The upper legs are positioned (7) H-point locations are measured symmetrically about the midsagittal from the seating surface to the center plane so that the distance between the of the holes in the pelvis flesh covering knee pivot bolt heads is 11.6 inches. in line with the hip motion ball. (8) Knee pivot distance from the (6) The lower legs are positioned in backline is measured to the center of planes parallel to the midsagittal plane the knee pivot bolt head. so that the lines between the midpoint (9) Knee pivot distance from floor is of the knee pivots and the ankle pivots measured from the center of the knee are vertical. pivot bolt head to the bottom of the (j) The dummy’s dimensions, as spec- heel when the foot is horizontal and ified in drawing number SA 150 M002, pointing forward. are determined as follows: (10) Shoulder width measurement is (1) With the dummy seated as speci- taken at arm elevation pivot center fied in paragraph (i) of this section, the height with the centerlines between head is adjusted and secured so that its the elbow pivots and the shoulder piv- occiput is 1.7 inches forward of the ots vertical. transverse vertical plane with the (11) Hip width measurement is taken vertical mating surface of the skull at widest point of pelvic section. with its cover parallel to the trans- (k) Performance tests of the same verse vertical plane. component, segment, assembly, or (2) The thorax is adjusted and se- fully assembled dummy are separated cured so that the rear surface of the in time by a period of not less than 30 chest accelerometer mounting cavity minutes unless otherwise noted. is inclined 3° forward of vertical. (l) Surfaces of dummy components (3) Chest and waist circumference are not painted except as specified in and chest depth measurements are this part or in drawings subtended by taken with the dummy positioned in this part.

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[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7153, Feb. 7, 1977]

Subpart C—3-Year-Old Child § 572.15 General description. (a) The dummy consists of the com- SOURCE: 44 FR 76530, Dec. 27, 1979, unless ponent assemblies specified in drawing otherwise noted. SA 103C 001, which are described in their entirety by means of approximately 122 drawings and specifications

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and an Operation and Maintenance (e) The structural properties of the Manual, dated May 28, 1976. The draw- dummy are such that the dummy con- ings and specifications are grouped by forms to this part in every respect both component assemblies under the fol- before and after being used in vehicle lowing thirteen headings: tests specified in Standard No. 213 of this chapter (§ 571.213). SA 103C 010 Head Assembly SA 103C 020 Neck Assembly (f) The patterns of all cast and mold- SA 103C 030 Torso Assembly ed parts for reproduction of the molds SA 103C 041 Upper Arm Assembly Left needed in manufacturing of the dum- SA 103C 042 Upper Arm Assembly Right mies can be obtained on a loan basis by SA 103C 051 Forearm Hand Assembly Left manufacturers of the testes dummies, SA 103C 052 Forearm Hand Assembly Right or others if need is shown, from: Office SA 103C 061Upper Leg Assembly Left of Vehicle Safety Standards, National SA 103C 062 Upper Leg Assembly Right Highway Traffic Safety Administra- SA 103C 071 Lower Leg Assembly Left tion, 400 Seventh Street SW., Wash- SA 103C 072 Lower Leg Assembly Right SA 103C 081 Foot Assembly left ington, DC 20590. SA 103C 082 Foot Assembly Right. [50 FR 25423, June 19, 1985] (b) The drawings, specifications, and operation and maintenance manual re- § 572.16 Head. ferred to in this regulation that are not (a) The head consists of the assembly set forth in full are hereby incor- designated as SA 103C 010 on drawing porated in this part by reference. These No. SA 103C 001, and conforms to ei- materials are thereby made part of this ther— regulation. The Director of the Federal (1) Each item specified on drawing Register has approved the materials in- SA 103C 002(B), sheet 8; or corporated by reference. For materials (2) Each item specified on drawing subject to change, only the specific SA 103C 002, sheet 8. version approved by the Director of the (b) When the head is impacted by a Federal Register and specified in the test probe specified in § 572.21(a)(1) at 7 regulation are incorporated. A notice fps, then the peak resultant accelera- of any change will be published in the tion measured at the location of the FEDERAL REGISTER. As a convenience accelerometer mounted in the to the reader, the materials incor- headform according to § 572.21(b) is not porated by reference are listed in the less than 95g and not more than 118g. Finding Aid Table found at the end of this volume of the Code of Federal Reg- (1) The recorded acceleration-time ulations. curve for this test is unimodal at or (c) The materials incorporated by above the 50g level, and lies at or above reference are available for examination that level for intervals: in Docket 78–09, Room 5109, Docket (i) In the case of the head assembly Section, National Highway Traffic specified in paragraph (a)(1) of this sec- Safety Administration, 400 Seventh tion, not less than 1.3 milliseconds and Street SW., Washington, DC 20590. Cop- not more than 2.0 milliseconds; ies may be obtained from Rowley-Scher (ii) In the case of the head assembly Reprographics, Inc., 1216 K Street NW., specified in paragraph (a)(2) of this sec- Washington, DC 20005 ((202) 628–6667). tion, not less than 2.0 milliseconds and The materials are also on file in the not more than 3.0 milliseconds. reference library of the Office of the (2) The lateral acceleration vector Federal Register, National Archives does not exceed 7g. and Records Administration, Wash- (c) Test procedure. (1) Seat the dummy ington, DC. on a seating surface having a back sup- (d) Adjacent segments are joined in a port as specified in § 572.21(h) and ori- manner such that throughout the ent the dummy in accordance with range of motion and also under simu- § 572.21(h) and adjust the joints of the lated crash-impact conditions there is limbs at any setting between 1g and 2g, no contact between metallic elements which just supports the limbs’ weight except for contacts that exist under when the limbs are extended hori- static conditions. zontally forward.

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(2) Adjust the test probe so that its position relative to the pendulum arm longitudinal centerline is at the fore- of the head center of gravity at time head at the point of orthogonal inter- zero, and (2) the position relative to section of the head midsagittal plane the pendulum arm of the head center of and the transverse plane which is per- gravity at time T as illustrated by fig- pendicular to the ‘‘Z’’ axis of the head ure 3. The peak resultant acceleration (longitudinal centerline of the skull recorded at the location of the anchor) and is located 0.6 ±0.1 inches accelerometers mounted in the above the centers of the head center of headform in accordance with § 572.21(b) gravity reference pins and coincides shall not exceed 30g. The pendulum within 2 degrees with the line made by shall not reverse direction until the the intersection of horizontal and head’s center of gravity returns to the midsagittal planes passing through original zero time position relative to this point. the pendulum arm. (3) Adjust the dummy so that the surface area on the forehead immediately Chordal Time (ms) displace- adjacent to the projected longitudinal Rotation (degrees) ± ment (2+.08T) (inches centerline of the test probe is vertical. ± (4) Impact the head with the test 0.8) probe so that at the moment of impact 0 ...... 0 0 the probe’s longitudinal centerline 30 ...... 21 2.2 falls within 2 degrees of a horizontal 60 ...... 36 4.3 Maximum ...... 62 5.8 line in the dummy’s midsagittal plane. 60 ...... 91 4.3 (5) Guide the probe during impact so 30 ...... 108 2.2 that it moves with no significant lat- 0 ...... 123 0 eral, vertical, or rotational movement. (6) Allow a time period of at least 20 (c) Test procedure. (1) Mount the head minutes between successive tests of the and neck on a rigid pendulum as speci- head. fied in Figure 4, so that the head’s midsagittal plane is vertical and coin- [44 FR 76530, Dec. 27, 1979; 45 FR 43353, June 26, 1980, as amended at 45 FR 82267, Dec. 15, cides with the plane of motion of the 1980; 55 FR 30468, July 26, 1990] pendulum’s longitudinal centerline. Mount the neck directly to the pen- § 572.17 Neck. dulum as shown in Figure 15. (a)(1) The neck for use with the head (2) Release the pendulum and allow it assembly described in § 572.16(a)(1) con- to fall freely from a height such that sists of the assembly designated as SA the velocity at impact is 17.00 ±1.0 feet 103C 020 on drawing No. SA 103C 001, per second (fps), measured at the cen- conforms to each item specified on ter of the accelerometer specified in drawing No. SA 103C 002(B), sheet 9. figure 4. (2) The neck for use with the head as- (3) Decelerate the pendulum to a stop sembly described in § 572.16(a)(2) con- with an acceleration-time pulse de- sists of the assembly designated as SA scribed as follows: 103C 020 on drawing No. SA 103C 001, (i) Establish 5g and 20g levels on the and conforms to each item specified on a-t curve. drawing No. SA 103C 002, sheet 9. (ii) Establish t1 at the point where (b) When the head-neck assembly is the a-t curve first crosses the 5g level, tested in accordance with paragraph (c) t2 at the point where the rising a-t of this section, the head shall rotate in curve first crosses the 20g level, t3 at reference to the pendulum’s longitu- the point where the decaying a-t curve dinal centerline a total of 84 degrees ± 8 last crosses the 20g level, and t4 at the degrees about its center of gravity, ro- point where the decaying a-t curve tating to the extent specified in the first crosses the 5g level. following table at each indicated point (iii) t2–t1, shall be not more than 4 in time, measured from impact, with milliseconds. the chordal displacement measured at (iv) t3–t2, shall be not less than 18 and its center of gravity. The chordal dis- not more than 21 milliseconds. placement at time T is defined as the (v) t4–t3, shall be not more than 5 straight line distance between (1) the milliseconds.

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(vi) The average deceleration be- (4) Place the longitudinal centerline tween t2 and t3 shall be not less than of the test probe to coincide with the 20g and not more then 34g. designated impact point and align the (4) Allow the neck to flex without test probe so that at impact its longi- contact of the head or neck with any tudinal centerline coincides within 2 object other than the pendulum arm. degrees with the line formed by inter- (5) Allow a time period of at least 1 section of the horizontal and hour between successive tests of the midsagittal planes passing through the head and neck. designated impact point. (5) Impact the thorax with the test [44 FR 76530, Dec. 27, 1979; 45 FR 43353, June probe so that at the moment of impact 26, 1980, as amended at 55 FR 30468, July 26, the probe’s longitudinal centerline 1990] falls within 2 degrees of a horizontal § 572.18 Thorax. line in the dummy midsagittal plane. (6) Guide the probe during impact so (a) The thorax consists of the part of that it moves with no significant lat- the torso shown in assembly drawing eral, vertical or rotational movement. SA 103C 001 by number SA 103C 030 and (7) Allow a time period of at least 20 conforms to each of the applicable minutes between successive tests of the drawings listed under this number on chest. drawing SA 103C 002, sheets 10 and 11. (b) When impacted by a test probe § 572.19 Lumbar spine, abdomen and conforming to § 572.21(a) at 13 fps in ac- pelvis. cordance with paragraph (c) of this sec- (a) The lumbar spine, abdomen, and tion, the peak resultant accelerations pelvis consist of the part of the torso at the location of the accelerometers assembly shown by number SA 103C 030 mounted in the chest cavity in accord- on drawing SA 103C 001 and conform to ance with § 572.21(c) shall be not less each of the applicable drawings listed than 50g and not more than 70g. The under this number on drawing SA 103C acceleration-time curve for the test 002, sheets 10 and 11. shall be unimodal at or above the 30g (b) When subjected to continuously level and shall lie at or above the 30g applied force in accordance with para- level for an interval not less than 2.5 graph (c) of this section, the lumbar milliseconds and not more than 4.0 mil- spine assembly shall flex by an amount liseconds. The lateral acceleration that permits the rigid thoracic spine to shall not exceed 5g. rotate from its initial position in ac- (c) Test procedure. (1) With the cordance with Figure 18 of this subpart dummy seated without back support on by 40 degrees at a force level of not less a surface as specified in § 572.21(h) and than 34 pounds and not more than 47 oriented as specified in § 572.21(h), ad- pounds, and straighten upon removal of just the dummy arms and legs until the force to within 5 degrees of its ini- they are extended horizontally forward tial position. parallel to the midsagittal plane. The (c) Test procedure. (1) The dummy joints of the limbs are adjusted at any with lower legs removed is positioned setting between 1g and 2g, which just in an upright seated position on a seat supports the limbs’ weight when the as indicated in Figure 18, ensuring that limbs are extended horizontally for- all dummy component surfaces are ward. clean, dry and untreated unless other- (2) Establish the impact point at the wise specified. chest midsagittal plane so that it is 1.5 (2) Attach the pelvis to the seating inches below the longitudinal center- surface by a bolt C/328, modified as line of the bolt that attaches the top of shown in Figure 18, and the upper legs the ribcage sternum to the thoracic at the knee axial rotation joints by the spine box. attachments shown in Figure 18. Tight- (3) Adjust the dummy so that the en the mountings so that the pelvis- tangent plane at the surface on the lumbar joining surface is horizontal thorax immediately adjacent to the and adjust the femur ball-flange screws designated impact point is vertical and at each hip socket joint to 50 inch parallel to the face of the test probe. pounds torque. Remove the head and

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the neck and install a cylindrical alu- each sensing element are positioned as minum adapter 2.0 inches in diameter specified in this paragraph, relative to and 2.80 inches long in place of the the head accelerometer reference point neck. located at the intersection of a line (3) Flex the thorax forward 50 degrees connecting the longitudinal centerlines and then rearward as necessary to re- of the transfer pins in the side of the turn to its initial position in accord- dummy head with the midsagittal ance with Figure 18 unsupported by ex- plane of the dummy head. ternal means. (1) The sensing elements of the Type (4) Apply a forward pull force in the C triaxial accelerometer are aligned as midsagittal plane at the top of the follows: neck adapter, so that at 40 degrees of (i) Align one sensitive axis parallel to the lumbar spine flexion the applied the vertical bulkhead and coincident force is perpendicular to the thoracic with the midsagittal plane, with the spine box. Apply the force at any torso seismic mass center located 0.2 inches deflection rate between 0.5 and 1.5 de- dorsal to, and 0.1 inches inferior to the grees per second up to 40 degrees of head accelerometer reference point. flexion but no further; continue to (ii) Align the second sensitive axis apply for 10 seconds the force necessary with the horizontal plane, perpen- to maintain 40 degrees of flexion, and dicular to the midsagittal plane, with record the highest applied force at that the seismic mass center located 0.1 time. Release all force as rapidly as inches inferior, 0.4 inches to the right possible and measure the return angle 3 of, and 0.9 inches dorsal to the head ac- minutes after the release. celerometer reference point. (iii) Align the third sensitive axis so § 572.20 Limbs. that it is parallel to the midsagittal The limbs consist of the assemblies and horizontal planes, with the seismic shown on drawing SA 103C 001 as Nos. mass center located 0.1 inches inferior SA 103C 041, SA 103C 042, SA 103C 051, to, 0.6 inches dorsal to, and 0.4 inches SA 103C 052, SA 103C 061, SA 103C 062, to the right of the head accelerometer SA 103C 071, SA 103C 072, SA 103C 081, reference point. SA 103C 082, and conform to each of the (iv) All seismic mass centers are po- applicable drawings listed under their sitioned with ±0.05 inches of the speci- respective numbers of the drawing SA fied locations. 103C 002, sheets 12 through 21. (2) The sensing elements of the Type A triaxial accelerometer are aligned as § 572.21 Test conditions and instru- follows: mentation. (i) Align one sensitive axis parallel to (a)(1) The test probe used for head the vertical bulkhead and coincident and thoracic impact tests is a cylinder with midsagittal planes, with the seis- 3 inches in diameter, 13.8 inches long, mic mass center located from 0.2 to 0.47 and weighing 10 lbs., 6 ozs. Its impact- inches dorsal to, from 0.01 inches infe- ing end has a flat right face that is rior to 0.21 inches superior, and from rigid and that has an edge radius of 0.5 0.0 to 0.17 inches left of the head accel- inches. erometer reference point. (2) The head and thorax assembly (ii) Align the second sensitive axis may be instrumented with a Type A or with the horizontal plane, perpen- Type C accelerometer. dicular to the midsagittal plane, with (i) Type A accelerometer is defined in the seismic mass center located 0.1 to drawing SA–572 S1. 0.13 inches inferior to, 0.17 to 0.4 inches (ii) Type C accelerometer is defined to the right of, and 0.47 to 0.9 inches in drawing SA–572 S2. dorsal of the head accelerometer ref- (b) Head accelerometers. Install one of erence point. the triaxial accelerometers specified in (iii) Align the third sensitive axis so § 572.21(a)(2) on a mounting block lo- that it is parallel to the midsagittal cated on the horizontal transverse and horizontal planes, with the seismic bulkhead as shown in the drawings sub- mass center located 0.1 to 0.13 inches referenced under assembly SA 103C 010 inferior to, 0.6 to 0.81 inches dorsal to, so that the seismic mass centers of and from 0.17 inches left to 0.4 inches

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right of the head accelerometer ref- midsagital plane, with the seismic erence point. mass center located from 0.06 inches (c) Thorax accelerometers. Install one left to 0.2 inches right of, from 0.1 of the triaxial accelerometers specified inches inferior to 0.24 inches superior, in § 572.21(a)(2) on a mounting plate at- and 0.15 to 0.25 inches ventral to the tached to the vertical transverse bulk- thorax accelerometer reference point. head shown in the drawing subref- (iii) Align the third sensitive axis so erenced under assembly No. SA 103C 030 that it is parallel to the midsagital and in drawing SA 103C 001, so that the horizontal planes, with the seismic seismic mass centers of each sensing mass center located 0.15 to 0.25 inches element are positioned as specified in superior to, 0.28 to 0.5 inches to the this paragraph, relative to the thorax right of, and from 0.1 inches ventral to accelerometer reference point located 0.19 inches dorsal to the thorax acceler- in the midsagital plane 3 inches above ometer reference point. the top surface of the lumbar spine, (d) The outputs of accelerometers in- and 0.3 inches dorsal to the acceler- stalled in the dummy, and of test appa- ometer mounting plate surface. ratus specified by this part, are re- (1) The sensing elements of the Type corded in individual data channels that C triaxial accelerometer are aligned as conform to the requirements of SAE follows: Recommended Practice J211a, Decem- (i) Align one sensitive axis parallel to ber 1971, with channel classes as fol- the vertical bulkhead and midsagittal lows: planes, with the seismic mass center (1) Head acceleration—Class 1000. located 0.2 inches to the left of, 0.1 (2) Pendulum acceleration—Class 60. inches inferior to, and 0.2 inches ven- (3) Thorax acceleration—Class 180. tral to the thorax accelerometer ref- (e) The mountings for accelerometers erence point. have no resonance frequency less than (ii) Align the second sensitive axis so cut-off 3 times the cut-off frequency of that it is in the horizontal transverse the applicable channel class. plane, and perpendicular to the (f) Limb joints are set at the force be- midsagittal plane, with the seismic tween 1–2g, which just supports the mass center located 0.2 inches to the limbs’ weight when the limbs are ex- right of, 0.1 inches inferior to, and 0.2 tended horizontally forward. The force inches ventral to the thorax acceler- required to move a limb segment does ometer reference point. not exceed 2g throughout the range of (iii) Align the third sensitive axis so limb motion. that it is parallel to the midsagittal (g) Performance tests are conducted and horizontal planes, with the seismic at any temperature from 66 °F to 78 °F mass center located 0.2 inches superior and at any relative humidity from 10 to, 0.5 inches to the right of, and 0.1 percent to 70 percent after exposure of inches ventral to the thorax acceler- the dummy to these conditions for a ometer reference points. period of not less than 4 hours. (iv) All seismic mass centers shall be (h) For the performance tests speci- positioned within ±0.05 inches of the fied in §§ 572.16, 572.18, and 572.19, the specified locations. dummy is positioned in accordance (2) The sensing elements of the Type with Figures 16, 17, and 18 as follows: A triaxial accelerometer are aligned as (1) The dummy is placed on a flat, follows: rigid, clean, dry, horizontal surface of (i) Align one sensitive axis parallel to teflon sheeting with a smoothness of 40 the vertical bulkhead and midsagittal microinches and whose length and planes, with the seismic mass center width dimensions are not less than 16 located from 0.2 inches left to 0.28 inches, so that the dummy’s inches right, from 0.5 to 0.15 inches in- midsagittal plane is vertical and cen- ferior to, and from 0.15 to 0.25 inches tered on the test surface. For head ventral of the thorax accelerometer tests, the seat has a vertical back sup- reference point. port whose top is 12.4 ±0.2 inches above (ii) Align the second sensitive axis so the seating surface. The rear surfaces that it is in the horizontal transverse of the dummy’s shoulders and buttocks plane and perpendicular to the are touching the back support as

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shown in Figure 16. For thorax and (4) The arms and legs are positioned lumbar spine tests, the seating surface so that their centerlines are in planes is without the back support as shown parallel to the midsagittal plane. in Figures 17 and 18, respectively. (i) The dummy’s dimensions are spec- (2) The shoulder yokes are adjusted ified in drawings No. SA 103C 002, so that they are at the midpoint of sheets 22 through 26. their anterior-posterior travel with (j) Performance tests of the same their upper surfaces horizontal. component, segment, assembly or fully (3) The dummy is adjusted for head assembled dummy are separated in time by a period of not less than 20 impact and lumbar flexion tests so that minutes unless otherwise specified. the rear surfaces of the shoulders and (k) Surfaces of the dummy compo- buttocks are tangent to a transverse nents are not painted except as speci- vertical plane. fied in this part or in drawings subtended by this part.

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[44 FR 76530, Dec. 27, 1979, as amended at 45 FR 82267, Dec. 15, 1980; 55 FR 30468, July 26, 1990]

Subpart D—6-Month-Old Infant dures involved in the manufacturing of this dummy. § 572.25 General description. (b) The drawings, specifications, and (a) The infant dummy is specified in construction manual referred to in this its entirety by means of 5 drawings regulation that are not set forth in full (No. SA 1001) and a construction man- are hereby incorporated in this part by ual, dated July 2, 1974, which describe reference. These materials are thereby in detail the materials and the proce-

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made part of this regulation. The Di- Aid Table found at the end of this vol- rector of the Federal Register has ap- ume of the Code of Federal Regula- proved the materials incorporated by tions. reference. For materials subject to (b) The materials incorporated by change, only the specific version ap- reference are available for examination proved by the Director of the Federal in the general reference section of Register and specified in the regulation docket 74–14, Docket Section, National are incorporated. A notice of any Highway Traffic Safety Administra- change will be published in the FED- tion, Room 5109, 400 Seventh Street, ERAL REGISTER. As a convenience to SW., Washington, DC 20590. Copies may the reader, the materials incorporated be obtained from Reprographic Tech- by reference are listed in the Finding nologies, 9000 Virginia Manor Road, Aid Table found at the end of this vol- Beltsville, MD 20705, Telephone (301) ume of the Code of Federal Regula- 210–5600, Facsimile (301) 419–5069, Attn. tions. Mr. Jay Wall. Drawings and specifica- (c) The materials incorporated by tions are also on file at the National reference are available for examination Archives and Records Administration in Docket 78–09, Room 5109, Docket (NARA). For information on the avail- Section, National Highway Traffic ability of this material at NARA, call Safety Administration, 400 Seventh 202–741–6030, or go to: http:// Street SW., Washington, DC, 20590. www.archives.gov/federallregister/ Copies may be obtained from Rowley- codeloflfederallregulations/ Scher Reprographics, Inc., 1216 K ibrllocations.html. Street NW., Washington, DC 20005 ((202) 628–6667). The materials are also on file [51 FR 26701, July 25, 1986, as amended at 61 FR 67955, Dec. 26, 1996] in the reference library of the Office of the Federal Register, National Ar- § 572.31 General description. chives and Records Administration, Washington, DC. (a) The Hybrid III 50th percentile size (d) The structural properties of the dummy consists of components and as- dummy are such that the dummy con- semblies specified in the forms to this part in every respect both Anthropomorphic Test Dummy draw- before and after being used in vehicle ing and specifications package which tests specified in Standard No. 213 of consists of the following six items: this chapter (§ 571.213). (1) The Anthropomorphic Test Dummy Parts List, dated June 26, 1998, [50 FR 25424, June 19, 1985] and containing 16 pages, and a Parts List Index, dated June 26, 1998, con- Subpart E—Hybrid III Test Dummy taining 8 pages. (2) A listing of Hybrid III Dummy SOURCE: 51 FR 26701, July 25, 1986, unless Transducers-reference document otherwise noted. AGARD-AR-330, ‘‘Anthropomorphic Dummies for Crash and Escape System § 572.30 Incorporated materials. Testing’’, Chapter 6, Table 6–2, North (a) The drawings and specifications Atlantic Treaty Organization, July, referred to in this regulation that are 1996. not set forth in full are hereby incor- (3) A General Motors Drawing Pack- porated in this part by reference. The age identified by GM Drawing No. Director of the Federal Register has 78051–218, revision U, titled ‘‘Hybrid III approved the materials incorporated by Anthropomorphic Test Dummy,’’ dated reference. For materials subject to August 30, 1998, the following compo- change, only the specific version ap- nent assemblies, and subordinate draw- proved by the Director of the Federal ings: Register and specified in the regulation Revi- are incorporated. A notice of any Drawing No. sion change will be published in the FED- ERAL REGISTER. As a convenience to 78051–61X head assembly-complete, (May 20, 1978) ...... (T) the reader, the materials incorporated 78051–90 neck assembly-complete, dated May 20, by reference are listed in the Finding 1978 ...... (A)

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test specified in Standard No. 208 of Drawing No. Revi- sion this chapter (§ 571.208). 78051–89 upper torso assembly-complete, dated [51 FR 26701, July 25, 1986, as amended at 53 May 20, 1978 ...... (K) FR 8764, Mar. 17, 1988; 57 FR 47010, Oct. 14, 78051–70 lower torso assembly-complete, dated June 30, 1998, except for drawing No. 78051–55, 1992; 61 FR 67955, Dec. 26, 1996; 62 FR 27514, ‘‘Instrumentation Assembly-Pelvic Acceler- May 20, 1997; 63 FR 5747, Feb. 4, 1998; 63 FR ometer,’’ dated August 2, 1979 ...... (F) 53851, Oct. 7, 1998] 86–5001–001 leg assembly-complete (LH), dated March 26, 1996 ...... (A) § 572.32 Head. 86–5001–002 leg assembly-complete (RH), dated March 26, 1996 ...... (A) (a) The head consists of the assembly 78051–123 arm assembly-complete (LH), dated shown in drawing 78051–61X, revision C, May 20, 1996 ...... (D) and conforms to each of the drawings 78051–124 arm assembly-complete (RH), dated May 20, 1978 ...... (D) subtended therein. 78051–59 pelvic assembly-complete, dated June (b) When the head (Drawing number 30, 1998 ...... (G) 78051–61X, titled ‘‘head assembly—com- 78051–60 pelvic structure-molded, dated June 30, plete,’’ dated March 28, 1997 (Revision 1998 ...... (E) C) with six axis neck transducer structural replacement (Drawing number (4) Disassembly, Inspection, Assem- 78051–383X, Revision P, titled ‘‘Neck bly and Limbs Adjustment Procedures Transducer Structural Replacement,’’ for the Hybrid III dummy, dated June dated November 1, 1995) is dropped from 1998. a height of 14.8 inches in accordance (5) Sign Convention for signal out- with paragraph (c) of this section, the puts—reference document SAE J1733 peak resultant accelerations at the lo- Information Report, titled ‘‘Sign Con- cation of the accelerometers mounted vention for Vehicle Crash Testing’’, in the head in accordance with dated 1994–12. § 572.36(c) shall not be less than 225g, (6) Exterior dimensions of the Hybrid and not more than 275g. The accelera- III dummy, dated July 15, 1986. tion/time curve for the test shall be (b) [Reserved] unimodal to the extent that oscilla- (c) Adjacent segments are joined in a tions occurring after the main accel- manner such that throughout the eration pulse are less than ten percent range of motion and also under crash- (zero to peak) of the main pulse. The impact conditions, there is no contact lateral acceleration vector shall not between metallic elements except for exceed 15g (zero to peak). (c) (1) Soak the head contacts that exist under static condi- Test procedure. assembly in a test environment at any tions. temperature between 66 degrees F to 78 (d) The weights, inertial properties degrees F and at a relative humidity and centers of gravity location of com- from 10% to 70% for a period of at least ponent assemblies shall conform to four hours prior to its application in a those listed in drawing 78051–338, revi- test. sion S, titled ‘‘Segment Weights, Iner- (2) Clean the head’s skin surface and tial Properties, Center of Gravity Lo- the surface of the impact plate with cation—Hybrid III,’’ dated May 20, 1978 1,1,1 Trichlorethane or equivalent. of drawing No. 78051–218. (3) Suspend the head, as shown in (e) The structural properties of the Figure 19, so that the lowest point on dummy are such that the dummy con- the forehead is 0.5 inches below the forms to this part in every respect both lowest point on the dummy’s nose before and after being used in vehicle when the midsagittal plane is vertical.

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(4) Drop the head from the specified inches (rms) and not more than 80 height by means that ensure instant microinches (rms). release into a rigidly supported flat (5) Allow at least 3 hours between horizontal steel plate, which is 2 inches successive tests on the same head. thick and 2 feet square. The plate shall [51 FR 26701, July 25, 1986, as amended at 62 have a clean, dry surface and any FR 27514, May 20, 1997] microfinish of not less than 8 micro-

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§ 572.33 Neck. is the force measured in lbs by the ‘‘X’’ axis force sensor (Channel Class 600) of (a) The neck consists of the assembly the six axis neck transducer. The mo- shown in drawing 78051–90, revision A ment shall have a maximum value be- and conforms to each of the drawings tween 65 lbs-ft and 80 lbs-ft occurring subtended therein. between 47ms and 58 ms, and the posi- (b) When the head and neck assembly tive moment shall decay for the first (consisting of the parts 78051–61X, revi- time to 0 lb-ft between 97 ms and 107 sion C; –90, revision A; –84; –94; –98; –104, ms. revision F; –303, revision E; –305; –306; (2) Extension. (i) Plane D, referenced –307, revision X) which has a six axis in Figure 21, shall rotate between 81 de- neck transducer (Drawing number C– grees and 106 degrees, which shall occur 1709, Revision D, titled ‘‘Neck trans- between 72 ms and 82 ms from time ducer,’’ dated February 1, 1993.) in- zero. In first rebound, rotation of Plane stalled in conformance with § 572.36(d), D shall cross 0 degrees between 147 ms is tested in accordance with paragraph and 174 ms. (c) of this section, it shall have the fol- (ii) The moment measured by the six lowing characteristics: axis neck transducer (drawing C–1709, (1) Flexion. (i) Plane D, referenced in revision D) about the occipital Figure 20, shall rotate between 64 de- condyles, referenced in Figure 21, shall grees and 78 degrees, which shall occur be calculated by the following formula: between 57 milliseconds (ms) and 64 ms Moment (lbs-ft) = My¥0.058 × Fx, from time zero. In first rebound, the where My is the moment measured in rotation of Plane D shall cross 0 de- lbs-ft by the ‘‘Y’’ axis moment sensor grees between 113 ms and 128 ms. of the six axis neck transducer and Fx (ii) The moment measured by the six is the force measured in lbs by the ‘‘X’’ axis neck transducer (drawing C–1709, axis force sensor (Channel Class 600) of revision D) about the occipital the six axis neck transducer. The mo- condyles, referenced in Figure 20, shall ment shall have a maximum value be- be calculated by the following formula: tween—39 lbs-ft and –59 lbs-ft, occur- Moment (lbs-ft) = My¥0.058 × Fx, ring between 65 ms and 79 ms, and the where My is the moment measured in negative moment shall decay for the lbs-ft by the ‘‘Y’’ axis moment sensor first time to 0 lb-ft between 120 ms and of the six axis neck transducer and Fx 148 ms.

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(c) Test procedure. (1) Soak the test (3) Mount the head-neck assembly, material in a test environment at any defined in paragraph (b) of this section, temperature between 69 degrees F to 72 on a rigid pendulum as shown in Figure degrees F and at a relative humidity 22 so that the head’s midsagittal plane from 10% to 70% for a period of at least is vertical and coincides with the plane four hours prior to its application in a of motion of the pendulum’s longitu- test. dinal axis. (2) Torque the jamnut (78051–64) on the neck cable (78051–301, revision E) to 1.0 lbs-ft ±.2 lbs-ft.

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(4) Release the pendulum and allow it cross 5g between 34 ms and 42 ms. The to fall freely from a height such that pendulum deceleration vs. time pulse the tangential velocity at the pen- for extension testing shall conform to dulum accelerometer centerline at the the characteristics shown in Table B instance of contact with the honey- and the decaying deceleration-time comb is 23.0 ft/sec ±0.4 ft/sec. for flexion curve shall cross 5g between 38 ms and testing and 19.9 ft/sec. ±0.4 ft/sec. for ex- 46 ms. tension testing. The pendulum deceleration vs. time pulse for flexion testing shall conform to the characteristics shown in Table A and the decaying deceleration-time curve shall first

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TABLE A—FLEXION PENDULUM DECELERATION vision K and shall conform to each of VS. TIME PULSE the drawings subtended therein. (b) When impacted by a test probe Flexion de- Time (ms) celeration conforming to § 572.36(a) at 22 fps ±0.40 level (g) fps in accordance with paragraph (c) of 10 ...... 22.50–27.50 this section, the thorax of a complete 20 ...... 17.60–22.60 dummy assembly (78051–218, revision U, 30 ...... 12.50–18.50 without shoes, shall resist with a force Any other time above 30 ms ...... 29 maximum. of 1242.5 pounds ±82.5 pounds measured by the test probe and shall have a ster- TABLE B—EXTENSION PENDULUM num displacement measured relative to DECELERATION VS. TIME PULSE spine of 2.68 inches ±0.18 inches. The internal hysteresis in each impact shall Extension de- Time (ms) celeration be more than 69% but less than 85%. level (g) The force measured is the product of 10 ...... 17.20–21.20 pendulum mass and deceleration. 20 ...... 14.00–19.00 (c) Test procedure. (1) Soak the test 30 ...... 11.00–16.00 dummy in an environment with a rel- Any other time above 30 ms ...... 22 maximum. ative humidity from 10% to 70% until the temperature of the ribs of the test (5) Allow the neck to flex without im- dummy have stabilized at a tempera- pact of the head or neck with any ob- ture between 69 degrees F and 72 de- ject during the test. grees F. [51 FR 26701, July 25, 1986, as amended at 53 (2) Seat the dummy without back and FR 8765, Mar. 17, 1988; 62 FR 27514, May 20, arm supports on a surface as shown in 1997] Figure 23, and set the angle of the pelvic bone at 13 degrees plus or minus 2 § 572.34 Thorax. degrees, using the procedure described (a) The thorax consists of the upper in S11.4.3.2 of Standard No. 208 (§ 571.208 torso assembly in drawing 78051–89, re- of this chapter).

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(3) Place the longitudinal centerline 79051–64, revision A-M) as shown in Fig- of the test probe so that it is .5 ±.04 in. ure 23. below the horizontal centerline of the No. 3 Rib (reference drawing number

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(4) Align the test probe specified in (ii) Soak the test material in a test § 572.36(a) so that at impact its longitu- environment at any temperature be- dinal centerline coincides within .5 de- tween 66 degrees F to 78 degrees F and gree of a horizontal line in the dum- at a relative humidity from 10% to 70% my’s midsagittal plane. for a period of at least four hours prior (5) Impact the thorax with the test to its application in a test. probe so that the longitudinal center- (iii) Mount the test material with the line of the test probe falls within 2 de- leg assembly secured through the load grees of a horizontal line in the dummy cell simulator to a rigid surface as midsagittal plane at the moment of shown in Figure 24. No contact is per- impact. mitted between the foot and any other (6) Guide the probe during impact so exterior surfaces. that it moves with no significant lat- (iv) Place the longitudinal centerline eral, vertical, or rotational movement. of the test probe so that at contact (7) Measure the horizontal deflection with the knee it is collinear within 2 of the sternum relative to the thoracic degrees with the longitudinal center- spine along the line established by the line of the femur load cell simulator. longitudinal centerline of the probe at (v) Guide the pendulum so that there the moment of impact, using a poten- is no significant lateral, vertical or ro- tiometer (ref. drawing 78051–317, revi- tational movement at time zero. sion A) mounted inside the sternum as (vi) Impact the knee with the test shown in drawing 78051–89, revision I. probe so that the longitudinal center- (8) Measure hysteresis by deter- line of the test probe at the instant of mining the ratio of the area between impact falls within .5 degrees of a hori- the loading and unloading portions of zontal line parallel to the femur load the force deflection curve to the area cell simulator at time zero. under the loading portion of the curve. (vii) Time zero is defined as the time [51 FR 26701, July 25, 1986, as amended at 53 of contact between the test probe and FR 8765, Mar. 17, 1988; 62 FR 27518, May 20, the knee. 1997; 63 FR 53851, Oct. 7, 1998] (c) Hip joint-femur flexion. (1) When each femur is rotated in the flexion di- § 572.35 Limbs. rection in accordance with paragraph (a) The limbs consist of the following (c)(2) of this section, the femur torque assemblies: leg assemblies 86–5001–001, at 30 deg. rotation from its initial hori- revision A and –002, revision A, and zontal orientation will not be more arm assemblies 78051–123, revision D than 70 ft-lbf, and at 150 ft-lbf of torque and –124, revision D, and shall conform will not be less than 40 deg. or more to the drawings subtended therein. than 50 deg. (b) Femur impact response. (1) When (2) Test procedure. (i) The test mate- each knee of the leg assemblies is im- rial consists of the assembled dummy, pacted in accordance with paragraph part No. 78051–218 (revision S) except (b)(2) of this section, at 6.9 ft/sec ±0.10 that (1) leg assemblies (86–5001–001 and ft/sec by the pendulum defined in 002) are separated from the dummy by § 572.36(b), the peak knee impact force, removing the 3/8–16 Socket Head Cap which is a product of pendulum mass Screw (SHCS) (78051–99) but retaining and acceleration, shall have a min- the structural assembly of the upper imum value of not less than 1060 legs (78051–43 and –44), (2) the abdom- pounds and a maximum value of not inal insert (78051–52) is removed and (3) more than 1300 pounds. the instrument cover plate (78051–13) in (2) Test procedure. (i) The test mate- the pelvic bone is replaced by a rigid rial consists of leg assemblies (86–5001– pelvic bone stabilizer insert (Figure 001, revision A) left and (–002, revision 25a) and firmly secured. A) right with upper leg assemblies (ii) Seat the dummy on a rigid seat (78051–46) left and (78051–47) right re- fixture (Figure 25) and firmly secure it moved. The load cell simulator (78051– to the seat back by bolting the sta- 319, revision A) is used to secure the bilizer insert and the rigid support de- knee cap assemblies (79051–16, revision vice (Figure 25b) to the seat back of the B) as shown in Figure 24. test fixture (Figures 26 and 27) while

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maintaining the pelvis (78051–58) ‘‘B’’ ing the 1/2 in. shoulder bolt longitu- plane horizontal. dinal centerline horizontal throughout (iii) Insert a lever arm into the femur the range of motion until the 150 ft-lbf shaft opening of the upper leg struc- torque level is reached. Record the ture assembly (78051–43/44) and firmly torque and angle of rotation of the secure it using the 3/8–16 socket head femur. cap screws. (v) Operating environment and tem- (iv) Lift the lever arm parallel to the perature are the same as specified in midsagittal plane at a rotation rate of paragraph (b)(2)(ii) of this section. 5 to 10 deg. per second while maintain-

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[51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988; 61 FR 67955, Dec. 26, 1997; 63 FR 5748, Feb. 4, 1998]

§ 572.36 Test conditions and instru- the longitudinal centerline of the cyl- mentation. inder. (a) The test probe used for thoracic (b) Test probe used for the knee im- impact tests is a 6 inch diameter cyl- pact tests is a 3 inch diameter cylinder inder that weighs 51.5 pounds including that weights 11 pounds including in- instrumentation. Its impacting end has strumentation. Its impacting end has a a flat right angle face that is rigid and flat right angle face that is rigid and has an edge radius of 0.5 inches. The has an edge radius of 0.02 inches. The test probe has an accelerometer test probe has an accelerometer mounted on the end opposite from im- mounted on the end opposite from impact with its sensitive axis colinear to pact with its sensitive axis colinear to

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the longitudinal centerline of the cyl- (3) Neck moments—Class 600 inder. (4) Neck pendulum acceleration— (c) Head accelerometers shall have Class 60 dimensions and response characteris- (5) Thorax and thorax pendulum ac- tics specified in drawing 78051–136, revi- celeration—Class 180 sion A, or its equivalent, and the loca- (6) Thorax deflection—Class 180 tion of their seismic mass as mounted (7) Knee pendulum acceleration— in the skull are shown in drawing C– Class 600 1709, revision D. (8) Femur force—Class 600 (d) The six axis neck transducer shall (j) Coordinate signs for instrumenta- have the dimensions, response charac- tion polarity conform to the sign con- teristics, and sensitive axis locations vention shown in the document incor- specified in drawing C–1709, revision D porated by § 572.31(a)(5). and be mounted for testing as shown in (k) The mountings for sensing de- Figures 20 and 21 of § 572.33, and in the vices shall have no resonance fre- assembly drawing 78051–218, revision T. quency within range of 3 times the fre- (e) The chest accelerometers shall quency range of the applicable channel have the dimensions, response charac- class. teristics, and sensitive mass locations (l) Limb joints are set at lg, barely specified in drawing 78051–136, revision restraining the weight of the limb A or its equivalent and be mounted as when it is extended horizontally. The shown with adaptor assembly 78051–116, force required to move a limb segment revision D for assembly into 78051–218, shall not exceed 2g throughout the revision T. range of limb motion. (f) The chest deflection transducer (m) Performance tests of the same shall have the dimensions and response component, segment, assembly, or characteristics specified in drawing fully assembled dummy are separated 78051–342, revision A or its equivalent in time by period of not less than 30 and be mounted in the chest deflection minutes unless otherwise noted. transducer assembly 78051–317, revision (n) Surfaces of dummy components are not painted except as specified in A for assembly into 78051–218, revision this part or in drawings subtended by T. this part. (g) The thorax and knee impactor accelerometers shall have the dimen- [51 FR 26701, July 25, 1986, as amended at 53 sions and characteristics of Endevco FR 8765, Mar. 17, 1988; 62 FR 27518, May 20, Model 7231c or equivalent. Each accel- 1997; 63 FR 45965, Aug. 28, 1998] erometer shall be mounted with its sensitive axis colinear with the pen- Subpart F—Side Impact Dummy dulum’s longitudinal centerline. 50th Percentile Male (h) The femur load cell shall have the dimensions, response characteristics, SOURCE: 55 FR 45766, Oct. 30, 1990, unless and sensitive axis locations specified in otherwise noted. drawing 78051–265 or its equivalent and be mounted in assemblies 78051–46 and § 572.40 Incorporated materials. –47 for assembly into 78051–218, revision (a) The drawings, specifications, T. manual, and computer program re- (i) The outputs of acceleration and ferred to in this regulation that are not force-sensing devices installed in the set forth in full are hereby incor- dummy and in the test apparatus speci- porated in this part by reference. These fied by this part are recorded in indi- materials are thereby made part of this vidual data channels that conform to regulation. The Director of the Federal requirements of Society of Automotive Register has approved the materials in- Engineers (SAE) Recommended Prac- corporated by reference. For materials tice J211 Mar95, Instrumentation for subject to change, only the specific Impact Tests, Parts 1 and 2. SAE J211 version approved by the Director of the Mar95 sets forth the following channel Federal Register and specified in the classes: regulation are incorporated. A notice (1) Head acceleration—Class 1000 of any change will be published in the (2) Neck forces—Class 1000 FEDERAL REGISTER. As a convenience

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to the reader, the materials incor- (both dated May 12, 1994), and Washer porated by reference are listed in the 78051–243. Finding Aids Table found at the end of (5) The abdomen and pelvis consist of this volume of the Code of Federal Reg- the assembly specified in subpart B of ulations. this part (§ 572.9) and conform to the (b) The materials incorporated in drawings subtended by SA 150 M060, the this part by reference are available for drawings subtended by SA-SID-M060 re- examination in the general reference vision A, dated May 18, 1994, and the section of Docket 79–04, Docket Sec- drawings subtended by SA-SID-087 tion, National Highway Traffic Safety sheet 1 revision H, dated May 18, 1994, Administration, room 5109, 400 Seventh and SA-SID-087 sheet 2 revision H. St., S.W., Washington, D.C., 20590, tele- (6) The lower limbs consist of the as- phone (202) 366–4949. Copies may be ob- semblies specified in subpart B (§ 572.10) tained from Reprographic Tech- shown as SA 150 M080 and SA 150 M081 nologies, 9000 Virginia Manor Rd., in Figure 1 and SA-SID-M080 and SA- Suite 210, Beltsville, MD, 20705, Tele- SID-M081, both dated August 13, 1987, phone (301) 419–5070, Fax (301) 419–5069. and conform to the drawings subtended by those numbers. [55 FR 45766, Oct. 30, 1990, as amended at 63 FR 16140, Apr. 2, 1998] (b) The structural properties of the dummy are such that the dummy con- § 572.41 General description. forms to the requirements of this subpart in every respect both before and (a) The dummy consists of compo- after being used in vehicle tests speci- nent parts and component assemblies fied in Standard No 214 § 571.214 of this (SA-SID-M001, revision C, dated Sep- chapter. tember 12, 1996, and SA-SID-M001A, revision B, dated September 12, 1996), (c) Disassembly, inspection, and as- which are described in approximately sembly procedures; external dimen- 250 drawings and specifications that sions and weight; and a dummy draw- are set forth in § 572.5(a) of this chapter ing list are set forth in the Side Impact with the following changes and addi- Dummy (SID) User’s Manual, dated tions which are described in approxi- May 1994 except for pages 7, 20 and 23, mately 85 drawings and specifications and appendix A (consisting of replace- (incorporated by reference; see § 572.40): ment pages 7, 20 and 23) dated January 20, 1998 (incorporated by reference; see (1) The head assembly consists of the § 572.40). assembly specified in subpart B (§ 572.6(a)) and conforms to each of the [55 FR 45766, Oct. 30, 1990, as amended at 59 drawings subtended under drawing SA FR 52091, Oct. 14, 1994; 63 FR 16140, Apr. 2, 150 M010 and drawings specified in SA- 1998] SID-M010, dated August 13, 1987. (2) The neck assembly consists of the § 572.42 Thorax. assembly specified in subpart B (a) When the thorax of a completely (§ 572.7(a)) and conforms to each of the assembled dummy (SA-SID-M001A revi- drawings subtended under drawing SA sion A, dated May 18, 1994, incorporated 150 M020 and drawings shown in SA- by reference; see § 572.40), appropriately SID-M010, dated August 13, 1987. assembled for right or left side impact, (3) The thorax assembly consists of is impacted by a test probe conforming the assembly shown as number SID–053 to § 572.44(a) at 14 fps in accordance and conforms to each applicable draw- with paragraph (b) of this section, the ing subtended by number SA-SID-M030 peak accelerations at the location of revision A, dated May 18, 1994. the accelerometers mounted on the (4) The lumbar spine consists of the thorax in accordance with § 572.44(b) assembly specified in subpart B shall be: (§ 572.9(a)) and conforms to drawing SA (1) For the accelerometer at the top 150 M050 and drawings subtended by of the Rib Bar on the struck side (LUR SA-SID-M050 revision B, dated Sep- or RUR) not less than 37 g’s and not tember 12, 1996, including the addition more than 46 g’s. of Lumbar Spacers-Lower SID-SM-001 (2) For the accelerometer at the bot- and Lumbar Spacers-Upper SID-SM-002 tom of the Rib Bar on the struck side

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(LLR or RLR) not less than 37 g’s and celerometer mounted in the pelvis cav- not more than 46 g’s. ity in accordance with § 572.44(c) shall (3) For the lower thoracic spine (T12) be not less than 40g and not more than not less than 15 g’s and not more than 60g. The acceleration-time curve for 22 g’s. the test shall be unimodal and shall lie (b) Test Procedure. (1) Adjust the at or above the +20g level for an inter- dummy legs as specified in § 572.44(f). val not less than 3 milliseconds and not Seat the dummy on a seating surface more than 7 milliseconds. as specified in § 572.44(h) with the limbs (b) Test Procedure. (1) Adjust the extended horizontally forward. dummy legs as specified in § 572.44(f). (2) Place the longitudinal centerline Seat the dummy on a seating surface of the test probe at the lateral side of as specified in § 572.44(h) with the limbs the chest at the intersection of the extended horizontally forward. centerlines of the third rib and the Rib (2) Place the longitudinal centerline Bar on the desired side of impact. This of the test probe at the lateral side of is the left side if the dummy is to be the pelvis at a point 3.9 inches vertical used on the driver’s side of the vehicle from the seating surface and 4.8 inches and the right side if the dummy is to ventral to a transverse vertical plane be used on the passenger side of the ve- which is tangent to the back of the hicle. The probe’s centerline is perpen- dummy’s buttocks. dicular to thorax’s midsagittal plane. (3) Align the test probe so that at im- (3) Align the test probe so that its pact its longitudinal centerline coin- longitudinal centerline coincides with cides with the line formed by intersec- the line formed by the intersection of tion of the horizontal and vertical the transverse and frontal planes per- planes perpendicular to the midsagittal pendicular to the chest’s midsagittal plane passing through the designated plane passing through the designated impact point. impact point. (4) Adjust the dummy so that its (4) Position the dummy as specified midsagittal plane is vertical and the in § 572.44(h), so that the thorax’s rear surfaces of the thorax and but- midsagittal plane and tangential plane tocks are tangent to a transverse to the Hinge Mounting Block (Drawing vertical plane. SID–034) are vertical. (5) Impact the pelvis with the test (5) Impact the thorax with the test probe so that at the moment of impact probe so that at the moment of impact the probe’s longitudinal centerline at the designated impact point, the falls within 2 degrees of the line speci- probe’s longitudinal centerline falls fied in paragraph (b)(3) of this section. within 2 degrees of a horizontal line (6) Guide the test probe during im- perpendicular to the dummy’s pact so that it moves with no signifi- midsagittal plane and passing through cant lateral, vertical or rotational the designated impact point. movement. (6) Guide the probe during impact so (7) Allow a time period of at least 2 that it moves with no significant lat- hours between successive tests of the eral, vertical or rotational movement. pelvis. (7) Allow a time period of at least 20 minutes between successive tests of the [55 FR 45766, Oct. 30, 1990, as amended at 59 chest. FR 52091, Oct. 14, 1994; 63 FR 16140, Apr. 2, 1998] [59 FR 52091, Oct. 14, 1994, as amended at 59 FR 52091, Oct. 14, 1994] § 572.44 Instrumentation and test conditions. § 572.43 Lumbar spine and pelvis. (a) The test probe used for lateral (a) When the pelvis of a fully assem- thoracic and pelvis impact tests is a 6 bled dummy (SA-SID-M001A revision B, inch diameter cylinder that weighs 51.5 dated September 12, 1996, (incorporated pounds including instrumentation. Its by reference; see § 572.40) is impacted impacting end has a flat right angle laterally by a test probe conforming to face that is rigid and has an edge ra- § 572.44(a) at 14 fps in accordance with dius of 0.5 inches. paragraph (b) of this section, the peak (b) Three accelerometers are mount- acceleration at the location of the ac- ed in the thorax for measurement of

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lateral accelerations with each incorporated by reference in this part accelerometer’s sensitive axis aligned (see § 572.40). The data are processed in to be closely perpendicular to the the following manner: thorax’s midsagittal plane. The (1) Analog data recorded in accord- accelerometers are mounted in the fol- ance with SAE J–211 (1980) rec- lowing locations: ommended practice channel class 1000 (1) One accelerometer is mounted on specification. the thorax to lumbar adaptor (SID–005 (2) Filter the data with a 300 Hz, SAE revision F, dated May 18, 1994, incor- Class 180 filter; porated by reference; see § 572.40) with (3) Subsample the data to a 1600 Hz seismic mass center located 0.5 inches sampling rate; toward the impact side, 0.1 inches up- (4) Remove the bias from the subsam- ward and 1.86 inches rearward from the pled data, and reference point shown in Figure 30 in (5) Filter the data with the FIR100 appendix A to subpart F of part 572. Filter Program (Version 1.0, July 16, Maximum permissible variation of the 1990), which has the following charac- seismic location must not exceed 0.2 teristics— inches spherical radius. (i) Passband frequency, 100 Hz. (2) Two accelerometers are mounted, (ii) Stopband frequency, 189 Hz. one on the top and the other at the bot- (iii) Stopband gain, ¥50 db. tom part of the Rib Bar (SID–024) on (iv) Passband ripple, 0.0225 db. the struck side. Their seismic mass (e) The mountings for the spine, rib centers are at any distance up to .4 and pelvis accelerometers shall have no inches from a point on the Rib Bar sur- resonance frequency within a range of 3 face located on its longitudinal center times the frequency range of the appli- line .75 inches from the top for the top cable channel class. accelerometer and .75 inches from the (f) Limb joints of the test dummy are bottom, for the bottom accelerometer. set at the force between 1–2 g’s, which (c) One accelerometer is mounted in just supports the limbs’ weight when the pelvis for measurement of the lat- the limbs are extended horizontally eral acceleration with its sensitive axis forward. The force required to move a perpendicular to the pelvic midsagittal limb segment does not exceed 2 g’s plane. The accelerometer is mounted throughout the range of limb motion. on the rear wall of the instrumentation (g) Performance tests are conducted cavity of the pelvis (SID–087 revision H, at any temperature from 66 °F to 78 °F dated May 18, 1994, incorporated by ref- and at any relative humidity from 10 erence; see § 572.40). The percent to 70 percent after exposure of accelerometer’s seismic mass with re- the dummy to these conditions for a spect to the mounting bolt center line period of not less than 4 hours. is 0.9 inches up, 0.7 inches to the left (h) For the performance of tests spec- for left side impact and 0.03 inches to ified in §§ 572.42 and 572.43, the dummy the left for right side impact, and 0.5 is positioned as follows: inches rearward from the rear wall (1) The dummy is placed on a flat, mounting surface as shown in Figure 31 rigid, clean, dry, horizontal smooth in appendix A to subpart F of part 572. aluminum surface whose length and Maximum permissible variation of the width dimensions are not less than 16 seismic location must not exceed 0.2 inches, so that the dummy’s inches spherical radius. midsagittal plane is vertical and cen- (d) Instrumentation and sensors used tered on the test surface. The dummy’s must conform to the SAE J–211 (1980) torso is positioned to meet the require- recommended practice requirements ments of § 572.42 and § 572.43. The seat- (incorporated by reference; see § 572.40). ing surface is without the back support The outputs of the accelerometers in- and the test dummy is positioned so stalled in the dummy are then proc- that the dummy’s midsagittal plane is essed with the software for the Finite vertical and centered on the seat sur- Impulse Response (FIR) filter (FIR 100 face. software). The FORTRAN program for (2) The legs are positioned so that this FIR 100 software (FIR100 Filter their centerlines are in planes parallel Program, Version 1.0, July 16, 1990) is to the midsagittal plane.

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(3) Performance pre-tests of the as- (4) Surfaces of the dummy compo- sembled dummy are separated in time nents are not painted except as speci- by a period of not less than 20 minutes fied in this part or in drawings sub- unless otherwise specified. tended by this part. [55 FR 45766, Oct. 30, 1990, as amended at 56 FR 47011, Sept. 17, 1991; 59 FR 52091, Oct. 14, 1994]

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APPENDIX A TO SUBPART F OF PART 572—FIGURES

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[59 FR 52092, Oct. 14, 1994]

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Subparts G–H [Reserved] Reprographic Technologies, 9000 Vir- ginia Manor Rd., Beltsville, MD 20705, Subpart I—6-Year-Old Child Telephone (301) 210–5600, Fax (301) 210– 5607. (2) A User’s Manual entitled, ‘‘Six- SOURCE: 56 FR 57836, Nov. 14, 1991, unless Year-Old Size Child Test Dummy otherwise noted. SA106C,’’ October 28, 1991, is available § 572.70 Incorporation by reference. from Reprographic Technologies at the address in paragraph (b)(1) of this sec- (a) The drawings and specifications tion. referred to in §§ 572.71(a) and 572.71(b) (3) SAE Recommended Practice J211, are hereby incorporated in subpart I by Instrumentation for Impact Test, June reference. These materials are thereby 1988, is available from the Society of made part of this regulation. The Di- Automotive Engineers, Inc., 400 Com- rector of the Federal Register approved monwealth Drive, Warrendale, PA the materials incorporated by ref- 15096–0001. erence in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the [56 FR 57836, Nov. 14, 1991, as amended at 62 materials may be inspected at FR 44226, Aug. 20, 1997] NHTSA’s Docket Section, 400 Seventh Street, SW., room 5109, Washington, § 572.71 General description. DC, or at the National Archives and (a) The representative 6-year-old Records Administration (NARA). For dummy consists of a drawings and information on the availability of this specifications package that contains material at NARA, call 202–741–6030, or the following materials: go to: http://www.archives.gov/ (1) Technical drawings, specifica- federallregister/ tions, and the parts list package shown codeloflfederallregulations/ in SA 106C 001, sheets 1 through 18, re- ibrllocations.html. released July 11, 1997; (b) The incorporated material is (2) A user’s manual entitled, ‘‘Six- available as follows: Year-Old Size Child Test Dummy (1) Drawing number SA 106 C001 SA106C,’’ October 28, 1991. sheets 1 through 18, and the drawings (b) The dummy is made up of the listed in the parts lists described on component assemblies set out in Table sheets 8 through 17, are available from A:

TABLE A

Assembly drawing No. Drawing title Listed on drawing No. Revision

SA 106C 010 ...... Head Assembly ...... SA 106C 001, sheet 8 ...... A SA 106C 020 ...... Neck Assembly ...... SA 106C 001, sheet 9 ...... A SA 106C 030 ...... Thorax Assembly ...... SA 106C 001, sheet 10 ...... C SA 106C 030 ...... Thorax Assembly ...... SA 106C 001, sheet 11 ...... D SA 106C 041 ...... Arm Assembly (right) ...... SA 106C 001, sheet 14 ...... A SA 106C 042 ...... Arm Assembly (left) ...... SA 106C 001, sheet 15 ...... A SA 106C 050 ...... Lumbar Spine Assembly ...... SA 106C 001, sheet 12 ...... A SA 106C 060 ...... Pelvis Assembly ...... SA 106C 001, sheet 13 ...... A SA 106C 071 ...... Leg Assembly (right) ...... SA 106C 001, sheet 16 ...... A SA 106C 072 ...... Leg Assembly (left) ...... SA 106C 001, sheet 17 ...... A

(c) Adjacent segments are joined in a before and after its use in any test manner such that except for contacts similar to those specified in Standard existing under static conditions, there 213, Child Restraint Systems. is no contact between metallic ele- [56 FR 57836, Nov. 14, 1991, as amended at 62 ments throughout the range of motion FR 44226, Aug. 20, 1997] or under simulated crash-impact conditions. § 572.72 Head assembly and test proce- (d) The structural properties of the dure. dummy are such that the dummy con- (a) Head assembly. The head consists forms to this part in every respect both of the assembly designated as SA 106

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010 on drawing No. SA 106C 001, sheet 2, 020 on drawing SA 106C 001, sheet 2, and and conforms to each drawing listed on conforms to each drawing listed on SA SA 106C 001, sheet 8. 106C 001, sheet 9. (b) Head assembly impact response re- (b) Neck assembly impact response requirements. When the head is impacted quirements. When the head-neck assem- by a test probe conforming to bly (SA 106C 010 and SA 106C 020) is § 572.77(a)(1) at 7 feet per second (fps) tested according to the test procedure according to the test procedure in in § 572.73(c), the head: paragraph (c) of this section, then the (1) Shall rotate, while translating in resultant head acceleration measured the direction of the pendulum at the location of the accelerometer in- preimpact flight, in reference to the stalled in the headform according to pendulum’s longitudinal center line a § 577.77(b) is not less than 130g and not total of 78 degrees ±6 degrees about the more than 160g. head’s center of gravity; and (1) The recorded acceleration-time (2) Shall rotate to the extent speci- curve for this test is unimodal at or fied in Table B at each indicated point above the 50g level, and lies at or above in time, measured from time of impact, that level for an interval not less than with the chordal displacement meas- 1.0 and not more than 2.0 milliseconds. ured at the head’s center of gravity. (2) The lateral acceleration vector (i) Chordal displacement at time ‘‘T’’ does not exceed 5g. is defined as the straight line distance (c) Head test procedure. The test pro- between the position relative to the cedure for the head is as follows: pendulum arm of the head’s center of (1) Seat and orient the dummy on a gravity at time ‘‘zero;’’ and the posi- seating surface having a back support tion relative to the pendulum arm of as specified in § 572.78(c), and adjust the the head’s center of gravity at time T joints of the limbs at any setting (be- as illustrated by Figure 3 in § 572.11. tween 1g and 2g) which just supports (ii) The peak resultant acceleration the limbs’ weight when the limbs are recorded at the location of the extended horizontally and forward. accelerometers mounted in the (2) Adjust the test probe so that its headform according to § 572.77(b) shall longitudinal center line is— not exceed 30g. (i) At the forehead at the point of orthogonal intersection of the head TABLE B midsagittal plane and the transverse Time (ms) Chordal dis- plane which is perpendicular to the Z Rotation (degrees) ± placement axis of the head as shown in Figure 40; (2+.08T) (inches) ±0.8 ± (ii) Located 2.7 0.1 inches below the 0 ...... 0 0 top of the head measured along the Z 30 ...... 26 2.7 axis, and; 60 ...... 44 4.3 (iii) Coincides within 2 degrees with Maximum ...... 68 5.8 60 ...... 101 4.4 the line made by the intersection of 30 ...... 121 2.4 the horizontal and midsagittal planes 0 ...... 140 0 passing through this point. (3) Impact the head with the test (3) The pendulum shall not reverse probe so that at the moment of contact direction until the head’s center of the probe’s longitudinal center line gravity returns to the original ‘‘zero’’ falls within 2 degrees of a horizontal time position relative to the pendulum line in the dummy’s midsagittal plane. arm. (4) Guide the test probe during im- (c) Neck test procedure. The test proce- pact so that there is no significant lat- dure for the neck is as follows: eral, vertical, or rotational movement. (1) Mount the head and neck assem- (5) Allow at least 60 minutes between bly on a rigid pendulum as specified in successive head tests. § 572.21, Figure 15, so that the head’s midsagittal plane is vertical and coin- § 572.73 Neck assembly and test proce- cides with the plane of motion of the dure. pendulum’s longitudinal center line. (a) Neck assembly. The neck consists Attach the neck directly to the pen- of the assembly designated as SA 106C dulum as shown in § 572.21, Figure 15.

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(2) Release the pendulum and allow it probe conforming to § 572.77(a) to 20 ±0.3 to fall freely from a height such that fps according to the test procedure in the velocity at impact is 17.00 ±1.0 fps, paragraph (c) of this section, the peak measured at the center of the acceler- resultant accelerations at the ometer specified in § 572.21, Figure 15. accelerometers mounted in the chest (3) Decelerate the pendulum to a stop cavity according to § 572.77(c) shall not with an acceleration-time pulse de- be less than 43g and not more than 53g. scribed as follows: (1) The recorded acceleration-time (i) Establish 5g and 20g levels on the curve for this test shall be unimodal at a-t curve. or above the 30g level, and shall lie at (ii) Establish t1 at the point where the rising a-t curve first crosses the 5g or above that level for an interval not level; t at the point where the rising a- less than 4 milliseconds and not more 2 than 6 milliseconds. t curve first crosses the 20g level; t3 at the point where the decaying a-t curve (2) The lateral accelerations shall not last crosses the 20g level; and t4 at the exceed 5g. point where the decaying a-t curve (c) Thorax test procedure. The test first crosses the 5g level. procedure for the thorax is as follows: (iii) t2¥t1 shall not be more than 3 (1) Seat and orient the dummy on a milliseconds. seating surface without back support (iv) t3¥t2 shall not be more than 22 as specified in § 572.78(c), and adjust the milliseconds, and not less than 19 milli- joints of the limbs at any setting (be- seconds. tween 1g and 2g) which just supports ¥ (v) t4 t3 shall not be more than 6 the limbs’ weight when the limbs are milliseconds. extended horizontally and forward, par- (vi) The average deceleration be- allel to the midsagittal plane. tween t and t shall not be more than 2 3 (2) Establish the impact point at the 26g, or less than 22g. (4) Allow the neck to flex without the chest midsagittal plane so that the im- head or neck contacting any object pact point is 2.25 inches below the lon- other than the pendulum arm. gitudinal center of the clavicle re- (5) Allow at least 60 minutes between tainer screw, and adjust the dummy so successive tests. that the plane that bisects the No. 3 rib into upper and lower halves is hori- [56 FR 57836, Nov. 14, 1991, as amended at 57 zontal ±1 degree. FR 4086, Feb. 3, 1992] (3) Place the longitudinal center line § 572.74 Thorax assembly and test proof the test probe so that it coincides cedure. with the designated impact point, and (a) Thorax assembly. The thorax con- align the test probe so that at impact, sists of the part of the torso assembly the probe’s longitudinal center line co- designated as SA 106C 030 on drawing incides (within 2 degrees) with the line SA 106C 001, sheet 2, Revision A, and formed at the intersection of the hori- conforms to each applicable drawing on zontal and midsagittal planes and pass- SA 106C 001 sheet 10, Revision C (ining through the designated impact cluding Drawing number 6C–1610–1 thru point. –4, Revision A, titled ‘‘Screw Button (4) Impact the thorax with the test Head Socket’’, dated September 30, probe so that at the moment of contact 1996, and Drawing number 6C–1021, Re- the probe’s longitudinal center line vision B, titled ‘‘Ballast, 6 Yr. Thoraxc falls within 2 degrees of a horizontal (for 7267A)’’, dated September 24, 1996), line in the dummy’s midsagittal plane. and sheet 11, Revision D (including (5) Guide the test probe during im- Drawing number SA 6C–909, Revision A, pact so that there is no significant lat- titled ‘‘Cover-chest Accelerometer’’, eral, vertical, or rotational movement. dated September 21, 1996, and Drawing number 6C–1000–1, Revision C, titled (6) Allow at least 30 minutes between ‘‘Sternum Thoracic Weld Ass’y.’’, dated successive tests. September 24, 1996). [56 FR 57836, Nov. 14, 1991, as amended at 60 (b) Thorax assembly requirements. FR 2897, Jan. 12, 1995; 62 FR 44227, Aug. 20, When the thorax is impacted by a test 1997]

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§ 572.75 Lumbar spine, abdomen, and (4) Flex the thorax forward 50 degrees pelvis assembly and test procedure. and then rearward as necessary to re- (a) Lumbar spine, abdomen, and pelvis turn the dummy to its initial torso po- assembly. The lumbar spine, abdomen, sition, unsupported by external means. and pelvis consist of the part of the (5) Apply a forward pull force in the torso assembly designated as SA 106C midsagittal plane at the top of the 50 and 60 on drawing SA 106C 001, sheet neck adapter so that when the lumbar 2, and conform to each applicable draw- spine flexion is 40 degrees, the applied ing listed on SA 106C 001, sheets 12 and force is perpendicular to the thoracic 13. spine box. (b) Lumbar spine, abdomen, and pelvis (i) Apply the force at any torso de- assembly response requirements. When flection rate between 0.5 and 1.5 de- the lumbar spine is subjected to a force grees per second, up to 40 degrees of continuously applied according to the flexion. test procedure set out in paragraph (c) (ii) For 10 seconds, continue to apply of this section, the lumbar spine as- a force sufficient to maintain 40 de- sembly shall— grees of flexion, and record the highest (1) Flex by an amount that permits applied force during the 10 second pe- the rigid thoracic spine to rotate from riod. the torso’s initial position, as defined (iii) Release all force as rapidly as in (c)(3), by 40 degrees at a force level possible, and measure the return angle of not less that 46 pounds and not more 3 minutes after the release. than 52 pounds, and (2) Straighten upon removal of the § 572.76 Limbs assembly and test pro- force to within 5 degrees of its initial cedure. position when the force is removed. (a) Limbs assembly. The limbs consist (c) Lumbar spine, abdomen, and pelvis of the assemblies designated as SA 106C test procedure. The test procedure for 041, SA 106C 042, SA 106C 071, and SA the lumbar spine, abdomen, and pelvis 106C 072, on drawing No. SA 106C 001, is as follows: sheet 2, and conform to each applicable (1) Remove the dummy’s head-neck drawing listed on SA 106C 001, sheets 14 assembly, arms, and lower legs, clean through 17. and dry all component surfaces, and (b) Limbs assembly impact response re- seat the dummy upright on a seat as quirement. When each knee is impacted specified in Figure 42. at 7.0 ±0.1 fps, according to paragraph (2) Adjust the dummy by— (c) of this section, the maximum force (i) Tightening the femur ballflange on the femur shall not be more than screws at each hip socket joint to 50 1060 pounds and not less than 780 inch-pounds torque; pounds, with a duration above 400 (ii) Attaching the pelvis to the seat- pounds of not less than 0.8 milli- ing surface by a bolt D/605 as shown in seconds. Figure 42. (iii) Attaching the upper legs at the (c) Limbs test procedure. The test pro- knee joints by the attachments shown cedure for the limbs is as follows: in drawing Figure 42. (1) Seat and orient the dummy with- (iv) Tightening the mountings so out back support on a seating surface that the pelvis-lumbar joining surface that is 11 ±0.2 inches above a horizontal is horizontal; and (floor) surface as specified in § 572.78(c). (v) Removing the head and neck, and (i) Orient the dummy as specified in installing a cylindrical aluminum Figure 43 with the hip joint adjustment adapter (neck adapter) of 2.0 inches di- at any setting between 1g and 2g. ameter and 2.60 inches length as shown (ii) Place the dummy legs in a plane in Figure 42. parallel to the dummy’s midsagittal (3) The initial position of the dum- plane with the knee pivot center line my’s torso is defined by the plane perpendicular to the dummy’s formed by the rear surfaces of the midsagittal plane, and with the feet shoulders and buttocks which is three flat on the horizontal (floor) surface. to seven degrees forward of the trans- (iii) Adjust the feet and lower legs verse vertical plane. until the line between the midpoint of

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each knee pivot and each ankle pivot is (ii) Align the second accelerometer within 2 degrees of the vertical. so that its sensitive axis is parallel to (2) If necessary, reposition the the horizontal bulkhead, and perpen- dummy so that at the level one inch dicular to the midsagittal plane. below the seating surface, the rearmost (iii) Align the third accelerometer so point of the dummy’s lower legs re- that its sensitive axis is parallel to the mains not less than 3 inches and not horizontal bulkhead in the midsagittal more than 6 inches forward of the for- plane. ward edge of the seat. (iv) The seismic mass center for any (3) Align the test probe specified in of these accelerometers may be at any § 572.77(a) with the longitudinal center distance up to 0.4 inches from the axial line of the femur force gauge, so that intersection point. at impact, the probe’s longitudinal cen- (c) Thoracic accelerometers. (1) Install ter line coincides with the sensor’s lon- accelerometers in the thoracic assem- gitudinal center line within ±2 degrees. bly as shown in drawing SA 106C 001, (4) Impact the knee with the test sheet 1, using suitable spacers and probe moving horizontally and parallel adaptors to affix them to the frontal to the midsagittal plane at the speci- surface of the spine assembly so that fied velocity. the sensitive axes of the three (5) Guide the test probe during im- accelerometers intersect at a point in pact so that there is no significant lat- the midsagittal plane located 0.95 eral, vertical, or rotational movement. inches posterior of the spine mounting surface, and 0.55 inches below the hori- § 572.77 Instrumentation. zontal centerline of the two upper ac- (a)(1) Test probe. For the head, tho- celerometer mount attachment hole rax, and knee impact test, use a test centers. probe that is rigid, of uniform density (2) The sternum-thoracic assembly and weighs 10 pounds and 6 ounces, has three orthogonally mounted with a diameter of 3 inches; a length of accelerometers aligned as follows: 13.8 inches; and an impacting end that (i) Align one accelerometer so that has a rigid flat right face and edge ra- its sensitive axis is parallel to the at- dius of 0.5 inches. tachment surface in the midsagittal (2) The head and thorax assembly plane. may be instrumented either with a (ii) Align the second accelerometer Type A or Type B accelerometer. so that its sensitive axis is parallel to (i) Type A accelerometer is defined in the attachment surface, and perpen- drawing SA 572 S1. dicular to the midsagittal plane. (ii) Type B accelerometer is defined (iii) Align the third accelerometer so in drawing SA 572 S2. that its sensitive axis is perpendicular (b) Head accelerometers. (1) Install to the attachment surface in the accelerometers in the head as shown in midsagittal plane. drawing SA 106C 001 sheet 1 using suit- (iv) The seismic mass center for any able spacers or adaptors as needed to of these accelerometers may be at any affix them to the horizontal transverse distance up to 0.4 inches of the axial bulkhead so that the sensitive axes of intersection point. the three accelerometers intersect at (d) Femur-sensing device. Install a the point in the midsagittal plane lo- force-sensing device SA 572–S10 axially cated 0.4 inches below the intersection in each femur shaft as shown in draw- of a line connecting the longitudinal ing SA 106C 072 and secure it to the center lines of the roll pins in either femur assembly so that the distance side of the dummy’s head with the measured between the center lines of head’s midsagittal plane. two attachment bolts is 3.00 inches. (2) The head has three orthogonally (e) Limb joints. Set the limb joints at mounted accelerometers aligned as fol- lg, barely restraining the limb’s weight lows: when the limb is extended horizontally, (i) Align one accelerometer so that and ensure that the force required to its sensitive axis is perpendicular to move the limb segment does not exceed the horizontal bulkhead in the 2g throughout the limb’s range of mo- midsagittal plane. tion.

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(f) Recording outputs. Record the out- exceeding 40 microinches, a length of puts of acceleration and force-sensing at least 16 inches, and a width of at devices installed in the dummy and in least 16 inches. the test apparatus specified in this (2) For head impact tests, the seating part, in individual channels that con- surface has a vertical back support form to the requirements of SAE Rec- whose top is 12.4 ±0.2 inches above the ommended Practice J211, October 1988, horizontal surface, and the rear sur- with channel classes as set out in the faces of the dummy’s back and but- following table C. tocks touch the back support as shown in Figure 40. TABLE C (3) For the thorax, lumbar spine, and knee tests, the horizontal surface is Device Channel without a back support as shown in Head acceleration ...... Class 1000 Figure 41 (for the thorax); Figure 42 Pendulum acceleration ...... Class 60 (for the lumbar spine); and Figure 43 Thorax acceleration ...... Class 180 Femur-force ...... Class 600 (for the knee). (4) Position the dummy’s arms and The mountings for sensing devices legs so that their center lines are in shall have no resonance frequency planes parallel to the midsagittal within a range of 3 times the frequency plane. range of the applicable channel class. (5) Adjust each shoulder yoke so that with its upper surface horizontal, a § 572.78 Performance test conditions. yoke is at the midpoint of its anterior- (a) Conduct performance tests at any posterior travel. temperature from 66 °F to 78 °F, and at (6) Adjust the dummy for head and any relative humidity from 10 percent knee impact tests so that the rear sur- to 70 percent, but only after having faces of the shoulders and buttocks are first exposed the dummy to these con- tangent to a transverse vertical plane. ditions for a period of not less than 4 (d) The dummy’s dimensions are hours. specified in drawings SA 106C 001, sheet (b) For the performance tests speci- 3, Revision A, July 11, 1997, and sheets fied in § 572.72 (head), § 572.74 (thorax), 4 through 6. § 572.75 (lumbar spine, abdomen, and (e) Unless otherwise specified in this pelvis), and § 572.76 (limbs), position the regulation, performance tests of the dummy as set out in paragraph (c) of same component, segment, assembly or this section. fully assembled dummy are separated (c) Place the dummy on a horizontal in time by a period of not less than 20 seating surface covered by teflon sheet- minutes. ing so that the dummy’s midsagittal (f) Unless otherwise specified in this plane is vertical and centered on the regulation, the surfaces of the dummy test surface. components are not painted. (1) The seating surface is flat, rigid, [56 FR 57836, Nov. 14, 1991, as amended at 62 clean, and dry, with a smoothness not FR 44227, Aug. 20, 1997]

FIGURES TO SUBPART I OF PART 572

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[60 FR 2898, Jan. 12, 1995]

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Subpart J—9-Month Old Child § 572.80 Incorporated materials. The drawings and specifications re- SOURCE: 56 FR 41080, Aug. 19, 1991, unless ferred to in § 572.81(a) that are not set otherwise noted. forth in full are hereby incorporated in

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this part by reference. These materials fied as items 1 through 16 and in item are thereby made part of this regula- 56. tion. The Director of the Federal Reg- ister approved the materials incor- § 572.84 Thorax. porated by reference in accordance The thorax consists of the part of the with 5 U.S.C. 552(a) and 1 CFR part 51. torso shown in assembly drawing LP Copies of the materials may be ob- 1049/A and conforms to each of the ap- tained from Rowley-Scher plicable drawings listed under LP 1049/ Reprographics, Inc., 1216 K Street, NW., 0 through 54. Washington, DC 20002, telephone (202) 628–6667. Copies are available for in- § 572.85 Lumbar spine flexure. spection in the general reference sec- (a) When subjected to continuously tion of Docket 89–11, Docket Section, applied force in accordance with para- National Highway Traffic Safety Ad- graph (b) of this section, the lumbar ministration, room 5109, 400 Seventh spine assembly shall flex by an amount Street, SW., Washington, DC, or at the that permits the thoracic spine to ro- National Archives and Records Admin- tate from its initial position in accord- istration (NARA). For information on ance with Figure No. 18 of § 572.21 (49 the availability of this material at CFR part 572) by 40 degrees at a force NARA, call 202–741–6030, or go to: http:// level of not less than 18 pounds and not www.archives.gov/federallregister/ more than 22 pounds, and straighten codeloflfederallregulations/ upon removal of the force to within 5 ibrllocations.html. degrees of its initial position. (b) Test procedure. (1) The lumbar § 572.81 General description. spine flexure test is conducted on a (a) The dummy consists of: (1) The dummy assembly as shown in drawing assembly specified in drawing LP 1049/ LP 1049/A, but with the arms (which A, March 1979, which is described in its consist of parts identified as items 17 entirety by means of approximately 54 through 30) and all head-neck parts separate drawings and specifications, (identified as items 1 through 13 and 59 1049/1 through 1049/54; and (2) a parts through 63), removed. list LP 1049/0 (5 sheets); and (3) a report (2) With the torso assembled in an entitled, ‘‘The TNO P3/4 Child Dummy upright position, adjust the lumbar Users Manual,’’ January 1979, published cable by tightening the adjustment nut by Instituut voor for the lumbar vertebrae until the Wegtransportmiddelen TNO. spring is compressed to 2⁄3 of its un- (b) Adjacent dummy segments are loaded length. joined in a manner such that through- (3) Position the dummy in an upright out the range of motion and also under seated position on a seat as indicated simulated crash-impact conditions in Figure No. 18 of § 572.21 (lower legs there is no contact between metallic do not need to be removed, but must be elements except for contacts that exist clamped firmly to the seating surface), under static conditions. ensuring that all dummy component (c) The structural properties of the surfaces are clean, dry and untreated dummy are such that the dummy con- unless otherwise specified. forms to this part in every respect both (4) Firmly affix the dummy to the before and after being used in dynamic seating surface through the pelvis at tests such as that specified in Standard the hip joints by suitable clamps that No. 213 of this chapter (§ 571.213). also prevent any relative motion with respect to the upper legs during the § 572.82 Head. test in § 572.65(c)(3) of this part. Install The head consists of the assembly a pull attachment at the neck to torso shown in drawing LP 1049/A and con- juncture as shown in Figure 18 of forms to each of the applicable draw- § 572.21. ings listed under LP 1049/0 through 54. (5) Flex the thorax forward 50 degrees and then rearward as necessary to re- § 572.83 Head-neck. turn it to its initial position. The head-neck assembly shown in (6) Apply a forward pull force in the drawing 1049/A consists of parts speci- midsagittal plane at the top of the

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neck adapter so that at 40 degrees of placed in a horizontal position. Adjust the lumbar spine flexion the applied the shoulder joint by releasing the force is perpendicular to the thoracic shoulder joint nut until the upper arm spine box. Apply the force at any torso just starts moving. deflection rate between 0.5 and 1.5 de- (4) With the complete torso in an up- grees per second up to 40 degrees of right position and upper arm in a flexion but no further; maintain 40 de- vertical position, mount the forearm in grees of flexion for 10 seconds, and a horizontal position and tighten the record the highest applied force during elbow hinge bolt and nut firmly. Adjust that time. Release all force as rapidly the elbow joint nut until the forearm as possible and measure the return just starts moving. angle three minutes after release. (d) With the torso assembled in an upright position, the adjustment nut § 572.86 Test conditions and dummy for the lumbar vertebrae is tightened adjustment. until the spring is compressed to 2⁄3 of (a) With the complete torso on its its unloaded length. back lying on a horizontal surface and (e) Performance tests are conducted the neck assembly mounted and shoul- at any temperature from 66 to 78 de- ders on the edge of the surface, adjust grees F and at any relative humidity the neck such that the head bolt is from 10 percent to 70 percent after ex- lowered 0.40 ±0.05 inches (10 ±1 mm) posure of the dummy to these condi- after a vertically applied load of 11.25 tions for a period of not less than four pounds (50 N) applied to the head bolt hours. is released. (f) Performance tests of the same (b) With the complete torso on its component, segment, assembly or fully back with the adjusted neck assembly assembled dummy are separated in as specified in § 572.66(a), and lying on a time by a period of not less than 20 horizontal surface with the shoulders minutes unless otherwise specified. on the edge of the surface, mount the (g) Surfaces of the dummy compo- head and tighten the head bolt and nut nents are not painted except as speci- firmly, with the head in horizontal po- fied in the part or in drawings incor- sition. Adjust the head joint at the porated by this part. force between 1–2g, which just supports the head’s weight. (c) Using the procedures described Subpart K—Newborn Infant below, limb joints are set at the force between 1–2g, which just supports the SOURCE: 58 FR 3232, Jan. 8, 1993, unless oth- limbs’ weight when the limbs are ex- erwise noted. tended horizontally forward: (1) With the complete torso lying § 572.90 Incorporation by reference. with its front down on a horizontal sur- (a) The drawings and specifications face, with the hip joint just over the referred to in § 572.91(a) are hereby in- edge of the surface, mount the upper corporated in subpart K by reference. leg and tighten hip joint nut firmly. These materials are thereby made part Adjust the hip joint by releasing the of this regulation. The Director of the hip joint nut until the upper leg just Federal Register approved that mate- starts moving. rials incorporated by reference in ac- (2) With the complete torso and upper cordance with 5 U.S.C. 552(a) and 1 CFR leg lying with its front up on a hori- part 51. Copies of the materials may be zontal surface, with the knee joint just inspected at NHTSA’s Docket Section, over the edge of the surface, mount the 400 Seventh Street, SW., room 5109, lower leg and tighten knee joint firm- Washington, DC, or at the National Ar- ly. Adjust the knee joint by releasing chives and Records Administration the knee joint nut until the lower leg (NARA). For information on the avail- just starts moving. ability of this material at NARA, call (3) With the torso in an upright posi- 202–741–6030, or go to: http:// tion, mount the upper arm and tighten www.archives.gov/federallregister/ firmly the adjustment bolts for the codeloflfederallregulations/ shoulder joint with the upper arm ibrllocations.html.

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(b) The incorporated material is codeloflfederallregulations/ available as follows: ibrllocations.html. (1) Drawing numbers 126–0000 through (b) The incorporated material is 126–0015 (sheets 1 through 3), 126–0017 available as follows: through 126–0027, and a parts list enti- (1) Drawing number 92041–001, ‘‘Head tled ‘‘Parts List for CAMI Newborn Form Assembly,’’ (November 30, 1992); Dummy,’’ are available from drawing number 92041–002, ‘‘Skull As- Reprographic Technologies, 1111 14th sembly,’’ (November 30, 1992); drawing Street, NW., Washington, DC 20005. number 92041–003, ‘‘Skull Cap Plate As- (202) 628–6667. sembly,’’ (November 30, 1992); drawing (2) A construction manual entitled, number 92041–004, ‘‘Skull Cap Plate,’’ ‘‘Construction of the Newborn Infant (November 30, 1992); drawing number Dummy’’ (July 1992) is available from 92041–005, ‘‘Threaded Pin,’’ (November Reprographic Technologies at the ad- 30, 1992); drawing number 92041–006, dress in paragraph (b)(1) of this section. ‘‘Hex Nut,’’ (November 30, 1992); drawing number 92041–008, ‘‘Head Skin with- § 572.91 General description. out Nose,’’ (November 30, 1992, as (a) The representative newborn in- amended March 6, 1995); drawing num- fant dummy consists of a drawings and ber 92041–009, ‘‘Six-Axis Load Cell Sim- specifications package that contains ulator Assembly,’’ (November 30, 1992); the following materials: drawing number 92041–011, ‘‘Head Bal- (1) Drawing numbers 126–0000 through last Weight,’’ (November 30, 1992); 126–0015 (sheets 1 through 3), 126–0017 drawing number 92041–018, ‘‘Head Form through 126–0027, and a parts list enti- Bill of Materials,’’ (November 30, 1992); tled ‘‘Parts List for CAMI Newborn drawing number 78051–148, ‘‘Skull-Head Dummy’’; and, (cast) Hybrid III,’’ (May 20, 1978, as (2) A construction manual entitled, amended August 17, 1978); drawing ‘‘Construction of the Newborn Infant number 78051–228/78051–229, ‘‘Skin- Hy- Dummy’’ (July 1992). brid III,’’ (May 20, 1978, as amended (b) The structural properties of the through September 24, 1979); drawing dummy are such that the dummy con- number 78051–339, ‘‘Pivot Pin-Neck forms to this part in every respect both Transducer,’’ (May 20, 1978, as amended before and after being used in dynamic May 14, 1986); drawing number 78051– tests specified in Standard No. 213 of 372, ‘‘Vinyl Skin Formulation Hybrid this chapter (§ 571.213). III,’’ (May 20, 1978); and drawing number C–1797, ‘‘Neck Blank, (August 1, Subpart L—Free Motion Headform 1989); drawing number SA572–S4, ‘‘Ac- celerometer Specification,’’ (November SOURCE: 60 FR 43058, Aug. 18, 1995, unless 30, 1992), are available from otherwise noted. Reprographic Technologies, 1111 14th Street, N.W., Washington, DC 20005. § 572.100 Incorporation by Reference. (2) A user’s manual entitled ‘‘Free- (a) The drawings and specifications Motion Headform User’s Manual,’’ referred to in § 572.101 are hereby incor- version 2, March 1995, is available from porated in subpart L by reference. NHTSA’s Docket Section at the ad- These materials are thereby made part dress in paragraph (a) of this section. of this regulation. The Director of the (3) SAE Recommended Practice J211, Federal Register approved the mate- OCT 1988, ‘‘Instrumentation for Impact rials incorporated by reference in ac- Tests,’’ Class 1000, is available from cordance with 5 U.S.C. 552(a) and 1 CFR The Society of Automotive Engineers, part 51. Copies of the materials may be Inc., 400 Commonwealth Drive, inspected at NHTSA’s Docket Section, Warrendale, PA 15096. 400 Seventh Street, S.W., room 5109, Washington, DC, or at the National Ar- § 572.101 General description. chives and Records Administration (a) The free motion headform con- (NARA). For information on the avail- sists of the component assembly which ability of this material at NARA, call is shown in drawings 92041–001 (incor- 202–741–6030, or go to: http:// porated by reference; see § 572.100), www.archives.gov/federallregister/ 92041–002 (incorporated by reference;

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see § 572.100), 92041–003 (incorporated by (b) Test procedure. (1) Soak the reference; see § 572.100), 92041–004 (incor- headform in a test environment at any porated by reference; see § 572.100), temperature between 19 degrees C. to 26 92041–005 (incorporated by reference; degrees C. and at a relative humidity see § 572.100), 92041–006 (incorporated by from 10 percent to 70 percent for a pe- reference; see § 572.100), 92041–008 (incor- riod of at least four hours prior to its porated by reference; see § 572.100), use in a test. 92041–009 (incorporated by reference; (2) Clean the headform’s skin surface see § 572.100), 92041–011 (incorporated by and the surface of the impact plate reference; see § 572.100), 78051–148 (incor- with 1,1,1 Trichloroethane or equiva- porated by reference; see § 572.100), lent. 78051–228/78051–229 (incorporated by ref- (3) Suspend the headform, as shown erence; see § 572.100), 78051–339 (incor- in Figure 50. Position the forehead porated by reference; see § 572.100), below the chin such that the skull cap 78051–372 (incorporated by reference; plate is at an angle of 28.5 ±0.5 degrees see § 572.100), C–1797 (incorporated by with the impact surface when the reference; see § 572.100), and SA572–S4 midsagittal plane is vertical. (incorporated by reference; see (4) Drop the headform from the speci- § 572.100). fied height by means that ensure in- (b) Disassembly, inspection, and as- stant release onto a rigidly supported sembly procedures, and sign conven- flat horizontal steel plate, which is 2 tion for the signal outputs of the free inches thick and 2 feet square. The motion headform accelerometers, are plate shall have a clean, dry surface set forth in the Free-Motion Headform and any microfinish of not less than 8 User’s Manual (incorporated by ref- × ¥6 mm (rms) and erence; see § 572.100). microinches 203.2 10 not more than 80 microinches 2032×10¥6 (c) The structural properties of the mm (rms). headform are such that it conforms to this part in every respect both before (5) Allow at least 3 hours between and after being used in the test speci- successive tests on the same headform. fied in Standard No. 201 of this chapter § 572.103 Test conditions and instru- (§ 571.201). mentation. (d) The outputs of accelerometers installed in the headform are recorded in (a) Headform accelerometers shall individual data channels that conform have dimensions, response characteris- to the requirements of SAE Rec- tics, and sensitive mass locations spec- ommended Practice J211, OCT 1988, ified in drawing SA572–S4 (incorporated ‘‘Instrumentation for Impact Tests,’’ by reference; see § 572.100) and be Class 1000 (incorporated by reference; mounted in the headform as shown in see § 572.100). drawing 92041–001 (incorporated by reference; see § 572.100). § 572.102 Drop test. (b) The outputs of accelerometers in- (a) When the headform is dropped stalled in the headform are recorded in from a height of 14.8 inches in accord- individual data channels that conform ance with paragraph (b) of this section, to the requirements of SAE Rec- the peak resultant accelerations at the ommended Practice J211, OCT 1988, location of the accelerometers mount- ‘‘Instrumentation for Impact Tests,’’ ed in the headform as shown in drawing Class 1000 (incorporated by reference; 92041–001 (incorporated by reference; see § 572.100). see § 572.100) shall not be less than 225g, (c) Coordinate signs for instrumenta- and not more than 275g. The acceleration polarity conform to the sign con- tion/time curve for the test shall be vention shown in the Free-Motion unimodal to the extent that oscilla- Headform User’s Manual (incorporated tions occurring after the main accel- by reference; see § 572.100). eration pulse are less than ten percent (d) The mountings for accelerometers (zero to peak) of the main pulse. The shall have no resonant frequency with- lateral acceleration vector shall not in a range of 3 times the frequency exceed 15g (zero to peak). range of the applicable channel class.

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[60 FR 43060, Aug. 18, 1995]

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Subpart M—Side Impact Hybrid (16) SAE Recommended Practice Dummy 50th Percentile Male J211, ‘‘Instrumentation for Impact Tests,’’ Parts 1 and 2, dated March 1995. (b) The incorporated materials are SOURCE: 63 FR 41470, Aug. 4, 1998, unless otherwise noted. available as follows: (1) The Director of the Federal Reg- § 572.110 Materials incorporated by ister approved those materials incor- reference. porated by reference in accordance (a) The following materials are herewith 5 U.S.C. 552(a) and 1 CFR part 51. by incorporated by reference in Sub- Copies of the materials may be in- part M: spected at NHTSA’s Docket Section, (1) The Anthropomorphic Test 400 Seventh Street S.W., room 5109, Dummy Parts List, SID/Hybrid III part Washington, DC, or at the National Ar- 572, subpart M, dated May 10, 1997. chives and Records Administration (2) The SID/Hybrid III Part 572 Sub- (NARA). For information on the avail- part M User’s Manual, dated May 1997. ability of this material at NARA, call (3) Drawing number 96–SIDH3–001, ti- 202–741–6030, or go to: http:// tled, ‘‘Head-Neck Bracket,’’ dated Au- www.archives.gov/federallregister/ gust 30, 1996. codeloflfederallregulations/ (4) Drawing number 96–SIDH3–006, ti- ibrllocations.html. tled, ‘‘Upper and Middle Shoulder (2) The parts lists, user’s manual and Foam,’’ dated May 10, 1997. drawings referred to in paragraphs (5) Drawing number SA-SIDH3-M001, (a)(1) through (a)(14) of this section are titled, ‘‘Complete Assembly SIDH3,’’ available from Reprographic Tech- dated April 19, 1997. nologies, 9000 Virginia Manor Road, (6) Drawing number 78051–61X, Revi- Beltsville, MD 20705 (301) 419–5070. sion C, titled ‘‘Head Assembly—com- (3) The SAE materials referred to in plete,’’ dated March 28, 1997 paragraphs (a)(15) and (a)(16) of this (7) Drawing number 78051–90, Revi- section are available from the Society sion A, titled ‘‘Neck Assembly—com- of Automotive Engineers, Inc., 400 plete,’’ dated May 20, 1978. Commonwealth Drive, Warrendale, PA (8) Dummy assembly drawing number 15096. SA-SID-M030, Revision A, titled ‘‘Tho- § 572.111 General description. rax Assembly—complete,’’ dated May 18, 1994. (a) The dummy consists of compo- (9) Dummy assembly drawing SA- nent parts and component assemblies SID-M050, revision A, titled ‘‘Lumbar defined in drawing SA-SIDH3-M001, Spine Assembly,’’ dated May 18, 1994. dated April 19, 1997, which are de- (10) Dummy assembly drawing SA–150 scribed in approximately 200 drawings M060, revision A, titled ‘‘Pelvis and Ab- and specifications that are set forth in domen Assembly,’’ dated May 18, 1994. §§ 572.32, 572.33 and 572.41(a)(3),(4),(5) and (11) Dummy assembly drawing SA- (6) of this part, and in the drawing of SID-053, revision A, titled ‘‘Lumbar the Adaptor Bracket 96–SIDH3–001. Spine Assembly,’’ dated May 18, 1994. (1) The head assembly consists of the (12) Dummy assembly drawing SA- assembly specified in subpart E SID-M080, titled ‘‘Leg Assembly, (§ 572.32) and conforms to each of the Right,’’ dated August 13, 1987. drawings subtended under drawing (13) Dummy assembly drawing SA- 78051–61X rev. C. SID-M081, titled ‘‘Leg Assembly, Left,’’ (2) The neck assembly consists of the dated August 13, 1987. assembly specified in subpart E (14) Drawing number 78051–383X, Re- (§ 572.33) and conforms to each of the vision P, titled ‘‘Neck Transducer drawings subtended under drawing Structural Replacement,’’ dated No- 78051–90 rev. A. vember 1, 1995. (3) The thorax assembly consists of (15) The Society of Automotive Engi- the assembly shown as number SID 053 neers (SAE) J1733 Information Report, and conforms to each applicable draw- titled ‘‘Sign Convention for Vehicle ing subtended by number SA-SID M030 Crash Testing,’’ dated December 1994. rev. A.

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(4) The lumbar spine consists of the (a) Test procedure. (1) Soak the head assembly specified in subpart B assembly in a test environment at any (§ 572.9(a)) and conforms to drawing SA temperature between 18.9 and 25.6 de- 150 M050 and drawings subtended by grees C. (66 to 78 degrees F.) and at a SA-SID M050 rev. A. relative humidity between 10 percent (5) The abdomen and pelvis consist of and 70 percent for a period of at least the assembly and conform to the draw- four (4) hours prior to its application in ings subtended by SA 150 M060, the a test. drawings subtended by SA 150 M060 rev. (2) Clean the impact surface of the A and the drawings subtended by SA- head skin and impact plate surface, de- SID-087 sheet 1 rev. H, and SA-SID-87 scribed in paragraph (a)(4) of this sec- sheet 2 rev. H. tion, with 1,1,1 trichloroethane or (6) The lower limbs consist of the assemblies specified in Subpart B equivalent prior to the test. (§ 572.10) shown as SA 150 M080 and SA (3) Suspend the head, as shown in 150 M081 in Figure 1 and SA-SID-M080 Figure 51, so that the midsagittal plane and SA-SID-M081 and conform to the makes an angle of 35 ±1 degrees with drawings subtended by those numbers. the impact surface and its anterior- (7) The neck mounting adaptor posterior axis is horizontal ±1 degree. bracket conforms to drawing 96–SIDH3– (4) Drop the head from a height of 200 001. ±0.25 mm (7.87 ±0.01 inches), measured (8) Upper and middle shoulder foams from the lowest point on the head, by a conform to drawing 96–SIDH3–006. means that ensures a smooth, clean re- (b) The structural properties of the lease into a rigidly supported flat hori- dummy are such that the dummy con- zontal steel plate, which is 51 ±2 mm forms to the specifications of this sub- (2.0 ±0.01 in.) thick and 610 ±10 mm (24.0 part in every respect before being used ±0.4 in) square. The plate shall have a in vehicle tests specified in Standard dry surface and shall have a micro- 201. finish of 0.2 microns (8 microinches) to (c) Disassembly, inspection and as- 2.0 microns (80 microinches). sembly procedures, external dimen- (5) Allow at least two (2) hours be- sions, weight and drawing list are set forth in the SIDH3 User’s Manual, tween successive tests on the same dated May 1997. head. (d) Sign convention for signal out- (b) Performance criteria. (1) When puts is given in the reference document the head assembly is dropped in accord- SAE J1733 of 1994–12, ‘‘Sign Convention ance with § 572.112(a), the measured for Vehicle Crash Testing.’’ peak resultant acceleration shall be between 120 and 150 G’s. § 572.112 Head assembly. (2) The resultant acceleration-time The head assembly consists of the curve shall be unimodal to the extent head (drawing 78051–61X, rev. C) with that oscillations occurring after the the neck transducer structural replace- main acceleration pulse shall not ex- ment (drawing 78051–383X, rev. P) and ceed 15 percent (zero to peak) of the three (3) accelerometers that are main pulse. The longitudinal accelera- mounted in conformance to § 572.36 (c). tion vector shall not exceed 15 G’s.

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§ 572.113 Neck assembly. E;—305; –306; –307, rev. X and has a six axis neck transducer (drawing C–1709, The head/neck assembly consists of revision D) installed in conformance the parts 78051–61X, rev. C; –84; –90, rev. with § 572.36(d). A; –94; –98; –104, revision F; –303, rev.

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(a) Test procedure. (1) Soak the head ity as obtained by integrating the pen- and neck assembly in a test environ- dulum acceleration output. ment at any temperature between 20.6 Pendulum Delta-V (m/ and 22.2 degrees C. (69 to 72 degrees F.) Time (ms) s) and at any relative humidity between 10 percent and 70 percent for a period of 10 ...... 1.96 to 2.55. at least four (4) hours prior to its appli- 20 ...... 4.12 to 5.10. 30 ...... 5.73 to 7.01. cation in a test. 40 to 70 ...... 6.27 to 7.64. (2) Torque the jamnut (78051–64) on the neck cable (78051–301, rev. E) to 1.35 (2) The maximum rotation of the ±0.27 Nm (1.0 ±0.2 ft-lb) before each test. midsagittal plane of the head shall be (3) Using neck brackets 78051–303 and 66 to 82 degrees with respect to the pen- –307, mount the head/neck assembly to dulum’s longitudinal centerline. The the part 572 pendulum test fixture (see decaying head rotation vs. time curve § 572.33, Figure 22,) so that the shall cross the zero angle between 58 to midsagittal plane of the head is 67 ms after reaching its peak value. vertical and perpendicular to the plane (3) The moment about the x-axis of motion of the pendulum’s longitu- which coincides with the midsagittal dinal centerline (see § 572.33, Figure 20, plane of the head at the level of the oc- except that the direction of the head/ cipital condyles shall have a maximum neck assembly is rotated around the value between 73 and 88 Nm. The decay- superior-inferior axis by an angle of 90 ing moment vs. time curve shall first degrees). Install suitable transducers cross zero moment between 49 and 64 or other devices necessary for meas- ms after reaching its peak value. The uring the ‘‘D’’ plane (horizontal surface following formula is to be used to cal- at the base of the skull) rotation with culate the moment about the occipital respect to the pendulum’s longitudinal condyles when using the six-axis neck centerline. The rotation can be meas- transducer: ured by placing a transducer at the oc- M = Mx + 0.01778 Fy cipital condyles and another at the intersection of the centerline of the Where Mx and Fy are the moment and force neck and the line extending from the measured by the transducer and expressed base of the neck as shown in figure 52. in terms of Nm and N, respectively. (4) Release the pendulum and allow it (4) The maximum rotation of the to fall freely from a height to achieve head with respect to the pendulum’s an impact velocity of 6.89 to 7.13 m/s longitudinal centerline shall occur be- (22.6 to 23.4 ft/sec) measured at the cen- tween 2 and 16 ms after peak moment. ter of the pendulum accelerometer. [63 FR 41470, Aug. 4, 1998, as amended at 66 (5) Allow the neck to flex without the FR 51882, Oct. 11, 2001] head or neck contacting any object during the test. § 572.114 Thorax. (6) Time zero is defined as the time of The specifications and test procedure initial contact between the striker for the thorax for the SID/HIII dummy plate and the pendulum deceleration are identical to those applicable to the medium. SID dummy as set forth in § 572.42 ex- (7) Allow a period of at least thirty cept that the reference to the SID de- (30) minutes between successive tests vice found in § 572.42(a), (SA-SID-M001A on the same neck assembly. revision A, dated May 18, 1994) does not (b) Performance criteria. (1) The pen- apply and the reference to the SID/HIII dulum deceleration pulse is to be char- (SA-SIDH3-M001, dated April 19, 1997) is acterized in terms of decrease in veloc- applied in its place.

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§ 572.115 Lumbar spine and pelvis. SIDH3-M001, dated April 19, 1997) is applied in its place. The specifications and test procedure for the lumbar spine and pelvis are § 572.116 Instrumentation and test identical to those for the SID dummy conditions. as set forth in § 572.42 except that the (a) The test probe for lateral thoracic reference to the SID device found in and pelvis impact tests are the same as § 572.42(a), (SA-SID-M001A revision A, those specified in § 572.44(a). dated May 18, 1994) does not apply and the reference to the SID/HIII (SA-

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(b) Accelerometer mounting in the (iii) Drawing No. 127–2000, Upper thorax is the same as specified in Torso Assembly, § 572.44(b). (iv) Drawing No. 127–3000, Lower (c) Accelerometer mounting in the Torso Assembly, pelvis is the same as specified in (v) Drawing No. 127–4000–1 and 4000–2, § 572.44(c). Leg Assembly, (d) Head accelerometer mounting is (vi) Drawing No. 127–5000–1 and 5000–2, the same as specified in § 572.36(c). Arm Assembly, and (e) Neck transducer mounting is the (vii) The Hybrid III Six-year-old same as specified in § 572.36(d). Child Parts/Drawing List. (f) Instrumentation and sensors used (2) A procedures manual entitled must conform to SAE Recommended Practice J211, March 1995, ‘‘Instrumen- ‘‘Procedures for Assembly, Dis- tation for Impact Tests.’’ assembly, and Inspection (PADI) of the (g) The mountings for the spine, rib Hybrid III 6-year-old Child Crash Test and pelvis accelerometers shall have no Dummy (H-III6C), Beta Version, June resonance frequency within a range of 3 2002’’; times the frequency range of the appli- (3) SAE Recommended Practice J211– cable channel class. 1995 Instrumentation for Impact (h) Limb joints of the test dummy Tests—Parts 1 and 2, dated March, shall be set at the force between 1 to 2 1995’’; g’s, which just supports the limb’s (4) SAE J1733 Information Report, ti- weight when the limbs are extended tled ‘‘Sign Convention for Vehicle horizontally forward. The force re- Crash Testing’’, dated December 1994. quired to move a limb segment does (b) The Director of the Federal Reg- not exceed 2 g’s throughout the range ister approved those materials incor- of the limb motion. porated by reference in accordance (i) Performance tests must be con- with 5 U.S.C. 552(a) and 1 CFR part 51. ducted at a temperature between 20.6 Copies of the materials may be in- and 22.2 degrees C. (69 to 72 degrees F.) spected at NHTSA’s Technical Ref- and at a relative humidity between 10 erence Library, 400 Seventh Street percent and 70 percent after exposure SW., room 5109, Washington, DC, or at of the dummy to those conditions for a the National Archives and Records Ad- period of at least four (4) hours. ministration (NARA). For information (j) For the performance of tests speci- on the availability of this material at fied in § 572.114 and § 572.115, the dummy is positioned the same as specified in NARA, call 202–741–6030, or go to: http:// § 572.44(h). www.archives.gov/federallregister/ codeloflfederallregulations/ Subpart N—Six-year-old Child Test ibrllocations.html. (c) The incorporated materials are Dummy, Beta Version available as follows: (1) The drawings and specifications SOURCE: 65 FR 2065, Jan. 13, 2000, unless package and the PADI document re- otherwise noted. ferred to in subparagraph (a) are acces- § 572.120 Incorporation by reference. sible for viewing and copying at the Department of Transportation Dock- (a) The following materials are here- et’s public area, Plaza 401, 400 Seventh by incorporated into this subpart by St., SW., Washington, DC 20590, and reference: (1) A drawings and inspection pack- may be downloaded from dms.dot.gov. age entitled ‘‘Parts List and Drawings, They are also available from Hybrid III Six-year-old Child Test Reprographic Technologies, 9107 Dummy (H-III6C, Beta Version) (June Gaither Rd, Gaithersburg, MD 200877, 2002)’’, consisting of: (301) 419–5070. (i) Drawing No. 127–1000, 6-year H3 (2) The SAE materials referred to in Head Complete, paragraphs (a)(3) and (a)(4) of this sec- (ii) Drawing No. 127–1015, Neck As- tion are available from the Society of sembly,

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Automotive Engineers, Inc., 400 Com- accelerometers at the head CG may not monwealth Drive, Warrendale, PA be less than 245 G or more than 300 G. 15096. The resultant acceleration vs. time his- [65 FR 2065, Jan. 13, 2000, as amended at 67 tory curve shall be unimodal; oscilla- FR 47327, July 18, 2002] tions occurring after the main pulse must be less than 10 percent of the § 572.121 General description. peak resultant acceleration. The lat- (a) The Hybrid III type 6-year-old eral acceleration shall not exceed 15 g’s dummy is defined by drawings and (zero to peak). specifications containing the following (c) Head test procedure. The test pro- materials: cedure for the head is as follows: (1) Technical drawings and specifica- (1) Soak the head assembly in a con- tions package P/N 127–0000, the titles of trolled environment at any tempera- which are listed in Table A; ture between 18.9 and 25.6 °C (66 and 78 (2) Procedures for Assembly, Dis- °F) and a relative humidity from 10 to assembly, and Inspection (PADI) of the 70 percent for at least four hours prior Hybrid III 6-year-old test dummy, to a test. Alpha version (August 1999). (2) Prior to the test, clean the impact surface of the skin and the impact TABLE A plate surface with isopropyl alcohol, trichloroethane, or an equivalent. The Drawing Component assembly number skin of the head must be clean and dry for testing. Head assembly ...... 127–1000 (3) Suspend the head assembly as Neck assembly ...... 127–1015 Upper torso assembly ...... 127–2000 shown in Figure N1. The lowest point Lower torso assembly ...... 127–3000 on the forehead must be 376.0 ±1.0 mm Leg assembly ...... 127–4000 (14.8 ±0.04 in) from the impact surface Arm assembly ...... 127–5000 and the head must be oriented to an in- ± (b) Adjacent segments are joined in a cline of 62 1 deg. between the ‘‘D’’ manner such that except for contacts plane as shown in Figure N1 and the existing under static conditions, there plane of the impact surface. The 1.57 is no contact between metallic ele- mm (0.062 in) diameter holes located on ments throughout the range of motion either side of the dummy’s head shall or under simulated crash impact condi- be used to ensure that the head is level tions. with respect to the impact surface. (c) The structural properties of the (4) Drop the head assembly from the dummy are such that the dummy must specified height by means that ensure a conform to this Subpart in every re- smooth, instant release onto a rigidly spect before use in any test similar to supported flat horizontal steel plate those specified in Standard 208, ‘‘Occu- which is 50.8 mm (2 in) thick and 610 pant Crash Protection’’, and Standard mm (24 in) square. The impact surface 213, ‘‘Child Restraint Systems’’. shall be clean, dry and have a micro finish of not less than 203.2. × 10¥6 mm § 572.122 Head assembly and test pro- (8 micro inches) (RMS) and not more cedure. than 2032.0 × 10¥6 mm (80 micro inches) (a) The head assembly for this test (RMS). consists of the complete head (drawing (5) Allow at least 2 hours between 127–1000), a six-axis neck transducer successive tests on the same head. (drawing SA572–S11) or its structural replacement (drawing 78051–383X), a § 572.123 Neck assembly and test pro- head to neck-to-pivot pin (drawing cedure. 78051–339), and 3 accelerometers (draw- (a) The neck assembly for the pur- ing SA572–S4). poses of this test consists of the assem- (b) When the head assembly in para- bly of components shown in drawing graph (a) of this section is dropped 127–1015. from a height of 376.0 ±1.0 mm (14.8 (b) When the head-neck assembly ±0.04 in) in accordance with paragraph consisting of the head (drawing 127– (c) of this section, the peak resultant 1000), neck (drawing 127–1015), pivot pin acceleration at the location of the (drawing 78051–339), bib simulator

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(drawing TE127–1025, neck bracket as- by the neck transducer (drawing sembly (drawing 127–8221), six-axis neck SA572–S11) and 0.017778m is the dis- transducer (drawing SA572–S11), neck tance from force to occipital condyle. mounting adaptor (drawing TE–2208– (3) Time-zero is defined as the time of 001), and three accelerometers (drawing initial contact between the pendulum SA572–S4) installed in the head assem- striker plate and the honeycomb mate- bly as specified in § 572.122, is tested ac- rial. cording to the test procedure in para- (c) Test procedure. The test procedure graph (c) of this section, it shall have for the neck assembly is as follows: the following characteristics: (1) Soak the neck assembly in a con- (1) Flexion. (i) Plane D, referenced in trolled environment at any tempera- Figure N2, shall rotate in the direction ° of preimpact flight with respect to the ture between 20.6 and 22.2 C (69 and 72 ° pendulum’s longitudinal centerline be- F) and a relative humidity between 10 tween 74 degrees and 92 degrees. Within and 70 percent for at least four hours this specified rotation corridor, the prior to a test. peak moment about the occipital (2) Torque the jam nut (drawing condyles shall be not less than 27 N-m 9000341) on the neck cable (drawing 127– (19.9 ft-lbf) and not more than 33 N-m 1016) to 0.23 ±0.02 N-m (2.0 ±0.2 in-lbs). (24.3 ft-lbf). (3) Mount the head-neck assembly, (ii) The positive moment shall decay defined in paragraph (b) of this section, for the first time to 5 N-m (3.7 ft-lbf) on the pendulum so the midsagittal between 103 ms and 123 ms. plane of the head is vertical and coin- (iii) The moment shall be calculated cides with the plane of motion of the by the following formula: Moment (N- pendulum as shown in Figure N2 for m) = My¥(0.01778m) × (FX). flexion tests and Figure N3 for exten- (iv) My is the moment about the y- sion tests. axis and FX is the shear force measured (4) Release the pendulum and allow it by the neck transducer (drawing to fall freely from a height to achieve SA572–S11) and 0.01778m is the distance an impact velocity of 4.95 ±0.12 m/s (16.2 from force to occipital condyle. ±0.4 ft/s) for flexion tests and 4.3 ±0.12 (2) Extension. (i) Plane D, referenced m/s (14.10 ±0.40 ft/s) for extension tests, in Figure N3, shall rotate in the direc- measured by an accelerometer mount- tion of preimpact flight with respect to ed on the pendulum as shown in Figure the pendulum’s longitudinal centerline between 85 degrees and 103 degrees. 22 of 49 CFR 572 at the instant of con- Within this specified rotation corridor, tact with the honey comb. the peak moment about the occipital (i) Time-zero is defined as the time of condyles shall be not more than ¥19 N- initial contact between the pendulum m (¥14 ft-lbf) and not less than ¥24 N- striker plate and the honeycomb mate- m (¥17.7ft-lbf). rial. All data channels should be at the (ii) The negative moment shall decay zero level at this time. for the first time to ¥5 N-m (¥3.7 ft- (ii) Stop the pendulum from the ini- lbf) between 123 ms and 147 ms. tial velocity with an acceleration vs. (iii) The moment shall be calculated time pulse which meets the velocity by the following formula: Moment (N- change as specified below. Integrate m)=My¥(0.01778m)×(FX). the pendulum acceleration data chan- (iv) My is the moment about the y- nel to obtain the velocity vs. time axis and FX is the shear force measured curve: TABLE B

Time Pendulum pulse Flexion Extension ms m/s ft/s m/s ft/s

10 ...... 1.2–1.6 3.9–5.3 1.0–1.4 3.3–4.6 20 ...... 2.4–3.4 7.9–11.2 2.2–3.0 7.2–9.8 30 ...... 3.8–5.0 12.5–16.4 3.2–4.2 10.5–13.8

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§ 572.124 Thorax assembly and test posterior and lateral directions within procedure. ±0.5 degrees. (a) Thorax (upper torso) assembly. The (3) Establish the impact point at the thorax consists of the part of the torso chest midsagittal plane so that the im- assembly shown in drawing 127–2000. pact point of the longitudinal center- (b) When the anterior surface of the line of the probe coincides with the thorax of a completely assembled midsagittal plane of the dummy within dummy (drawing 127–0000) is impacted ±2.5 mm (0.1 in) and is 12.7 ±1.1 mm (0.5 by a test probe conforming to section ±0.04 in) below the horizontal-periph- 572.127(a) at 6.71 ±0.12 m/s (22.0 ±0.4 ft/s) eral centerline of the No. 3 rib and is according to the test procedure in within 0.5 degrees of a horizontal line paragraph (c) of this section: in the dummy’s midsagittal plane. (1) The maximum sternum displace- (4) Impact the thorax with the test ment (compression) relative to the probe so that at the moment of contact spine, measured with chest deflection the probe’s longitudinal center line transducer (drawing SA572-S50), must falls within 2 degrees of a horizontal be not less than 38.0 mm (1.50 in) and line in the dummy’s midsagittal plane. not more than 46.0 mm (1.80 in). Within (5) Guide the test probe during im- this specified compression corridor, the pact so that there is no significant lat- peak force, measured by the probe in eral, vertical or rotational movement. accordance with section 572.127, shall (6) No suspension hardware, suspen- not be less than 1150 N (259 lbf) and not sion cables, or any other attachments more than 1380 N (310 lbf). The peak to the probe, including the velocity force after 12.5 mm (0.5 in) of sternum vane, shall make contact with the displacement but before reaching the dummy during the test. minimum required 38.0 mm (1.5 in) [65 FR 2065, Jan. 13, 2000, as amended at 67 sternum displacement limit shall not FR 47327, July 18, 2002] exceed 1500 N (337.2 lbf). (2) The internal hysteresis of the § 572.125 Upper and lower torso as- ribcage in each impact as determined semblies and torso flexion test pro- by the plot of force vs. deflection in cedure. paragraph (b)(1) of this section shall be (a) Upper/lower torso assembly. The not less than 65 percent but not more test objective is to determine the stiff- than 85 percent. ness effects of the lumbar spine (draw- (c) Test procedure. The test procedure ing 127–3002), including cable (drawing for the thorax assembly is as follows: 127–8095), mounting plate insert (draw- (1) Soak the dummy in a controlled ing 910420–048), nylon shoulder bushing environment at any temperature be- (drawing 9001373), nut (drawing 9001336), tween 20.6° and 22.2 °C (69° and 72 °F) and abdominal insert (drawing 127– and a relative humidity between 10 and 8210), on resistance to articulation be- 70 percent for at least four hours prior tween upper torso assembly (drawing to a test. 127–2000) and lower torso assembly (2) Seat and orient the dummy, wear- (drawing 127–3000). ing tight-fitting underwear or equiva- (b)(1) When the upper torso assembly lent consisting of a size 5 short-sleeved of a seated dummy is subjected to a shirt having a weight less than 0.090 kg force continuously applied at the head (0.2 lb) and an opening at the top just to neck pivot pin level through a rig- large enough to permit the passage of idly attached adaptor bracket as shown the head with a tight fit, and a size 4 in Figure N5 according to the test pro- pair of long pants having a weight of cedure set out in paragraph (c) of this less than 0.090 kg (0.2 lb) with the legs section, the lumbar spine-abdomen as- cut off sufficiently above the knee to sembly shall flex by an amount that allow the knee target to be visible, on permits the upper torso assembly to a seating surface without back support translate in angular motion until the as shown in Figure N4, with the limbs machined rear surface of the instru- extended horizontally and forward, par- ment cavity at the back of the thoracic allel to the midsagittal plane, the spine box is at 45 ±0.5 degrees relative midsagittal plane vertical within ±1 de- to the vertical transverse plane, at gree and the ribs level in the anterior- which time the force applied as shown

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in Figure N5 must be not less than 147 flexion for 10 seconds, and record the N (33 lbf) and not more than 200 N (45 highest applied force during the 10-sec- lbf), and ond period. (2) Upon removal of the force, the (9) Release all force as rapidly as pos- torso assembly must return to within 8 sible, and measure the return angle at degrees of its initial position. 3 minutes or any time thereafter after (c) Test procedure. The test procedure the release. for the torso assemblies is as follows: (1) Soak the dummy in a controlled § 572.126 Knees and knee impact test environment at any temperature be- procedure. tween 18.9 and 25.6 °C (66 and 78 °F) and (a) Knee assembly. The knee assembly a relative humidity between 10 and 70 is part of the leg assembly (drawing percent for at least four hours prior to 127–4000–1 and –2). a test. (b) When the knee assembly, con- (2) Attach the dummy (with or with- sisting of knee machined (drawing 127– out the legs below the femurs) to the 4013), knee flesh (drawing 127–4011), fixture in a seated posture as shown in lower leg (drawing 127–4014), the foot Figure N5. assembly (drawing 127–4030–1(left) and (3) Secure the pelvis at the pelvis in- -2 (right)) and femur load transducer strument cavity rear face by threading (drawing SA572-S10) or its structural four 1⁄4 in cap screws into the available replacement (drawing 127–4007) is test- threaded attachment holes. Tighten ed according to the test procedure in the mountings so that the test mate- section 572.127(c), the peak resistance rial is rigidly affixed to the test fixture force as measured with the test probe and the pelvic-lumbar joining surface mounted accelerometer must be not is horizontal. less than 2.0 kN (450 lbf) and not more (4) Flex the thorax forward three than 3.0 kN (674 lbf). times between vertical and until the (c) Test procedure. The test procedure torso reference plane, as shown in fig- for the knee assembly is as follows: ± ure N5, reaches 30 2 degrees from (1) Soak the knee assembly in a con- vertical. Bring the torso to vertical trolled environment at any tempera- orientation, remove all externally ap- ture between 18.9 and 25.6 °C (66 and 78 plied flexion forces, and wait 30 min- °F) and a relative humidity from 10 to utes before conducting the test. During 70 percent for at least four hours prior the 30-minute waiting period, the dum- to a test. my’s upper torso shall be externally (2) Mount the test material and se- supported at or near its vertical ori- cure it to a rigid test fixture as shown entation to prevent sagging. in Figure N6. No contact is permitted (5) Remove the external support and between any part of the foot or tibia wait two minutes. Measure the initial and any exterior surface. orientation of the torso reference plane (3) Align the test probe so that of the seated, unsupported dummy as throughout its stroke and at contact shown in Figure N5. This initial torso with the knee it is within 2 degrees of orientation angle may not exceed 22 de- horizontal and collinear with the longi- grees. tudinal centerline of the femur. (6) Attach the loading adapter brack- (4) Guide the pendulum so that there et to the spine of the dummy, the pull is no significant lateral vertical or ro- cable, and the load cell as shown in tational movement at time-zero. Figure N5. (5) The test probe velocity at the (7) Apply a tension force in the ± midsagittal plane to the pull cable as time of contact shall be 2.1 0.03 m/s shown in Figure N5 at any upper torso (6.9 # 0.1 ft/s). deflection rate between 0.5 and 1.5 de- (6) No suspension hardware, suspen- grees per second, until the torso ref- sion cables, or any other attachments erence plane is at 45 ±0.5 degrees of to the probe, including the velocity flexion relative to the vertical trans- vane, shall make contact with the verse plane as shown in Figure N5. dummy during testing. (8) Continue to apply a force suffi- [65 FR 2065, Jan. 13, 2000, as amended at 67 cient to maintain 45 ±0.5 degrees of FR 47328, July 18, 2002]

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§ 572.127 Test conditions and instru- The impactor shall have a 76–77 mm mentation. (3.0–3.1 in) diameter cylindrical surface (a) The test probe for thoracic im- extending for a minimum of 12.5 mm pacts, except for attachments, shall be (0.5 in) to the rear from the impact of rigid metal or metal alloy construc- face. The probe’s end opposite to the tion and concentric about its longitu- impact face has provisions for mount- dinal axis. Any attachments to the im- ing an accelerometer with its sensitive pactor, such as suspension hardware, axis collinear with the longitudinal velocity vanes, etc., must meet the re- axis of the probe. The impact probe quirements of § 572.124(c)(6). The impac- shall have a free air resonant frequency tor shall have a mass of 2.86 ±0.02 kg of not less than 1000 Hz limited to the (6.3 ±0.05 lb) and a minimum mass mo- direction of the longitudinal axis of the ment of inertia of 160 kg-c2 (0.141 lb-in- impactor. sec2) in yaw and pitch about the CG of (c) Head accelerometers shall have the probe. One third of the weight of dimensions, response characteristics, suspension cables and any attachments and sensitive mass locations specified to the impact probe must be included in drawing SA572–S4 and be mounted in in the calculation of mass, and such the head as shown in drawing 127–0000 components may not exceed five per- sheet 3. cent of the total weight of the probe. (d) Neck force/moment transducer. (1) The impacting end of the probe, has a The upper neck force/moment trans- flat, continuous, and non-deformable ducer shall have the dimensions, re- ± ± 101.6 0.25 mm (4.00 0.01 in) diameter sponse characteristics, and sensitive face with an edge radius of 7.6/12.7 mm axis locations specified in drawing (0.3/0.5 in). The impactor shall have a SA572–S11 and be mounted in the head- 101–103 mm (4.0–4.1 in) diameter cylin- neck assembly as shown in drawing drical surface extending for a min- 127–0000 sheet 3. imum of 12.5 mm (0.5 in) to the rear (2) The optional lower neck force/mo- from the impact face. The probe’s end ment transducer shall have the dimen- opposite to the impact face has provisions, response characteristics, and sions for mounting an accelerometer sensitive axis locations specified in with its sensitive axis collinear with the longitudinal axis of the probe. The drawing SA572–S26 and be mounted as impact probe shall have a free air reso- shown in drawing 127–0000 sheet 3. nant frequency of not less than 1000 Hz (e) The thorax accelerometers shall limited to the direction of the longitu- have the dimensions, response charac- dinal axis of the impactor. teristics, and sensitive mass locations (b) The test probe for knee impacts, specified in drawing SA572–S4 and be except for attachments, shall be of mounted in the torso assembly in tri- rigid metal or alloy construction and axial configuration at T4, and as op- concentric about its longitudinal axis. tional instrumentation in uniaxial for- Any attachments to the impactor, such and-aft oriented configuration on the as suspension hardware, velocity vanes, most anterior ends of ribs #1 and #6 etc., must meet the requirements of and at the spine box at the levels of #1 § 572.126(c)(6). The impactor shall have and #6 ribs as shown in 127–0000 sheet 3. a mass of 0.82 ±0.02 kg (1.8 ±0.05 lb) and (f) The chest deflection transducer a minimum mass moment of inertia of shall have the dimensions and response 34 kg-cm2 (0.03 lb-in-sec2) in yaw and characteristics specified in drawing pitch about the CG of the probe. One SA572–S50 and be mounted in the upper third of the weight of suspension cables torso assembly as shown in 127–0000 and any attachments to the impact sheet 3. probe must be included in the calcula- (g) The optional lumbar spine force- tion of mass, and such components moment transducer shall have the di- may not exceed five percent of the mensions, response characteristics, and total weight of the probe. The impact- sensitive axis locations specified in ing end of the probe, has a flat, contin- drawing SA572–S12 and be mounted in uous, and non-deformable 76.2 ±0.2 mm the lower torso assembly as shown in (3.00 ±0.01 in) diameter face with an drawing 127–0000 sheet 3 as a replace- edge radius of 7.6/12.7 mm (0.3/0.5 in). ment for lumbar adaptor 127–3005.

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(h) The optional iliac spine force (3) Thorax: transducers shall have the dimensions (i) Rib acceleration—Class 1000; and response characteristics specified (ii) Spine and pendulum accelera- in drawing SA572–S13 and be mounted tions—Class 180; in the torso assembly as shown in (iii) Sternum deflection—Class 600. drawing 127–0000 sheet 3 as a replace- (4) Lumbar: ment for ASIS load cell 127–3015–1 (left) (i) Forces—Class 1000; and ¥2 (right). (ii) Moments—Class 600; (i) The optional pelvis (iii) Flexion—Class 60 if data channel accelerometers shall have the dimen- is used. sions, response characteristics, and (5) Pelvis accelerations—Class 1000. sensitive mass locations specified in (6) Femur forces—Class 600. drawing SA572–S4 and be mounted in (l) Coordinate signs for instrumenta- the torso assembly in triaxial configu- tion polarity shall conform to the Sign ration in the pelvis bone as shown in Convention For Vehicle Crash Testing, drawing 127–0000 sheet 3. Surface Vehicle Information Report, (j) The femur force transducer shall SAE J1733, 1994–12. have the dimensions and response char- (m) The mountings for sensing de- acteristics specified in drawing SA72– vices shall have no resonance fre- S10 and be mounted in the leg assembly quency less than 3 times the frequency as shown in drawing 127–0000 sheet 3. range of the applicable channel class. (k) The outputs of acceleration and (n) Limb joints must be set at one G, force-sensing devices installed in the barely restraining the weight of the dummy and in the test apparatus speci- limb when it is extended horizontally. fied by this part must be recorded in The force needed to move a limb seg- individual data channels that conform ment shall not exceed 2G throughout to SAE Recommended Practice J211, the range of limb motion. Rev. Mar95 ‘‘Instrumentation for (o) Performance tests of the same lmpact Tests,’’ except that the lumbar component, segment, assembly, or measurements are based on CFC 600, fully assembled dummy shall be sepa- with channel classes as follows: rated in time by period of not less than (1) Head acceleration—Class 1000. 30 minutes unless otherwise noted. (2) Neck: (p) Surfaces of dummy components (i) Forces—Class 1000; may not be painted except as specified (ii) Moments—Class 600; in this subpart or in drawings sub- (iii) Pendulum acceleration—Class tended by this subpart. 180; [65 FR 2065, Jan. 13, 2000, as amended at 67 (iv) Rotation—Class 60 (if used). FR 47328, July 18, 2002]

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FIGURES TO SUBPART N OF PART 572

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[65 FR 2065, Jan. 13, 2000, as amended at 67 FR 47329, July 18, 2002; 67 FR 59023, Sept. 19, 2002]

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Subpart O—Hybrid III 5th Per- part O Hybrid III Fifth Percentile centile Female Test Dummy, Adult Female Crash Test Dummy Alpha Version (HIII–5F), Alpha Version’’ (February 2002), incorporated by reference in § 572.132. SOURCE: 65 FR 10968, Mar. 1, 2000, unless otherwise noted. (3) SAE Recommended Practice J211/ 1, Rev. Mar 95 ‘‘Instrumentation for § 572.130 Incorporation by reference. Impact Tests—Part 1—Electronic In- (a) The following materials are here- strumentation’’, incorporated by ref- by incorporated into this Subpart by erence in § 572.137; reference: (4) SAE Recommended Practice J211/ (1) A drawings and specification 2, Rev. Mar 95 ‘‘Instrumentation for package entitled ‘‘Parts List and Draw- Impact Tests—Part 2—Photographic ings, Part 572 Subpart O Hybrid III Instrumentation’’ incorporated by ref- Fifth Percentile Small Adult Female erence in § 572.137; and Crash Test Dummy (HIII–5F, Alpha (5) SAE J1733 of 1994–12 ‘‘Sign Con- Version)’’ (June 2002), incorporated by vention for Vehicle Crash Testing’’, in- reference in ‘‘572.131, and consisting of: corporated by reference in § 572.137. (i) Drawing No. 880105–100X, Head As- (b) The Director of the Federal Reg- sembly, incorporated by reference in §§ 572.131, 572.132, 572.133, 572.134, 572.135, ister approved the materials incor- and 572.137; porated by reference in accordance (ii) Drawing No. 880105–250, Neck As- with 5 U.S.C. 552(a) and 1 CFR part 51. sembly, incorporated by reference in Copies of the materials may be in- §§ 572.131, 572.133, 572.134, 572.135, and spected at NHTSA’s Technical Ref- 572.137; erence Library, 400 Seventh Street (iii) Drawing No. 880105–300, Upper SW., room 5109, Washington, DC, or at Torso Assembly, incorporated by ref- the National Archives and Records Ad- erence in §§ 572.131, 572.134, 572.135, and ministration (NARA). For information 572.137; on the availability of this material at (iv) Drawing No. 880105–450, Lower NARA, call 202–741–6030, or go to: http:// Torso Assembly, incorporated by ref- www.archives.gov/federallregister/ erence in §§ 572.131, 572.134, 572.135, and codeloflfederallregulations/ 572.137; ibrllocations.html. (v) Drawing No. 880105–560–1, Com- (c) The incorporated materials are plete Leg Assembly—left, incorporated available as follows: by reference in §§ 572.131, 572.135, 572.136, and 572.137; (1) The Parts List and Drawings, Part (vi) Drawing No. 880105–560–2, Com- 572 Subpart O Hybrid III Fifth Per- plete Leg Assembly—right incor- centile Small Adult Female Crash Test porated by reference in §§ 572.131, Dummy, (HIII–5F, Alpha Version) 572.135, 572.136, and 572.137; (June 2002), referred to in paragraph (vii) Drawing No. 880105–728–1, Com- (a)(1) of this section and the Proce- plete Arm Assembly—left, incorporated dures for Assembly, Disassembly, and by reference in §§ 572.131, 572.134, and Inspection (PADI) of the Hybrid III 5th 572.135 as part of the complete dummy Percentile Small Adult Female Crash assembly; Test Dummy, Alpha Version, referred (viii) Drawing No. 880105–728–2, Com- to in paragraph (a)(2) of this section plete Arm Assembly—right, incor- are available from Reprographic Tech- porated by reference in §§ 572.131, nologies, 9107 Gaither Road, Gaithers- 572.134, and 572.135 as part of the com- burg, MD 20877, (301) 419–5070. These plete dummy assembly; documents are also accessible for read- (ix) The Hybrid III 5th percentile ing and copying through the DOT small adult female crash test dummy Docket Management System. parts list, incorporated by reference in § 572.131; (2) The SAE materials referred to in (2) A procedures manual entitled paragraphs (a)(3) and (a)(4) of this sec- ‘‘Procedures for Assembly, Dis- tion are available from the Society of assembly, and Inspection (PADI) Sub-

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Automotive Engineers, Inc., 400 Com- (14.8 ±0.04 in) in accordance with sub- monwealth Drive, Warrendale, Pa. section (c) of this section, the peak re- 15096. sultant acceleration at the location of the accelerometers at the head CG may [65 FR 10968, Mar. 1, 2000, as amended at 67 FR 46413, July 15, 2002] not be less than 250 G or more than 300 G. The resultant acceleration vs. time § 572.131 General description. history curve shall be unimodal; oscillations occurring after the main pulse (a) The Hybrid III fifth percentile must be less than 10 percent of the adult female crash test dummy is de- peak resultant acceleration. The lat- fined by drawings and specifications eral acceleration shall not exceed 15 G containing the following materials: (zero to peak). (1) Technical drawings and specifica- (c) The test pro- tions package P/N 880105–000 (refer to Head test procedure. cedure for the head is as follows: § 572.130(a)(1)), the titles of which are (1) Soak the head assembly in a con- listed in Table A; trolled environment at any tempera- (2) Parts List and Drawings, Part 572 ture between 18.9 and 25.6 °C (66 and 78 Subpart O Hybrid III Fifth Percentile °F) and a relative humidity from 10 to Small Adult Female Crash Test 70 percent for at least four hours prior Dummy (HIII–5F, Alpha Version) (June to a test. 2002) (refer to § 572.130(a)(1)(ix)). (2) Prior to the test, clean the impact TABLE A surface of the skin and the impact plate surface with isopropyl alcohol, Component assembly Drawing No. trichloroethane, or an equivalent. The Head Assembly ...... 880105–100X skin of the head must be clean and dry Neck Assembly ...... 880105–250 for testing. Upper Torso Assembly ...... 880105–300 (3) Suspend and orient the head as- Lower Torso Assembly ...... 880105–450 sembly as shown in Figure 19 of 49 CFR Complete Leg Assembly—left ...... 880105–560–1 Complete Leg Assembly—right ...... 880105–560–2 572. The lowest point on the forehead Complete Arm Assembly—left ...... 880105–728–1 must be 376.0 ±1.0 mm (14.8 ±0.04 in) Complete Arm Assembly—right ...... 880105–728–2 from the impact surface. The 1.57 mm (0.062 in) diameter holes located on ei- (b) Adjacent segments are joined in a ther side of the dummy’s head shall be manner such that, except for contacts used to ensure that the head is level existing under static conditions, there with respect to the impact surface. is no contact between metallic ele- (4) Drop the head assembly from the ments throughout the range of motion specified height by means that ensure a or under simulated crash impact condi- smooth, instant release onto a rigidly tions. supported flat horizontal steel plate (c) The structural properties of the which is 50.8 mm (2.0 in) thick and 610 dummy are such that the dummy con- mm (24.0 in) square. The impact surface forms to this Subpart in every respect shall be clean, dry and have a micro before use in any test similar to those finish of not less than 203.2.×10¥6 mm (8 specified in Standard 208, Occupant micro inches) (RMS) and not more than Crash Protection. 2032.0×10¥6 mm (80 micro inches) [65 FR 10968, Mar. 1, 2000, as amended at 67 (RMS). FR 46414, July 15, 2002] (5) Allow at least 2 hours between successive tests on the same head. § 572.132 Head assembly and test procedure. § 572.133 Neck assembly and test pro- (a) The head assembly (refer to cedure. § 572.130(a)(1)(i)) for this test consists of (a) The neck assembly (refer to the complete head (drawing 880105– § 572.130(a)(1)(ii)) for the purposes of 100X), a six-axis neck transducer (draw- this test consists of the assembly of ing SA572–S11) or its structural re- components shown in drawing 880105– placement (drawing 78051–383X), and 3 250. accelerometers (drawing SA572–S4). (b) When the head-neck assembly (b) When the head assembly is consisting of the head (drawing 880105– dropped from a height of 376.0 ±1.0 mm 100X), neck (drawing 880105–250), bib

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simulator (drawing 880105–371), upper (ii) The moment shall be calculated neck adjusting bracket (drawing by the following formula: Moment (N- 880105–207), lower neck adjusting brack- m) = My ¥ (0.01778m)×(Fx). et (drawing 880105–208), six-axis neck (iii) My is the moment about the y- transducer (drawing SA572–S11), and ei- axis, Fx is the shear force measured by ther three accelerometers (drawing the neck transducer (drawing SA572– SA572–S4) or their mass equivalent in- S11), and 0.01778 m is the distance from stalled in the head assembly as speci- force to occipital condyle. fied in drawing 880105–100X, is tested (3) Time-zero is defined as the time of according to the test procedure in sub- initial contact between the pendulum section (c) of this section, it shall have striker plate and the honeycomb mate- the following characteristics: rial. All data channels shall be at the (1) Flexion. (i) Plane D, referenced in zero level at this time. Figure O1, shall rotate in the direction (c) Test Procedure. The test procedure of preimpact flight with respect to the for the neck assembly is as follows: pendulum’s longitudinal centerline be- (1) Soak the neck assembly in a con- tween 77 degrees and 91 degrees. During trolled environment at any tempera- ° the time interval while the rotation is ture between 20.6 and 22.2 C (69 and 72 ° within the specified corridor, the peak F) and a relative humidity between 10 moment, measured by the neck trans- and 70 percent for at least four hours ducer (drawing SA5572–311), about the prior to a test. (2) Torque the jam nut (drawing occipital condyles may not be less than 9000018) on the neck cable (drawing 69 N-m (51 ft-lbf) and not more than 83 880105–206) to 1.4 ±0.2 N-m (12.0 ±2.0 in- N-m (61 ft-lbf). The positive moment lb). shall decay for the first time to 10 N-m (3) Mount the head-neck assembly, (7.4 ft-lbf ) between 80 ms and 100 ms defined in subsection (b) of this sec- after time zero. tion, on the pendulum described in Fig- (ii) The moment shall be calculated ure 22 of 49 CFR 572 so that the by the following formula: Moment (N- midsagittal plane of the head is ¥ × m)= My (0.01778m) (Fx). vertical and coincides with the plane of (iii) My is the moment about the y- motion of the pendulum as shown in axis, Fx is the shear force measured by Figure O1 for flexion tests and Figure the neck transducer (drawing SA572– O2 for extension tests. S11), and 0.01778m is the distance from (4)(i) Release the pendulum and allow force to occipital condyle. it to fall freely from a height to (2) Extension. (i) Plane D, referenced achieve an impact velocity of 7.01 ±0.12 in Figure O2, shall rotate in the direc- m/s (23.0 ±0.4 ft/s) for flexion tests and tion of preimpact flight with respect to 6.07 ±0.12 m/s (19.9 ±0.40 ft/s) for exten- the pendulum’s longitudinal centerline sion tests, measured by an acceler- between 99 degrees and 114 degrees. ometer mounted on the pendulum as During the time interval while the ro- shown in Figure 22 of 49 CFR 572 at the tation is within the specified corridor, instant of contact with the honey the peak moment, measured by the comb. neck transducer (drawing SA5572–S11), (ii) Stop the pendulum from the ini- about the occipital condyles shall be tial velocity with an acceleration vs. not more than ¥53 N-m (¥39 ft-lbf) and time pulse which meets the velocity not less than ¥65 N-m (¥48 ft-lbf). The change as specified below. Integrate negative moment shall decay for the the pendulum acceleration data chan- first time to ¥10 N-m (¥7.4 ft-lbf) be- nel to obtain the velocity vs. time tween 94 ms and 114 ms after time zero. curve:

TABLE B—PENDULUM PULSE

Flexion Extension Time ms m/s ft/s m/s ft/s

10 ...... 2.1–2.5 6.9–8.2 1.5–1.9 4.9–6.2 20 ...... 4.0–5.0 13.1–16.4 3.1–3.9 10.2–12.8 30 ...... 5.8–7.0 19.5–23.0 4.6–5.6 15.1–18.4

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[65 FR 10968, Mar. 1, 2000, as amended at 67 percent for at least four hours prior to FR 46414, July 15, 2002] a test. (3) Seat and orient the dummy on a § 572.134 Thorax assembly and test seating surface without back support procedure. as shown in Figure O3, with the limbs (a) Thorax (Upper Torso) Assembly extended horizontally and forward, par- (refer to § 572.130(a)(1)(iii)). The thorax allel to the midsagittal plane, the consists of the part of the torso assem- midsagittal plane vertical within ±1 de- bly shown in drawing 880105–300. gree and the ribs level in the anterior- (b) When the anterior surface of the posterior and lateral directions within thorax of a completely assembled ±0.5 degrees. dummy (drawing 880105–000) is im- (4) Establish the impact point at the pacted by a test probe conforming to chest midsagittal plane so that the im- section 572.137(a) at 6.71 ±0.12 m/s (22.0 pact point of the longitudinal center- ±0.4 ft/s) according to the test proce- line of the probe coincides with the dure in subsection (c) of this section: midsagittal plane of the dummy within (1) Maximum sternum displacement ±2.5 mm (0.1 in) and is 12.7 ±1.1 mm (0.5 (compression) relative to the spine, ±0.04 in) below the horizontal-periph- measured with chest deflection trans- eral centerline of the No. 3 rib and is ducer (drawing SA572–S5), must be not within 0.5 degrees of a horizontal line less than 50.0 mm (1.97 in) and not more in the dummy’s midsagittal plane. than 58.0 mm (2.30 in). Within this spec- (5) Impact the thorax with the test ified compression corridor, the peak probe so that at the moment of contact force, measured by the impact probe as the probe’s longitudinal center line defined in section 572.137 and cal- falls within 2 degrees of a horizontal culated in accordance with paragraph line in the dummy’s midsagittal plane. (b)(3) of this section, shall not be less (6) Guide the test probe during im- than 3900 N (876 lbf) and not more than pact so that there is no significant lat- 4400 N (989 lbf). The peak force after eral, vertical or rotational movement. 18.0 mm (0.71 in) of sternum displace- (7) No suspension hardware, suspen- ment but before reaching the minimum sion cables, or any other attachments required 50.0 mm (1.97 in) sternum dis- to the probe, including the velocity placement limit shall not exceed 4600 vane, shall make contact with the N. dummy during the test. (2) The internal hysteresis of the [65 FR 10968, Mar. 1, 2000, as amended at 67 ribcage in each impact as determined FR 46415, July 15, 2002] by the plot of force vs. deflection in paragraph (1) of this section shall be § 572.135 Upper and lower torso as- not less than 69 percent but not more semblies and torso flexion test pro- than 85 percent. The hysteresis shall be cedure. calculated by determining the ratio of (a) Upper/lower torso assembly. The the area between the loading and un- test objective is to determine the stiff- loading portions of the force deflection ness effects of the lumbar spine (draw- curve to the area under the loading ing 880105–1096), and abdominal insert portion of the curve. (drawing 880105–434), on resistance to (3) The force shall be calculated by articulation between the upper torso the product of the impactor mass and assembly (drawing 880105–300) and the its deceleration. lower torso assembly (drawing 880105– (c) Test procedure. The test procedure 450) (refer to § 572.130(a)(1)(iv)). for the thorax assembly is as follows: (b)(1) When the upper torso assembly (1) The dummy is clothed in a form of a seated dummy is subjected to a fitting cotton stretch above-the-elbow force continuously applied at the head sleeved shirt and above-the-knee pants. to neck pivot pin level through a rig- The weight of the shirt and pants shall idly attached adaptor bracket as shown not exceed 0.14 kg (0.30 lb) each. in Figure O4 according to the test pro- (2) Soak the dummy in a controlled cedure set out in subsection (c) of this environment at any temperature be- section, the lumbar spine-abdomen as- tween 20.6 and 22.2 °C (69 and 72 °F) and sembly shall flex by an amount that a relative humidity between 10 and 70 permits the upper torso assembly to

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translate in angular motion relative to (8) Attach the pull cable and the load the vertical transverse plane 45 ±0.5 de- cell as shown in Figure O4. grees at which time the force applied (9) Apply a tension force in the must be not less than 320 N (71.5 lbf) midsagittal plane to the pull cable as and not more than 390 N (87.4 lbf), and shown in Figure O4 at any upper torso (2) Upon removal of the force, the deflection rate between 0.5 and 1.5 de- torso assembly must return to within 8 grees per second, until the angle ref- degrees of its initial position. erence plane is at 45 ±0.5 degrees of (c) Test procedure. The test procedure flexion relative to the vertical trans- for the upper/lower torso assembly is as verse plane. follows: (9) Continue to apply a force suffi- (1) Soak the dummy in a controlled cient to maintain 45 ±0.5 degrees of environment at any temperature be- flexion for 10 seconds, and record the tween 18.9 and 25.6 °C (66 and 78 °F) and highest applied force during the 10-sec- a relative humidity between 10 and 70 ond period. percent for at least four hours prior to (10) Release all force at the attach- a test. ment bracket as rapidly as possible, (2) Assemble the complete dummy and measure the return angle with re- (with or without the legs below the fe- spect to the initial angle reference murs) and attach to the fixture in a plane as defined in paragraph (6) 3 min- seated posture as shown in Figure O4. utes after the release. (3) Secure the pelvis to the fixture at the pelvis instrument cavity rear face § 572.136 Knees and knee impact test procedure. by threading four 1⁄4 inch cap screws into the available threaded attachment (a) Knee assembly. The knee assembly holes. Tighten the mountings so that (refer to §§ 572.130(a)(1)(v) and (vi)) for the test material is rigidly affixed to the purpose of this test is the part of the test fixture and the pelvic-lumbar the leg assembly shown in drawing joining surface is horizontal. 880105–560. (4) Attach the loading adapter brack- (b)(1) When the knee assembly, con- et to the spine of the dummy as shown sisting of sliding knee assembly (draw- in Figure O4. ing 880105–528R or –528L), lower leg (5) Inspect and adjust, if necessary, structural replacement (drawing the seating of the abdominal insert 880105–603), lower leg flesh (drawing within the pelvis cavity and with re- 880105–601), ankle assembly (drawing spect to the torso flesh, assuring that 880105–660), foot assembly (drawing the torso flesh provides uniform fit and 880105–651 or 650), and femur load trans- overlap with respect to the outside sur- ducer (drawing SA572–S14) or its struc- face of the pelvis flesh. tural replacement (drawing 78051–319) is (6) Flex the dummy’s upper torso tested according to the test procedure three times between the vertical and in subsection (c), the peak resistance until the torso reference plane, as force as measured with the test probe- shown in Figure O4, reaches 30 degrees mounted accelerometer must be not from the vertical transverse plane. less than 3450 N (776 lbf) and not more Bring the torso to vertical orientation than 4060 N (913 lbf). and wait for 30 minutes before con- (2) The force shall be calculated by ducting the test. During the 30 minute the product of the impactor mass and waiting period, the dummy’s upper its deceleration. torso shall be externally supported at (c) Test procedure. The test procedure or near its vertical orientation to pre- for the knee assembly is as follows: vent it from drooping. (1) Soak the knee assembly in a con- (7) Remove all external support and trolled environment at any tempera- wait two minutes. Measure the initial ture between 18.9 and 25.6 °C (66 and 78 orientation angle of the torso reference °F) and a relative humidity from 10 to plane of the seated, unsupported 70 percent for at least four hours prior dummy as shown in Figure O4. The ini- to a test. tial orientation angle may not exceed (2) Mount the test material and se- 20 degrees. cure it to a rigid test fixture as shown

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in Figure O5. No part of the foot or air resonant frequency of not less than tibia may contact any exterior surface. 1000 Hz, which may be determined (3) Align the test probe so that using the procedure listed in Docket throughout its stroke and at contact No. NHTSA–6714–14. with the knee it is within 2 degrees of (b) The test probe for knee impacts, horizontal and collinear with the longi- except for attachments, shall be of tudinal centerline of the femur. rigid metallic construction and concen- (4) Guide the pendulum so that there tric about its longitudinal axis. Any is no significant lateral vertical or ro- attachments to the impactor, such as tational movement at the time of ini- suspension hardware, impact vanes, tial contact between the impactor and etc., must meet the requirements of the knee. § 572.136(c)(6). The impactor shall have (5) The test probe velocity at the a mass of 2.99±0.23 kg (6.6±0.5 lbs) and a time of contact shall be 2.1 ±0.03 m/s minimum mass moment of inertia of (6.9 ±0.1 ft/s). 209 kg-cm2 (0.177 lb-in-sec2) in yaw and (6) No suspension hardware, suspen- pitch about the CG of the probe. One- sion cables, or any other attachments third (1/3) of the weight of suspension to the probe, including the velocity cables and any attachments to the im- vane, shall make contact with the pact probe may be included in the cal- dummy during the test. culation of mass, and such components [65 FR 10968, Mar. 1, 2000, as amended at 67 may not exceed five percent of the FR 46415, July 15, 2002] total weight of the test probe. The impacting end of the probe, perpendicular § 572.137 Test conditions and instru- to and concentric with the longitudinal mentation. axis of the probe, has a flat, contin- (a) The test probe for thoracic im- uous, and non-deformable 76.2 ±0.2 mm pacts, except for attachments, shall be (3.00 ±0.01 in) diameter face with a min- of rigid metallic construction and con- imum/maximum edge radius of 7.6/12.7 centric about its longitudinal axis. Any mm (0.3/0.5 in). The impactor shall have attachments to the impactor, such as a 76.2–76.4 mm (3.0–3.1 in) diameter cy- suspension hardware, impact vanes, lindrical surface extending for a min- etc., must meet the requirements of imum of 12.5 mm (0.5 in) to the rear § 572.134(c)(7). The impactor shall have from the impact face. The probe’s end a mass of 13.97 ±0.23 kg (30.8 ±0.5 lbs) opposite to the impact face has provi- and a minimum mass moment of iner- sions for mounting an accelerometer tia of 3646 kg-cm2 (3.22 lbs-in-sec2) in with its sensitive axis collinear with yaw and pitch about the CG of the the longitudinal axis of the probe. The probe. One-third (1/3) of the weight of impact probe has a free air resonant suspension cables and any attachments frequency of not less than 1000 Hz, to the impact probe must be included which may be determined using the in the calculation of mass, and such procedure listed in Docket No. NHTSA– components may not exceed five per- 6714–14. cent of the total weight of the test (c) Head accelerometers shall have probe. The impacting end of the probe, dimensions, response characteristics, perpendicular to and concentric with and sensitive mass locations specified the longitudinal axis of the probe, has in drawing SA572–S4 and be mounted in a flat, continuous, and non-deformable the head as shown in drawing 880105–000 152.4 ±0.25 mm (6.00 ±0.01 in) diameter sheet 3 of 6. face with a minimum/maximum edge (d) The upper neck force/moment radius of 7.6/12.7 mm (0.3/0.5 in). The transducer shall have the dimensions, impactor shall have a 152.4–152.6 mm response characteristics, and sensitive (6.0–6.1 in) diameter cylindrical surface axis locations specified in drawing extending for a minimum of 25 mm (1.0 SA572–S11 and be mounted in the head in) to the rear from the impact face. neck assembly as shown in drawing The probe’s end opposite to the impact 880105–000, sheet 3 of 6. face has provisions for mounting of an (e) The thorax accelerometers shall accelerometer with its sensitive axis have the dimensions, response charac- collinear with the longitudinal axis of teristics, and sensitive mass locations the probe. The impact probe has a free specified in drawing SA572–S4 and be

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mounted in the torso assembly in tri- (m) The outputs of acceleration and axial configuration within the spine force-sensing devices installed in the box instrumentation cavity and as op- dummy and in the test apparatus speci- tional instrumentation in uniaxial for- fied by this part shall be recorded in in- and-aft oriented configuration ar- dividual data channels that conform to ranged as corresponding pairs in three SAE Recommended Practice J211/10, locations on the sternum on and at the Rev. Mar95 ‘‘Instrumentation for Im- spine box of the upper torso assembly pact Impact Tests;—Part 1—Electronic as shown in drawing 880105–000 sheet 3 Instrumentation,’’ and SAE Rec- of 6. ommended Practice J211/2, Rev Mar95 (f) The optional lumbar spine force- ‘‘Instrumentation for Impact Tests— moment transducer shall have the di- Part 2—Photographic Instrumenta- mensions, response characteristics, and tion’’, (refer to §§ 572.130(a)(3) and (4) re- sensitive axis locations specified in spectively) except as noted, with chan- drawing SA572–S15 and be mounted in nel classes as follows: the lower torso assembly as shown in (1) Head acceleration—Class 1000 drawing 880105–450. (2) Neck: (g) The optional iliac spine force (i) Forces—Class 1000 transducers shall have the dimensions (ii) Moments—Class 600 and response characteristics specified (iii) Pendulum acceleration—Class in drawing SA572–S16 and be mounted 180 in the torso assembly as shown in (iv) Rotation potentiometer—Class 60 drawing 880105–450. (optional) (h) The pelvis accelerometers shall (3) Thorax: have the dimensions, response charac- (i) Rib acceleration—Class 1000 teristics, and sensitive mass locations (ii) Spine and pendulum accelera- specified in drawing SA572–S4 and be tions—Class 180 mounted in the torso assembly in tri- (iii) Sternum deflection—Class 600 axial configuration in the pelvis bone (iv) Forces—Class 1000 as shown in drawing 880105–000 sheet 3. (v) Moments—Class 600 (i) The single axis femur force transducer (SA572–S14) or the optional mul- (4) Lumbar: tiple axis femur force/moment trans- (i) Forces—Class 1000 ducer (SA572–S29) shall have the di- (ii) Moments—Class 600 mensions, response characteristics, and (iii) Torso flexion pulling force— sensitive axis locations specified in the Class 60 if data channel is used appropriate drawing and be mounted in (5) Pelvis: the femur assembly as shown in draw- (i) Accelerations—Class 1000 ing 880105–500 sheet 3 of 6. (ii) Iliac wing forces—Class 180 (j) The chest deflection transducer (6) Femur forces and knee pen- shall have the dimensions and response dulum—Class 600 characteristics specified in drawing (n) Coordinate signs for instrumenta- SA572–S51 and be mounted to the upper tion polarity shall conform to the Sign torso assembly as shown in drawings Convention For Vehicle Crash Testing, 880105–300 and 880105–000 sheet 3 of 6. Surface Vehicle Information Report, (k) The optional lower neck force/mo- SAE J1733, 1994–12 (refer to section ment transducer shall have the dimen- 572.130(a)(4)). sions, response characteristics, and (o) The mountings for sensing devices sensitive axis locations specified in shall have no resonance frequency less drawing SA572–S27 and be mounted to than 3 times the frequency range of the the upper torso assembly as shown in applicable channel class. drawing 880105–000 sheet 3 of 6. (p) Limb joints must be set at one G, (l) The optional thoracic spine force/ barely restraining the weight of the moment transducer shall have the di- limb when it is extended horizontally. mensions, response characteristics, and The force needed to move a limb seg- sensitive axis locations specified in ment shall not exceed 2G throughout drawing SA572–S28 and be mounted in the range of limb motion. the upper torso assembly as shown in (q) Performance tests of the same drawing 880105–000 sheet 3 of 6. component, segment, assembly, or

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fully assembled dummy shall be sepa- in this subpart or in drawings sub- rated in time by not less than 30 min- tended by this subpart. utes unless otherwise noted. [65 FR 10968, Mar. 1, 2000, as amended at 67 (r) Surfaces of dummy components FR 46415, July 15, 2002; 74 FR 29894, June 23, may not be painted except as specified 2009]

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FIGURES TO SUBPART O OF PART 572

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[65 FR 10968, Mar. 1, 2000, as amended at 67 FR 46415, July 15, 2002]

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Subpart P—3-year-Old Child with 5 U.S.C. 552(a) and 1 CFR Part 51. Crash Test Dummy, Alpha Version Copies of the materials may be inspected at NHTSA’s Docket Section, 400 Seventh Street SW, room 5109, SOURCE: 65 FR 15262, Mar. 22, 2000, unless otherwise noted. Washington, DC, or at the National Ar- chives and Records Administration § 572.140 Incorporation by reference. (NARA). For information on the availability of this material at NARA, call (a) The following materials are here- 202–741–6030, or go to: http:// by incorporated in this subpart P by reference: www.archives.gov/federallregister/ (1) A drawings and specifications codeloflfederallregulations/ package entitled, ‘‘Parts List and ibrllocations.html. Drawings, Subpart P Hybrid III 3-year- (b) The incorporated materials are old child crash test dummy, (H-III3C, available as follows: Alpha version) September 2001,’’ incor- (1) The drawings and specifications porated by reference in § 572.141 and package referred to in paragraph (a)(1) consisting of: of this section and the PADI document (i) Drawing No. 210–1000, Head Assem- referred to in paragraph (a)(2) of this bly, incorporated by reference in section are accessible for viewing and §§ 572.141, 572.142, 572.144, 572.145, and copying at the Department of Trans- 572.146; portation’s Docket public area, Plaza (ii) Drawing No. 210–2001, Neck As- 401, 400 Seventh St., SW., Washington, sembly, incorporated by reference in DC 20590, and downloadable at §§ 572.141, 572.143, 572.144, 572.145, and dms.dot.gov. They are also available 572.146; from Reprographic Technologies, 9107 (iii) Drawing No. TE–208–000, Gaither Rd., Gaithersburg, MD 20877, Headform, incorporated by reference in (301) 419–5070. §§ 572.141, and 572.143; (2) The SAE materials referred to in (iv) Drawing No. 210–3000, Upper/ paragraphs (a)(3) and (a)(4) of this sec- Lower Torso Assembly, incorporated tion are available from the Society of by reference in §§ 572.141, 572.144, 572.145, Automotive Engineers, Inc., 400 Com- and 572.146; monwealth Drive, Warrendale, PA (v) Drawing No. 210–5000–1(L), –2(R), 15096. Leg Assembly, incorporated by ref- [65 FR 15262, Mar. 22, 2000, as amended at 66 erence in §§ 572.141, 572.144, 572.145 as FR 64376, Dec. 13, 2001] part of a complete dummy assembly; (vi) Drawing No. 210–6000–1(L), –2(R), § 572.141 General description. Arm Assembly, incorporated by reference in §§ 572.141, 572.144, and 572.145 (a) The Hybrid III 3-year-old child as part of the complete dummy assem- dummy is described by the following bly; materials: (2) A procedures manual entitled (1) Technical drawings and specifica- ‘‘Procedures for Assembly, Dis- tions package 210–0000 (refer to assembly and Inspection (PADI), Sub- § 572.140(a)(1)), the titles of which are part P, Hybird III 3-year-old Child listed in Table A of this section; Crash Test Dummy, (H-III3C, Alpha (2) Procedures for Assembly, Dis- Version) September 2001,’’ incorporated assembly and Inspection document by reference in § 572.141; (PADI) (refer to § 572.140(a)(2)). (3) SAE Recommended Practice J211/ (b) The dummy is made up of the 1, Rev. Mar 95 ‘‘Instrumentation for component assemblies set out in the Impact Tests—Part 1-Electronic In- following Table A of this section: strumentation’’, incorporated by reference in § 572.146; TABLE A (4) SAE J1733 1994–12 ‘‘Sign Conven- Component assembly Drawing No. tion for Vehicle Crash Testing’’ incorporated by reference in § 572.146. Head Assembly ...... 210–1000 (5) The Director of the Federal Reg- Neck Assembly (complete) ...... 210–2001 Upper/Lower Torso Assembly ...... 210–3000 ister approved those materials incor- Leg Assembly ...... 210–5000–1(L), porated by reference in accordance –2(R)

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TABLE A—Continued (2) Prior to the test, clean the impact surface of the head skin and the steel Component assembly Drawing No. impact plate surface with isopropyl al- Arm Assembly ...... 210–6000–1(L), cohol, trichlorethane, or an equivalent. –2(R) Both impact surfaces must be clean and dry for testing. (c) Adjacent segments are joined in a (3) Suspend the head assembly with manner such that except for contacts its midsagittal plane in vertical ori- existing under static conditions, there entation as shown in Figure P1 of this is no contact between metallic ele- subpart. The lowest point on the fore- ments throughout the range of motion head is 376.0 ±1.0 mm (14.76 ±0.04 in) or under simulated crash impact condi- from the steel impact surface. The 3.3 tions. mm (0.13 in) diameter holes, located on (d) The structural properties of the either side of the dummy’s head in dummy are such that the dummy con- transverse alignment with the CG, forms to this part in every respect only before use in any test similar to those shall be used to ensure that the head specified in Standard 208, Occupant transverse plane is level with respect Crash Protection, and Standard 213, to the impact surface. Child Restraint Systems. (4) Drop the head assembly from the specified height by a means that en- § 572.142 Head assembly and test pro- sures a smooth, instant release onto a cedure. rigidly supported flat horizontal steel (a) The head assembly (refer to plate which is 50.8 mm (2 in) thick and § 572.140(a)(1)(i)) for this test consists of 610 mm (24 in) square. The impact sur- the head (drawing 210–1000), adapter face shall be clean, dry and have a fin- plate (drawing ATD 6259), acceler- ish of not less than 203.2×10¥6 mm (8 ometer mounting block (drawing SA micro inches) (RMS) and not more than ¥6 572–S80), structural replacement of 1⁄2 2032.0×10 mm (80 micro inches) mass of the neck load transducer (RMS). (drawing TE–107–001), head mounting (5) Allow at least 2 hours between washer (drawing ATD 6262), one 1⁄2–20×1″ successive tests on the same head. flat head cap screw (FHCS) (drawing 9000150), and 3 accelerometers (drawing § 572.143 Neck-headform assembly and SA–572–S4). test procedure. (b) When the head assembly in para- (a) The neck and headform assembly graph (a) of this section is dropped (refer to §§ 572.140(a)(1)(ii) and from a height of 376.0±1.0 mm (14.8±0.04 572.140(a)(1)(iii)) for the purposes of this in) in accordance with paragraph (c) of test, as shown in Figures P2 and P3 of this section, the peak resultant accel- this subpart, consists of the neck mold- eration at the location of the ed assembly (drawing 210–2015), neck accelerometers at the head CG shall cable (drawing 210–2040), nylon shoulder not be less than 250 g or more than 280 bushing (drawing 9001373), upper mount g. The resultant acceleration versus plate insert (drawing 910420–048), bib time history curve shall be unimodal, simulator (drawing TE–208–050), ure- and the oscillations occurring after the thane washer (drawing 210–2050), neck main pulse shall be less than 10 percent mounting plate (drawing TE–250–021), of the peak resultant acceleration. The two jam nuts (drawing 9001336), load- lateral acceleration shall not exceed moment transducer (drawing SA 572– ±15 G (zero to peak). S19), and headform (drawing TE–208– (c) Head test procedure. The test pro- 000). cedure for the head is as follows: (b) When the neck and headform as- (1) Soak the head assembly in a controlled environment at any tempera- sembly, as defined in § 572.143(a), is ture between 18.9 and 25.6 °C (66 and 78 tested according to the test procedure °F) and at any relative humidity be- in paragraph (c) of this section, it shall tween 10 and 70 percent for at least have the following characteristics: four hours prior to a test. (1) Flexion.

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(i) Plane D, referenced in Figure P2 midity between 10 and 70 percent for at of this subpart, shall rotate in the di- least four hours prior to a test. rection of preimpact flight with re- (2) Torque the jam nut (drawing spect to the pendulum’s longitudinal 9001336) on the neck cable (drawing 210– centerline between 70 degrees and 82 2040) between 0.2 N-m and 0.3 N-m. degrees. Within this specified rotation (3) Mount the neck-headform assem- corridor, the peak moment about the bly, defined in paragraph (a) of this occipital condyle may not be less than section, on the pendulum so the 42 N-m and not more than 53 N-m. midsagittal plane of the headform is (ii) The positive moment shall decay vertical and coincides with the plane of for the first time to 10 N-m between 60 motion of the pendulum as shown in ms and 80 ms after time zero. Figure P2 of this subpart for flexion (iii) The moment and rotation data and Figure P3 of this subpart for exten- channels are defined to be zero when sion tests. the longitudinal centerline of the neck (4) Release the pendulum and allow it and pendulum are parallel. to fall freely to achieve an impact velocity of 5.50 ±0.10 m/s (18.05 + 0.40 ft/s) (2) Extension. for flexion and 3.65 ±0.1 m/s (11.98 ±0.40 (i) Plane D referenced in Figure P3 of ft/s) for extension tests, measured by this subpart shall rotate in the direc- an accelerometer mounted on the pen- tion of preimpact flight with respect to dulum as shown in Figure 22 of this the pendulum’s longitudinal centerline part 572 at time zero. between 83 degrees and 93 degrees. (i) The test shall be conducted with- Within this specified rotation corridor, out inducing any torsion twisting of the peak moment about the occipital the neck. ¥ condyle may be not more than 43.7 N- (ii) Stop the pendulum from the ini- ¥ m and not less than 53.3 N-m. tial velocity with an acceleration vs. (ii) The negative moment shall decay time pulse which meets the velocity for the first time to ¥10 N-m between change as specified in Table B of this 60 and 80 ms after time zero. section. Integrate the pendulum accel- (iii) The moment and rotation data eration data channel to obtain the ve- channels are defined to be zero when locity vs. time curve as indicated in the longitudinal centerline of the neck Table B of this section. and pendulum are parallel. (iii) Time-zero is defined as the time (c) Test procedure. (1) Soak the neck of initial contact between the pen- assembly in a controlled environment dulum striker plate and the honeycomb at any temperature between 20.6 and material. The pendulum data channel 22.2 °C (69 and 72 F) and a relative hu- shall be zero at this time.

TABLE B—PENDULUM PULSE

Time Flexion Time Extension ms m/s ft/s ms m/s ft/s

10 ...... 2.0–2.7 6.6–8.9 6 1.0–1.4 3.3–4.6 15 ...... 3.0–4.0 9.8–13.1 10 1.9–2.5 6.2–8.2 20 ...... 4.0–5.1 13.1–16.7 14 2.8–3.5 9.2–11.5

§ 572.144 Thorax assembly and test § 572.146(a) at 6.0 ±0.1 m/s (19.7 ±0.3 ft/s) procedure. according to the test procedure in paragraph (c) of this section. (a) Thorax (upper torso) assembly (refer to § 572.140(a)(1)(iv)). The thorax con- (1) Maximum sternum displacement (compression) relative to the spine, sists of the upper part of the torso as- measured with the chest deflection sembly shown in drawing 210–3000. transducer (SA–572–S50), must not be (b) When the anterior surface of the less than 32mm (1.3 in) and not more thorax of a completely assembled than 38mm (1.5 in). Within this speci- dummy (drawing 210–0000) is impacted fied compression corridor, the peak by a test probe conforming to force, measured by the probe-mounted

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accelerometer as defined in § 572.146(a) within 2 degrees of a horizontal line in and calculated in accordance with the dummy’s midsagittal plane. paragraph (b)(3) of this section, shall be (6) Guide the test probe during im- not less than 680 N and not more than pact so that there is no significant lat- 810 N. The peak force after 12.5 mm of eral, vertical or rotational movement. sternum compression but before reach- (7) No suspension hardware, suspen- ing the minimum required 32.0 mm sion cables, or any other attachments sternum compression shall not exceed to the probe, including the velocity 910 N. vane, shall make contact with the (2) The internal hysteresis of the dummy during the test. ribcage in each impact, as determined [65 FR 15262, Mar. 22, 2000, as amended at 66 from the force vs. deflection curve, FR 64376, Dec. 13, 2001] shall be not less than 65 percent and not more than 85 percent. The § 572.145 Upper and lower torso as- hysteresis shall be calculated by deter- semblies and torso flexion test pro- mining the ratio of the area between cedure. the loading and unloading portions of (a) The test objective is to determine the force deflection curve to the area the resistance of the lumbar spine and under the loading portion of the curve. abdomen of a fully assembled dummy (3) The force shall be calculated by (drawing 210–0000) to flexion articula- the product of the impactor mass and tion between upper and lower halves of its deceleration. the torso assembly (refer to (c) Test procedure. The test procedure § 572.140(a)(1)(iv)). for the thorax assembly is as follows: (b)(1) When the upper half of the torso assembly of a seated dummy is (1) The test dummy is clothed in cot- subjected to a force continuously ap- ton-polyester-based tight-fitting shirt plied at the occipital condyle level with long sleeves and ankle-length through the rigidly attached adaptor pants whose combined weight is not bracket in accordance with the test more than 0.25 kg (0.55 lbs). procedure set out in paragraph (c) of (2) Soak the dummy in a controlled this section, the lumbar spine-abdomen environment at any temperature be- assembly shall flex by an amount that ° ° tween 20.6 and 22.2 C (69 and 72 F) and permits the upper half of the torso, as at any relative humidity between 10 measured at the posterior surface of and 70 percent for at least four hours the torso reference plane shown in Fig- prior to a test. ure P5 of this subpart, to translate in (3) Seat and orient the dummy on a angular motion in the midsagittal seating surface without back support plane 45 ±0.5 degrees relative to the as shown in Figure P4, with the lower vertical transverse plane, at which limbs extended horizontally and for- time the pulling force applied must not ward, the upper arms parallel to the be less than 130 N (28.8 lbf) and not torso and the lower arms extended more than 180 N (41.2 lbf), and horizontally and forward, parallel to (2) Upon removal of the force, the the midsagittal plane, the midsagittal upper torso assembly returns to within plane being vertical within ±1 degree 10 degrees of its initial position. and the ribs level in the anterior-pos- (c) Test procedure. The test procedure terior and lateral directions within ±0.5 is as follows: degrees. (1) Soak the dummy in a controlled (4) Establish the impact point at the environment at any temperature be- chest midsagittal plane so that the im- tween 18.9° and 25.6 °C (66 and 78 °F) and pact point of the longitudinal center- at any relative humidity between 10 line of the probe coincides with the and 70 percent for at least 4 hours prior dummy’s mid-sagittal plane and is cen- to a test. tered on the center of No. 2 rib within (2) Assemble the complete dummy ±2.5 mm (0.1 in.) and 0.5 degrees of a (with or without the lower legs) and horizontal plane. seat it on a rigid flat-surface table, as (5) Impact the thorax with the test shown in Figure P5 of this subpart. probe so that at the moment of contact (i) Unzip the torso jacket and remove the probe’s longitudinal center line is the four 1⁄4–20×3⁄4″ bolts which attach

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the lumbar load transducer or its (7) [Reserved] structural replacement to the pelvis (8) Release all force at the loading weldment (drawing 210–4510) as shown adaptor bracket as rapidly as possible in Figure P5 of this subpart. and measure the return angle with re- (ii) Position the matching end of the spect to the initial angle reference rigid pelvis attachment fixture around plane as defined in paragraph (c)(4) of the lumbar spine and align it over the this section 3 to 4 minutes after the re- four bolt holes. lease. (iii) Secure the fixture to the dummy with the four 1⁄4–20×3⁄4″ bolts and attach § 572.146 Test conditions and instru- the fixture to the table. Tighten the mentation. mountings so that the pelvis-lumbar (a) The test probe for thoracic im- joining surface is horizontal within ±1 pacts, except for attachments, shall be deg and the buttocks and upper legs of of rigid metallic construction and con- the seated dummy are in contact with centric about its longitudinal axis. Any the test surface. attachments to the impactor such as (iv) Attach the loading adapter suspension hardware, and impact bracket to the upper part of the torso vanes, must meet the requirements of as shown in Figure P5 of this subpart § 572.144(c)(7) of this part. The impactor and zip up the torso jacket. shall have a mass of 1.70 ±0.02 kg (3.75 (v) Point the upper arms vertically ±0.05 lb) and a minimum mass moment downward and the lower arms forward. of inertia 164 kg-cm2 (0.145 lb-in-sec2) in (3)(i) Flex the thorax forward three yaw and pitch about the CG of the times from vertical until the torso ref- probe. One-third (1⁄3) of the weight of erence plane reaches 30 ±2 degrees from suspension cables and any attachments vertical. The torso reference plane, as to the impact probe must be included shown in figure P5 of this subpart, is in the calculation of mass, and such defined by the transverse plane tangent components may not exceed five per- to the posterior surface of the upper cent of the total weight of the test backplate of the spine box weldment probe. The impacting end of the probe, (drawing 210–8020). perpendicular to and concentric with (ii) Remove all externally applied the longitudinal axis of the probe, has flexion forces and support the upper a flat, continuous, and non-deformable torso half in a vertical orientation for 50.8 ±0.25 mm (2.00 ±0.01 inch) diameter 30 minutes to prevent it from drooping. face with an edge radius of 7.6/12.7 mm (4) Remove the external support and (0.3/0.5 in). The impactor shall have a after two minutes measure the initial 53.3 mm (2.1 in) dia. cylindrical surface orientation angle of the upper torso extending for a minimum of 25.4 mm reference plane of the seated, unsup- (1.0 in) to the rear from the impact ported dummy as shown in Figure P5 of face. The probe’s end opposite to the this subpart. The initial orientation of impact face has provisions for mount- the torso reference plane may not ex- ing an accelerometer with its sensitive ceed 15 degrees. axis collinear with the longitudinal (5) Attach the pull cable at the point axis of the probe. The impact probe has of load application on the adaptor a free air resonant frequency not less bracket while maintaining the initial than 1000 Hz limited to the direction of torso orientation. Apply a pulling force the longitudinal axis of the impactor. in the midsagittal plane, as shown in (b) Head accelerometers shall have Figure P5 of this subpart, at any upper the dimensions, response characteris- torso flexion rate between 0.5 and 1.5 tics, and sensitive mass locations spec- degrees per second, until the torso ref- ified in drawing SA 572–S4 and be erence plane reaches 45 ±0.5 degrees of mounted in the head as shown in draw- flexion relative to the vertical trans- ing 210–0000. verse plane. (c) The neck force-moment trans- (6) Continue to apply a force suffi- ducer shall have the dimensions, re- cient to maintain 45 ±0.5 degrees of sponse characteristics, and sensitive flexion for 10 seconds, and record the axis locations specified in drawing SA highest applied force during the 10-sec- 572–S19 and be mounted at the upper ond period. neck transducer location as shown in

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drawing 210–0000. A lower neck trans- (j) The anterior-superior iliac spine ducer as specified in drawing SA 572– transducers may be mounted in the S19 is allowed to be mounted as op- torso assembly as shown in drawing tional instrumentation in place of part 210–0000 as optional instrumentation in No. ATD6204, as shown in drawing 210– place of part No. 210–4540–1, –2. If used, 0000. the transducers shall have the dimen- (d) The shoulder force transducers sions and response characteristics spec- shall have the dimensions and response ified in drawing SA–572–S17. characteristics specified in drawing SA (k) The pelvis accelerometers may be 572–S21 and be allowed to be mounted mounted in the pelvis in triaxial con- as optional instrumentation in place of figuration as shown in drawing 210–0000 part No. 210–3800 in the torso assembly as optional instrumentation. If used, as shown in drawing 210–0000. the accelerometers shall have the di- (e) The thorax accelerometers shall mensions and response characteristics have the dimensions, response charac- specified in drawing SA–572–S4. teristics, and sensitive mass locations (l) The outputs of acceleration and specified in drawing SA 572–S4 and be force-sensing devices installed in the mounted in the torso assembly in tri- dummy and in the test apparatus speci- axial configuration at the T4 location, fied by this part shall be recorded in in- as shown in drawing 210–0000. Triaxial dividual data channels that conform to accelerometers may be mounted as op- the requirements of SAE Rec- tional instrumentation at T1, and T12, ommended Practice J211/1, Rev. Mar 95 and in uniaxial configuration on the ‘‘Instrumentation for Impact Tests— sternum at the midpoint level of ribs Part 1-Electronic Instrumentation’’ No. 1 and No. 3 and on the spine coin- (refer to § 572.140(a)(3)), with channel ciding with the midpoint level of No. 3 classes as follows: rib, as shown in drawing 210–0000. If (1) Head acceleration—Class 1000 used, the accelerometers must conform (2) Neck to SA–572–S4. (i) Force—Class 1000 (f) The chest deflection potentiom- (ii) Moments—Class 600 eter shall have the dimensions and re- (iii) Pendulum acceleration—Class sponse characteristics specified in 180 drawing SA–572–S50 and be mounted in (iv) Rotation potentiometer response the torso assembly as shown drawing (if used)—CFC 60. 210–0000. (3) Thorax: (g) The lumbar spine force/moment (i) Rib/sternum acceleration—Class transducer may be mounted in the 1000 torso assembly as shown in drawing (ii) Spine and pendulum accelera- 210–0000 as optional instrumentation in tions—Class 180 place of part No. 210–4150. If used, the (iii) Sternum deflection—Class 600 transducer shall have the dimensions (iv) Shoulder force—Class 180 and response characteristics specified (4) Lumbar: in drawing SA–572–S20. (i) Forces—Class 1000 (h) The pubic force transducer may (ii) Moments—Class 600 be mounted in the torso assembly as (iii) Torso flexion pulling force— shown in drawing 210–0000 as optional Class 60 if data channel is used instrumentation in place of part No. (5) Pelvis 921–0022–036. If used, the transducer (i) Accelerations—Class 1000 shall have the dimensions and response (ii) Acetabulum, pubic symphysis— characteristics specified in drawing Class 1000, SA–572–S18. (iii) Iliac wing forces—Class 180 (i) The acetabulum force transducers (m) Coordinate signs for instrumen- may be mounted in the torso assembly tation polarity shall conform to the as shown in drawing 210–0000 as op- Sign Convention For Vehicle Crash tional instrumentation in place of part Testing, Surface Vehicle Information No. 210–4522. If used, the transducer Report, SAE J1733, 1994–12 (refer to shall have the dimensions and response § 572.140(a)(4)). characteristics specified in drawing (n) The mountings for sensing devices SA–572–S22. shall have no resonance frequency less

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than 3 times the frequency range of the fully assembled dummy shall be sepa- applicable channel class. rated in time by a period of not less (o) Limb joints shall be set at lG, than 30 minutes unless otherwise barely restraining the weight of the noted. limbs when they are extended hori- (q) Surfaces of dummy components zontally. The force required to move a are not painted except as specified in limb segment shall not exceed 2G this part or in drawings subtended by throughout the range of limb motion. this part. (p) Performance tests of the same component, segment, assembly, or

FIGURES TO SUBPART P OF PART 572

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[65 FR 15262, Mar. 22, 2000, as amended at 66 FR 64376, Dec. 13, 2001]

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Subpart R—CRABI 12-Month-Old (NARA). For information on the avail- Infant, Alpha Version ability of this material at NARA, call 202–741–6030, or go to: http:// www.archives.gov/federallregister/ SOURCE: 65 FR 17188, Mar. 31, 2000, unless otherwise noted. codeloflfederallregulations/ ibrllocations.html. § 572.150 Incorporation by reference. (c) The incorporated materials are (a) The following materials are incor- available as follows: porated by reference in this subpart R. (1) The drawings and specifications (1) A drawings and specifications package referred to in paragraph (a)(1) package entitled ‘‘Parts List and Draw- of this section and the procedures man- ings, Subpart R, CRABI 12-Month-Old ual referred to in paragraph (a)(2) of Infant Crash Test Dummy (CRABI–12, this section are available from Alpha version) August 2001’’ and con- Reprographic Technologies, 9000 Vir- sisting of: ginia Manor Road, Beltsville, MD 20705 (i) Drawing No. 921022–001, Head As- (301) 419–5070. sembly, incorporated by reference in (2) The SAE materials referred to §§ 572.151, 572.152, 572.154, and 572.155; paragraphs (a)(3) and (a)(4) of this sec- (ii) Drawing No. 921022–041, Neck As- tion are available from the Society of sembly, incorporated by reference in Automotive Engineers, Inc., 400 Com- §§ 572.151, 572.153, 572.154, and 572.155; monwealth Drive, Warrendale, PA (iii) Drawing No. TE–3200–160, 15096. Headform, incorporated by reference in [65 FR 17188, Mar. 31, 2000, as amended at 66 §§ 572.151 and 572.153; FR 45784, Aug. 30, 2001] (iv) Drawing No. 921022–060, Torso As- sembly, incorporated by reference in § 572.151 General description. §§ 572.151, 572.154, and 572.155; (a) The 12-month-old-infant crash (v) Drawing No. 921022–055, Leg As- test dummy is described by drawings sembly, incorporated by reference in §§ 572.151, and 572.155 as part of a com- and specifications containing the fol- plete dummy assembly; lowing materials: (vi) Drawing No. 921022–054, Arm As- (1) Technical drawings and specifica- sembly, incorporated by reference in tions package 921022–000 (refer to §§ 572.151, and 572.155 as part of the com- § 572.150(a)(1)), the titles of which are plete dummy assembly; listed in Table A of this section; (2) A procedures manual entitled (2) Procedures for Assembly, Dis- ‘‘Procedures for Assembly, Dis- assembly and Inspection document assembly and Inspection (PADI) Sub- (PADI) (refer to § 572.150(a)(2)). part R, CRABI 12-Month-Old Infant (b) The dummy consists of the com- Crash Test Dummy (CRABI–12, Alpha ponent assemblies set out in the fol- version) August 2001’’ incorporated by lowing Table A: reference in § 572.155; (3) SAE Recommended Practice J211/ TABLE A 1, Rev. Mar95 ‘‘Instrumentation for Im- Component assembly Drawing number pact Tests—Part 1—Electronic Instru- mentation’’, incorporated by reference Head Assembly ...... 921022–001. Neck Assembly (complete) .... 921022–041. in § 572.155; Torso Assembly ...... 921022–060. (4) SAE J1733 1994–12 ‘‘Sign Conven- Leg Assembly ...... 921022–055 R&L. tion for Vehicle Crash Testing’’, incor- Arm Assembly ...... 921022–054 R&L. porated by reference in § 572.155. (b) The Director of the Federal Reg- (c) Adjacent segments of the dummy ister approved those materials incor- are joined in a manner such that, ex- porated by reference in accordance cept for contacts existing under static with 5 U.S.C. 552(a) and 1 CFR Part 51. conditions, there is no contact between Copies of the materials may be in- metallic elements throughout the spected at NHTSA’s Docket Section, range of motion or under simulated 400 Seventh Street S.W., room 5109, crash impact conditions. Washington, DC, or at the National Ar- (d) The structural properties of the chives and Records Administration dummy are such that the dummy shall

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conform to this Subpart in every re- midsagittal plane in vertical orienta- spect before its use in any test under tion as shown in Figure R1 of this sub- this chapter. part. The lowest point on the forehead is 376.0 ±1.0 mm (14.8 ±0.04 in) from the § 572.152 Head assembly and test pro- impact surface. The 3.30 mm (0.13 in) cedure. diameter holes located on either side of (a) The head assembly (refer to the dummy’s head are used to ensure § 572.150(a)(1)(i)) for this test consists of that the head is level with respect to the assembly (drawing 921022–001), tri- the impact surface. The angle between axial mount block (SA572–80), and 3 the lower surface plane of the neck accelerometers (drawing SA572–S4). transducer mass simulator (drawing (b) Frontal and rear impact. (1) Fron- 910420–003) and the plane of the impact tal impact. When the head assembly in surface is 45 ±1 degrees. paragraph (a) of this section is dropped (ii) For a rear impact test, suspend from a height of 376.0 ±1.0 mm (14.8 the head assembly with its midsagittal ±0.04 in) in accordance with paragraph plane in vertical orientation as shown (c)(3)(i) of this section, the peak result- in Figure R2 of this subpart. The low- ant acceleration measured at the head est point on the back of the head is CG shall not be less than 100 g or more 376.0 ±1.0 mm (14.8 ±0.04 in) from the im- than 120 g. The resultant acceleration pact surface. The 3.30 mm (0.13 in) di- vs. time history curve shall be ameter holes located on either side of unimodal, and the oscillations occur- the dummy’s head are used to ensure ring after the main pulse shall be less that the head is level with respect to than 17 percent of the peak resultant the impact surface. The angle between acceleration. The lateral acceleration the lower surface plane of the neck shall not exceed ±15 g’s. transducer structural replacement (2) Rear impact. When the head assem- (drawing 910420–003) and the impact bly in paragraph (a) of this section is surface is 90 ±1 degrees. dropped from a height of 376.0 ±1.0 mm (4) Drop the head assembly from the (14.8 ±0.04 in) in accordance with para- specified height by a means that en- graph (c)(3)(ii) of this section, the peak sures a smooth, instant release onto a resultant acceleration measured at the rigidly supported flat horizontal steel head CG shall be not less than 55 g and plate which is 50.8 mm (2 in) thick and not more than 71 g. The resultant ac- 610 mm (24 in) square. The impact sur- celeration vs. time history curve shall face shall be clean, dry and have a be unimodal, and the oscillations oc- micro finish of not less than 203.2 × 10¥6 curring after the main pulse shall be mm (8 micro inches) (RMS) and not less than 17 percent of the peak result- more than 2032.0 × 10¥6 mm (80 micro ant acceleration. The lateral accelera- inches) (RMS). tion shall not exceed ±15 g’s. (5) Allow at least 2 hours between (c) Head test procedure. The test pro- successive tests of the head assembly cedure for the head is as follows: at the same impact point. For head im- (1) Soak the head assembly in a con- pacts on the opposite side of the head, trolled environment at any tempera- the 30-minute waiting period specified ture between 18.9 and 25.6 °C (66 and 78 in § 572.155(m) does not apply. °F) and at any relative humidity between 10 and 70 percent for at least § 572.153 Neck-headform assembly and four hours prior to a test. These tem- test procedure. perature and humidity levels shall be (a) The neck and headform assembly maintained throughout the entire test- (refer to §§ 572.150(a)(1)(ii) and ing period specified in this section. 572.150(a)(1)(iii)) for the purposes of this (2) Before the test, clean the impact test consists of parts shown in CRABI surface of the head skin and the steel neck test assembly (drawing TE–3200– impact plate surface with isopropyl al- 100); cohol, trichlorethane, or an equivalent. (b) When the neck and headform as- Both impact surfaces shall be clean and sembly, as defined in § 572.153(a), is dry for testing. tested according to the test procedure (3)(i) For a frontal impact test, sus- in § 572.153(c), it shall have the fol- pend the head assembly with its lowing characteristics:

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(1) Flexion. (i) Plane D referenced in the distance from the point at which Figure R3 of this subpart shall rotate the load cell measures the force to the in the direction of pre-impact flight occipital condyle. with respect to the pendulum’s longitu- (c) Test procedure. (1) Soak the neck dinal centerline not less than 75 de- assembly in a controlled environment grees and not more than 86 degrees. at any temperature between 20.6 and Within this specified rotation corridor, 22.2 °C (69 and 72 °F) and at any relative the peak positive moment about the humidity between 10 and 70 percent for occipital condyles shall be not less at least four hours prior to a test. than 36 N-m (26.6 ft-lbf) and not more These temperature and humidity levels than 45 N-m (33.2 ft-lbf). shall be maintained throughout the (ii) The positive moment about the testing period specified in this section. occipital condyles shall decay for the (2) Torque the jam nut (drawing first time to 5 N-m (3.7 ft-lbf) between 9001336) on the neck cable (drawing 60 ms and 80 ms after time zero. ATD–6206) to 0.2 to 0.3 Nm (2–3 in-lbf). (iii) The moment about the occipital (3) Mount the neck-headform assem- condyles shall be calculated by the fol- bly, defined in paragraph (b) of this lowing formula: Moment (N-m) = My ¥ section, on the pendulum so the (0.005842m) × (Fx), where My is the mo- midsagittal plane of the headform is ment about the y-axis, Fx is the shear vertical and coincides with the plane of force measured by the neck transducer motion of the pendulum as shown in (drawing SA572 –S23) and 0.005842m is Figure R3 for flexion and Figure R4 for the distance from the point at which extension tests. the load cell measures the force to the (i) The moment and rotation data occipital condyle. channels are defined to be zero when (2) Extension. (i) Plane D referenced the longitudinal centerline of the neck in Figure R4 of this subpart shall ro- and pendulum are parallel. tate in the direction of preimpact (ii) The test shall be conducted with- flight with respect to the pendulum’s out inducing any torsion of the neck. longitudinal centerline not less than 80 (4) Release the pendulum and allow it degrees and not more than 92 degrees. to fall freely to achieve an impact ve- Within the specified rotation corridor, locity of 5.2 ±0.1 m/s (17.1 ±0.3 ft/s) for the peak negative moment about the flexion and 2.5 ±0.1 m/s (8.2 ±0.3 ft/s) for occipital condyles shall be not more extension measured at the center of than ¥12 Nm (¥8.9 ft-lbf) and not less the pendulum accelerometer at the in- than ¥23 N-m (¥17.0 ft-lbf) within the stant of contact with the honeycomb. minimum and maximum rotation in- (i) Time-zero is defined as the time of terval. initial contact between the pendulum (ii) The negative moment about the striker plate and the honeycomb mate- occipital condyles shall decay for the rial. The pendulum data channel shall first time to ¥5 Nm (¥3.7 lbf-ft) be- be defined to be zero at this time. tween 76 ms and 90 ms after time zero. (ii) Stop the pendulum from the ini- (iii) The moment about the occipital tial velocity with an acceleration vs. condyles shall be calculated by the fol- time pulse which meets the velocity lowing formula: Moment (N-m) = My ¥ change as specified in the following (0.005842m) × (Fx), where My is the mo- table. Integrate the pendulum accel- ment about the y-axis, Fx is the shear eration data channel to obtain the ve- force measured by the neck transducer locity vs. time curve as indicated in (drawing SA572 –S23) and 0.005842m is Table B:

TABLE B—PENDULUM PULSE

Time Flexion Time Extension m/s m/s ft/s ms m/s ft/s

10 ...... 1.6 –2.3 5.2 –7.5 6 ...... 0.8 –1.2 2.6 –3.9 20 ...... 3.4 –4.2 11.2 –13.8 10 ...... 1.5 –2.1 4.9 –6.9 25 ...... 4.3 –5.2 14.1 –17.1 14 ...... 2.2 –2.9 7.2 –9.5

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§ 572.154 Thorax assembly and test (6) Guide the test probe during im- procedure. pact so that there is no significant lateral, vertical or rotational movement. (a) Thorax Assembly (refer to (7) No suspension hardware, suspen- § 572.150(a)(1)(iv)) . The thorax consists sion cables, or any other attachments of the part of the torso assembly shown to the probe, including the velocity in drawing 921022–060. vane, shall make contact with the (b) When the thorax of a completely dummy during the test. assembled dummy (drawing 921022–000) is impacted by a test probe conforming [65 FR 17188, Mar. 31, 2000, as amended at 66 to § 572.155(a) at 5.0 ±0.1m/s (16.5 ±0.3 ft/ FR 45784, Aug. 30, 2001] s) according to the test procedure in § 572.155 Test conditions and instru- paragraph (c) of this section, the peak mentation. force, measured by the impact probe in accordance with paragraph § 572.155(a), (a) The test probe for thoracic im- shall be not less than 1514 N (340.7 lbf) pacts, except for attachments, shall be and not more than 1796 N (404.1 lbf). of rigid metallic construction and concentric about its longitudinal axis. Any (c) Test procedure. (1) Soak the attachments to the impactor, such as dummy in a controlled environment at suspension hardware, impact vanes, any temperature between 20.6 and 22.2 ° ° etc., must meet the requirements of C (69 and 72 F) and at any relative hu- § 572.154(c)(7). The impactor shall have midity between 10 and 70 percent for at a mass of 2.86 ±0.02 kg (6.3 ±0.05 lbs) and least four hours prior to a test. These a minimum mass moment of inertia of temperature and humidity levels shall 164 kg-cm2 (0.145 lb-in-sec2) in yaw and be maintained throughout the entire pitch about the CG of the probe. One- testing period specified in this section. third of the weight of suspension cables (2) The test dummy is clothed in a and any attachments to the impact cotton-polyester based tight fitting probe must be included in the calcula- sweat shirt with long sleeves and ankle tion of mass, and such components long pants whose combined weight is may not exceed five percent of the not more than 0.25 kg (.55 lbs). total weight of the test probe. The im- (3) Seat and orient the dummy on a pacting end of the probe, perpendicular level seating surface without back sup- to and concentric with the longitudinal port as shown in Figure R5 of this sub- axis of the probe, has a flat, contin- part, with the lower limbs extended uous, and non-deformable 101.6 ±0.25 forward, parallel to the midsagittal mm (4.00 ±0.01 in) diameter face with an plane and the arms 0 to 5 degrees for- edge radius of 7.6/12.7 mm (0.3/0.5 in). ward of vertical. The dummy’s The impactor shall have a 101–103 mm midsagittal plane is vertical within ±/1 (4–4.1 in) diameter cylindrical surface degree and the posterior surface of the extending for a minimum of 12.5 mm upper spine box is aligned at 90 ±/1 de- (0.5 in) to the rear from the impact grees from the horizontal. (Shim mate- face. The probe’s end opposite to the rial may be used under the upper legs impact face has provisions for mount- to maintain the dummy’s specified ing an accelerometer with its sensitive spine box surface alignment). axis collinear with the longitudinal (4) Establish the impact point at the axis of the probe. The impact probe chest midsagittal plane so that the im- shall have a free air resonant frequency pact point of the longitudinal center- of not less than 1000 Hz measured in line of the probe coincides with the line with the longitudinal axis of the dummy’s midsagittal plane, is centered impactor, using the test method shown on the torso 196 ±/2.5 mm (7.7 ±/0.1 in) in the Procedures for Assembly, Dis- vertically from the plane of the seating assembly and Inspection (PADI) docu- surface, and is within 0.5 degrees of a ment referenced in § 572.151. horizontal plane. (b) Head accelerometers shall have (5) Impact the thorax with the test the dimensions, response characteris- probe so that at the moment of contact tics, and sensitive mass locations spec- the probe’s longitudinal center line ified in drawing SA572–S4 and be falls within 2 degrees of a horizontal mounted in the head as shown in draw- line in the dummy’s midsagittal plane. ing 921022–000.

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(c) The neck force-moment trans- ‘‘Instrumentation for Impact Tests— ducer shall have the dimensions, re- Part 1—Electronic Instrumentation’’ sponse characteristics, and sensitive (refer to § 572.150(a)(3)), with channel axis locations specified in drawing classes as follows: SA572–S23 and shall be mounted for (1) Head and headform acceleration— testing as shown in drawing 921022–000 Class 1000. and in figures R3 and R4 of this sub- (2) Neck : part. (i) Forces—Class 1000; (d) The shoulder force transducers (ii) Moments—Class 600; shall have the dimensions and response (iii) Pendulum acceleration—Class characteristics specified in drawing 180; SA572–S25 and are allowed to be (iv) Rotation potentiometer response mounted as optional instrumentation (if used)—CFC 60. in place of part No. 921022–022 in the (3) Thorax: torso assembly as shown in drawing 921022–000. (i) Spine and pendulum accelera- (e) The thorax accelerometers shall tions—Class 180; have the dimensions, response charac- (ii) Shoulder forces—Class 600; teristics, and sensitive mass locations (4) Lumbar: specified in drawing SA572–S4 and be (i) Forces—Class 1000; mounted in the torso assembly in tri- (ii) Moments—Class 600; axial configuration as shown in draw- (5) Pelvis: ing 921022–000. (i) Accelerations—Class 1000; (f) The lumbar spine and lower neck (ii) Pubic—Class 1000. force/moment transducer shall have (j) Coordinate signs for instrumenta- the dimensions and response character- tion polarity shall conform to SAE istics specified in drawing SA572–S23 J1733, 1994–12, ‘‘Sign Convention For and are allowed to be mounted as op- Vehicle Crash Testing, Surface Vehicle tional instrumentation in the torso as- Information Report,’’ (refer to sembly in place of part No. 910420–003 § 572.150(a)(4)). as shown in drawing 921022–000. (k) The mountings for sensing de- (g) The pelvis accelerometers shall vices shall have no resonance fre- have the dimensions, response charac- quency within a range of 3 times the teristics, and sensitive mass locations frequency range of the applicable chan- specified in drawing SA572–S4 and are nel class. allowed to be mounted as optional in- (l) Limb joints shall be set at l g, strumentation in the pelvis in triaxial barely restraining the weight of the configuration as shown in drawing limb when it is extended horizontally. 921022–000. The force required to move a limb seg- (h) The pubic force transducer shall ment shall not exceed 2 g throughout have the dimensions and response char- the range of limb motion. acteristics specified in drawing SA572– (m) Performance tests of the same S24 and is allowed to be mounted as op- component, segment, assembly, or tional instrumentation in place of part fully assembled dummy shall be sepa- No. 921022–050 in the torso assembly as rated in time by period of not less than shown in drawing 921022–000. 30 minutes unless otherwise noted. (i) The outputs of acceleration and force-sensing devices installed in the (n) Surfaces of dummy components dummy and in the test apparatus speci- may not be painted except as specified fied by this part are recorded in indi- in this subpart or in drawings ref- vidual data channels that conform to erenced in § 572.150. the requirements of SAE Rec- [65 FR 17188, Mar. 31, 2000, as amended at 66 ommended Practice J211/1, Rev. Mar95 FR 45784, Aug. 30, 2001]

FIGURES TO SUBPART R OF PART 572

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Subpart S—Hybrid III Six-Year-Old www.archives.gov/federallregister/ Weighted Child Test Dummy codeloflfederallregulations/ ibrllocations.html. (b) The incorporated materials are SOURCE: 69 FR 42602, July 16, 2004, unless available as follows: otherwise noted. (1) The Drawings and Specifications § 572.160 Incorporation by reference. for the Hybrid III Six-Year-Old Weight- ed Child Test Dummy referred to in (a) The following materials are here- paragraph (a)(1) of this section are by incorporated into this subpart S by available in electronic format through reference: the NHTSA docket center and in paper (1) A drawings and specifications format from Leet-Melbrook, Division package entitled ‘‘Parts List and Draw- of New RT, 18810 Woodfield Road, Gai- ings, Part 572 Subpart S, Hybrid III Weighted Six-Year Old Child Test thersburg, MD 20879, (301) 670–0090. (2) [Reserved] Dummy (H-III6CW, Alpha Version) April 13, 2004’’, incorporated by ref- [69 FR 42602, July 16, 2004, as amended at 70 erence in § 572.161 and consisting of: FR 77338, Dec. 30, 2005] (i) Drawing No. 167–0000, Complete Assembly, incorporated by reference in § 572.161 General description. § 572.161; (a) The Hybrid III Six-Year-Old (ii) Drawing No. 167–2000, Upper Torso Weighted Child Test Dummy is defined Assembly, incorporated by reference in by drawings and specifications con- §§ 572.161, 572.164, and 572.165 as part of a taining the following materials: complete dummy assembly; (1) ‘‘Parts List and Drawings, Part (iii) Drawing No. 167–2020 Revision A, 572 Subpart S, Hybrid III Weighted Six- dated December 8, 2005, Spine Box Year Old Child Test Dummy (H-III6CW, Weight, incorporated by reference in Alpha Version) April 13, 2004’’ (incor- §§ 572.161 and 572.165 as part of a com- porated by reference, see § 572.160), plete dummy assembly; (2) The head, neck, arm, and leg as- (iv) Drawing No. 167–3000, Lower semblies specified in 49 CFR 572 sub- Torso Assembly, incorporated by ref- part N; and erence in §§ 572.161, and 572.165 as part (3) ‘‘Procedures for Assembly, Dis- of a complete dummy assembly; assembly, and Inspection (PADI) of the (v) Drawing No. 167–3010 Revision A, Hybrid III Six-Year-Old Weighted Child dated December 8, 2005, Lumbar Weight Test Dummy, April 2004’’ (incorporated Base, incorporated by reference in by reference, see § 572.160). §§ 572.161 and 572.165 as part of a complete dummy assembly; and TABLE A (vi) The Hybrid III Weighted Six- 1 Year-Old Child Parts/Drawing List, in- Component assembly Drawing No. corporated by reference in § 572.161. Complete assembly ...... 167–0000. (2) A procedures manual entitled Upper torso assembly ...... 167–2000. Spine box weight ...... 167–2020 Rev. ‘‘Procedures for Assembly, Dis- A. assembly, and Inspection (PADI) of the Lower torso assembly ...... 167–3000. Hybrid III Six-Year-Old Weighted Child Lumbar weight base ...... 167–3010 Rev. Test Dummy (H-III6CW), April 2004,’’ A. incorporated by reference in § 572.161; 1 Head, neck, arm, and leg assemblies are as specified in (3) The Director of the Federal Reg- 49 CFR 572 subpart N. ister approved those materials incor- (b) Adjacent segments are joined in a porated by reference in accordance manner such that except for contacts with 5 U.S.C. 552(a) and 1 CFR part 51. existing under static conditions, there Copies of the materials may be in- is no contact between metallic ele- spected at NHTSA’s Technical Ref- ments throughout the range of motion erence Library, 400 Seventh Street, or under simulated crash impact condi- SW., room 5109, Washington, DC, or at tions. the National Archives and Records Ad- (c) The structural properties of the ministration (NARA). For information dummy are such that the dummy must on the availability of this material at conform to Subpart S in every respect NARA, call 202–741–6030, or go to: http:// and Subpart N as applicable, before use

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in any test similar to those specified in § 572.165 Upper and lower torso as- Standard 208, ‘‘Occupant Crash Protec- semblies and torso flexion test pro- tion’’ (49 CFR 571.208), and Standard cedure. 213, ‘‘Child Restraint Systems’’ (49 CFR (a) Upper/lower torso assembly. The 571.213). test objective is to determine the stiff- [69 FR 42602, July 16, 2004, as amended at 70 ness effects of the lumbar spine (speci- FR 77338, Dec. 30, 2005] fied in 49 CFR 572.125(a)), including cable (specified in 49 CFR 572.125(a)), § 572.162 Head assembly and test pro- mounting plate insert (specified in 49 cedure. CFR 572.125(a)), nylon shoulder bushing The head assembly is assembled and (specified in 49 CFR 572.125(a)), nut tested as specified in 49 CFR 572.122 (specified in 49 CFR 572.125(a)), spine (Subpart N). box weighting plates (drawing 167–2020 § 572.163 Neck assembly and test pro- Revision A), lumbar base weight (draw- cedure. ing 167–3010 Revision A), and abdominal insert (specified in 49 CFR 572.125(a)), The neck assembly is assembled and on resistance to articulation between tested as specified in 49 CFR 572.123 the upper torso assembly (drawing 167– (Subpart N). 2000) and the lower torso assembly § 572.164 Thorax assembly and test (drawing 167–3000). Drawing Nos. 167– procedure. 2000, 167–2020 Revision A, 167–3000, and (a) Thorax (upper torso) assembly. The 167–3010 Revision A, are incorporated thorax consists of the part of the torso by reference, see § 572.160. assembly shown in drawing 167–2000 (in- (b)(1) When the upper torso assembly corporated by reference, see § 572.160). of a seated dummy is subjected to a (b) When the anterior surface of the force continuously applied at the head thorax of a completely assembled to neck pivot pin level through a rig- dummy (drawing 167–2000) that is seat- idly attached adaptor bracket as shown ed as shown in Figure S1 is impacted in Figure S2 according to the test pro- by a test probe conforming to 49 CFR cedure set out in 49 CFR 572.125(c), the 572.127(a) at 6.71 ±0.12 m/s (22.0 ±0.4 ft/s) lumbar spine-abdomen assembly must according to the test procedure speci- flex by an amount that permits the fied in 49 CFR 572.124(c): upper torso assembly to translate in (1) The maximum sternum displace- angular motion until the machined ment relative to the spine, measured surface of the instrument cavity at the with chest deflection transducer (speci- back of the thoracic spine box is at 45 fied in 49 CFR 572.124(b)(1)), must be ± 0.5 degrees relative to the transverse not less than 38.0 mm (1.50 in) and not plane, at which time the force applied more than 46.0 mm (1.80 in). Within as shown in Figure S2 must be within this specified compression corridor, the 88.6 N ± 25 N (20.0 lbf ± 5.6 lbf), and peak force, measured by the probe in (2) Upon removal of the force, the accordance with 49 CFR 572.127, must torso assembly must return to within 9 be not less than 1205 N (270.9 lbf) and degrees of its initial position. not more than 1435 N (322.6 lbf). The (c) Test procedure. The upper and peak force after 12.5 mm (0.5 in) of ster- lower torso assemblies are tested as num displacement, but before reaching specified in 49 CFR 572.125(c), except the minimum required 38.0 mm (1.46 in) that in paragraph (c)(5) of that section, sternum displacement limit, must not the initial torso orientation angle may exceed an upper limit of 1500 N. not exceed 32 degrees. (2) The internal hysteresis of the ribcage in each impact as determined [69 FR 42602, July 16, 2004, as amended at 70 by the plot of force vs. deflection in FR 77338, Dec. 30, 2005] paragraph (b)(1) of this section must be not less than 65 percent but not more § 572.166 Knees and knee impact test than 85 percent. procedure. (c) Test procedure. The thorax assem- The knee assembly is assembled and bly is tested as specified in 49 CFR tested as specified in 49 CFR 572.126 572.124(c). (Subpart N).

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§ 572.167 Test conditions and instrumentation. The test conditions and instrumentation are as specified in 49 CFR 572.127 (Subpart N).

FIGURES TO SUBPART S OF PART 572

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Subpart T [Reserved] (4) Society of Automotive Engineers (SAE) Recommended Practice J211, Subpart U, ES–2re Side Impact Rev. Mar 95 ‘‘Instrumentation for Im- Crash Test Dummy, 50th Per- pact Tests—Part 1—Electronic Instru- centile Adult Male mentation’’; and, (5) SAE J1733 of 1994–12 ‘‘Sign Con- vention for Vehicle Crash Testing.’’ SOURCE: 71 FR 75331, Dec. 14, 2006, unless (b) The Director of the Federal Reg- otherwise noted. ister approved the materials incor- § 572.180 Incorporated materials. porated by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. (a) The following materials are here- Copies of the materials may be in- by incorporated into this Subpart by spected at the Department of Transpor- reference: tation, Docket Operations, Room W12– (1) A parts/drawing list entitled, 140, 1200 New Jersey Avenue, SE., ‘‘Parts/Drawings List, Part 572 Subpart U, Eurosid 2 with Rib Extensions Washington, DC 20590, telephone (202) (ES2re), February 2008,’’ 366–9826, and at the National Archives (2) A drawings and inspection pack- and Records Administration (NARA), age entitled ‘‘Parts List and Drawings, and in electronic format through Regu- Part 572 Subpart U, Eurosid 2 with Rib lations.gov. For information on the Extensions (ES–2re, Alpha Version), availability and inspection of this ma- February 2008,’’ consisting of: terial at NARA, call 202–741–6030, or go (i) Drawing No. 175–0000 ES–2re to: http://www.archives.gov/ Dummy Assembly; federallregister/ (ii) Drawing No. 175–1000 Head Assem- codeloflfederallregulations/ bly; ibrllocations.html. For information on (iii) Drawing No. 175–2000, Neck As- the availability and inspection of this sembly Test/Cert; material at Regulations.gov, call 1–877– (iv) Drawing No. 175–3000, Shoulder 378–5457, or go to: http:// Assembly; www.regulations.gov. (v) Drawing No. 175–3500, Arm Assem- (c) The incorporated materials are bly, Left; available as follows: (vi) Drawing No. 175–3800, Arm As- (1) The Parts/Drawings List, Part 572 sembly, Right; Subpart U, Eurosid 2 with Rib Exten- (vii) Drawing No. 175–4000, Thorax As- sions (ES2re), February 2008, referred sembly with Rib Extensions; to in paragraph (a)(1) of this section, (viii) Drawing No. 175–5000, Abdom- the Parts List and Drawings, Part 572 inal Assembly; Subpart U, Eurosid 2 with Rib Exten- (ix) Drawing No. 175–5500 Lumbar sions (ES–2re, Alpha Version), Feb- Spine Assembly; ruary 2008, referred to in paragraph (x) Drawing No. 175–6000 Pelvis As- (a)(2) of this section, and the PADI doc- sembly; ument referred to in paragraph (a)(3) of (xi) Drawing No. 175–7000–1, Leg As- this section, are available in electronic sembly—left; format through Regulations.gov and in (xii) Drawing No. 175–7000–2, Leg As- paper format from Leet-Melbrook, Di- sembly—right; vision of New RT, 18810 Woodfield (xiii) Drawing No. 175–8000, Neoprene Road, Gaithersburg, MD 20879, tele- Body Suit; and, phone (301) 670–0090. (xiv) Drawing No. 175–9000, Headform (2) The SAE materials referred to in Assembly; paragraphs (a)(4) and (a)(5) of this sec- (3) A procedures manual entitled tion are available from the Society of ‘‘Procedures for Assembly, Dis- Automotive Engineers, Inc., 400 Com- assembly and Inspection (PADI) of the monwealth Drive, Warrendale, PA EuroSID–2re 50th Percentile Adult 15096, telephone 1–877–606–7323. Male Side Impact Crash Test Dummy, February 2008,’’ incorporated by ref- [71 FR 75331, Dec. 14, 2006, as amended at 73 erence in §§ 572.180(a)(2), and 572.181(a); FR 33920, June 16, 2008]

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§ 572.181 General description. (d) Adjacent segments are joined in a manner such that, except for contacts (a) The ES–2re Side Impact Crash existing under static conditions, there Test Dummy, 50th Percentile Adult is no additional contact between me- Male, is defined by: tallic elements of adjacent body seg- (1) The drawings and specifications ments throughout the range of motion. contained in the ‘‘Parts List and Draw- (e) The structural properties of the ings, Part 572 Subpart U, Eurosid 2 dummy are such that the dummy con- with Rib Extensions (ES–2re, Alpha forms to this Subpart in every respect Version), February 2008,’’ incorporated before use in any test similar to those by reference in § 572.180, which includes in Standard No. 214, Side Impact Pro- the technical drawings and specifica- tection and Standard No. 201, Occupant tions described in Drawing 175–0000, the Protection in Interior Impact. titles of which are listed in Table A; [71 FR 75331, Dec. 14, 2006, as amended at 73 TABLE A FR 33921, June 16, 2008] Drawing num- § 572.182 Head assembly. Component assembly ber (a) The head assembly consists of the Head Assembly ...... 175–1000 head (drawing 175–1000), including the Neck Assembly Test/Cert ...... 175–2000 Neck Bracket Including Lifting Eyebolt ...... 175–2500 neck upper transducer structural re- Shoulder Assembly ...... 175–3000 placement, and a set of three (3) Arm Assembly-Left ...... 175–3500 accelerometers in conformance with Arm Assembly-Right ...... 175–3800 Thorax Assembly with Rib Extensions ...... 175–4000 specifications in § 572.189(b) and mount- Abdominal Assembly ...... 175–5000 ed as shown in drawing (175–0000 sheet Lumbar Spine Assembly ...... 175–5500 1 of 6). When tested to the test proce- Pelvis Assembly ...... 175–6000 dure specified in paragraph (b) of this Leg Assembly, Left ...... 175–7000–1 Leg Assembly, Right ...... 175–7000–2 section, the head assembly shall meet Neoprene Body Suit ...... 175–8000 performance requirements specified in paragraph (c) of this section. (2) ‘‘Parts/Drawings List, Part 572 (b) Test procedure. The head shall be Subpart U, Eurosid 2 with Rib Exten- tested per procedure specified in 49 sions (ES2re), February 2008,’’ con- CFR § 572.112(a). taining 8 pages, incorporated by ref- (c) Performance criteria. (1) When the erence in § 572.180, head assembly is dropped in accordance (3) A listing of available transducers- with § 572.112 (a), the measured peak re- crash test sensors for the ES–2re Crash sultant acceleration shall be between Test Dummy is shown in drawing 175– 125 g’s and 155 g’s; 0000 sheet 4 of 6, dated February 2008, (2) The resultant acceleration-time incorporated by reference in § 572.180, curve shall be unimodal to the extent (4) Procedures for Assembly, Dis- that oscillations occurring after the assembly and Inspection (PADI) of the main acceleration pulse shall not ex- ES–2re Side Impact Crash Test ceed 15% (zero to peak) of the main Dummy, February 2008, incorporated pulse; by reference in § 572.180, (3) The fore-and-aft component of the (5) Sign convention for signal outputs head acceleration shall not exceed 15 reference document SAE J1733 Infor- g’s. mation Report, titled ‘‘Sign Conven- tion for Vehicle Crash Testing’’ dated § 572.183 Neck assembly. December 1994, incorporated by ref- (a) The neck assembly consists of erence in § 572.180. parts shown in drawing 175–2000. For (b) Exterior dimensions of ES–2re purposes of this test, the neck is test dummy are shown in drawing 175– mounted within the headform assembly 0000 sheet 3 of 6, dated February 2008. 175–9000 as shown in Figure U1 in ap- (c) Weights of body segments (head, pendix A to this subpart. When sub- neck, upper and lower torso, arms and jected to tests procedures specified in upper and lower segments) and the cen- paragraph (b) of this section, the neck- ter of gravity location of the head are headform assembly shall meet perform- shown in drawing 175–0000 sheet 2 of 6, ance requirements specified in para- dated February 2008. graph (c) of this section.

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(b) Test procedure. (1) Soak the neck- angle with respect to the pendulum headform assembly in a test environ- shall be measured with potentiometers ment as specified in § 572.189(n); specified in § 572.189(c), installed as (2) Attach the neck-headform assem- shown in drawing 175–9000, and cal- bly to the Part 572 subpart E pendulum culated per procedure specified in Fig- test fixture as shown in Figure U2–A in ure U2–B in appendix A to this subpart; appendix A to this subpart, so that the (3) The decaying headform rotation midsagittal plane of the neck-headform vs. time curve shall cross the zero assembly is vertical and perpendicular angle with respect to its initial posi- to the plane of motion of the pendulum tion at time of impact relative to the longitudinal centerline shown in Fig- pendulum centerline between 53 ms to ure U2–A. Torque the half-spherical 88 ms after the time the peak trans- screws (175–2004) located at either end lation-rotation value is reached. of the neck assembly to 88 ±5 in-lbs using the neck compression tool (175– [71 FR 75331, Dec. 14, 2006, as amended at 73 FR 33921, June 16, 2008] 9500) or equivalent; (3) Release the pendulum from a § 572.184 Shoulder assembly. height sufficient to allow it to fall freely to achieve an impact velocity of (a) The shoulder (175–3000) is part of 3.4±0.1 m/s measured at the center of the body assembly shown in drawing the pendulum accelerometer (Figure 22 175–0000. When subjected to impact as set forth in 49 CFR 572.33) at the tests specified in paragraph (b) of this time the pendulum makes contact with section, the shoulder assembly shall the decelerating mechanism. The ve- meet performance requirements of locity-time history of the pendulum paragraph (c) of this section. falls inside the corridor determined by (b) Test procedure. (1) Soak the the upper and lower boundaries speci- dummy assembly, without suit and fied in Table 1 to paragraph (a) of this shoulder foam pad (175–3010), in a test section. environment as specified in § 572.189(n); (4) Allow the neck to flex without the (2) The dummy is seated, as shown in neck-headform assembly making con- Figure U3 in appendix A to this sub- tact with any object; part, on a flat, horizontal, rigid surface (5) Time zero is defined in § 572.189(j). covered by two overlaid 2 mm thick Teflon sheets and with no back support TABLE 1 TO PARAGRAPH (A)—ES–2RE NECK of the dummy’s torso. The dummy’s CERTIFICATION PENDULUM VELOCITY CORRIDOR torso spine backplate is vertical within ±2 degrees and the midsagittal plane of Upper boundary Lower boundary the thorax is positioned perpendicular Time Velocity Time Velocity to the direction of the plane of motion (ms) (m/s) (ms) (m/s) of the impactor at contact with the 1.0 ...... 0.00 0.0 ¥0.05 shoulder. The arms are oriented for- 3.0 ...... ¥0.25 2.5 ¥0.375 ward at 50±2 degrees from the hori- 14.0 ...... ¥3.20 13.5 ¥3.7 17.0 ¥3.7 zontal, pointing downward. The dummy’s legs are horizontal and symmet- (c) Performance criteria. (1) The pen- rical about the midsaggital plane with dulum deceleration pulse is to be char- the distance between the innermost acterized in terms of decrease in veloc- point on the opposite ankle at 100 ±5 ity as determined by integrating the mm. The length of the elastic shoulder filtered pendulum acceleration record (175–3015) shall be adjusted so that sponse from time-zero. a force between and including 27.5 and (2) The maximum rotation in the lat- 32.5 N applied in a forward direction at eral direction of the reference plane of 4 ±1 mm from the outer edge of the the headform (175–9000) as shown in clavicle in the same plane as the clav- Figure U2–B in appendix A to this sub- icle movement, is required to initiate a part, shall be 49 to 59 degrees with re- forward motion of 1 to 5 mm; spect to the longitudinal axis of the (3) The impactor is the same as de- pendulum occurring between 54 and 66 fined in § 572.189(a); ms from time zero. Rotation of the (4) The impactor is guided, if needed, headform-neck assembly and the neck so that at contact with the shoulder,

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its longitudinal axis is within ±0.5 de- (B) 815 ±8 mm grees of a horizontal plane and perpen- (vi) A test cycle consists of one drop dicular (±0.5 degrees) to the midsagittal from each drop height specified in plane of the dummy and the paragraph (b)(1)(v) of this section. centerpoint on the impactor’s face is Allow a period of not less than five (5) within 5 mm of the center of the upper minutes between impacts in a single arm pivot bolt (5000040) at contact with test cycle. Allow a period of not less the test dummy, as shown in Figure U3 than thirty (30) minutes between two in appendix A to this subpart; separate cycles of the same rib module. (5) The impactor impacts the dum- (2) Performance criteria. my’s shoulder at 4.3±0.1 m/s. (i) Each of the rib modules shall de- (c) Performance criteria. The peak ac- flect as specified in paragraphs celeration of the impactor is between (b)(2)(i)(A) and (B) of this section, with 7.5 g’s and 10.5 g’s during the pen- the deflection measurements made dulum’s contact with the dummy. with the internal rib module position transducer specified in § 572.189(d): § 572.185 Thorax (upper torso) assem- (A) Not less than 36 mm and not more bly. than 40 mm when impacted by the (a) The thorax assembly of the mass dropped from 459 mm; and, dummy must meet the requirements of (B) Not less than 46 mm and not more both (b) and (c) of this section. Section than 51mm when impacted by the mass 572.185(b) specifies requirements for an dropped from 815 mm. individual rib drop test, and § 572.185(c) (c) Full-body thorax impact test. The specifies requirements for a full-body thorax is part of the upper torso assem- thorax impact test. bly shown in drawing 175–4000. For this (b) Individual rib drop test. For pur- full-body thorax impact test, the poses of this test, the rib modules (175– dummy is tested as a complete assem- 4002), which are part of the thorax as- bly (drawing 175–0000) with the struck- sembly (175–4000), are tested as indi- side arm (175–3500, left arm; 175–3800, vidual units. When subjected to test right arm) removed. The dummy’s tho- procedures specified in paragraph (b)(1) rax is equipped with deflection poten- of this section, the rib modules shall tiometers as specified in drawing meet performance requirements speci- SA572–S69. When subjected to the test fied in paragraph (b)(2) of this section. procedures specified in paragraph (c)(1) Each rib is tested at both the 459 mm of this section, the thorax shall meet and 815 mm drop height tests described the performance requirements set forth in paragraphs (b)(1)(v)(A) and (B) of in paragraph (c)(2). this section. (1) Test Procedure. (i) Soak the (1) Test procedure. (i) Soak the rib dummy assembly (175–0000), with modules (175–4002) in a test environ- struck-side arm (175–3500, left arm; 175– ment as specified in 572.189(n); 3800, right arm), shoulder foam pad (ii) Mount the rib module rigidly in a (175–3010), and neoprene body suit (175– drop test fixture as shown in Figure U7 8000) removed, in a test environment as in appendix A to this subpart with the specified in § 572.189(n); impacted side of the rib facing up; (ii) The dummy is seated, as shown in (iii) The drop test fixture contains a Figure U4 in appendix A to this sub- free fall guided mass of 7.78±0.01 kg part, on a flat, horizontal, rigid surface that is of rigid construction and with a covered by two overlaid 2 mm thick flat impact face 150±1.0 mm in diameter Teflon sheets and with no back support and an edge radius of ±0.25 mm; of the dummy’s torso. The dummy’s (iv) Align the vertical longitudinal torso spine backplate is vertical within centerline of the drop mass so that the ±2 degrees and the midsagittal plane of centerpoint of the downward-facing thorax is positioned perpendicular to flat surface is aligned to impact the the direction of the plane of motion of centerline of the rib rail guide system the impactor at contact with the tho- within ± 2.5 mm. rax. The non-struck side arm is ori- (v) The impacting mass is dropped ented vertically, pointing downward. from the following heights: The dummy’s legs are horizontal and (A) 459 ±5 mm symmetrical about the midsagittal

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plane with the distance between the in- is affixed a special purpose block whose nermost point on the opposite ankle at weight is 1.0 ± 0.01 kg. The block is 70 100 ±5 mm; mm high, 150 mm wide and 60 to 80 mm (iii) The impactor is the same as de- deep. The impact surface is flat, has a fined in § 572.189(a); minimum Rockwell hardness of M85, (iv) The impactor is guided, if need- and an edge radius of 4 to 5 mm. The ed, so that at contact with the thorax block’s wide surface is horizontally ori- its longitudinal axis is within ±0.5 de- ented and centered on the longitudinal grees of horizontal and perpendicular axis of the probe’s impact face as ±0.5 degrees to the midsagittal plane of shown in Figure U5–A in appendix A to the dummy and the centerpoint of the this subpart; impactor’s face is within 5 mm of the (4) The impactor is guided, if needed, impact point on the dummy’s middle so that at contact with the abdomen rib shown in Figure U4 in appendix A its longitudinal axis is within ± 0.5 de- to this subpart; grees of a horizontal plane and perpen- (v) The impactor impacts the dum- dicular ± 0.5 degrees to the midsagittal my’s thorax at 5.5 m/s ±0.1 m/s. plane of the dummy and the (vi) Time zero is defined in centerpoint on the impactor’s face is § 572.189(k). aligned within 5 mm of the center (2) Performance Criteria. (i) The indi- point of the middle load measuring vidual rib modules shall conform to the sensor in the abdomen as shown in Fig- following range of deflections: ure U5; (A) Upper rib not less than 34 mm and (5) The impactor impacts the dum- not greater than 41 mm; my’s abdomen at 4.0 m/s ± 0.1 m/s; (B) Middle rib not less than 37 mm (6) Time zero is defined in § 572.189(k). and not greater than 45 mm; (c) Performance criteria. (C) Lower rib not less than 37 mm (1) The maximum sum of the forces of and not greater than 44 mm. the three abdominal load sensors, spec- (ii) The impactor force shall be com- ified in 572.189(e), shall be not less than puted as the product of the impact 2200 N and not more than 2700 N and probe acceleration and its mass. The shall occur between 10 ms and 12.3 ms peak impactor force at any time after from time zero. The calculated sum of 6 ms from time zero shall be not less the three load cell forces must be con- than 5100 N and not greater than 6200 current in time. N. (2) Maximum impactor force (impact [71 FR 75331, Dec. 14, 2006, as amended at 73 probe acceleration multiplied by its FR 33921, June 16, 2008] mass) is not less than 4000 N and not more than 4800 N occurring between § 572.186 Abdomen assembly. 10.6 ms and 13.0 ms from time zero. (a) The abdomen assembly (175–5000) is part of the dummy assembly shown § 572.187 Lumbar spine. in drawing 175–0000 including load sen- (a) The lumbar spine assembly con- sors specified in § 572.189(e). When sub- sists of parts shown in drawing 175– jected to tests procedures specified in 5500. For purposes of this test, the lum- paragraph (b) of this section, the abdo- bar spine is mounted within the men assembly shall meet performance headform assembly 175–9000 as shown in requirements specified in paragraph (c) Figure U1 in appendix A to this sub- of this section. part. When subjected to tests proce- (b) Test procedure. dures specified in paragraph (b) of this (1) Soak the dummy assembly (175– section, the lumbar spine-headform as- 0000), without suit (175–8000) and shoul- sembly shall meet performance re- der foam pad (175–3010), as specified in quirements specified in paragraph (c) § 572.189(n); of this section. (2) The dummy is seated as shown in (b) Test procedure. (1) Soak the lum- Figure U5 in appendix A to this sub- bar spine-headform assembly in a test part; environment as specified in § 572.189(n); (3) The abdomen impactor is the (2) Attach the lumbar spine-headform same as specified in § 572.189(a) except assembly to the Part 572 pendulum test that on its rectangular impact surface fixture per procedure in § 572.183(b)(2)

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and as shown in Figure U2–A in appen- ms after the time the peak translation- dix A to this subpart. Torque the lum- rotation value is reached. bar hex nut (p/n 9000057) on to the lum- ± [71 FR 75331, Dec. 14, 2006, as amended at 73 bar cable assembly (175–5506) to 50 5 FR 33921, June 16, 2008] in-lb; (3) Release the pendulum from a § 572.188 Pelvis. height sufficient to allow it to fall free- (a) The pelvis (175–6000) is part of the ly to achieve an impact velocity of 6.05 torso assembly shown in drawing 175– ± 0.1 m/s measured at the center of the 0000. The pelvis is equipped with a pendulum accelerometer (Figure 22) at pubic symphysis load sensor in con- the time the pendulum makes contact formance with § 572.189(f) and mounted with its decelerating mechanism. The as shown in drawing (175–0000 sheet 4). velocity-time history of the pendulum When subjected to tests procedures falls inside the corridor determined by specified in paragraph (b) of this sec- the upper and lower boundaries speci- tion, the pelvis assembly shall meet fied in Table 1 to paragraph (b) of this performance requirements specified in section; paragraph (c) of this section. (4) Allow the lumbar spine to flex (b) Test procedure. without the lumbar spine or the (1) Soak the dummy assembly (175– headform making contact with any ob- 0000) without suit (175–8000) and shoul- ject; der foam pad (175–3010) as specified in (5) Time zero is defined in § 572.189(j). § 572.189(n); (2) The dummy is seated as specified TABLE 1 TO PARAGRAPH (b)—ES–2RE LUMBAR in Figure U6 in appendix A to this sub- SPINE CERTIFICATION PENDULUM VELOCITY part; CORRIDOR (3) The pelvis impactor is the same as Upper boundary Lower boundary specified in § 572.189(a); (4) The impactor is guided, if needed, Time Velocity Time Velocity (ms) (m/s) (ms) (m/s) so that at contact with the pelvis its longitudinal axis is within ±0.5 degrees 1.0 0.00 0.0 ¥0 .05 of a horizontal plane and perpendicular 3.7 ¥0.24 2.7 ¥0 .425 27.0 ¥5.80 24.5 ¥6 .50 to the midsagittal plane of the dummy 30.0 ¥6 .50 and the centerpoint on the impactor’s face is within 5 mm of the center of the (c) Performance criteria. (1) The pen- H-point in the pelvis, as shown in Fig- dulum deceleration pulse is to be char- ure U6 in appendix A to this subpart; acterized in terms of decrease in veloc- (5) The impactor impacts the dum- ity as determined by integrating the my’s pelvis at 4.3 ±0.1 m/s. filtered pendulum acceleration re- (6) Time zero is defined in § 572.189(k). sponse from time-zero. (c) Performance criteria. (1) The impac- (2) The maximum rotation in the lat- tor force (probe acceleration multiplied eral direction of the reference plane of by its mass) shall be not less than 4,700 the headform (175–9000) as shown in N and not more than 5,400 N, occurring Figure U2–B in appendix A to this sub- between 11.8 ms and 16.1 ms from time part, shall be 45 to 55 degrees with re- zero; spect to the longitudinal axis of the (2) The pubic symphysis load, meas- pendulum occurring between 39 and 53 ured with load cell specified in ms from time zero. Rotation of the § 572.189(f) shall be not less than 1,230 N headform-neck assembly shall be meas- and not more than 1,590 N occurring be- ured with potentiometers specified in tween 12.2 ms and 17.0 ms from time § 572.189(c), installed as shown in draw- zero. ing 175–9000, and calculated per proce- [71 FR 75331, Dec. 14, 2006, as amended at 73 dure specified in Figure U2–B in appen- FR 33921, June 16, 2008] dix A to this subpart. (3) The decaying headform rotation § 572.189 Instrumentation and test vs. time curve shall cross the zero conditions. angle with respect to its initial posi- (a) The test probe for lateral shoul- tion at impact relative to the pen- der, thorax without arm, abdomen, and dulum centerline between 37 ms to 57 pelvis impact tests is the same as that

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specified in § 572.36(a) and the impact (5) Abdominal and pubic symphysis probe has a minimum mass moment of force—Digitally filtered at CFC 600; inertia in yaw of 9,000 kg-cm2, a free air (6) Thorax deflection—Digitally fil- resonant frequency not less than 1,000 tered CFC 180. Hz and the probe’s end opposite to the (j)(1) Filter the pendulum accelera- impact face has provisions to mount an tion data using a SAE J211 CFC 60 fil- accelerometer with its sensitive axis ter. collinear with the longitudinal axis of (2) Determine the time when the fil- the probe. All hardware attached di- tered pendulum accelerometer data rectly to the impactor and one-third first crosses the ¥10 g level (T10). 1 ( ⁄3) of the mass of the suspension ca- (3) Calculate time-zero: T0 = T10¥Tm., bles must be included in the calcula- Where: tions of the total impactor mass. The Tm = 1.417 ms for the Neck Test sum mass of the attachments and 1⁄3 = 1.588 ms for the Lumbar Spine Test cable mass must not exceed 5 percent of the total pendulum mass. No suspen- (4) Set the data time-zero to the sam- sion hardware, suspension cables, or ple number nearest to the calculated any other attachments to the test T0. probe, including velocity vane, shall (k)(1) Filter the pendulum accelera- make contact with the dummy during tion data using a SAE J211 CFC 180 fil- the test. ter. (b) Accelerometers for the head, the (2) Determine the time when the fil- thoracic spine, and the pelvis conform tered pendulum accelerometer data to specifications of SA572–S4. first crosses the ¥1.0 m/s2 (¥.102 g) ac- (c) Rotary potentiometer for the celeration level (T0). neck and lumbar spine certification (3) Set the data time-zero to the sam- tests conforms to SA572–53. ple number of the new T0. (d) Linear position transducer for the (l) Mountings for the head, spine and thoracic rib conforms to SA572–S69. pelvis accelerometers shall have no (e) Load sensors for the abdomen con- resonance frequency within a range of 3 form to specifications of SA572–S75. times the frequency range of the appli- (f) Load sensor for the pubic sym- cable channel class. physis conforms to specifications of (m) Limb joints of the test dummy SA572–77. are set at the force between 1 to 2 G’s, (g) Load sensor for the lumbar spine which just supports the limb’s weight conforms to specifications of SA572–76. when the limbs are extended hori- (h) Instrumentation and sensors con- zontally forward. The force required to form to the Recommended Practice move a limb segment does not exceed 2 SAE J–211 (Mar. 1995)—Instrumenta- G’s throughout the range of the limb tion for Impact Test unless noted oth- motion. erwise. (n) Performance tests are conducted, (i) All instrumented response signal unless specified otherwise, at any tem- measurements shall be treated to the perature from 20.6 to 22.2 degrees C. (69 following specifications: to 72 degrees F.) and at any relative (1) Head acceleration—Digitally fil- humidity from 10 percent to 70 percent tered CFC 1000; after exposure of the dummy to those (2) Neck and lumbar spine rotations— conditions for a period of not less than Digitally filtered CFC 180; 4 hours. (3)Neck and lumbar spine pendulum (o) Certification tests of the same accelerations—Digitally filtered CFC component, segment, assembly, or 60; fully assembled dummy shall be sepa- (4) Pelvis, shoulder, thorax without rated in time by a period of not less arm, and abdomen impactor accelera- than thirty (30) minutes unless other- tions—Digitally filtered CFC 180; wise specified.

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APPENDIX A TO SUBPART U OF PART 572—FIGURES

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[71 FR 75331, Dec. 14, 2006, as amended at 73 FR 33921, June 16, 2008]

Subpart V, SID–IIsD Side Impact (1) A parts/drawing list entitled, Crash Test Dummy, Small ‘‘Parts/Drawings List, Part 572 Subpart V, SID–IIsD, July 1, 2008,’’ Adult Female (2) A drawings and inspection package entitled ‘‘Drawings and Specifica- SOURCE: 71 FR 75370, Dec. 14, 2006, unless tions for the SID–IIsD Small Female otherwise noted. Crash Test Dummy, Part 572 Subpart V, July 1, 2008,’’ consisting of: § 572.190 Incorporated materials. (i) Drawing No. 180–0000, SID–IIsD (a) The following materials are here- Complete Assembly; by incorporated into this Subpart by (ii) Drawing No. 180–1000, 6 Axis Head reference: Assembly; (iii) Drawing No. 180–2000, Neck As- sembly;

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(iv) Drawing No. 180–3000, Upper ferred to in paragraph (a)(1) of this sec- Torso Assembly; tion, the package entitled Drawings (v) Drawing No. 180–3005, Washer, and Specifications for SID–IIsD Small Clamping; Female Crash Test Dummy, Part 572 (vi) Drawing No. 9000021, Screw, Subpart V, July 1, 2008, referred to in SHCS 3⁄8–16 x 1 NYLOK; paragraph (a)(2) of this section, and the (vii) Drawing No. 900005, Screw, SHCS PADI document referred to in para- 1⁄4–20 x 5⁄8 NYLOK; graph (a)(3) of this section, are avail- (viii) Drawing No. 180–4000, Lower able in electronic format through Torso Assembly Complete; www.Regulations.gov and in paper for- (ix) Drawing No. 180–5000–1, Complete mat from Leet-Melbrook, Division of Leg Assembly, Left; New RT, 18810 Woodfield Road, Gai- (x) Drawing No. 180–5000–2, Complete thersburg, MD 20879, (301) 670–0090. Leg Assembly, Right; (2) The SAE materials referred to in (xi) Drawing No. 180–6000–1, Arm As- paragraphs (a)(4) and (a)(5) of this sec- sembly Left Molded; tion are available from the Society of (xii) Drawing No. 180–6000–2, Arm As- Automotive Engineers, Inc., 400 Com- sembly Right Molded; and, monwealth Drive, Warrendale, PA (xiii) Drawing No. 180–9000, SID–IIsD 15096, telephone 1–877–606–7323. Headform Assembly. (3) A procedures manual entitled, [71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29894, June 23, 2009] ‘‘Procedures for Assembly, Dis- assembly, and Inspection (PADI) of the § 572.191 General description. SID–IIsD Side Impact Crash Test Dummy, July 1, 2008,’’ incorporated by (a) The SID–IIsD Side Impact Crash reference in § 572.191; Test Dummy, small adult female, is de- (4) SAE Recommended Practice J211, fined by: Rev. Mar 95 ‘‘Instrumentation for Im- (1) The drawings and specifications pact Tests—Part 1—Electronic Instru- contained in the ‘‘Drawings and Speci- mentation’’; and, fications for SID–IIsD Small Female (5) SAE J1733 of 1994–12, ‘‘Sign Con- Crash Test Dummy, Part 572 Subpart vention for Vehicle Crash Testing.’’ V, July 1, 2008,’’ which includes the (b) The Director of the Federal Reg- technical drawings and specifications ister approved the materials incor- described in Drawing 180–0000, the ti- porated by reference in accordance tles of which are listed in Table A; with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the materials may be in- TABLE A spected at the Department of Transpor- Drawing tation, Docket Operations, Room W12– Component assembly number 140, 1200 New Jersey Avenue, SE., 6 Axis Head Assembly ...... 180–1000 Washington, DC 20590, telephone (202) Neck Assembly ...... 180–2000 366–9826, and at the National Archives Upper Torso Assembly ...... 180–3000 and Records Administration (NARA), Clamping Washer ...... 180–3005 and in electronic format through Regu- Lower Torso Assembly Complete ...... 180–4000 Complete Leg Assembly, Left ...... 180–5000–1 lations.gov. For information on the Complete Leg Assembly, Right ...... 180–5000–2 availability and inspection of this ma- Arm Assembly Left Molded ...... 180–6000–1 terial at NARA, call 202–741–6030, or go Arm Assembly Right Molded ...... 180–6000–2 to: http://www.archives.gov/ federallregister/ (2) The ‘‘Parts/Drawing List, Part 572 codeloflfederallregulations/ Subpart V, SID–IIsD,’’ dated July 1, ibrllocations.html. For information on 2008 and containing 7 pages, the availability and inspection of this (3) A listing of available transducers- material at Regulations.gov, call 1–877– crash test sensors for the SID–IIsD 378–5457, or go to: http:// Side Impact Crash Test Dummy, 5th www.regulations.gov. percentile adult female, is shown in (c) The incorporated materials are drawing 180–0000 sheet 2 of 5, dated July available as follows: 1, 2008, (1) The Parts/Drawings List, Part 572 (4) ‘‘Procedures for Assembly, Dis- Subpart V, SID–IIsD, July 1, 2008, re- assembly, and Inspection (PADI) of the

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SID–IIsD Side Impact Crash Test (3) The longitudinal acceleration vec- Dummy, July 1, 2008,’’ and, tor (anterior-posterior direction) shall (5) Sign convention for signal outputs not exceed 15 g. reference document SAE J1733 Infor- mation Report, titled ‘‘Sign Conven- § 572.193 Neck assembly. tion for Vehicle Crash Testing,’’ dated (a) The neck assembly consists of July 12, 1994, incorporated by reference parts shown in drawing 180–2000. For in § 572.200(k). (b) Exterior dimensions of the SID– purposes of this test, the neck assem- IIsD Small Adult Female Side Impact bly is mounted within the headform as- Crash Test Dummy are shown in draw- sembly (180–9000) as shown in Figure V1 ing 180–0000 sheet 3 of 5, dated July 1, in appendix A to this subpart. When 2008. subjected to the test procedure speci- (c) Weights and center of gravity lo- fied in paragraph (b) of this section, cations of body segments are shown in the neck-headform assembly shall drawing 180–0000 sheet 4 of 5, dated July meet the performance requirements 1, 2008. specified in paragraph (c) of this sec- (d) Adjacent segments are joined in a tion. manner such that, except for contacts (b) Test procedure. existing under static conditions, there (1) Soak the assembly in a test envi- is no additional contact between me- ronment as specified in 49 CFR tallic elements of adjacent body seg- 572.200(j); ments throughout the range of motion. (2) Attach the neck-headform assem- (e) The structural properties of the bly, as shown in Figure V2–A or V2–B dummy are such that the dummy conforms to this Subpart in every respect in appendix A to this subpart, to the 49 before use in any test similar to that CFR Part 572 pendulum test fixture set forth in Standard 214, Side Impact (Figure 22, 49 CFR 572.33) in either the Protection (49 CFR 571.214). left or right lateral impact orientations, respectively, so that the [71 FR 75370, Dec. 14, 2006, as amended at 74 midsagittal plane of the neck-headform FR 29895, June 23, 2009] assembly is vertical and at right angle § 572.192 Head assembly. (90 ± 1 degrees) to the plane of motion (a) The head assembly consists of the of the pendulum longitudinal center- head (180–1000) and a set of three (3) line; accelerometers in conformance with (3) Release the pendulum from a specifications in 49 CFR 572.200(d) and height sufficient to achieve a velocity mounted as shown in drawing 180–0000 of 5.57 ± 0.06 m/s measured at the center sheet 2 of 5. When tested to the proce- of the pendulum accelerometer, as dure specified in paragraph (b) of this shown in 49 CFR Part 572 Figure 15, at section, the head assembly shall meet the instant the pendulum makes con- performance requirements specified in tact with the decelerating mechanism; paragraph (c) of this section. (4) The neck flexes without the neck- (b) Test procedure. The head shall be headform assembly making contact tested according to the procedure spec- with any object; ified in 49 CFR 572.112(a). (5) Time zero is defined as the time of (c) Performance criteria. initial contact between the pendulum (1) When the head assembly is mounted striker plate and the pen- dropped from either the right or left dulum deceleration mechanism; lateral incline orientations in accord- (6) Allow a period of at least thirty ance with procedure in § 572.112(a), the measured peak resultant acceleration (30) minutes between successive tests shall be between 115 g and 137 g; on the same neck assembly. (2) The resultant acceleration-time (c) Performance Criteria. curve shall be unimodal to the extent (1) The pendulum deceleration pulse that oscillations occurring after the is characterized in terms of decrease in main acceleration pulse shall not ex- velocity as obtained by integrating the ceed 15% (zero to peak) of the main pendulum acceleration output from pulse; time zero:

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the seatback surfaces of which are cov- Time(ms) Peakpendulumdelta- V(m/s) ered with a 2 mm thick PTFE (Teflon) 10.0 ...... ¥2.20 to ¥2.80 sheet; 15.0 ...... ¥3.30 to ¥4.10 (3) Align the outermost portion of 20.0 ...... ¥4.40 to ¥5.40 25.0 ...... ¥5.40 to ¥6.10 the pelvis flesh of the impacted side of >25.0 < 100 ...... ¥5.50 to ¥6.20 the seated dummy tangent to a vertical plane located within 10 mm of (2) The maximum translation-rota- the side edge of the bench as shown in tion of the midsagittal plane of the Figure V4–A in appendix A to this sub- headform disk (180–9061 or 9062) in the part, while the midsagittal plane of the lateral direction measured, with the dummy is in vertical orientation. rotation transducers specified in 49 (4) Push the dummy at the knees and CFR 572.200(e) shall be 71 to 81 degrees at mid-sternum of the upper torso with with respect to the longitudinal axis of the pendulum (see Figure V2–C in ap- just sufficient horizontally oriented pendix A to this subpart) occurring be- force towards the seat back until the tween 50 and 70 ms from time zero; back of the upper torso is in contact (3) Peak occipital condyle moment with the seat back. shall not be higher than ¥36 Nm and (5) While maintaining the dummy’s not lower than ¥44 Nm. The moment position as specified in paragraphs measured by the upper neck load cell (b)(3) and (4) of this section, the top of (Mx) shall be adjusted by the following the shoulder rib mount (drawing 180– formula: Mx(oc) 1= Mx+0.01778Fy; 3352) orientation in the fore-and-aft di- (4) The decaying moment shall cross rection is 24.6 ± 2.0 degrees relative to the 0 Nm line after peak moment be- horizontal, as shown in Figure V4–B in tween 102 ms-126 ms after time zero. appendix A to this subpart. [71 FR 75370, Dec. 14, 2006, as amended at 74 (6) Adjust orientation of the legs FR 29895, June 23, 2009] such that they are symmetrical about the mid-sagittal plane, the thighs § 572.194 Shoulder. touch the seat pan, the inner part of (a) The shoulder structure is part of the right and left legs at the knees are the upper torso assembly shown in as close as possible to each other, the drawing 180–3000. For the shoulder im- heels touch the designated foot support pact test, the dummy is tested as a surface and the feet are vertical and as complete assembly (drawing 180–0000). close together as possible. The dummy is equipped with T1 lat- (7) Orient the arm to point forward at erally oriented accelerometer as speci- 90 ±2 degrees relative to the inferior-su- fied in 49 CFR 572.200(d), and deflection perior orientation of the upper torso potentiometer as specified in 180–3881 spine box incline. configured for shoulder and installed as (8) The impactor is specified in 49 shown in drawing 180–0000 sheet 2 of 5. CFR 572.200(a). When subjected to the test procedure (9) The impactor is guided, if needed, as specified in paragraph (b) of this sec- so that at contact with the dummy’s tion, the shoulder shall meet the per- arm rotation centerline (ref. item 23 in formance requirements of paragraph (c) of this section. drawing 180–3000) the impactor’s longi- ± (b) Test procedure. (1) Soak the tudinal axis is within 1 degree of a dummy assembly (180–0000) in a test en- horizontal plane and perpendicular to vironment as specified in 49 CFR the midsagittal plane of the dummy. 572.200(j). The centerpoint of the impactor face at (2) Seat the dummy, outfitted with contact is within 2 mm of the shoulder the torso jacket (180–3450) and cotton yoke assembly rotation centerline underwear pants on a certification (drawing 180–3327), as shown in Figure bench, specified in Figure V3 in appen- V4–A in appendix A to this subpart. dix A to this subpart, the seat pan and (10) The dummy’s arm-shoulder is impacted at 4.3 ± 0.1 m/s with the impac- 1 Mx(oc) is the moment at occipital condyle tor meeting the alignment and contact (Newton-meters) and Fy is the lateral shear point requirements of paragraph (b)(9) force (Newtons) measured by the load cell. of this section.

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(11) Allow a period of at least thirty back of the upper torso is in contact (30) minutes between successive tests with the seat back. of the same shoulder assembly. (5) While maintaining the dummy’s (c) Performance criteria. position as specified in paragraphs (1) While the impactor is in contact (b)(3) and (4) of this section, the top of with the dummy’s arm, the shoulder the shoulder rib mount (drawing 180– shall compress not less than 28 mm and 3352) orientation in the fore-and-aft di- not more than 37 mm measured by the rection is 24.6 ± 2.0 degrees relative to potentiometer specified in (a); horizontal as shown in Figure V5–B in (2) Peak lateral acceleration of the appendix A to this subpart. upper spine (T1) shall not be less than (6) Adjust orientation of the legs 17 g and not more than 22 g; such that they are symmetrical about (3) Peak impactor acceleration shall the mid-sagittal plane, the thighs be not less than 13 g and not more than touch the seat pan, the inner part of 18 g. the right and left legs at the knees are [71 FR 75370, Dec. 14, 2006, as amended at 74 as close as possible to each other, the FR 29895, June 23, 2009] heels touch the designated foot support surface and the feet are vertical and as § 572.195 Thorax with arm. close together as possible. (a) The thorax is part of the upper (7) Orient the arm downward to the torso assembly shown in drawing 180– lowest detent such that the longitu- 3000. For the thorax with arm impact dinal centerline of the arm is parallel test, the dummy is tested as a com- to the inferior-superior orientation of plete assembly (drawing 180–0000). The the spine box. dummy’s thorax is equipped with T1 (8) The impactor is specified in 49 and T12 laterally oriented CFR 572.200(a). accelerometers as specified in 49 CFR (9) The impactor is guided, if needed, 572.200(d), and deflection potentiom- so that at contact with the dummy’s eters for the thorax and shoulder as arm, its longitudinal axis is within ±1 specified in 180–3881, installed as shown degree of a horizontal plane and per- in drawing 180–0000 sheet 2 of 5. When pendicular to the midsagittal plane of subjected to the test procedure as spec- the dummy. The centerpoint of the im- ified in paragraph (b) of this section, pactor face is within 2 mm of the the thorax shall meet performance re- vertical midpoint of the second tho- quirements of paragraph (c) of this sec- racic rib and coincident with a line tion. parallel to the seat back incline pass- (b) Test procedure. (1) Soak the ing through the center of the shoulder dummy assembly (180–0000) in a test en- yoke assembly arm rotation pivot vironment as specified in 49 CFR (drawing 180–3327), as shown in Figure 572.200(j). V5–A in appendix A to this subpart. (2) Seat the dummy, outfitted with (10) The dummy’s arm is impacted at the torso jacket (180–3450) and cotton 6.7 ± 0.1 m/s. underwear pants on a certification (11) Time zero is defined as the time bench, specified in Figure V3, the seat of contact between the impact probe pan and the seatback surfaces of which and the arm. are covered with a 2-mm-thick PTFE (12) Allow a period of at least thirty (Teflon) sheet. (30) minutes between successive tests (3) Align the outermost portion of of the same thorax assembly. the pelvis flesh of the impacted side of (c) Performance criteria. the seated dummy tangent to a (1) While the impactor is in contact vertical plane located within 10 mm of with the dummy’s arm, the thoracic the side edge of the bench as shown in ribs and the shoulder shall conform to Figure V5–A, while the midsagittal the following range of deflections: plane of the dummy is in vertical ori- (i) Shoulder not less than 31 mm and entation. not more than 40 mm; (4) Push the dummy at the knees and (ii) Upper thorax rib not less than 25 at mid-sternum of the upper torso with mm and not more than 32 mm; just sufficient horizontally oriented (iii) Middle thorax rib not less than force towards the seat back until the 30 mm and not more than 36 mm;

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(iv) Lower thorax rib not less than 32 (b)(3) and (4) of this section, the top of mm and not more than 38 mm; the shoulder rib mount (drawing 180– (2) Peak lateral acceleration of the 3352) orientation in the fore-and-aft di- upper spine (T1) shall not be less than rection is 24.6 ± 2.0 degrees relative to 34 g and not more than 43 g, and the horizontal, as shown in Figure V6–B in lower spine (T12) not less than 29 g and appendix A to this subpart. not more than 37 g; (6) Adjust orientation of the legs (3) Peak impactor acceleration after such that they are symmetrical about 5 ms after time zero shall be not less the mid-sagittal plane, the thighs than 30 g and not more than 36 g. touch the seat pan, the inner part of [71 FR 75370, Dec. 14, 2006, as amended at 74 the right and left legs at the knees are FR 29895, June 23, 2009] as close as possible to each other, the heels touch the designated foot support § 572.196 Thorax without arm. surface and the feet are vertical and as (a) The thorax is part of the upper close together as possible. torso assembly shown in drawing 180– (7) The impactor is specified in 49 3000. For this thorax test, the dummy CFR 572.200(a). is tested as a complete assembly (draw- (8) The impactor is guided, if needed, ing 180–0000) with the arm (180–6000) on so that at contact with the thorax, its the impacted side removed. The dum- longitudinal axis is within 1 degree of a my’s thorax is equipped with T1 and horizontal plane and perpendicular to T12 laterally oriented accelerometers the midsagittal plane of the dummy. as specified in 49 CFR 572.200(d) and The centerpoint of the impactor face is with deflection potentiometers for the within 2 mm of the vertical midpoint of thorax as specified in drawing 180–3881, the second thorax rib and coincident installed as shown in drawing 180–0000 with a line parallel to the seat back in- sheet 2 of 5. When subjected to the test cline passing through the center of the procedure specified in paragraph (b) of shoulder yoke assembly arm rotation this section, the thorax shall meet the pivot (drawing 180–3327), as shown in performance requirements set forth in Figure V6–A in appendix A to this subparagraph (c) of this section. part. (b) Test procedure. (1) Soak the dummy assembly (180–0000) in a test en- (9) The dummy’s thorax is impacted ± vironment as specified in 49 CFR at 4.3 0.1 m/s. 572.200(j). (10) Allow a period of at least thirty (2) Seat the dummy, outfitted with (30) minutes between successive tests the torso jacket (180–3450) and cotton of the same thorax assembly. underwear pants on a calibration (c) Performance criteria. bench, specified in Figure V3 in appen- (1) While the impactor is in contact dix A to this subpart, the seat pan and with the dummy’s thorax, the ribs the seatback surfaces of which are cov- shall conform to the following range of ered with a 2-mm-thick PTFE (Teflon) deflections: sheet. (i) Upper thorax rib not less than 32 (3) Align the outermost portion of mm and not more than 40 mm; the pelvis flesh of the impacted side of (ii) Middle thorax rib not less than 39 the seated dummy tangent to a mm and not more than 45 mm; vertical plane located within 10 mm of (iii) Lower thorax rib not less than 35 the side edge of the bench as shown in mm and not more than 43 mm; Figure V6–A, while the midsagittal (2) Peak acceleration of the upper plane of the dummy is in vertical ori- spine (T1) shall not be less than 13 g entation. and not more than 17 g and the lower (4) Push the dummy at the knees and spine (T12) not less than 7 g and not at mid-sternum of the upper torso with more than 11 g; just sufficient horizontally oriented (3) Peak impactor acceleration shall force towards the seat back until the not be less than 14 g and not more than back of the upper torso is in contact 18 g. with the seat back. (5) While maintaining the dummy’s [71 FR 75370, Dec. 14, 2006, as amended at 74 position as specified in paragraphs FR 29895, June 23, 2009]

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§ 572.197 Abdomen. heels touch the designated foot support (a) The abdomen assembly is part of surface and the feet are vertical and as the upper torso assembly (180–3000) and close together as possible; is represented by two ribs (180–3368) and (7) The impactor is specified in 49 two linear deflection potentiometers CFR 572.200(b); (180–3881). The abdomen test is con- (8) The impactor is guided, if needed, ducted on the complete dummy assem- so that at contact with the abdomen, bly (180–0000) with the arm (180–6000) on its longitudinal axis is within ± 1 de- the impacted side removed. The gree of a horizontal plane and perpen- dummy is equipped with a lower spine dicular to the midsagittal plane of the laterally oriented accelerometer as dummy and the centerpoint of the im- specified in 49 CFR 572.200(d) and de- pactor’s face is within 2 mm of the flection potentiometers specified in vertical midpoint between the two ab- drawing 180–3881, installed as shown in dominal ribs and coincident with a line sheet 2 of drawing 180–0000. When sub- parallel to the seat back incline pass- jected to the test procedure as speci- ing through the center of the shoulder fied in paragraph (b) of this section, yoke assembly arm rotation pivot the abdomen shall meet performance (drawing 180–3327), as shown in Figure requirements of paragraph (c) of this V7–A in appendix A to this subpart; section. (9) The dummy’s abdomen is im- (b) Test procedure. (1) Soak the pacted at 4.3 ± 0.1 m/s. dummy assembly (180–0000) in a test en- (10) Allow a period of at least thirty vironment as specified in 49 CFR (30) minutes between successive tests 572.200(j). of the same abdomen assembly. (2) Seat the dummy, outfitted with (c) Performance criteria. (1) While the the torso jacket (180–3450) and cotton impact probe is in contact with the underwear pants on a calibration dummy’s abdomen, the deflection of bench, specified in Figure V3, the seat the upper abdominal rib shall be not pan and the seatback surfaces of which less than 36 mm and not more than 47 are covered with a 2 mm thick PTFE mm, and the lower abdominal rib not (Teflon) sheet. less than 33 mm and not more than 44 (3) Align the outermost portion of mm. the pelvis flesh of the impacted side of (2) Peak acceleration of the lower the seated dummy tangent to a spine (T12) laterally oriented acceler- vertical plane located within 10 mm of ometer shall be not less than 9 g and the side edge of the bench as shown in not more than 14 g; Figure V7–A in Appendix A to this sub- (3) Peak impactor acceleration shall part, while the midsagittal plane of the be not less than 12 g and not more than dummy is in vertical orientation. 16 g. (4) Push the dummy at the knees and at mid-sternum of the upper torso with [71 FR 75370, Dec. 14, 2006, as amended at 74 just sufficient horizontally oriented FR 29896, June 23, 2009] force towards the seat back until the back of the upper torso is in contact § 572.198 Pelvis acetabulum. with the seat back. (a) The acetabulum is part of the (5) While maintaining the dummy’s lower torso assembly shown in drawing position as specified in paragraph (b)(3) 180–4000. The acetabulum test is con- and (4) of this section, the top of the ducted by impacting the side of the shoulder rib mount (drawing 180–3352) lower torso of the assembled dummy orientation in the fore-and-aft direc- (drawing 180–0000). The dummy is tion is 24.6 ± 2.0 degrees relative to hor- equipped with a laterally oriented pel- izontal, as shown in Figure V7–B in ap- vis accelerometer as specified in 49 pendix A to this subpart); CFR 572.200(d), acetabulum load cell (6) Adjust orientation of the legs SA572–S68, mounted as shown in sheet 2 such that they are symmetrical about of 5 of drawing 180–0000, and an unused the mid-sagittal plane, the thighs and certified pelvis plug (180–4450). touch the seat pan, the inner part of When subjected to the test procedure the right and left legs at the knees are as specified in paragraph (b) of this sec- as close as possible to each other, the tion, the pelvis shall meet performance

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requirements of paragraph (c) of this is in line within 2 mm of the longitu- section. dinal centerline of the 1⁄4-20x1⁄2 flat (b) Test procedure. (1) Soak the head cap screw through the center of dummy assembly (180–0000) in a test en- the acetabulum load cell (SA572–S68), vironment as specified in 49 CFR as shown in Figure V8–A in appendix A 572.200(j). to this subpart; (2) Seat the dummy, without the (11) Time zero is defined as the time torso jacket (180–3450) and without cot- of contact between the impact probe ton underwear pants, as shown in Fig- and the pelvis plug. ure V8–A in appendix A to this subpart, (12) Allow a period of at least 120 on a calibration bench, specified in minutes between successive tests of the Figure V3 in appendix A to this sub- same pelvis assembly. part, with the seatpan and the (c) Performance criteria. While the im- seatback surfaces covered with a 2- pactor is in contact with the pelvis: mm-thick PTFE (Teflon) sheet; (1) Peak acceleration of the impactor (3) Align the outermost portion of is not less than 38 g and not more than the pelvis flesh of the impacted side of 47 g; the seated dummy tangent to a (2) Peak lateral acceleration of the vertical plane located within 10 mm of pelvis after 6 ms after time zero is not the side edge of the bench as shown in less than 34 g and not more than 42 g; Figure V8–A in appendix A to this sub- (3) Peak acetabulum force is not less part, while the midsagittal plane of the than 3.60 kN and not more than 4.30 dummy is in vertical orientation. kN. (4) Push the dummy at the knees and [71 FR 75370, Dec. 14, 2006, as amended at 74 at mid-sternum of the upper torso with FR 29896, June 23, 2009] just sufficient horizontally oriented force towards the seat back until the § 572.199 Pelvis iliac. back of the upper torso is in contact (a) The iliac is part of the lower torso with the seat back. assembly shown in drawing 180–4000. (5) While maintaining the dummy’s The iliac test is conducted by impact- position as specified in paragraphs ing the side of the lower torso of the (b)(3) and (4) of this section, the top of assembled dummy (drawing 180–0000). the shoulder rib mount (drawing 180– The dummy is equipped with a lat- 3352) orientation in the fore-and-aft di- erally oriented pelvis accelerometer as rection is 24.6 ± 1.0 degrees relative to specified in 49 CFR 572.200(d), and iliac horizontal, as shown in Figure V8–B in wing load cell SA572–S66, mounted as appendix A to this subpart; shown in sheet 2 of 5 of drawing 180– (6) Adjust orientation of the legs 0000. When subjected to the test proce- such that they are symmetrical about dure as specified in paragraph (b) of the mid-sagittal plane, the thighs this section, the pelvis shall meet per- touch the seat pan, the inner part of formance requirements of paragraph the right and left legs at the knees are (c) of this section. as close as possible to each other, the (b) Test procedure. (1) Soak the heels touch the designated foot support dummy assembly (180–0000) in a test en- surface and the feet are vertical and as vironment as specified in 49 CFR close together as possible. 572.200(j). (7) Rotate the arm downward to the (2) Seat the dummy, without the lowest detent such that the longitu- torso jacket and without cotton under- dinal centerline of the arm is parallel wear pants, as shown in Figure V9–A in to the inferior-superior orientation of appendix A to this subpart, on a flat, the spine box. rigid, horizontal surface covered with a (8) The impactor is specified in 49 2-mm-thick PTFE (Teflon) sheet. CFR 572.200(a). (3) The legs are outstretched in front (9) The impactor is guided, if needed, of the dummy such that they are sym- so that at contact with the pelvis, its metrical about the midsagittal plane, longitudinal axis is within ±1 degree of the thighs touch the seated surface, a horizontal plane and perpendicular to the inner part of the right and left legs the midsagittal plane of the dummy. at the knees are as close as possible to The centerpoint of the impactor’s face each other, and the feet are in full

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dorsiflexion and as close together as § 572.200 Instrumentation and test possible. conditions. (4) Orient the arm downward to the (a) The test probe for shoulder, lat- lowest detent such that the longitu- eral thorax, and pelvis-acetabulum im- dinal centerline of the arm is parallel pact tests is the same as that specified to the inferior-superior orientation of in 49 CFR 572.137(a) except that its im- the spine box. pact face diameter is 120.70 ± 0.25 mm (5) The midsagittal plane of the and it has a minimum mass moment of dummy is vertical, and superior sur- inertia of 3646 kg-cm2. face of the lower half neck assembly (b) The test probe for the lateral ab- load cell replacement (180–3815) in the domen impact test is the same as that lateral direction is within ±1 degree specified in 572.137(a) except that its ± relative to the horizontal as shown in impact face diameter is 76.20 0.25 mm Figure V9–A. and it has a minimum mass moment of inertia of 3646 kg-cm2. (6) While maintaining the dummy’s (c) The test probe for the pelvis-iliac position as specified in paragraphs impact tests is the same as that speci- (b)(3), (4) and (5) of this section, the top fied in 49 CFR 572.137(a) except that it of the shoulder rib mount (180–3352) ori- has a rectangular flat impact surface entation in the fore-and-aft direction is 50.8 × 88.9 mm for a depth of at least 76 within ±1.0 degree relative to hori- mm and a minimum mass moment of zontal as shown in Figure V9–B in Ap- inertia of 5000 kg-cm2. pendix A to this subpart. (d) Accelerometers for the head, the (7) The pelvis impactor is specified in thoracic spine, and the pelvis conform 49 CFR 572.200(c). to specifications of SA572–S4. (8) The dummy is positioned with re- (e) Rotary potentiometers for the spect to the impactor such that the neck-headform assembly conform to longitudinal centerline of the impact SA572–S51. probe is in line with the longitudinal (f) Instrumentation and sensors con- centerline of the iliac load cell access form to the Recommended Practice hole, and the 88.9 mm dimension of the SAE J–211 (March 1995), Instrumenta- probe’s impact surface is aligned hori- tion for Impact Test, unless noted oth- zontally. erwise. (g) All instrumented response signal (9) The impactor is guided, if needed, measurements shall be treated to the so that at contact with the pelvis, the following specifications: longitudinal axis of the impactor is (1) Head acceleration—digitally fil- ± within 1 degree of a horizontal plane tered CFC 1000; and perpendicular to the midsagittal (2) Neck-headform assembly trans- plane of the dummy. lation-rotation—digitally filtered CFC (10) The dummy’s pelvis is impacted 60; at the iliac location at 4.3±0.1 m/s. (3) Neck pendulum, T1 and T12 tho- (11) Allow a period of at least 120 racic spine and pelvis accelerations— minutes between successive tests of the digitally filtered CFC 180; same pelvis assembly. (4) Neck forces (for the purpose of oc- (c) Performance criteria. While the im- cipital condyle calculation) and mo- pactor is in contact with the pelvis: ments—digitally filtered at CFC 600; (1) Peak acceleration of the impactor (5) Pelvis, shoulder, thorax and abdo- is not less than 36 g and not more than men impactor accelerations—digitally filtered CFC 180; 45 g; (6) Acetabulum and iliac wings (2) Peak acceleration of the pelvis is forces—digitally filtered at CFC 600; not less than 28 g and not more than 39 (7) Shoulder, thorax, and abdomen g; deflection—digitally filtered CFC 600. (3) Peak iliac force is not less than (h) Mountings for the head, thoracic 4.10 kN and not more than 5.10 kN. spine and pelvis accelerometers shall [71 FR 75370, Dec. 14, 2006, as amended at 74 have no resonant frequency within a FR 29896, June 23, 2009] range of 3 times the frequency range of the applicable channel class;

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(i) Leg joints of the test dummy are humidity from 10% to 70% after expo- set at the force between 1 to 2 g, which sure of the dummy to those conditions just support the limb’s weight when for a period of 4 hours. the limbs are extended horizontally (k) Coordinate signs for instrumenta- forward. The force required to move a tion polarity shall conform to the Sign limb segment does not exceed 2 g Convention For Vehicle Crash Testing, throughout the range of the limb mo- Surface Vehicle Information Report, tion. SAE J1733, 1994–12 (refer to (j) Performance tests are conducted, § 572.191(a)(5)). unless specified otherwise, at any temperature from 20.6 to 22.2 degrees C. (69 [71 FR 75370, Dec. 14, 2006, as amended at 74 to 72 degrees F.) and at any relative FR 29896, June 23, 2009]

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APPENDIX A TO SUBPART V OF PART 572—FIGURES

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[71 FR 75370, Dec. 14, 2006, as amended at 74 AUTHORITY: 49 U.S.C. 30102, 30103, 30116– FR 29896, June 23, 2009] 30121, 30166; delegation of authority at 49 CFR 1.50 and 49 CFR 501.8.

PART 573—DEFECT AND NON- SOURCE: 43 FR 60169, Dec. 26, 1978, unless COMPLIANCE RESPONSIBILITY otherwise noted. AND REPORTS § 573.1 Scope. Sec. This part: 573.1 Scope. (a) Sets forth the responsibilities 573.2 Purpose. under 49 U.S.C. 30116–30121 of manufac- 573.3 Application. turers of motor vehicles and motor ve- 573.4 Definitions. hicle equipment with respect to safety- 573.5 Defect and noncompliance responsi- related defects and noncompliances bility. with Federal motor vehicle safety 573.6 Defect and noncompliance information standards in motor vehicles and items report. of motor vehicle equipment; and 573.7 Quarterly reports. 573.8 Lists of purchasers, owners, dealers, (b) Specifies requirements for— distributors, lessors and lessees. (1) Manufacturers to maintain lists of 573.9 Address for submitting required re- owners, purchasers, dealers, and dis- ports and other information. tributors notified of defective and non- 573.10 Reporting the sale or lease of defec- complying motor vehicles and motor tive or noncompliant tires. vehicle original and replacement equip- 573.11 Prohibition on sale or lease of new ment, defective and noncompliant motor vehi- (2) Reporting to the National High- cles and items of replacement equip- way Traffic Safety Administration ment. 573.12 Prohibition on sale or lease of new (NHTSA) defects in motor vehicles and and used defective and noncompliant motor vehicle equipment and non- motor vehicle equipment. compliances with motor vehicle safety 573.13 Reimbursement for prenotification standards prescribed under part 571 of remedies. this chapter, and 573.14 Accelerated remedy program.

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(3) Providing quarterly reports on de- (d) In the case of a defect or non- fect and noncompliance notification compliance decided to exist in an item campaigns. of replacement equipment (except tires) compliance with §§ 573.6 and 573.7 [69 FR 34959, June 23, 2004] by the brand name or trademark owner shall be considered compliance by the § 573.2 Purposes. manufacturer. Tire brand name owners The purposes of this part are: are considered manufacturers (49 (a) To facilitate the notification of U.S.C. 10102(b)(1)(E)) and have the same owners of defective and noncomplying reporting requirements as manufactur- motor vehicles and items of motor ve- ers. hicle equipment, and the remedy of (e) In the case of a defect or non- such defects and noncompliances, by compliance decided to exist in an item equitably apportioning the responsi- of original equipment used in the vehi- bility for safety-related defects and cles of only one vehicle manufacturer, noncompliances with Federal motor compliance with §§ 573.6 and 573.7 by ei- vehicle safety standards among manu- ther the vehicle or equipment manufacturers of motor vehicles and motor facturer shall be considered compliance vehicle equipment; and by both. (b) To inform NHTSA of defective (f) In the case of a defect or non- and noncomplying motor vehicles and compliance decided to exist in original items of motor vehicle equipment, and equipment installed in the vehicles of to obtain information for NHTSA on more than one manufacturer, compli- the adequacy of manufacturers’ defect ance with § 573.6 is required of the and noncompliance notification cam- equipment manufacturer as to the paigns, on corrective action, on owner equipment item, and of each vehicle response, and to compare the defect in- manufacturer as to the vehicles in cidence rate among different groups of which the equipment has been in- vehicles. stalled. Compliance with § 573.7 is required of the manufacturer who is con- [67 FR 45872, July 10, 2002] ducting the recall campaign. (g) The provisions of § 573.10 apply to § 573.3 Application. all persons. (a) Except as provided in paragraphs (h) The provisions of § 573.11 apply to (g), (h), and (i) of this section, this part dealers, including retailers of motor applies to manufacturers of complete vehicle equipment. motor vehicles, incomplete motor vehi- (i) The provisions of § 573.12 apply to cles, and motor vehicle original and re- all persons. placement equipment, with respect to [43 FR 60169, Dec. 26, 1978, as amended at 60 all vehicles and equipment that have FR 17268, Apr. 5, 1995; 66 FR 38162, July 23, been transported beyond the direct 2001; 67 FR 19697, Apr. 23, 2002; 68 FR 18142, control of the manufacturer. Apr. 15, 2003] (b) In the case of a defect or noncompliance decided to exist in a motor § 573.4 Definitions. vehicle or equipment item imported For purposes of this part: into the United States, compliance Act means 49 U.S.C. Chapter 301. with §§ 573.6 and 573.7 by either the fab- Administrator means the Adminis- ricating manufacturer or the importer trator of the National Highway Traffic of the vehicle or equipment item shall Safety Administration or his delegate. be considered compliance by both. First purchaser means first purchaser (c) In the case of a defect or non- for purposes other than resale. compliance decided to exist in a vehi- Leased motor vehicle means any motor cle manufactured in two or more vehicle that is leased to a person for a stages, compliance with §§ 573.6 and term of at least four months by a les- 573.7 by either the manufacturer of the sor who has leased five or more vehi- incomplete vehicle or any subsequent cles in the twelve months preceding manufacturer of the vehicle shall be the date of notification by the vehicle considered compliance by all manufac- manufacturer of the existence of a turers. safety-related defect or noncompliance

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with a Federal motor vehicle safety (b) Each manufacturer of an item of standard in the motor vehicle. replacement equipment shall be re- Lessee means a person who is the les- sponsible for any safety-related defect see of a leased motor vehicle as defined or any noncompliance determined to in this section. exist in the equipment. Lessor means a person or entity that [67 FR 45872, July 10, 2002] is the owner, as reflected on the vehicle’s title, of any five or more leased § 573.6 Defect and noncompliance in- vehicles (as defined in this section), as formation report. of the date of notification by the man- (a) Each manufacturer shall furnish a ufacturer of the existence of a safety- report to the NHTSA for each defect in related defect or noncompliance with a his vehicles or in his items of original Federal motor vehicle safety standard or replacement equipment that he or in one or more of the leased motor ve- the Administrator determines to be re- hicles. lated to motor vehicle safety, and for Original equipment means an item of each noncompliance with a motor vehi- motor vehicle equipment (other than a cle safety standard in such vehicles or tire) that was installed in or on a items of equipment which either he or motor vehicle at the time of its deliv- the Administrator determines to exist. ery to the first purchaser if the item of (b) Each report shall be submitted equipment was installed on or in the not more than 5 working days after a motor vehicle at the time of its deliv- defect in a vehicle or item of equip- ery to a dealer or distributor for dis- ment has been determined to be safety tribution, or was installed by the deal- related, or a noncompliance with a er or distributor with the express au- motor vehicle safety standard has been thorizations of the motor vehicle man- determined to exist. At a minimum, in- ufacturer. formation required by paragraphs (1), Readable form means a form readable (2) and (5) of paragraph (c) of this sec- by the unassisted eye or readable by tion shall be submitted in the initial machine. If readable by machine, the report. The remainder of the informa- submitting party must obtain written tion required by paragraph (c) of this confirmation from the Office of Defects section that is not available within the Investigation immediately prior to five-day period shall be submitted as it submission that the machine is readily becomes available. Each manufacturer available to NHTSA. For all similar in- submitting new information relative to formation responses, once a manufac- a previously submitted report shall turer has obtained approval for the refer to the notification campaign original response in that form, it will number when a number has been as- not have to obtain approval for future signed by the NHTSA. submissions in the same form. In addi- (c) Each manufacturer shall include tion, all coded information must be ac- in each report the information speci- companied by an explanation of the fied below. codes used. (1) The manufacturer’s name: The Replacement equipment means motor full corporate or individual name of vehicle equipment other than original the fabricating manufacturer and any equipment as defined in this section, brand name or trademark owner of the and tires. vehicle or item of equipment shall be [43 FR 60169, Dec. 26, 1978, as amended at 60 spelled out, except that such abbrevia- FR 17268, Apr. 5, 1995; 67 FR 45872, July 10, tions as ‘‘Co.’’ or ‘‘Inc.’’, and their for- 2002] eign equivalents, and the first and middle initials of individuals, may be used. § 573.5 Defect and noncompliance re- In the case of a defect or noncompli- sponsibility. ance decided to exist in an imported (a) Each manufacturer of a motor ve- vehicle or item of equipment, the agen- hicle shall be responsible for any safe- cy designated by the fabricating manu- ty-related defect or any noncompliance facturer pursuant to 49 U.S.C. section determined to exist in the vehicle or in 30164(a) shall be also stated. If the fab- any item of original equipment. ricating manufacturer is a corporation

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that is controlled by another corpora- from which it was obtained. If at the tion that assumes responsibility for time of submission of the initial re- compliance with all requirements of port, the reporting manufacturer does this part the name of the controlling not know the country of origin of the corporation may be used. component, the manufacturer shall as- (2) Identification of the vehicles or certain the country of origin and sub- items of motor vehicle equipment po- mit a supplemental report with that tentially containing the defect or non- information once it becomes available. compliance, including a description of (v) In the case of items of motor vehi- the manufacturer’s basis for its deter- cle equipment, the manufacturer of the mination of the recall population and a equipment shall identify by name, description of how the vehicles or business address, and business tele- items of equipment to be recalled differ from similar vehicles or items of equip- phone number every manufacturer that ment that the manufacturer has not purchases the defective or noncom- included in the recall. plying component for use or installa- (i) In the case of passenger cars, the tion in new motor vehicles or new identification shall be by the make, items of motor vehicle equipment. line, model year, the inclusive dates (3) The total number of vehicles or (month and year) of manufacture, and items of equipment potentially con- any other information necessary to de- taining the defect or noncompliance, scribe the vehicles. and where available the number of ve- (ii) In the case of vehicles other than hicles or items of equipment in each passenger cars, the identification shall group identified pursuant to paragraph be by body style or type, inclusive (c)(2) of this section. dates (month and year) of manufacture (4) The percentage of vehicles or and any other information necessary to items of equipment specified pursuant describe the vehicles, such as GVWR or to paragraph (c)(2) of this section esti- class for trucks, displacement (cc) for mated to actually contain the defect or motorcycles, and number of passengers noncompliance. for buses. (5) A description of the defect or non- (iii) In the case of items of motor ve- compliance, including both a brief hicle equipment, the identification summary and a detailed description, shall be by the generic name of the component (tires, child seating sys- with graphic aids as necessary, of the tems, axles, etc.), part number (for nature and physical location (if appli- tires, a range of tire identification cable) of the defect or noncompliance. numbers, as required by 49 CFR 574.5), (6) In the case of a defect, a chro- size and function if applicable, the in- nology of all principal events that were clusive dates (month and year) of man- the basis for the determination that ufacture if available and any other in- the defect related to motor vehicle formation necessary to describe the safety, including a summary of all war- items. ranty claims, field or service reports, (iv) In the case of motor vehicles or and other information, with their dates items of motor vehicle equipment in of receipt. which the component that contains the (7) In the case of a noncompliance, defect or noncompliance was manufac- the test results and other information tured by a different manufacturer from that the manufacturer considered in the reporting manufacturer, the re- determining the existence of the non- porting manufacturer shall identify the compliance. The manufacturer shall component and, if known, the compo- identify the date of each test and ob- nent’s country of origin (i.e. final place servation that indicated that a non- of manufacture or assembly), the man- compliance might or did exist. ufacturer and/or assembler of the component by name, business address, and (8)(i) A description of the manufac- business telephone number. If the re- turer’s program for remedying the de- porting manufacturer does not know fect or noncompliance. This program the identity of the manufacturer of the shall include a plan for reimbursing an component, it shall identify the entity owner or purchaser who incurred costs

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to obtain a remedy for the problem ad- for exemption from the notification dressed by the recall within a reason- and remedy requirements on the able time in advance of the manufac- grounds that the defect or noncompli- turer’s notification of owners, pur- ance is inconsequential as it relates to chasers and dealers, in accordance with motor vehicle safety, and does not do § 573.13 of this part. A manufacturer’s so within the 30-day period established plan may incorporate by reference a by 49 CFR 556.4(c), the manufacturer general reimbursement plan it pre- must submit the information required viously submitted to NHTSA, together by paragraph (c)(8)(ii) of this section no with information specific to the indi- later than the end of that 30-day pe- vidual recall. Information required by riod. § 573.13 that is not in a general reim- (9) In the case of a remedy program bursement plan shall be submitted in involving the replacement of tires, the the manufacturer’s report to NHTSA manufacturer’s program for remedying under this section. If a manufacturer the defect or noncompliance shall: submits one or more general reim- (i) Address how the manufacturer bursement plans, the manufacturer will assure that the entities replacing shall update each plan every two years, the tires are aware of the legal require- in accordance with § 573.13. The manu- ments related to recalls of tires estab- facturer’s remedy program and reim- lished by 49 U.S.C. Chapter 301 and reg- bursement plans will be available for ulations thereunder. At a minimum, inspection by the public at NHTSA the manufacturer shall notify its headquarters. owned stores and/or distributors, as (ii) The estimated date(s) on which it well as all independent outlets that are will begin sending notifications to own- authorized to replace the tires that are ers, and to dealers and distributors, the subject of the recall, annually or that there is a safety-related defect or for each individual recall that the noncompliance and that a remedy manufacturer conducts, about the ban without charge will be available to on the sale of new defective or non- owners, and the estimated date(s) on compliant tires (49 CFR 573.11); the pro- which it will complete such notifica- hibition on the sale of new and used de- tions (if different from the beginning fective and noncompliant tires (49 CFR date). If a manufacturer subsequently 573.12); and the duty to notify NHTSA becomes aware that either the begin- of any sale of a new or used recalled ning or the completion dates reported tire for use on a motor vehicle (49 CFR to the agency for any of the notifica- 573.10). For tire outlets that are manu- tions will be delayed by more than two facturer-owned or otherwise subject to weeks, it shall promptly advise the the control of the manufacturer, the agency of the delay and the reasons manufacturer shall also provide direc- therefore, and furnish a revised esti- tions to comply with these statutory mate. provisions and the regulations there- (iii) If a manufacturer intends to file under. a petition for an exemption from the (ii) Address how the manufacturer recall requirements of the Act on the will prevent, to the extent reasonably basis that a defect or noncompliance is within its control, the recalled tires inconsequential as it relates to motor from being resold for installation on a vehicle safety, it shall notify NHTSA motor vehicle. At a minimum, the of that intention in its report to manufacturer shall include the fol- NHTSA of the defect or noncompliance lowing information, to be furnished to under this section. If such a petition is each tire outlet that it owns, or that is filed and subsequently denied, the man- authorized to replace tires that are re- ufacturer shall provide the information called, either annually or for each indi- required by paragraph (c)(8)(ii) of this vidual recall the manufacturer con- section within five Federal government ducts: business days from the date the peti- (A) Written directions to manufac- tion denial is published in the FEDERAL turer-owned and other manufacturer- REGISTER. controlled outlets to alter the recalled (iv) If a manufacturer advises NHTSA tires permanently so that they cannot that it intends to file such a petition be used on vehicles. These shall include

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instructions on the means to render re- (ii) To ship recalled tires to a loca- called tires unsuitable for resale for in- tion of their own choosing, provided stallation on motor vehicles and in- that they comply with applicable state structions to perform the incapacita- and local laws and regulations regard- tion of each recalled tire, with the ex- ing disposal of tires. ception of any tires that are returned (2) Under option (c)(9)(iii)(A)(1)(ii) of to the manufacturer pursuant to a this section, the directions must also testing program, within 24 hours of re- include further direction and guidance ceipt of the recalled tire at the outlet. on how to limit the disposal of recalled If the manufacturer has a testing pro- tires in landfills and, instead, channel gram for recalled tires, these direc- them into a category of positive reuse tions shall also include criteria for se- (shredding, crumbling, recycling, and lecting recalled tires for testing and in- recovery) or another alternative bene- structions for labeling those tires and ficial non-vehicular use. returning them promptly to the manu- (B)(1) Written guidance that author- facturer for testing. izes all other outlets that are author- (B) Written guidance to all other out- ized to replace the recalled tires either: lets which are authorized to replace (i) To ship recalled tires to one or the recalled tires on how to alter the more locations designated by the man- recalled tires promptly and perma- ufacturer or allow the manufacturer to nently so that they cannot be used on collect and dispose of the recalled vehicles. tires; or (C) A requirement that manufac- (ii) To ship recalled tires to a loca- turer-owned and other manufacturer- tion of their own choosing, provided controlled outlets report to the manu- that they comply with applicable state facturer, either on a monthly basis or and local laws and regulations regard- within 30 days of the deviation, the ing disposal of tires. (2) Under option (c)(9)(iii)(B)(1)(ii) of number of recalled tires removed from this section, the manufacturer must vehicles by the outlet that have not also include further guidance on how to been rendered unsuitable for resale for limit the disposal of recalled tires in installation on a motor vehicle within landfills and, instead, channel them the specified time frame (other than into a category of positive reuse those returned for testing) and describe (shredding, crumbling, recycling, and any such failure to act in accordance recovery) or another alternative bene- with the manufacturer’s plan; ficial non-vehicular use. (iii) Address how the manufacturer (C) A requirement that manufac- will limit, to the extent reasonably turer-owned and other manufacturer- within its control, the disposal of the controlled outlets report to the manu- recalled tires in landfills and, instead, facturer, on a monthly basis or within channel them into a category of posi- 30 days of the deviation, the number of tive reuse (shredding, crumbling, recy- recalled tires disposed of in violation of cling, and recovery) or another alter- applicable state and local laws and reg- native beneficial non-vehicular use. At ulations, and describe any such failure a minimum, the manufacturer shall in- to act in accordance with the manufac- clude the following information, to be turer’s plan; and furnished to each tire outlet that it (D) A description of the manufactur- owns or that is authorized to replace er’s program for disposing of the re- tires that are recalled, either annually called tires that are returned to the or for each individual recall that the manufacturer or collected by the man- manufacturer conducts: ufacturer from the retail outlets, in- (A)(1) Written directions that require cluding, at a minimum, statements manufacturer-owned and other manu- that the returned tires will be disposed facturer-controlled outlets either: of in compliance with applicable state (i) To ship recalled tires to one or and local laws and regulations regard- more locations designated by the man- ing disposal of tires, and will be chan- ufacturer as part of the program or neled, insofar as possible, into a cat- allow the manufacturer to collect and egory of positive reuse (shredding, dispose of the recalled tires; or crumbling, recycling and recovery) or

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another alternative beneficial non-ve- § 573.7 Quarterly reports. hicular use, instead of being disposed of (a) Each manufacturer who is con- in landfills. ducting a defect or noncompliance no- (iv) To the extent that the manufac- tification campaign to manufacturers, turer wishes to limit the frequency of distributors, dealers, or owners shall shipments of recalled tires, it must submit to NHTSA a report in accord- specify both a minimum time period ance with paragraphs (b), (c), and (d) of and a minimum weight for the ship- this section. Unless otherwise directed ments and provide that shipments may by the NHTSA, the information speci- be made at whichever minimum occurs fied in paragraphs (b)(1) through (5) of first. this section shall be included in the (v) Written directions required under quarterly report, with respect to each this paragraph to be furnished to a notification campaign, for each of six manufacturer-owned or controlled out- consecutive quarters beginning with let shall be sent to the person in charge the quarter in which the campaign was of each outlet by first-class mail or by initiated (i.e., the date of initial mail- electronic means, such as FAX trans- ing of the defect or noncompliance no- missions or e-mail, with further in- tification to owners) or corrective ac- structions to notify all employees of tion has been completed on all defec- the outlet who are involved with re- tive or noncomplying vehicles or items moval, rendering unsuitable for use, or of replacement equipment involved in disposition of recalled tires of the ap- the campaign, whichever occurs first. (b) Each report shall include the fol- plicable requirements and procedures. lowing information identified by and in (vi) Manufacturers must implement the order of the subparagraph headings the plans for disposition of recalled of this paragraph. tires that they file with NHTSA pursu- (1) The notification campaign num- ant to this paragraph. The failure of a ber assigned by NHTSA. manufacturer to implement its plan in (2) The date notification began and accordance with its terms constitutes a the date completed. violation of the Safety Act. (3) The number of vehicles or items of (10) A representative copy of all no- equipment involved in the notification tices, bulletins, and other communica- campaign. tions that relate directly to the defect (4) The number of vehicles and equip- or noncompliance and are sent to more ment items which have been inspected than one manufacturer, distributor, and repaired and the number of vehi- dealer or purchaser. These copies shall cles and equipment items inspected be submitted to NHTSA’s Recall Man- and determined not to need repair. agement Division (NVS–215) (RMD), (5) The number of vehicles or items of not later than 5 days after they are ini- equipment determined to be tially sent to manufacturers, distribu- unreachable for inspection due to ex- tors, dealers, or purchasers. Submis- port, theft, scrapping, failure to receive sion shall be made by any means, in- notification, or other reasons (specify). cluding those means identified in § 573.9 The number of vehicles or items or of this part, which permits the manu- equipment in each category shall be facturer to verify promptly that the specified. copy was in fact received by RMD and (6) In reports by equipment manufac- the date it was received by RMD. turers, the number of items of equip- (11) The manufacturer’s campaign ment repaired and/or returned by deal- number, if not identical to the identi- ers, other retailers, and distributors to fication number assigned by NHTSA. the manufacturer prior to their first sale to the public. [43 FR 60169, Dec. 26, 1978, as amended at 44 (7) For all recalls that involve the re- FR 20437, Apr. 5, 1979; 48 FR 44081, Sept. 27, placement of tires, the manufacturer 1983; 60 FR 17268, Apr. 5, 1995; 61 FR 278, Jan. 4, 1996. Redesignated at 67 FR 45872, July 10, shall provide: 2002, as amended at 67 FR 64063, Oct. 17, 2002; (i) The aggregate number of recalled 69 FR 34959, June 23, 2004; 69 FR 50084, Aug. tires that the manufacturer becomes 13, 2004; 70 FR 38814, July 6, 2005; 72 FR 32016, aware have not been rendered unsuit- June 11, 2007; 74 FR 47757, Sept. 17, 2009] able for resale for installation on a

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motor vehicle in accordance with the of remedy with respect to each vehicle, manufacturer’s plan provided to updated as of the end of each quarterly NHTSA pursuant to § 573.6(c)(9); reporting period specified in § 573.7. (ii) The aggregate number of recalled Each vehicle manufacturer shall also tires that the manufacturer becomes maintain such a list of the names and aware have been disposed of in viola- addresses of all dealers and distributors tion of applicable state and local laws to which a defect or noncompliance no- and regulations; and tification was sent. Each list shall be (iii) A description of any failure of a retained for 5 years, beginning with the tire outlet to act in accordance with date on which the defect or noncompli- the directions in the manufacturer’s ance information report required by plan, including an identification of the § 573.6 is initially submitted to NHTSA. outlet(s) in question. (b) Each manufacturer (including (c) Information supplied in response brand name owners) of tires shall to the paragraphs (b)(4) and (5) of this maintain, in a form suitable for inspec- section shall be cumulative totals. tion such as computer information (d) The reports required by this sec- storage devices or card files, a list of tion shall be submitted in accordance the names and addresses of the first with the following schedule, except purchasers of his tires for all tires in- that if the due date specified below volved in a defect or noncompliance falls on a Saturday, Sunday or Federal notification campaign initiated after holiday, the report shall be submitted the effective date of this part. The list on the next day that is a business day shall include the tire identification for the Federal government: number of all tires and shall show the (1) For the first calendar quarter status of remedy with respect to each (January 1 through March 31), on or before April 30; owner involved in each notification (2) For the second calendar quarter campaign, updated as of the end of (April 1 through June 30), on or before each quarterly reporting period speci- July 30; fied in § 573.6. Each list shall be re- (3) For the third calendar quarter tained, beginning with the date on (July 1 through September 30), on or which the defect information report is before October 30; and initially submitted to the NHTSA, for 3 (4) For the fourth calendar quarter years. (October 1 through December 31), on or (c) For each item of equipment in- before January 30. volved in a defect or noncompliance notification campaign initiated after [51 FR 398, Jan. 6, 1986, as amended at 60 FR the effective date of this part, each 17269, Apr. 5, 1995. Redesignated at 67 FR manufacturer of motor vehicle equip- 45872, July 10, 2002, as amended at 69 FR 50085, Aug. 13, 2004] ment other than tires shall maintain, in a form suitable for inspection, such § 573.8 Lists of purchasers, owners, as computer information storage de- dealers, distributors, lessors, and vices or card files, a list of the names lessees. and addresses of each distributor and (a) Each manufacturer of motor vehi- dealer of such manufacturer, each cles shall maintain, in a form suitable motor vehicle or motor vehicle equip- for inspection such as computer infor- ment manufacturer and most recent mation storage devices or card files, a purchaser known to the manufacturer list of the names and addresses of reg- to whom a potentially defective or non- istered owners, as determined through complying item of equipment has been State motor vehicle registration sold and to whom notification is sent, records or other sources or the most re- the number of such items sold to each, cent purchasers where the registered and the date of shipment. The list shall owners are unknown, for all vehicles show as far as is practicable the num- involved in a defect or noncompliance ber of items remedied or returned to notification campaign initiated after the manufacturer and the dates of such the effective date of this part. The list remedy or return. Each list shall be re- shall include the vehicle identification tained, beginning with the date on number for each vehicle and the status which the defect report required by

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§ 573.5 is initially submitted to the defective tire or a tire that is not com- NHTSA, for 5 years. pliant with an applicable tire safety (d) Each lessor of leased motor vehi- standard with actual knowledge that cles that receives a notification from the manufacturer of such tire has noti- the manufacturer of such vehicles that fied its dealers of such defect or non- the vehicle contains a safety-related compliance as required under 49 U.S.C. defect or fails to comply with a Federal 30118(c) or as required by an order motor vehicle safety standard shall under 49 U.S.C. 30118(b) must report maintain, in a form suitable for inspec- that sale or lease to the Associate Ad- tion, such as computer information ministrator for Enforcement, NHTSA, storage devices or card files, a list of 1200 New Jersey Ave., SE., Washington, the names and addresses of all lessees DC 20590. to which the lessor has provided notifi- (b) Exclusions from reporting require- cation of a defect or noncompliance ment. Paragraph (a) of this section is pursuant to 49 CFR 577.5(h). The list not applicable where, before delivery shall also include the make, model, under a sale or lease of a tire: model year, and vehicle identification (1) The defect or noncompliance of number of each such leased vehicle, the tire is remedied as required under and the date on which the lessor 49 U.S.C. 30120; or mailed notification of the defect or (2) Notification of the defect or non- noncompliance to the lessee. The infor- compliance is required by an order mation required by this paragraph under 49 U.S.C. 30118(b), but enforce- must be retained by the lessor for one ment of the order is restrained or the calendar year from the date the vehicle order is set aside in a civil action to lease expires. which 49 U.S.C. 30121(d) applies. [43 FR 60169, Dec. 26, 1978, as amended at 44 (c) Contents of report; requirement of FR 20437, Apr. 5, 1979; 60 FR 17269, Apr. 5, signature. (1) A report submitted pursu- 1995; 61 FR 278, Jan. 4, 1996. Redesignated at ant to paragraph (a) of this section 67 FR 45872, July 10, 2002; 69 FR 34959, June must contain the following informa- 23, 2004] tion, where that information is available to the person selling or leasing the § 573.9 Address for submitting re- defective or noncompliant tire: quired reports and other information. (i) A statement that the report is being submitted pursuant to 49 CFR All submissions, except as otherwise 573.10(a) (sale or lease of defective or required by this part, shall be ad- noncompliant tires); dressed to the Associate Administrator (ii) The name, address and phone for Enforcement, National Highway number of the person who purchased or Traffic Safety Administration, Atten- leased the tire; tion: Recall Management Division (iii) The name of the manufacturer of (NVS–215), 1200 New Jersey Avenue, the tire; SE., Washington, DC 20590. These sub- (iv) The tire’s brand name, model missions may be submitted as an at- name, and size; tachment to an e-mail message to (v) The tire’s DOT identification [email protected] in a portable docu- number; ment format (.pdf). Whether or not (vi) The date of the sale or lease; and they are also submitted electronically, (vii) The name, address, and tele- defect or noncompliance reports re- phone number of the seller or lessor. quired by section 573.6 of this part (2) Each report must be dated and must be submitted by certified mail in signed, with the name of the person accordance with 49 U.S.C. 30118(c). signing the report legibly printed or [72 FR 32016, June 11, 2007] typed below the signature. (d) Reports required to be submitted § 573.10 Reporting the sale or lease of pursuant to this section must be sub- defective or noncompliant tires. mitted no more than that five working (a) Reporting requirement. Subject to days after a person to whom a tire cov- paragraph (b) of this section, any per- ered by this section has been sold or son who knowingly and willfully sells leased has taken possession of that or leases for use on a motor vehicle a tire. Submissions must be made by any

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means which permits the sender to (1) The defect or noncompliance is verify promptly that the report was in remedied as required under 49 U.S.C. fact received by NHTSA and the day it 30120 before delivery under the sale or was received by NHTSA. lease; (2) Notification of the defect or non- [65 FR 81413, Dec. 26, 2000, as amended at 72 FR 32016, June 11, 2007] compliance is required by an order under 49 U.S.C. 30118(b), but enforce- § 573.11 Prohibition on sale or lease of ment of the order is restrained or the new defective and noncompliant order is set aside in a civil action to motor vehicles and items of replace- which 49 U.S.C. 30121(d) applies. ment equipment. [67 FR 19698, Apr. 23, 2002] (a) If notification is required by an order under 49 U.S.C. 30118(b) or is re- § 573.13 Reimbursement for pre-notifi- quired under 49 U.S.C. 30118(c) and the cation remedies. manufacturer has provided to a dealer (a) Pursuant to 49 U.S.C. 30120(d) and (including retailers of motor vehicle § 573.6(c)(8)(i) of this part, this section equipment) notification about a new specifies requirements for a manufac- motor vehicle or new item of replace- turer’s plan (including general reim- ment equipment in the dealer’s posses- bursement plans submitted pursuant to sion, including actual and constructive § 573.6(c)(8)(i)) to reimburse owners and possession, at the time of notification purchasers for costs incurred for rem- that contains a defect related to motor edies in advance of the manufacturer’s vehicle safety or does not comply with notification of safety-related defects an applicable motor vehicle safety and noncompliance with Federal motor standard issued under 49 CFR part 571, vehicle safety standards under sub- the dealer may sell or lease the motor section (b) or (c) of 49 U.S.C. 30118. vehicle or item of replacement equip- (b) Definitions. The following defini- ment only if: tions apply to this section: (1) The defect or noncompliance is (1) Booster seat means either a remedied as required by 49 U.S.C. 30120 backless child restraint system or a before delivery under the sale or lease; belt-positioning seat. or (2) Claimant means a person who seeks (2) When the notification is required reimbursement for the costs of a pre- by an order under 49 U.S.C. 30118(b), en- notification remedy for which he or she forcement of the order is restrained or paid. the order is set aside in a civil action (3) Pre-notification remedy means a to which 49 U.S.C. 30121(d) applies. remedy that is performed on a motor (b) Paragraph (a) of this section does vehicle or item of replacement equip- not prohibit a dealer from offering the ment for a problem subsequently ad- vehicle or equipment for sale or lease, dressed by a notification under sub- provided that the dealer does not sell section (b) or (c) of 49 U.S.C. 30118 and or lease it. that is obtained during the period for [67 FR 19697, Apr. 23, 2002] reimbursement specified in paragraph (c) of this section. § 573.12 Prohibition on sale or lease of (4) Other child restraint system means new and used defective and non- all child restraint systems as defined in compliant motor vehicle equipment. 49 CFR 571.213 S4 not included within (a) Subject to § 573.12(b), no person the categories of rear-facing infant may sell or lease any new or used item seat or booster seat. of motor vehicle equipment (including (5) Rear-facing infant seat means a a tire) as defined by 49 U.S.C. child restraint system that is designed 30102(a)(7), for installation on a motor to position a child to face only in the vehicle, that is the subject of a deci- direction opposite to the normal direc- sion under 49 U.S.C. 30118(b) or a notice tion of travel of the motor vehicle. required under 49 U.S.C. 30118(c), in a (6) Warranty means a warranty as de- condition that it may be reasonably fined in § 579.4(c) of this chapter. used for its original purpose. (c) The manufacturer’s plan shall (b) Paragraph (a) of this section is specify a period for reimbursement, as not applicable where: follows:

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(1) The beginning date shall be no the problem addressed by the recall. later than a date based on the under- The exclusion based on an extended lying basis for the recall determined as warranty may be applied only when the follows: manufacturer provided written notice (i) For a noncompliance with a Fed- of the terms of the extended warranty eral motor vehicle safety standard, the to owners. date shall be the date of the first test (2)(i) For a motor vehicle, the plan or observation by either NHTSA or the may exclude reimbursement: manufacturer indicating that a non- (A) If the pre-notification remedy compliance may exist. was not of the same type (repair, re- (ii) For a safety-related defect that is placement, or refund of purchase price) determined to exist following the open- as the recall remedy; ing of an Engineering Analysis (EA) by (B) If the pre-notification remedy did NHTSA’s Office of Defects Investiga- not address the defect or noncompli- tion (ODI), the date shall be the date ance that led to the recall or a mani- the EA was opened, or one year before festation of the defect or noncompli- the date of the manufacturer’s notifi- ance; or cation to NHTSA pursuant to § 573.6 of (C) If the pre-notification remedy this part, whichever is earlier. was not reasonably necessary to cor- (iii) For a safety-related defect that rect the defect or noncompliance that is determined to exist in the absence of led to the recall or a manifestation of the opening of an EA, the date shall be the defect or noncompliance. one year before the date of the manu- (ii) However, the plan may not re- facturer’s notification to NHTSA pur- quire that the pre-notification remedy suant to § 573.6 of this part. be identical to the remedy elected by (2) The ending date shall be no earlier the manufacturer pursuant to 49 U.S.C. than: 30120(a)(1)(A). (i) For motor vehicles, 10 calendar days after the date on which the manu- (3)(i) For replacement equipment, the facturer mailed the last of its notifica- plan may exclude reimbursement: tions to owners pursuant to part 577 of (A) If the pre-notification remedy did this chapter. not address the defect or noncompli- (ii) For replacement equipment, 10 ance that led to the recall or a mani- calendar days after the date on which festation of the defect or noncompli- the manufacturer mailed the last of its ance; notifications to owners pursuant to (B) If the pre-notification remedy part 577 of this chapter (where applica- was not reasonably necessary to cor- ble) or 30 days after the conclusion of rect the defect or noncompliance that the manufacturer’s initial efforts to led to the recall or a manifestation of provide public notice of the existence the defect and noncompliance; or of the defect or noncompliance pursu- (C) In the case of a child restraint ant to § 577.7, whichever is later. system that was replaced, if the re- (d) The manufacturer’s plan shall placement child restraint is not the provide for reimbursement of costs for same type (i.e., rear-facing infant seat, pre-notification remedies, subject to booster seat, or other child restraint the conditions established in the plan. system) as the restraint that was the The following conditions and no others subject of the recall. may be established in the plan. (ii) However, the plan may not re- (1) The plan may exclude reimburse- quire that the pre-notification remedy ment for costs incurred within the pe- be identical to the remedy elected by riod during which the manufacturer’s the manufacturer pursuant to 49 U.S.C. original or extended warranty would 30120(a)(1)(B). have provided for a free repair of the (4) The plan may exclude reimburse- problem addressed by the recall, with- ment if the claimant did not submit out any payment by the consumer un- adequate documentation to the manu- less a franchised dealer or authorized facturer at an address or location des- representative of the manufacturer de- ignated pursuant to § 573.13(f). The plan nied warranty coverage or the repair may require, at most, that the fol- made under warranty did not remedy lowing documentation be submitted:

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(i) Name and mailing address of the (A) An invoice or receipt showing claimant; purchase of the recalled item of re- (ii) Identification of the product that placement equipment; was recalled: (B) If the claimant sent a registra- (A) For motor vehicles, the vehicle tion card for a recalled child restraint make, model, model year, and vehicle system or tire to the manufacturer, a identification number of the vehicle; statement to that effect; (B) For replacement equipment other (C) A copy of the registration card than child restraint systems and tires, for the recalled child restraint system a description of the equipment, includ- or tire; or ing model and size as appropriate; (D) Documentation demonstrating (C) For child restraint systems, a de- that the claimant had replaced a re- scription of the restraint, including the called tire that was on a vehicle that type (rear-facing infant seat, booster he, she, or a relative owned; and seat, or other child restraint system) (vii) If the pre-notification remedy and the model; or was obtained at a time when the vehi- (D) For tires, the model and size; cle or equipment could have been re- (iii) Identification of the recall (ei- paired or replaced at no charge under a ther the NHTSA recall number or the manufacturer’s original or extended manufacturer’s recall number); warranty program, documentation in- (iv) Identification of the owner or dicating that the manufacturer’s deal- purchaser of the recalled motor vehicle er or authorized facility either refused or replacement equipment at the time to remedy the problem addressed by that the pre-notification remedy was the recall under the warranty or that obtained; the warranty repair did not correct the (v) A receipt for the pre-notification problem addressed by the recall. remedy, which may be an original or (e) The manufacturer’s plan shall copy: specify the amount of costs to be reim- (A) If the reimbursement sought is bursed for a pre-notification remedy. for a repair, the manufacturer may re- (1) For motor vehicles: quire that the receipt indicate that the (i) The amount of reimbursement repair addressed the defect or non- shall not be less than the lesser of: compliance that led to the recall or a manifestation of the defect or non- (A) The amount paid by the owner for compliance, and state the total amount the remedy, or paid for the repair of that problem. (B) The cost of parts for the remedy, Itemization of a receipt of the amount plus associated labor at local labor for parts, labor, other costs and taxes, rates, miscellaneous fees such as dis- may not be required unless it is un- posal of waste, and taxes. Costs for clear on the face of the receipt that the parts may be limited to the manufac- repair for which reimbursement is turer’s list retail price for authorized sought addressed only the pre-notifica- parts. tion remedy relating to the pertinent (ii) Any associated costs, including, defect or noncompliance or manifesta- but not limited to, taxes or disposal of tion thereof. wastes, may not be limited. (B) If the reimbursement sought is (2) For replacement equipment: for the replacement of a vehicle part or (i) The amount of reimbursement or- an item of replacement equipment, the dinarily would be the amount paid by manufacturer may require that the re- the owner for the replacement item. ceipt identify the item and state the (ii) In cases in which the owner pur- total amount paid for the item that re- chased a brand or model different from placed the defective or noncompliant the item of motor vehicle equipment item; that was the subject of the recall, the (vi) In the case of items of replace- manufacturer may limit the amount of ment equipment that were replaced, reimbursement to the retail list price documentation that the claimant or a of the defective or noncompliant item relative thereof (with relationship stat- that was replaced, plus taxes. ed) owned the recalled item. Such doc- (iii) If the item of motor vehicle umentation could consist of: equipment was repaired, the provisions

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of paragraph (e)(1) of this section placement equipment other than a tire, apply. it was bought by the first purchaser (f) The manufacturer’s plan shall more than 10 calendar years before no- identify an address to which claimants tice is given under 49 U.S.C. 30118(c) or may mail reimbursement clams and an order is issued under section 49 may identify franchised dealer(s) and U.S.C. 30118(b). In the case of a tire, authorized facilities to which claims this period shall be 5 calendar years. for reimbursement may be submitted [67 FR 64063, Oct. 17, 2002] directly. (g) The manufacturer (either directly § 573.14 Accelerated remedy program. or through its designated dealer or fa- (a) An accelerated remedy program is cility) shall act upon requests for reim- one in which the manufacturer expands bursement as follows: the sources of replacement parts need- (1) The manufacturer shall act upon a ed to remedy the defect or noncompli- claim for reimbursement within 60 ance, or expands the number of author- days of its receipt. If the manufacturer ized repair facilities beyond those fa- denies the claim, the manufacturer cilities that usually and customarily must send a notice to the claimant provide remedy work for the manufac- within 60 days of receipt of the claim turer, or both. that includes a clear, concise state- (b) The Administrator may require a ment of the reasons for the denial. manufacturer to accelerate its remedy (2) If a claim for reimbursement is in- program if: complete when originally submitted, (1) The Administrator finds that the manufacturer shall advise the there is a risk of serious injury or claimant within 60 days of receipt of death if the remedy program is not ac- the claim of the documentation that is celerated; needed and offer an opportunity to re- (2) The Administrator finds that ac- submit the claim with complete docu- celeration of the remedy program can mentation. be reasonably achieved by expanding (h) Reimbursement shall be in the the sources of replacement parts, ex- form of a check or cash from the manu- panding the number of authorized re- facturer or a designated dealer or facil- pair facilities, or both; and ity. (3) The Administrator determines (i) The manufacturer shall make its that the manufacturer’s remedy pro- reimbursement plan available to the gram is not likely to be capable of public upon request. completion within a reasonable time. (j) Any disputes over the denial in (c) The Administrator, in deciding whole or in part of a claim for reim- whether to require the manufacturer to bursement shall be resolved between accelerate a remedy program and what the claimant and the manufacturer. to require the manufacturer to do, will NHTSA will not mediate or resolve any consult with the manufacturer and disputes regarding eligibility for, or may consider a wide range of informa- the amount of, reimbursement. tion, including, but not limited to, the (k) Each manufacturer shall imple- following: the manufacturer’s initial or ment each plan for reimbursement in revised report submitted under accordance with this section and the § 573.6(c), information from the manu- terms of the plan. facturer, information from other man- (l) Nothing in this section requires ufacturers and suppliers, information that a manufacturer provide reim- from any source related to the avail- bursement in connection with a fraudu- ability and implementation of the rem- lent claim for reimbursement. edy, and the seriousness of the risk of (m) A manufacturer’s plan may pro- injury or death associated with the de- vide that it will not apply to recalls fect or noncompliance. based solely on noncompliant or defec- (d) As required by the Administrator, tive labels. an accelerated remedy program shall (n) The requirement that reimburse- include the manner of acceleration (ex- ment for a pre-notification remedy be pansion of the sources of replacement provided to an owner does not apply if, parts, expansion of the number of au- in the case of a motor vehicle or re- thorized repair facilities, or both), may

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require submission of a plan, may iden- include, to the extent required by the tify the parts to be provided and/or the Administrator: sources of those parts, may require the (1) A description of the remedy and manufacturer to notify the agency and costs that are eligible for reimburse- owners about any differences among ment, including identification of the different sources or brands of parts, equipment and/or parts and labor for may require the manufacturer to iden- which reimbursement is available; tify additional authorized repair facili- (2) Identification, with specificity or ties, and may specify additional owner as a class, of the alternative repair fa- notifications related to the program. cilities at which reimbursable repairs The Administrator may also require may be performed, including an expla- the manufacturer to include a program nation of how to arrange for service at to provide reimbursement to owners those facilities; and who incur costs to obtain the acceler- (3) Other provisions assuring appro- ated remedy. priate reimbursement that are con- (e) Under an accelerated remedy pro- sistent with those set forth in § 573.13, gram, the remedy that is provided shall including, but not limited to, provi- be equivalent to the remedy that would sions regarding the procedures and have been provided if the manufactur- needed documentation for making a er’s remedy program had not been ac- claim for reimbursement, the amount celerated. The replacement parts used of costs to be reimbursed, the office to to remedy the defect or noncompliance which claims for reimbursement shall shall be reasonably equivalent to those be submitted, the requirements on that would have been used if the rem- manufacturers for acting on claims for edy program were not accelerated. The reimbursement, and the methods by service procedures shall be reasonably which owners can obtain information equivalent. In the case of tires, all re- about the program. placement tires shall be the same size (g) In response to a manufacturer’s and type as the defective or noncompli- request, the Administrator may au- ant tire, shall be suitable for use on the thorize a manufacturer to terminate owner’s vehicle, shall have the same or its accelerated remedy program if the higher load index and speed rating, Administrator concludes that the man- and, for passenger car tires, shall have ufacturer can meet all future demands the same or better rating in each of the for the remedy through its own sources three categories enumerated in the in a prompt manner. If required by the Uniform Tire Quality Grading System. Administrator, the manufacturer shall See 49 CFR 575.104. In the case of child provide notice of the termination of restraints systems, all replacements the program to all owners of shall be of the same type (e.g., rear-fac- unremedied vehicles and equipment at ing infant seats with a base, rear-fac- least 30 days in advance of the termi- ing infant seats without a base, con- nation date, in a form approved by the vertible seats (designed for use in both Administrator. rear- and forward-facing modes), for- (h) Each manufacturer shall imple- ward-facing only seats, high back ment any accelerated remedy program booster seats with a five-point harness, required by the Administrator accord- and belt positioning booster seats) and ing to the terms of that program. the same overall quality. (f) In those instances where the ac- [67 FR 72392, Dec. 5, 2002] celerated remedy program provides that an owner may obtain the remedy PART 574—TIRE IDENTIFICATION from a source other than the manufac- AND RECORDKEEPING turer or its dealers or authorized facilities by paying for the remedy and/or its Sec. installation, the manufacturer shall re- 574.1 Scope. imburse the owner for the cost of ob- 574.2 Purpose. taining the remedy as specified on 574.3 Definitions. paragraphs (f)(1) through (f)(3) of this 574.4 Applicability. section. Under these circumstances, 574.5 Tire identification requirements. the accelerated remedy program shall 574.6 Identification mark.

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574.7 Information requirements—new tire conduct and, if the maintained information manufacturers, new tire brand name is being misused, take appropriate action. owners. ‘‘Issued under the authority of sections 103, 574.8 Information requirements—tire dis- 113, and 119 of the National Traffic and tributors and dealers. Motor Vehicle Safety Act, 15 U.S.C. 1392, 574.9 Requirements for motor vehicle deal- 1402, and 1407, and the delegation of author- ers. ity at 49 CFR 1.51.’’ 574.10 Requirements for motor vehicle manufacturers. § 574.1 Scope. AUTHORITY: 49 U.S.C. 322, 30111, 30115, 30117, This part sets forth the method by and 30166; delegation of authority at 49 CFR which new tire manufacturers and new 1.50. tire brand name owners shall identify EDITORIAL NOTE: An interpretation of man- tires for use on motor vehicles and ufacturer’s designee issued by NHTSA and maintain records of tire purchasers, published at 36 FR 9780, May 28, 1971, pro- and the methods by which retreaders vides as follows: and retreaded tire brand name owners ‘‘A request for an interpretation has been shall identify tires for use on motor ve- received from the Rubber Manufacturers As- hicles. This part also sets forth the sociation asking that it be made clear that, methods by which independent tire under the Tire Identification and Record- dealers and distributors shall record, keeping Regulation (part 574), particularly on registration forms, their names and §§ 574.7 and 574.8, only the tire manufacturer, addresses and the identification num- brand name owner, or retreader may des- ber of the tires sold to tire purchasers ignate a third party to provide the necessary recording forms or to maintain the records and provide the forms to the pur- required by the regulation. chasers, so that the purchasers may re- ‘‘Another person has requested an interpre- port their names to the new tire manu- tation concerning the questions whether: (1) facturers and new tire brand name A tire manufacturer, brand name owner or owners, and by which other tire dealers retreader may designate one or more persons and distributors shall record and report to be its designee for the purpose of main- the names of tire purchasers to the new taining the information, (2) an independent tire manufacturers and new tire brand distributor or dealer may select a designee name owners. for the retention of the manufacturer’s records, provided the manufacturer approves (Authority: Secs. 108, 119, and 201, Pub. L. 89– the designation, and (3) the independent dis- 563, 80 Stat. 718 (15 U.S.C. 1392, 1407, and 1421); tributor or dealer may seek administrative sec. 4, Pub. L. 97–311, 96 Stat. 1619 (15 U.S.C. relief in the event he believes the informa- 1418); and delegation of authority at 49 CFR tion retained by the manufacturer is being 1.50) used to his detriment. [49 FR 4760, Feb. 8, 1984] ‘‘Under section 113(f) of the National Traf- fic and Motor Vehicle Safety Act (15 U.S.C. § 574.2 Purpose. 1402(f) and part 574, it is the tire manufac- The purpose of this part is to facili- turer who has the ultimate responsibility for maintaining the records of first purchasers. tate notification to purchasers of de- Therefore, it is the tire manufacturer or his fective or nonconforming tires, pursu- designee who must maintain these records. ant to Sections 30118 and 30119 of Title The term designee, as used in the regulation, 49, United States Code, so that they was not intended to preclude multiple des- may take appropriate action in the in- ignees; if the tire manufacturer desires, he terest of motor vehicle safety. may designate more than one person to maintain the required information. Further- [61 FR 29495, June 11, 1996] more, neither the Act nor the regulation pro- hibits the distributor or dealer from being § 574.3 Definitions. the manufacturer’s designee nor do they pro- (a) Statutory definitions. All terms in hibit a distributor or dealer from selecting this part that are defined in Section someone to be the manufacturer’s designee 30102 of Title 49, United States Code, provided the manufacturer approves of the selection. are used as defined therein. (b) Motor vehicle safety standard defi- ‘‘With respect to the possibility of manufacturers using the maintained information nitions. Unless otherwise indicated, all to the detriment of a distributor or dealer, terms used in this part that are defined the NHTSA will of course investigate claims in the Motor Vehicle Safety Standards, by distributors or dealers of alleged mis- part 571 of this subchapter (hereinafter

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the Standards), are used as defined each tire it manufactures, except tires therein. manufactured exclusively for mileage- (c)(1) Independent means, with re- contract purchasers, or non-pneumatic spect to a tire distributor or dealer, tires or non-pneumatic tire assemblies, one whose business is not owned or by permanently molding into or onto controlled by a tire manufacturer or the sidewall, in the manner and loca- brand name owner. tion specified in Figure 1, a tire identi- (2) Mileage contract purchaser means a fication number containing the infor- person who purchases or leases tire use mation set forth in paragraphs (a) on a mileage basis. through (d) of this section. However, at (3) New tire brand name owner means a the option of the manufacturer, the in- person, other than a new tire manufac- formation contained in paragraph (d) of turer, who owns or has the right to this section may, instead of being per- control the brand name of a new tire or manently molded, be laser etched into a person who licenses another to pur- or onto the sidewall in the location chase new tires from a new tire manu- specified in Figure 1, during the manufacturer bearing the licensor’s brand facturing process of the tire and not name. later than 24 hours after the tire is re- (4) Retreaded tire brand name owner moved from the mold. Each tire re- means a person, other than a retreader, treader, except tire retreaders who re- who owns or has the right to control tread tires solely for their own use, the brand name of a retreaded tire or a shall conspicuously label one sidewall person who licenses another to pur- of each tire it retreads by permanently chase retreaded tires from a retreader molding or branding into or onto the bearing the licensor’s brand name. sidewall, in the manner and location (5) Tire purchaser means a person who specified in Figure 2, a tire identifica- buys or leases a new tire, or who buys tion number containing the informa- or leases for 60 days or more a motor tion set forth in paragraphs (a) through vehicle containing a new tire for pur- (d) of this section. However, at the op- poses other than resale. tion of the retreader, the information (Authority: Secs. 103, 108, 112, 119, 201, Pub. set forth in paragraph (d) of this sec- L. 89–563, 80 Stat. 718 (15 U.S.C. 1392, 1397, tion may, instead of being permanently 1401, 1407, 1421); secs. 102, 103, 104, Pub. L. 93– molded or branded, be laser etched into 492, 88 Stat. 1470 (15 U.S.C. 1411–1420); 92 Stat. or onto the sidewall in the location 2689 (15 U.S.C. 1418); delegation of authority specified in Figure 2, during the re- at 49 CFR 1.51) treading of the tire and not later than [36 FR 1197, Jan. 26, 1971, as amended at 44 24 hours after the application of the FR 7964, Feb. 8, 1979; 49 FR 38612, Oct. 1, 1984; new tread. In addition, the DOT symbol 61 FR 29495, June 11, 1996] required by Federal Motor Vehicle Safety Standards shall be located as § 574.4 Applicability. shown in Figures 1 and 2. The DOT This part applies to manufacturers, symbol shall not appear on tires to brand name owners, retreaders, dis- which no Federal Motor Vehicle Safety tributors, and dealers of new and Standard is applicable, except that the retreaded tires, and new non-pneu- DOT symbol on tires for use on motor matic tires and non-pneumatic tire as- vehicles other than passenger cars semblies for use on motor vehicles may, prior to retreading, be removed manufactured after 1948 and to manu- from the sidewall or allowed to remain facturers and dealers of motor vehicles on the sidewall, at the retreader’s op- manufactured after 1948. However, it tion. The symbols to be used in the tire does not apply to persons who retread identification number for tire manu- tires solely for their own use. facturers and retreaders are: ‘‘A, B, C, [36 FR 5422, Mar. 23, 1971, as amended at 55 D, E, F, H, J, K, L, M, N, P, R, T, U, V, FR 29596, July 20, 1990] W, X, Y, 1, 2, 3, 4, 5, 6, 7, 8, 9, 0’’. Tires manufactured or retreaded exclusively § 574.5 Tire identification require- for mileage-contract purchasers are ments. not required to contain a tire identi- Each tire manufacturer shall con- fication number if the tire contains the spicuously label on one sidewall of phrase ‘‘for mileage contract use only’’

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permanently molded into or onto the size and shall provide such record to tire sidewall in lettering at least one- the NHTSA upon written request. quarter inch high. Each manufacturer (c) Third grouping. The third group, of a non-pneumatic tire or a non-pneu- consisting of no more than four sym- matic tire assembly shall permanently bols, may be used at the option of the mold, stamp or otherwise permanently manufacturer or retreader as a descrip- mark into or onto one side of the non- tive code for the purpose of identifying pneumatic tire or non-pneumatic tire significant characteristics of the tire. assembly a tire identification number However, if the tire is manufactured containing the information set forth in for a brand name owner, one of the paragraphs (a) through (d) of this sec- functions of the third grouping shall be tion. In addition, the DOT symbol re- to identify the brand name owner. quired by the Federal motor vehicle Each manufacturer or retreader who safety standards shall be positioned uses the third grouping shall maintain relative to the tire identification num- a detailed record of any descriptive or ber as shown in Figure 1, and the sym- brand name owner code used, which bols to be used for the other informa- shall be provided to the Bureau upon tion are those listed above. The label- written request. ing for a non-pneumatic tire or a non- (d) Fourth grouping. The fourth pneumatic tire assembly shall be in the grouping, consisting of four numerical manner specified in Figure 1 and posi- symbols, must identify the week and tioned on the non-pneumatic tire or year of manufacture. The first two non-pneumatic tire assembly such that symbols must identify the week of the it is not placed on the tread or the out- year by using ‘‘01’’ for the first full cal- ermost edge of the tire and is not ob- endar week in each year, ‘‘02’’ for the structed by any portion of the non- second full calendar week, and so on. pneumatic rim or wheel center member The calendar week runs from Sunday designated for use with that non-pneu- through the following Saturday. The matic tire in S4.4 of Standard No. 129 final week of each year may include (49 CFR 571.129). not more than 6 days of the following (a) First grouping. The first group, of year. The third and fourth symbols two or three symbols, depending on must identify the year. Example: 0101 whether the tire is new or retreaded, means the 1st week of 2001, or the week shall represent the manufacturer’s as- beginning Sunday, January 7, 2001, and signed identification mark (see § 574.6). ending Saturday, January 13, 2001. The (b) Second grouping. For new tires, symbols signifying the date of manu- the second group, of no more than two facture shall immediately follow the symbols, shall be used to identify the optional descriptive code (paragraph tire size. For a new non-pneumatic tire (c) of this section). If no optional de- or a non-pneumatic tire assembly, the scriptive code is used, the symbols sig- second group, of not more than two nifying the date of manufacture must symbols, shall be used to identify the be placed in the area shown in Figures non-pneumatic tire identification code. 1 and 2 of this section for the optional For retreaded tires, the second group, descriptive code. of no more than two symbols, shall (e) Tire identification number height. identify the retread matrix in which Notwithstanding Figures 1 and 2, each the tire was processed or a tire size character in the tire identification code if a matrix was not used to proc- number on tires with less than 6 inches ess the retreaded tire. Each new-tire in cross section width or tires with less manufacturer and retreader shall than 13 inches bead diameter may be maintain a record of each symbol used, any size of 5/32 inches (4 mm) or great- with the corresponding matrix or tire er.

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[36 FR 1197, Jan. 26, 1971, as amended at 36 (B) Be not less than 31⁄2 inches high, FR 9870, May 23, 1971; 37 FR 23727, Nov. 8, 5 inches long, and 0.007 inches thick; 1972; 37 FR 25521, Dec. 1, 1972; 39 FR 5192, Feb. (C) Be not more than 41⁄4 inches high, 11, 1974; 39 FR 12105, Apr. 3, 1974; 50 FR 2288, Jan. 16, 1985; 55 FR 29596, July 20, 1990; 64 FR 6 inches long, and 0.016 inch thick. 36812, July 8, 1999; 67 FR 69628, Nov. 18, 2002; (ii) On the address side of the form, 69 FR 31320, June 3, 2004; 69 FR 51400, Aug. 19, be addressed with the name and ad- 2004; 69 FR 64501, Nov. 5, 2004] dress of the manufacturer or its designee, and include, in the upper right § 574.6 Identification mark. hand corner, the statement ‘‘Affix a To obtain the identification mark re- postcard stamp.’’ quired by 574.5(a), each manufacturer (iii) On the other side of the form: of new or retreaded pneumatic tires, (A) Include the tire manufacturer’s non-pneumatic tires or non-pneumatic name, unless it appears on the address tire assemblies shall apply in writing side of the form; to the Office of Vehicle Safety Compli- (B) Include a statement explaining ance, National Highway Traffic Safety the purpose of the form and how a con- Administration, 400 Seventh Street sumer may register tires. The state- SW., Washington, DC 20590, identify ment shall: itself as a tire manufacturer or re- (1) Include the heading ‘‘IMPOR- treader and furnish the following infor- TANT’’. mation: (2) Include the sentence: ‘‘In case of a (a) The name, or other designation recall, we can reach you only if we identifying the applicant, and its main have your name and address.’’ office address. (3) Indicate that sending in the card (b) The name, or other identifying will add a person to the manufacturer’s designation, of each individual plant recall list. operated by the manufacturer and the (4) A tire manufacturer may volun- address of each plant, if applicable. tarily provide means for tire registra- (c) The type of tires manufactured at tion via the Internet, by telephone or each plant, e.g., pneumatic tires for other electronic means. If a tire manu- passenger cars, buses, trucks or motor- facturer voluntarily provides a Web cycles; pneumatic retreaded tires; or site or other means by which its tires non-pneumatic tires or non-pneumatic can be registered, it may (but is not re- tire assemblies. quired to) include a sentence listing [55 FR 29596, July 20, 1990, as amended at 61 one or more such means, beginning FR 29495, June 11, 1996] with the phrase ‘‘Instead of mailing this form, you can * * *.’’ Example: In- § 574.7 Information requirements— stead of mailing this form, you can reg- new tire manufacturers, new tire ister online at [insert tire manufactur- brand name owners. er’s registration Web site address]. (a)(1) Each new tire manufacturer (5) Include the sentence: ‘‘Do it and each new tire brand name owner today.’’ (hereinafter referred to in this section (C) Include space for recording tire and § 574.8 as ‘‘tire manufacturer’’) or identification numbers for six tires. its designee, shall provide tire registra- (D) Use shading to distinguish be- tion forms to every distributor and tween areas of the form to be filled in dealer of its tires which offers new by sellers and customers. tires for sale or lease to tire pur- (1) Include the statement: ‘‘Shaded chasers. areas must be filled in by seller.’’ (2) Each tire registration form pro- (2) The areas of the form for record- vided to independent distributors and ing tire identification numbers and in- dealers pursuant to paragraph (a)(1) of formation about the seller of the tires this section shall contain space for re- must be shaded. cording the information specified in (3) The area of the form for recording paragraphs (a)(4)(i) through (a)(4)(iii) of the customer name and address must this section. Each form shall: not be shaded. (i) Have the following physical char- (E) Include, in the top right corner, acteristics: the phrase ‘‘OMB Control No. 2127– (A) Be rectangular; 0050’’.

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(3) Each tire registration form pro- which registration forms have been vided to distributors and dealers that submitted to the manufacturer or its are not independent distributors or designee, and the total number of tires dealers pursuant to paragraph (a)(1) of sold by the manufacturer. this section must contain space for re- (d) The information that is specified cording the information specified in in paragraph (a)(4) of this section and paragraphs (a)(4)(i) through (a)(4)(iii) of recorded on registration forms sub- this section. Each form must include: mitted to a tire manufacturer or its (A) A statement indicating where the designee shall be maintained for a pe- form should be returned, including the riod of not less than five years from name and mailing address of the manu- the date on which the information is facturer or its designee. recorded by the manufacturer or its (B) The tire manufacturers’ logo or designee. other identification, if the manufac- (e) Tire manufacturers may volun- turer is not identified as part of the tarily provide means for tire registra- statement indicating where the form tion via the Internet, by telephone or should be returned. other electronic means. (C) The statement: ‘‘IMPORTANT: (f) Each tire manufacturer shall meet FEDERAL LAW REQUIRES TIRE the requirements of paragraphs (b), (c) IDENTIFICATION NUMBERS MUST and (d) of this section with respect to BE REGISTERED’’. tire registration information sub- (D) In the top right corner, the mitted to it or its designee by any phrase ‘‘OMB Control No. 2127–0050’’. means authorized by the manufacturer (4)(i) Name and address of the tire in addition to the use of registration purchaser. forms. (ii) Tire identification number. (Authority: Secs. 108, 119, and 201, Pub. L. 89– (iii) Name and address of the tire 563, 80 Stat. 718 (15 U.S.C. 1392, 1407, and 1421); seller or other means by which the tire sec. 4, Pub. L. 97–311, 96 Stat. 1619 (15 U.S.C. manufacturer can identify the tire sell- 1418); and delegation of authority at 49 CFR er. 1.50) (b) Each tire manufacturer shall [49 FR 4760, Feb. 8, 1984; 49 FR 5621, Feb. 14, record and maintain, or have recorded 1984, as amended at 56 FR 49427, Sept. 30, and maintained for it by a designee, 1991; 64 FR 36815, July 8, 1999; 67 FR 45872, the information from registration July 10, 2002; 71 FR 39233, July 12, 2006; 73 FR forms which are submitted to it or its 72368, Nov. 28, 2008] designee. No tire manufacturer shall use the information on the registration § 574.8 Information requirements—tire forms for any commercial purpose det- distributors and dealers. rimental to tire distributors and deal- (a) Independent distributors and dealers. Any tire manufacturer to which ers. registration forms are mistakenly sent (1) Each independent distributor and shall forward those registration forms each independent dealer selling or leas- to the proper tire manufacturer within ing new tires to tire purchasers or les- 90 days of the receipt of the forms. sors (hereinafter referred to in this sec- (c) Each tire manufacturer shall tion as ‘‘tire purchasers’’) shall comply maintain, or have maintained for it by with paragraph (a)(1)(i), (a)(1)(ii) or a designee, a record of each tire dis- (a)(1)(iii) of this section: tributor and dealer that purchases (i) At the time of sale or lease of the tires directly from the manufacturer tire, provide each tire purchaser with a and sells them to tire purchasers, the paper tire registration form on which number of tires purchased by each such the distributor or dealer has recorded distributor or dealer, the number of the following information: tires for which reports have been re- (A) The entire tire identification ceived from each such distributor or number of the tire(s) sold or leased to dealer other than an independent dis- the tire purchaser, and tributor or dealer, the number of tires (B) The distributor’s or dealer’s name for which reports have been received and street address. In lieu of the street from each such independent distributor address, and if one is available, the dis- or dealer, the total number of tires for tributor or dealer’s e-mail address or

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Web site may be recorded. Other means by tire manufacturers to independent of identifying the distributor or dealer distributors and dealers. known to the manufacturer may also (3) Multiple tire sales or leases by the be used. same tire purchaser may be recorded (ii) Record the following information on a single paper registration form or on a paper tire registration form and in a single Web site transaction. return it to the tire manufacturer, or (4) Each independent distributor or its designee, on behalf of the tire pur- dealer that is complying with para- chaser, at no charge to the tire pur- graph (a)(1)(iii) with respect to a sale chaser and within 30 days of the date of or lease shall include a statement to sale or lease: that effect on the invoice for that sale (A) The purchaser’s name and ad- or lease and provide the invoice to the dress, tire purchaser. (b) Other distributors and dealers. (B) The entire tire identification (1) Each distributor and each dealer, number of the tire(s) sold or leased to other than an independent distributor the tire purchaser, and or dealer, selling new tires to tire pur- (C) The distributor’s or dealer’s name chasers: and street address. In lieu of the street (i) shall submit, using paper registra- address, and if one is available, the dis- tion forms or, if authorized by the tire tributor or dealer’s e-mail address or manufacturer, secure electronic means, Web site may be recorded. Other means the information specified in § 574.7(a)(4) of identifying the distributor or dealer to the manufacturer of the tires sold, known to the manufacturer may also or to the manufacturer’s designee. be used. (ii) shall submit the information (iii) Electronically transmit the fol- specified in § 574.7(a)(4) to the tire man- lowing information on the tire reg- ufacturer or the manufacturer’s des- istration form by any means listed on ignee, not less often than every 30 the form by the tire manufacturer, or days. A distributor or dealer selling by such other means as may be author- fewer than 40 tires of all makes, types ized by the tire manufacturer, to the and sizes during a 30 day period may tire manufacturer or its designee, wait until a total of 40 new tires is using secure means (e.g., https on the sold. In no event may more than six Web), at no charge to the tire pur- months elapse before the § 574.7(a)(4) in- chaser and within 30 days of the date of formation is forwarded to the respec- sale or lease: tive tire manufacturers or their des- (A) The purchaser’s name and ad- ignees. dress, (c) Each distributor and each dealer (B) The entire tire identification selling new tires to other tire distribu- number of the tire(s) sold or leased to tors or dealers shall supply to the dis- the tire purchaser, and tributor or dealer a means to record (C) The distributor’s or dealer’s name the information specified in and street address. In lieu of the street § 574.7(a)(4), unless such means has been address, and if one is available, the dis- provided to that distributor or dealer tributor or dealer’s e-mail address or by another person or by a manufac- Web site may be recorded. Other means turer. of identifying the distributor or dealer (d) Each distributor and each dealer known to the manufacturer may also shall immediately stop selling any be used. group of tires when so directed by a no- (2) Each independent distributor or tification issued pursuant to 49 U.S.C. dealer that complies with paragraph 30118, Notification of defects and non- (a)(1)(i) or (ii) of this section shall use compliance. either the tire registration forms pro- [73 FR 72368, Nov. 28, 2008] vided by the tire manufacturers pursuant to § 574.7(a) or registration forms § 574.9 Requirements for motor vehicle obtained from another source. Paper dealers. forms obtained from other sources (a) Each motor vehicle dealer who must comply with the requirements sells a used motor vehicle for purposes specified in § 574.7(a) for forms provided other than resale, who leases a motor

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vehicle for more than 60 days, that is 575.7 Special vehicles. equipped with new tires is considered, for purposes of this part, to be a tire Subpart B—Regulations; Consumer dealer and shall meet the requirements Information Items specified in § 574.8. 575.101–575.102 [Reserved] (b) Each person selling a motor vehi- 575.103 Truck-camper loading. cle to first purchasers for purposes 575.104 Uniform tire quality grading stand- other than resale, that is equipped with ards. new tires that were not on the motor 575.105 Vehicle rollover. vehicle when shipped by the vehicle 575.106 Tire fuel efficiency consumer infor- manufacturer is considered a tire deal- mation program. er for purposes of this part and shall Subpart C—Transportation Recall Enhance- meet the requirements specified in ment, Accountability, and Docu- § 574.8. mentation Act; Consumer Information (Authority: Secs. 103, 108, 112, 119, 201, Pub. L. 89–563, 80 Stat. 718 (15 U.S.C. 1392, 1397, 575.201 Child restraint performance. 1401, 1407, 1421); secs. 102, 103, 104, Pub. L. 93– 492, 88 Stat. 1470 (15 U.S.C. 1411–1420); 92 Stat. Subpart D—Safe, Accountable, Flexible, Ef- 2689 (15 U.S.C. 1418); delegation of authority ficient Transportation Equity Act: A at 49 CFR 1.51) Legacy for Users (SAFETEA–LU); Con- [44 FR 7964, Feb. 8, 1979] sumer Information 575.301 Vehicle Labeling of Safety Rating § 574.10 Requirements for motor vehi- Information. cle manufacturers. AUTHORITY: 49 U.S.C. 32302, 32304A, 30111, Each motor vehicle manufacturer, or 30115, 30117, 30123, 30166, and 30168, Pub. L. his designee, shall maintain a record of 104–414, 114 Stat. 1800, Pub. L. 109–59, 119 Stat. the new tires on or in each vehicle 1144, Pub. L. 110–140, 121 Stat. 1492, 15 U.S.C. shipped by him or a motor vehicle dis- 1232(g); delegation of authority at 49 CFR tributor or dealer, and shall maintain a 1.50. record of the name and address of the first purchaser for purposes other than Subpart A—Regulations Issued resale of each vehicle equipped with Under Section 112(d) of the such tires. These records shall be main- National Traffic and Motor Ve- tained for a period of not less than 5 hicle Safety Act; General years from the date of sale of the vehicle to the first purchaser for purposes other than resale. SOURCE: 35 FR 6867, Apr. 30, 1970, unless otherwise noted. (Authority: Secs. 103, 108, 112, 119, 201, Pub. L. 89–563, 80 Stat. 718 (15 U.S.C. 1392, 1397, § 575.1 Scope. 1401, 1407, 1421); secs. 102, 103, 104, Pub. L. 93– This part contains National Highway 492, 88 Stat. 1470 (15 U.S.C. 1411–1420); 92 Stat. 2689 (15 U.S.C. 1418); delegation of authority Traffic Safety Administration regula- at 49 CFR 1.51) tions relating to consumer information. [44 FR 7964, Feb. 8, 1979, as amended at 67 FR 45872, July 10, 2002] [75 FR 15944, Mar. 30, 2010]

PART 575—CONSUMER § 575.2 Definitions. INFORMATION (a) Statutory definitions.—(1) All terms used in this part, subject to Subpart A—Regulations Issued Under Sec- paragraph (a)(2) of this section, that tion 112(d) of the National Traffic and are defined in 49 U.S.C. 30102, are used Motor Vehicle Safety Act; General as defined therein. (2) All terms used in Subpart D of Sec. this part that are defined in 15 U.S.C. 575.1 Scope. 1231, are used as defined therein. 575.2 Definitions. 575.3 Matter incorporated by reference. (b) Motor Vehicle Safety Standard defi- 575.4 Application. nitions. Unless otherwise indicated, all 575.5 Separability. terms used in this part that are defined 575.6 Requirements. in the Motor Vehicle Safety Standards,

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part 571 of this subchapter (hereinafter zerland, +41 22 749 01 11, http:// ‘‘the Standards’’), are used as defined www.iso.org/iso/home.htm. All ISO mate- in the Standards without regard to the rials are also available from the U.S. applicability of a standard in which a ISO member, American National Stand- definition is contained. ards Institute (ANSI), 25 West 43rd (c) Definitions used in this part. Street, Fourth Floor, New York, NY Owners manual means the document 10036–7417, 212–642–4900, http:// which contains the manufacturers www.ansi.org/. comprehensive vehicle operating and (1) International Organization for maintenance instructions, and which is Standardization (ISO), ISO 28580:2009(E) intended to remain with the vehicle for (‘‘ISO 28580’’), ‘‘Passenger car, truck the life of the vehicle. and bus tyres—Methods of measuring Skid number means the frictional re- rolling resistance—Single point test sistance measured in accordance with and correlation of measurement re- ASTM E 274 (incorporated by reference, sults,’’ First edition (July 1, 2009), IBR see § 575.3) at 40 miles per hour, omit- approved for § 575.106. ting water delivery as specified in (2) [Reserved] paragraph 7.1 of ASTM E 274 (incor- (c) American Society for Testing and porated by reference, see § 575.3). Materials (ASTM), 100 Barr Harbor [35 FR 6867, Apr. 30, 1970, as amended at 38 Drive, PO Box C700, West FR 5339, Feb. 28, 1973; 48 FR 44081, Sept. 27, Conshohocken, PA 19428–2959, 610–832– 1983; 54 FR 48749, Nov. 27, 1989; 64 FR 27924, 9500, http://www.astm.org/. May 24, 1999; 75 FR 15944, Mar. 30, 2010] (1) ASTM E 1136–93 (Reapproved 2003) (‘‘ASTM E 1136’’), ‘‘Standard Specifica- § 575.3 Matter incorporated by ref- tion for a Radial Standard Reference erence. Test Tire’’ (July 1993), IBR approved (a) Certain material is incorporated for § 575.104. by reference into this part with the ap- (2) ASTM E 1337–90 (Reapproved 2002) proval of the Director of the Federal (‘‘ASTM E 1337’’), ‘‘Standard Test Register under 5 U.S.C. 552(a) and 1 Method for Determining Longitudinal CFR part 51. To enforce any edition Peak Braking Coefficient of Paved Sur- other than that specified in this sec- faces Using a Standard Reference Test tion, the National Highway Traffic Tire’’ (April 1990), IBR approved for Safety Administration (NHTSA) must § 575.106. publish notice of change in the FED- (d) The following standards are not ERAL REGISTER and the material must available from the original publisher or be available to the public. All approved a standards reseller. As indicated in material is available for inspection at paragraph (a) of this section, the stand- the NHTSA Technical Information ards are available for inspection at the Services Reading Room (http:// NHTSA Technical Information Serv- www.nhtsa.dot.gov/cars/problems/trd/), ices Reading Room (http:// 1200 New Jersey Avenue, SE., Wash- www.nhtsa.dot.gov/cars/problems/trd/), ington, DC 20590 (888–327–4236), and at 1200 New Jersey Avenue, SE., Wash- the National Archives and Records Ad- ington, DC 20590 (888–327–4236), and at ministration (NARA). For information NARA. For information on the avail- on the availability of this material at ability of this material at NARA, call NARA, call 202–741–6030, or go to: http:// 202–741–6030, or go to: http:// www.archives.gov/federal-register/cfr/ibr- www.archives.gov/federal-register/cfr/ibr- locations.html. All approved material is locations.html. If you experience dif- also available from the sources listed ficulty obtaining the standards ref- below. If you experience difficulty ob- erenced below, contact NHTSA’s Office taining the standards referenced below, of Rulemaking, 1200 New Jersey Ave- contact NHTSA’s Office of Rule- nue, SE., Washington, DC 20590, phone making, 1200 New Jersey Avenue, SE., number (202) 366–0846. Washington, DC 20590, phone number: (1) ASTM E 274–79 (‘‘ASTM E 274’’), (202) 366–0846. ‘‘Standard Test Method for Skid Re- (b) International Organization for sistance of Paved Surfaces Using a Standardization (ISO), 1, ch. de la Voie- Full-Scale Tire’’ (February 1980), IBR Creuse, CP 56, CH–1211 Geneva 20, Swit- approved for § 575.104.

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(2) ASTM F 377–74 (‘‘ASTM F 377’’), concerning which of the tables apply to ‘‘Standard Method for Calibration of that vehicle. If the manufacturer Braking Force for Testing of Pneu- chooses option in paragraph (a)(1)(ii) of matic Tires’’ (March 1974), IBR ap- this section, the vehicle certification proved for § 575.104. label shall include such specific information. [75 FR 15944, Mar. 30, 2010] Example 1. Manufacturer X furnishes a doc- § 575.4 Application. ument containing several tables that apply (a) General. Except as provided in to various groups of vehicles that it pro- paragraphs (b) through (d) of this sec- duces. The document contains the following tion, each section set forth in subpart notation on its front page: ‘‘The information that applies to this vehicle is contained in B of this part applies according to its Table 5.’’ That notation satisfies the require- terms to motor vehicles and tires man- ment. ufactured after the effective date indicated. Example 2. Manufacturer Y furnishes a doc- (b) Military vehicles. This part does ument containing several tables as in Exam- ple 1, with the following notation on its not apply to motor vehicles or tires front page: sold directly to the Armed Forces of ‘‘Information applies as follows: the United States in conformity with Model P. Regular cab, 135 in. (3,430 mm) contractual specifications. wheel base—Table 1. (c) Export. This part does not apply to Model P. Club cab, 142 in. (3,607 mm) wheel motor vehicles or tires intended solely base—Table 2. for export and so labeled or tagged. Model Q—Table 3.’’ (d) Import. This part does not apply This notation does not satisfy the require- to motor vehicles or tires imported for ment, since it is conditioned on the model or purposes other than resale. the equipment of the vehicle with which the document is furnished, and therefore addi- [39 FR 1039, Jan. 4, 1974] tional information is required to select the proper table. § 575.5 Separability. If any section established in this part (2)(i) At the time a motor vehicle or its application to any person or cir- manufactured on or after September 1, cumstances is held invalid, the remain- 1990 is delivered to the first purchaser der of the part and the application of for purposes other than resale, the that section to other persons or cir- manufacturer shall provide to the pur- cumstances is not affected thereby. chaser, in writing in the English language and not less than 10 point type, § 575.6 Requirements. the following statement in the owner’s (a)(1) At the time a motor vehicle is manual, or, if there is no owner’s man- delivered to the first purchaser for pur- ual, on a one-page document: poses other than resale, the manufac- If you believe that your vehicle has a de- turer of that vehicle shall provide the fect which could cause a crash or could cause Uniform Tire Quality Grading informa- injury or death, you should immediately in- tion required by § 575.104(d)(1)(iii) in the form the National Highway Traffic Safety owner’s manual of each vehicle it pro- Administration (NHTSA) in addition to noti- duces. The vehicle manufacturer shall fying [INSERT NAME OF MANUFAC- TURER]. also provide to the purchaser, in writ- If NHTSA receives similar complaints, it ing and in the English language, the in- may open an investigation, and if it finds formation specified in § 575.103 of this that a safety defect exists in a group of vehi- part that is applicable to that vehicle. cles, it may order a recall and remedy cam- The information provided with a vehi- paign. However, NHTSA cannot become in- cle may contain more than one table, volved in individual problems between you, but the document must either: your dealer, or [INSERT NAME OF MANU- (i) Clearly and unconditionally indi- FACTURER]. cate which of the tables apply to the To contact NHTSA, you may call the Vehi- cle Safety Hotline toll-free at 1–888–327–4236 vehicle with which it is provided, or (TTY: 1–800–424–9153); go to http:// (ii) Contain a statement on its cover www.safercar.gov; or write to: Administrator, referring the reader to the vehicle cer- NHTSA, 400 Seventh Street, SW., Wash- tification label for specific information ington, DC 20590. You can also obtain other

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information about motor vehicle safety from English language and not less than 10 http://www.safercar.gov. point type, a discussion of the items (ii) The manufacturer shall specify in specified in paragraphs (a)(4)(i) through the table of contents of the owner’s (v) of this section in the owner’s man- manual the location of the statement ual, or, if there is no owner’s manual, in 575.6(a)(2)(i). The heading in the in a document: table of contents shall state ‘‘Report- (i) Tire labeling, including a descrip- ing Safety Defects.’’ tion and explanation of each marking (3) For vehicles manufactured prior on the tires provided with the vehicle, to September 1, 2000, at the time a and information about the location of motor vehicle is delivered to the first the Tire Identification Number (TIN); purchaser for purposes other than re- (ii) Recommended tire inflation pres- sale, the manufacturer of that vehicle sure, including a description and expla- shall provide the purchaser, in writing nation of: and in the English language, the infor- (A) Recommended cold tire inflation mation specified in §§ 575.103 and 575.104 pressure, of this part that is applicable to that (B) The vehicle placard and tire infla- vehicle and its tires. The document tion pressure label specified in Federal provided with a vehicle may contain Motor Vehicle Safety Standard No. 110 more than one table, but the document and their location in the vehicle, must either clearly and uncondition- (C) Adverse safety consequences of ally indicate which of the tables apply underinflation (including tire failure), to the vehicle with which it is pro- and vided, or contain a statement on its (D) Measuring and adjusting air pres- cover referring the reader to the vehi- sure to achieve proper inflation; cle certification label for specific infor- (iii) Glossary of tire terminology, in- mation concerning which of the tables cluding ‘‘cold tire pressure,’’ ‘‘max- apply to that vehicle. If the manufac- imum inflation pressure,’’ and ‘‘rec- turer chooses option (a)(2) of this sec- ommended inflation pressure,’’ and all tion, the vehicle certification label non-technical terms defined in S3 of shall include such specific information. FMVSS Nos. 110 & 139; (iv) Tire care, including maintenance Example 1. Manufacturer X furnishes a doc- and safety practices; ument containing several tables, which (v) Vehicle load limits, including a apply to various groups of vehicles that it produces. The document contains the fol- description and explanation of: lowing notation on its front page: ‘‘The in- (A) Locating and understanding load formation that applies to this vehicle is con- limit information, total load capacity, tained in Table 5.’’ The notation satisfies the seating capacity, towing capacity, and requirement. cargo capacity, Example 2. Manufacturer Y furnishes a doc- (B) Calculating total and cargo load ument containing several tables as in Exam- capacities with varying seating con- ple 1, with the following notation on its figurations including quantitative ex- front page: Information applies as follows: Model P, 6-cylinder engine—Table 1. amples showing/illustrating how the Model P, 8-cylinder engine—Table 2. vehicle’s cargo and luggage capacity Model Q—Table 3. decreases as the combined number and This notation does not satisfy the require- size of occupants increases, ment, since it is conditioned on the model or (C) Determining compatibility of tire the equipment of the vehicle with which the and vehicle load capabilities, document is furnished, and therefore addi- (D) Adverse safety consequences of tional information is required to select the overloading on handling and stopping proper table. and on tires. (4) When a motor vehicle that has a (5) When a motor vehicle that has a GVWR of 10,000 pounds or less, except a GVWR of 10,000 pounds or less, except a motorcycle or low speed vehicle, and motorcycle or low speed vehicle, and that is manufactured on or after Sep- that is manufactured on or after Sep- tember 1, 2005, is delivered to the first tember 1, 2005, is delivered to the first purchaser for purposes other than re- purchaser for purposes other than resale, the manufacturer shall provide to sale, the manufacturer shall provide to the purchaser, in writing in the the purchaser, in writing in the

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English language and not less than 10 (c) Each manufacturer of motor vehi- point type, the following verbatim cles, each brand name owner of tires, statement, as applicable, in the own- and each manufacturer of tires for er’s manual, or, if there is no owner’s which there is no brand name owner manual, in a document: shall provide for examination by pro- (i) For vehicles except trailers: spective purchasers, at each location ‘‘Steps for Determining Correct Load where its vehicles or tires are offered Limit— for sale by a person with whom the (1) Locate the statement ‘‘The com- manufacturer or brand name owner has bined weight of occupants and cargo a contractual, proprietary, or other should never exceed XXX kg or XXX legal relationship, or by a person who lbs.’’ on your vehicle’s placard. has such a relationship with a dis- (2) Determine the combined weight of tributor of the manufacturer or brand the driver and passengers that will be name owner concerning the vehicle or riding in your vehicle. tire in question, the information speci- (3) Subtract the combined weight of fied in subpart B of this part that is ap- the driver and passengers from XXX kg plicable to each of the vehicles or tires or XXX lbs. offered for sale at that location. The (4) The resulting figure equals the information shall be provided without available amount of cargo and luggage charge and in sufficient quantity to be load capacity. For example, if the available for retention by prospective ‘‘XXX’’ amount equals 1400 lbs. and purchasers or sent by mail to a pro- there will be five 150 lb passengers in spective purchaser upon his request. your vehicle, the amount of available With respect to newly introduced vehi- cargo and luggage load capacity is 650 cles or tires, the information shall be lbs. (1400–750 (5 × 150) = 650 lbs.) provided for examination by prospec- (5) Determine the combined weight of tive purchasers not later than the day luggage and cargo being loaded on the on which the manufacturer or brand vehicle. That weight may not safely ex- name owner first authorizes those vehi- ceed the available cargo and luggage cles or tires to be put on general public load capacity calculated in Step 4. display and sold to consumers. (6) If your vehicle will be towing a (d)(1)(i) Except as provided in para- trailer, load from your trailer will be graph (d)(1)(ii) of this section, in the transferred to your vehicle. Consult case of all sections of subpart B other this manual to determine how this re- than § 575.104, as they apply to informa- duces the available cargo and luggage tion submitted prior to new model in- load capacity of your vehicle.’’ troduction, each manufacturer of (ii) For trailers: ‘‘Steps for Deter- motor vehicles shall submit to the Ad- mining Correct Load Limit— ministrator 2 copies of the information (1) Locate the statement ‘‘The weight specified in subpart B of this part that of cargo should never exceed XXX kg is applicable to the vehicles offered for or XXX lbs.’’ on your vehicle’s placard. sale, at least 90 days before informa- (2) This figure equals the available tion on such vehicles is first provided amount of cargo and luggage load ca- for examination by prospective pur- pacity.’’ chasers pursuant to paragraph (c) of (3) Determine the combined weight of this section. luggage and cargo being loaded on the (ii) Where an unforeseen vehicle. That weight may not safely ex- preintroduction modification in vehicle ceed the available cargo and luggage design or equipment results in a load capacity. change in vehicle performance for a (b) At the time a motor vehicle tire characteristic included in subpart B of is delivered to the first purchaser for a this part, a manufacturer of motor ve- purpose other than resale, the manu- hicles may revise information pre- facturer of that tire, or in the case of viously furnished under paragraph a tire marketed under a brand name, (d)(1)(i) of this section by submission to the brand name owner, shall provide to the Administrator of 2 copies of the re- that purchaser the information speci- vised information reflecting the per- fied in subpart B of this part that is ap- formance changes, at least 30 days be- plicable to that tire. fore information on such vehicles is

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first provided to prospective purchasers and proper loading of the camper and pursuant to paragraph (c) of this sec- to provide more detailed loading infor- tion. mation in the owner’s manual. This (2)(i) In the case of § 575.104, each section also requires manufacturers of brand name owner of tires, and each trucks that would accommodate slide- manufacturer of tires for which there in campers to specify the cargo weight is no brand name owner shall submit to ratings and the longitudinal limits the Administrator 2 copies of the infor- within which the center of gravity for mation specified in Subpart B of this the cargo weight rating should be lo- part that is applicable to the tires of- cated. fered for sale, at least 30 days before it (b) Purpose. The purpose of this sec- is first provided for examination by tion is to provide information that can prospective purchasers pursuant to be used to reduce overloading and im- paragraph (c) of this section. proper load placement in truck-camper (ii) In the case of all other sections of combinations and unsafe truck- camper Subpart B of this Part as they apply to matching in order to prevent accidents post-introduction changes in informa- resulting from the adverse effects of tion submitted for the current model these conditions on vehicle steering year, each manufacturer of motor vehi- and braking. cles, each brand name owner of tires, (c) Application. This section applies and each manufacturer of tires for to slide-in campers and to trucks that which there is no brand name owner are capable of accommodating slide- in shall submit to the Administrator 2 campers. copies of the information specified in (d) Definitions. Subpart B of this part that is applica- Camper means a structure designed to ble to the vehicles or tires offered for be mounted in the cargo area of a sale, at least 30 days before it is first truck, or attached to an incomplete ve- provided for examination by prospec- hicle with motive power, for the pur- tive purchasers pursuant to paragraph pose of providing shelter for persons. (c) of this section. Cargo Weight Rating means the value [39 FR 1039, Jan. 4, 1974, as amended at 41 FR specified by the manufacturer as the 13923, Apr. 1, 1976; 45 FR 47153, July 14, 1980; cargo-carrying capacity, in pounds or 47 FR 7258, Feb. 18, 1982; 52 FR 27810, July 24, kilograms, of a vehicle, exclusive of 1987; 54 FR 48749, Nov. 27, 1989; 64 FR 27924, the weight of occupants in designated May 24, 1999; 67 FR 69631, Nov. 18, 2002; 69 FR seating positions, computed as 68 kilo- 31320, June 3, 2004; 70 FR 35557, June 21, 2005] grams or 150 pounds times the number § 575.7 Special vehicles. of designated seating positions. Slide-in Camper means a camper hav- A manufacturer who produces vehi- ing a roof, floor, and sides, designed to cles having a configuration not avail- be mounted on and removable from the able for purchase by the general public cargo area of a truck by the user. need not make available to ineligible (e) Requirements—(1) Slide-in Camper— purchasers, pursuant to § 575.6(c), the (i) Labels. Each slide-in camper shall information for those vehicles specified have permanently affixed to it, in such in subpart B of this part, and shall a manner that it cannot be removed identify those vehicles when furnishing the information required by § 575.6(d). without defacing or destroying it, and in a plainly visible location on an exte- [40 FR 11727, Mar. 13, 1975] rior rear surface other than the roof, steps, or bumper extension, a label con- Subpart B—Regulations; Consumer taining the following information in Information Items the English language lettered in block capitals and numerals not less than 2.4 §§ 575.101–575.102 [Reserved] millimeters (three thirty-seconds of an inch) high, of a color contrasting with § 575.103 Truck-camper loading. the background, in the order shown (a) Scope. This section requires manu- below and in the form illustrated in facturers of slide-in campers to affix to Figure 1. each camper a label that contains in- (A) Name of camper manufacturer. The formation relating to identification full corporate or individual name of

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the actual assembler of the camper year of manufacture.’’ If water, bottled shall be spelled out, except that such gas, or refrigerator (icebox) has been abbreviations as ‘‘Co.’’ or ‘‘Inc.’’ and omitted from this statement, the man- their foreign equivalents, and the first ufacturer’s information shall note such and middle initials of individuals may omission and advise that the weight of be used. The name of the manufacturer any such item when added to the camp- shall be preceded by the words ‘‘Manu- er should be added to the maximum factured by’’ or ‘‘Mfd by.’’ camper weight figure used in selecting (B) Month and year of manufacture. It an appropriate truck. may be spelled out, such as ‘‘June 1995’’ (B) A list of other additional or op- or expressed in numerals, such as tional equipment that the camper is ‘‘695.’’ designed to carry, and the maximum (C) The following statement com- weight of each if its weight is more pleted as appropriate: than 9 kg. (20 lbs) when installed. (C) The statement: ‘‘To estimate the ‘‘Camper weight is llllll kg. total cargo load that will be placed on (llllll lbs.) maximum when it a truck, add the weight of all pas- contains standard equipment, sengers in the camper, the weight of llllll liters (llllll gal.) of supplies, tools, and all other cargo, the water, llllll kg. (llllll lbs.) weight of installed additional or op- of bottled gas, and llllll cubic tional camper equipment, and the man- meters (llllll cubic ft.) refrig- ufacturer’s camper weight figure. Se- erator (or icebox with llllll kg. lect a truck that has a cargo weight (llllll lbs.) of ice, as applicable). rating that is equal to or greater than Consult owner’s manual (or data sheet, the total cargo load of the camper and as applicable) for weights of additional whose manufacturer recommends a or optional equipment.’’ cargo center of gravity zone that will (D) ‘‘Liters (or gal.) of water’’ refers contain the camper’s center of gravity to the volume of water necessary to fill when it is installed.’’ the camper’s fresh water tanks to ca- (D) The statements: ‘‘When loading pacity. ‘‘Kg. (or lbs.) of bottled gas’’ re- this camper, store heavy gear first, fers to the amount of gas necessary to keeping it on or close to the camper fill the camper’s bottled gas tanks to floor. Place heavy things far enough capacity. The statement regarding a forward to keep the loaded camper’s ‘‘refrigerator’’ or ‘‘icebox’’ refers to the center of gravity within the zone rec- capacity of the refrigerator with which ommended by the truck manufacturer. the vehicle is equipped or the weight of Store only light objects on high the ice with which the icebox may be shelves. Distribute weight to obtain filled. Any of these items may be omit- even side-to-side balance of the loaded ted from the statement if the cor- vehicle. Secure loose items to prevent responding accessories are not included weight shifts that could affect the bal- with the camper, provided that the ance of your vehicle. When the truck- omission is noted in the camper own- camper is loaded, drive to a scale and er’s manual as required in paragraph weigh on the front and on the rear (e)(1)(ii) of this section. wheels separately to determine axle (ii) Owner’s manual. Each slide-in loads. The load on an axle should not camper manufacturer shall provide exceed its gross axle weight rating with each camper a manual or other (GAWR). The total of the axle loads document containing the information should not exceed the gross vehicle specified in paragraph (e)(1)(ii) (A) weight rating (GVWR). These weight through (F) of this section. ratings are given on the vehicle certifi- (A) The statement and information cation label that is located on the left provided on the label as specified in side of the vehicle, normally on the paragraph (e)(1)(i) of this section. In- dash panel, hinge pillar, door latch stead of the information required by post, or door edge next to the driver on paragraphs (e)(1)(i)(B) of this section, a trucks manufactured on or after Janu- manufacturer may use the statements ary 1, 1972. If weight ratings are ex- ‘‘See camper identification label lo- ceeded, move or remove items to bring cated (as applicable) for month and all weights below the ratings.’’

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(E) A picture showing the location of (E) The statements: ‘‘Secure loose the longitudinal center of gravity of items to prevent weight shifts that the camper within an accuracy of 5 could affect the balance of your vehi- centimeters (2 inches) under the loaded cle. When the truck camper is loaded, condition specified in paragraph drive to a scale and weigh on the front (e)(1)(i)(D) of this section in the man- and on the rear wheels separately to ner illustrated in Figure 2. determine axle loads. Individual axle (F) A picture showing the proper loads should not exceed either of the match of a truck and slide-in camper in gross axle weight ratings (GAWR). The the form illustrated in Figure 3. total of the axle loads should not ex- (2) Trucks. (i) Except as provided in ceed the gross vehicle weight rating paragraph (e)(2)(ii) of this section, each manufacturer of a truck that is capable (GVWR). These ratings are given on of accommodating a slide-in camper the vehicle certification label that is shall provide to the purchaser in the located on the left side of the vehicle, owner’s manual or other document de- normally the dash, hinge pillar, door livered with the truck, in writing and latch post, or door edge next to the in the English language, the informa- driver. If weight ratings are exceeded, tion specified in paragraphs (e)(2)(i) (A) move or remove items to bring all through (E) of this section. weights below the ratings.’’ (A) A picture showing the manufac- (ii) If a truck would accommodate a turer’s recommended longitudinal cen- slide-in camper but the manufacturer ter of gravity zone for the cargo weight of the truck recommends that the rating in the form illustrated in Figure truck not be used for that purpose, the 4. The boundaries of the zone shall be information specified in paragraph such that when a slide-in camper equal (e)(2)(i) of this section shall not be pro- in weight to the truck’s cargo weight vided but instead the manufacturer rating is installed, no GAWR of the shall provide a statement that the truck is exceeded. truck should not be used to carry a (B) The truck’s cargo weight rating. slide-in camper. (C) The statements: ‘‘When the truck is used to carry a slide-in camper, the MFD. BY: (CAMPER MANUFACTURER’S total cargo load of the truck consists NAME) of the manufacturer’s camper weight figure, the weight of installed addi- (MONTH AND YEAR OF MANUFACTURE) tional camper equipment not included CAMPER WEIGHT IS llllll KG in the manufacturer’s camper weight (llllll LB) MAXIMUM WHEN IT CON- TAINS STANDARD EQUIPMENT, figure, the weight of camper cargo, and llllll LITERS (llllll GAL) OF the weight of passengers in the camper. WATER, llllll KG (llllll LB) OF The total cargo load should not exceed BOTTLED GAS, AND llllll CUBIC the truck’s cargo weight rating and the METERS (llllll CUBIC FT) REFRIG- camper’s center of gravity should fall ERATOR (OR ICEBOX WITH llllll KG within the truck’s recommended center (llllll LB) OF ICE, AS APPLICABLE). of gravity zone when installed.’’ CONSULT OWNER’S MANUAL (OR DATA (D) A picture showing the proper SHEET AS APPLICABLE) FOR WEIGHTS match of a truck and slide-in camper in OF ADDITIONAL OR OPTIONAL EQUIP- the form illustrated in Figure 3. MENT.

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FIGURE 1. LABEL FOR CAMPER

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[61 FR 36657, July 12, 1996, as amended at 70 FR 39970, July 12, 2005]

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§ 575.104 Uniform tire quality grading clude cosmetic, identifying or other standards. minor variations among tires. (a) Scope. This section requires motor (d) Requirements—(1) Information. (i) vehicle and tire manufacturers and tire Each manufacturer of tires, or in the brand name owners to provide informa- case of tires marketed under a brand tion indicating the relative perform- name, each brand name owner, shall ance of passenger car tires in the areas provide grading information for each of treadwear, traction, and tempera- tire of which he is the manufacturer or ture resistance. brand name owner in the manner set forth in paragraphs (d)(1)(i) (A) and (B) (b) Purpose. The purpose of this sec- of this section. The grades for each tire tion is to aid the consumer in making shall be only those specified in para- an informed choice in the purchase of graph (d)(2) of this section. Each tire passenger car tires. shall be able to achieve the level of (c) Application. (1) This section ap- performance represented by each grade plies to new pneumatic tires for use on with which it is labeled. An individual passenger cars. However, this section tire need not, however, meet further does not apply to deep tread, winter- requirements after having been sub- type snow tires, space-saver or tem- jected to the test for any one grade. porary use spare tires, tires with nomi- (A) Except for a tire of a new tire nal rim diameters of 12 inches or less, line, manufactured within the first six or to limited production tires as de- months of production of the tire line, fined in paragraph (c)(2) of this section. each tire shall be graded with the (2) ‘‘Limited production tire’’ means words, letters, symbols, and figures a tire meeting all of the following cri- specified in paragraph (d)(2) of this sec- teria, as applicable: tion, permanently molded into or onto (i) The annual domestic production the tire sidewall between the tire’s or importation into the United States maximum section width and shoulder by the tire’s manufacturer of tires of in accordance with one of the methods the same design and size as the tire described in Figure 1. For purposes of does not exceed 15,000 tires; this paragraph, new tire line shall (ii) In the case of a tire marketed mean a group of tires differing substan- under a brand name, the annual domes- tially in construction, materials, or de- tic purchase or importation into the sign from those previously sold by the United States by a brand name owner manufacturer or brand name owner of of tires of the same design and size as the tires. As used in this paragraph, the tire does not exceed 15,000 tires; the term ‘‘construction’’ refers to the (iii) The tire’s size was not listed as internal structure of the tire (e.g., cord a vehicle manufacturer’s recommended angles, number and placement of tire size designation for a new motor breakers), ‘‘materials’’ refers to the vehicle produced in or imported into substances used in manufacture of the the United States in quantities greater tire (e.g., belt fiber, rubber compound), than 10,000 during the calendar year and ‘‘design’’ refers to properties or preceeding the year of the tire’s manu- conditions imposed by the tire mold facture; and (e.g., aspect ratio, tread pattern). (iv) The total annual domestic pro- (B) Each tire manufactured on and duction or importation into the United after the effective date of these amend- States by the tire’s manufacturer, and ments, other than a tire sold as origi- in the case of a tire marketed under a nal equipment on a new vehicle, shall brand name, the total annual domestic have affixed to its tread surface so as purchase or purchase for importation not to be easily removable a label or into the United States by the tire’s labels containing its grades and other brand name owner, of tires meeting the information in the form illustrated in criteria of paragraphs (c)(2) (i), (ii), and Figure 2, Parts I and II. The treadwear (iii) of this section, does not exceed grade attributed to the tire shall be ei- 35,000 tires. ther imprinted or indelibly stamped on Tire design is the combination of gen- the label containing the material in eral structural characteristics, mate- Part I of Figure 2, directly to the right rials, and tread pattern, but does in- of or below the word ‘‘TREADWEAR.’’

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The traction grade attributed to the (iii) Each manufacturer of motor ve- tire shall be indelibly circled in an hicles equipped with passenger car array of the potential grade letters AA, tires shall include in the owner’s man- A, B, or C, directly to the right of or ual of each such vehicle a list of all below the word ‘‘TRACTION’’ in Part I possible grades for traction and tem- of Figure 2. The temperature resistance perature resistance and restate ver- grade attributed to the tire shall be in- batim the explanation for each per- delibly circled in an array of the poten- formance area specified in Figure 2, tial grade letters A, B, or C, directly to Part II. The information need not be in the right of or below the word ‘‘TEM- the exact format of Figure 2, Part II, PERATURE’’ in Part I of Figure 2. The but it must contain a statement refer- words ‘‘TREADWEAR,’’ ‘‘TRACTION,’’ ring the reader to the tire sidewall for AND ‘‘TEMPERATURE,’’ in that order, the specific tire grades for the tires may be laid out vertically or hori- with which the vehicle is equipped, as zontally. The text of Part II of Figure follows: 2 may be printed in capital letters. The UNIFORM TIRE QUALITY GRADING text of Part I and the text of Part II of Figure 2 need not appear on the same Quality grades can be found where label, but the edges of the two texts applicable on the tire sidewall between must be positioned on the tire tread so tread shoulder and maximum section as to be separated by a distance of no width. For example: more than one inch. If the text of Part I and the text of Part II of Figure 2 are TREADWEAR 200 TRACTION AA placed on separate labels, the notation TEMPERATURE A ‘‘See EXPLANATION OF DOT QUAL- (iv) In the case of information re- ITY GRADES’’ shall be added to the quired in accordance with § 575.6(a) to bottom of the Part I text, and the be furnished to the first purchaser of a words ‘‘EXPLANATION OF DOT new motor vehicle, each manufacturer QUALITY GRADES’’ shall appear at of motor vehicles shall, as part of the the top of the Part II text. The text of required information, list all possible Figure 2 shall be oriented on the tire grades for traction and temperature retread surface with lines of type run- sistance and restate verbatim the ex- ning perpendicular to the tread circum- planation for each performance area ference. If a label bearing a tire size specified in Figure 2 to this section. designation is attached to the tire The information need not be in the for- tread surface and the tire size designa- mat of Figure 2 to this section, but it tion is oriented with lines type running must contain a statement referring the perpendicular to the tread circum- reader to the tire sidewall for the spe- ference, the text of Figure 2 shall read cific tire grades for the tires with in the same direction as the tire size which the vehicle is equipped. designation. (2) Performance—(i) Treadwear. Each (ii) In the case of the information re- tire shall be graded for treadwear per- quired by § 575.6(c) to be furnished to formance with the word prospective purchasers of tires, each ‘‘TREADWEAR’’ followed by a number tire manufacturer or brand name of two or three digits representing the owner shall, as part of that informa- tire’s grade for treadwear, expressed as tion, list all possible grades for trac- a percentage of the NHTSA nominal tion and temperature resistance, and treadwear value, when tested in ac- restate verbatim the explanation for cordance with the conditions and pro- each performance area specified in Fig- cedures specified in paragraph (e) of ure 2. The information need not be in this section. Treadwear grades shall be the same format as in Figure 2. The in- expressed in multiples of 20 (for exam- formation must indicate clearly and ple, 80, 120, 160). unambiguously the grade in each per- (ii) Traction. Each tire shall be graded formance area for each tire of that for traction performance with the word manufacturer or brand name owner of- ‘‘TRACTION,’’ followed by the symbols fered for sale at the particular loca- AA, A, B, or C, when the tire is tested tion. in accordance with the conditions and

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procedures specified in paragraph (f) of graph (g) of this section. A tire shall be this section. considered to have successfully com- (A) The tire shall be graded C when pleted a test stage in accordance with the adjusted traction coefficient is ei- this paragraph if, at the end of the test ther: stage, it exhibits no visual evidence of (1) 0.38 or less when tested in accord- tread, sidewall, ply, cord, innerliner, or ance with paragraph (f)(2) of this sec- bead separation, chunking, broken tion on the asphalt surface specified in cords, cracking or open splices as de- paragraph (f)(1)(i) of this section, or fined in § 571.109 of this chapter, and (2) 0.26 or less when tested in accord- the tire pressure is not less than the ance with paragraph (f)(2) of this sec- pressure specified in paragraph (g)(1) of tion on the concrete surface specified this section. in paragraph (f)(1)(i) of this section. (A) The tire shall be graded C if it (B) The tire may be graded B only fails to complete the 500 rpm test stage when its adjusted traction coefficient specified in paragraph (g)(9) of this sec- is both: tion. (1) More than 0.38 when tested in ac- (B) The tire may be graded B only if cordance with paragraph (f)(2) of this it successfully completes the 500 rpm section on the asphalt surface specified test stage specified in paragraph (g)(9) in paragraph (f)(1)(i) of this section, of this section. and (C) The tire may be graded A only if (2) More than 0.26 when tested in ac- it successfully completes the 575 rpm cordance with paragraph (f)(2) of this test stage specified in paragraph (g)(9) section on the concrete surface speci- of this section. fied in paragraph (f)(1)(i) of this sec- (e) Treadwear grading conditions and tion. procedures—(1) Conditions. (i) Tire (C) The tire may be graded A only treadwear performance is evaluated on when its adjusted traction coefficient a specific roadway course approxi- is both: mately 400 miles in length, which is es- (1) More than 0.47 when tested in ac- tablished by the NHTSA both for its cordance with paragraph (f)(2) of this own compliance testing and for that of section on the asphalt surface specified regulated persons. The course is de- in paragraph (f)(1)(i) of this section, signed to produce treadwear rates that and are generally representative of those (2) More than 0.35 when tested in ac- encountered by tires in public use. The cordance with paragraph (f)(2) of this course and driving procedures are de- section on the concrete surface speci- scribed in appendix A of this section. fied in paragraph (f)(1)(i) of this sec- (ii) Treadwear grades are evaluated tion. by first measuring the performance of (D) The tire may be graded AA only a candidate tire on the government when its adjusted traction coefficient test course, and then correcting the is both: projected mileages obtained to account (1) More than 0.54μ when tested in ac- for environmental variations on the cordance with paragraph (f)(2) of this basis of the performance of the course section on the asphalt surface specified monitoring tires run in the same con- in paragraph (f)(1)(i) of this section; voy. and (iii) In convoy tests, each vehicle in (2) More than 0.38μ when tested in ac- the same convoy, except for the lead cordance with paragraph (f)(2) of this vehicle, is throughout the test within section on the concrete surface speci- human eye range of the vehicle imme- fied in paragraph (f)(1)(i) of this sec- diately ahead of it. tion. (iv) A test convoy consists of two or (iii) Temperature resistance. Each tire four passenger cars, light trucks, or shall be graded for temperature resist- MPVs, each with a GVWR of 10,000 ance performance with the word pounds or less. ‘‘TEMPERATURE’’ followed by the let- (v) On each convoy vehicle, all tires ter A, B, or C, based on its performance are mounted on identical rims of de- when the tire is tested in accordance sign or measuring rim width specified with the procedures specified in para- for tires of that size in accordance with

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49 CFR 571.109, S4.4.1 (a) or (b), or a rim fications, unless adjustment to the having a width within ¥0 to +0.50 midpoint is not recommended by the inches of the width listed. manufacturer; in that case, adjust the (2) Treadwear grading procedure. (i) alignment according to the manufac- Equip a convoy as follows: Place four turer’s recommended setting. In all course monitoring tires on one vehicle. cases, the setting is within the toler- Place four candidate tires with iden- ance specified by the manufacturer of tical size designations on each other the alignment machine. vehicle in the convoy. On each axle, (viii) Drive the convoy on the test place tires that are identical with re- roadway for 6,400 miles. spect to manufacturer and line. (A) After each 400 miles, rotate each (ii) Inflate each candidate and each vehicle’s tires by moving each front course monitoring tire to the applica- tire to the same side of the rear axle ble pressure specified in Table 1 of this and each rear tire to the opposite side section. of the front axle. Visually inspect each (iii) Load each vehicle so that the tire for treadwear anomalies. load on each course monitoring and (B) After each 800 miles, rotate the candidate tire is 85 percent of the test vehicles in the convoy by moving the load specified in § 575.104(h). last vehicle to the lead position. Do not (iv) Adjust wheel alignment to the rotate driver positions within the con- midpoint of the vehicle manufacturer’s voy. In four-car convoys, vehicle one specifications, unless adjustment to shall become vehicle two, vehicle two the midpoint is not recommended by shall become vehicle three, vehicle the manufacturer; in that case, adjust three shall become vehicle four, and the alignment to the manufacturer’s vehicle four shall become vehicle one. recommended setting. In all cases, the (C) After each 800 miles, if necessary, setting is within the tolerance speci- adjust wheel alignment to the mid- fied by the manufacturer of the align- point of the vehicle manufacturer’s ment machine. specification, unless adjustment to the (v) Subject candidate and course midpoint is not recommended by the monitoring tires to ‘‘break-in’’ by run- manufacturer; in that case, adjust the ning the tires in the convoy for two alignment to the manufacturer’s rec- circuits of the test roadway (800 miles). ommended setting. In all cases, the set- At the end of the first circuit, rotate ting is within the tolerance specified each vehicle’s tires by moving each by the manufacturer of the alignment front tire to the same side of the rear machine. axle and each rear tire to the opposite (D) After each 800 miles, if deter- side of the front axle. Visually inspect mining the projected mileage by the 9- each tire for any indication of abnor- point method set forth in mal wear, tread separation, bulging of (e)(2)(ix)(A)(1), measure the average the sidewall, or any sign of tire failure. tread depth of each tire following the Void the grading results from any tire procedure set forth in paragraph with any of these anomalies, and re- (e)(2)(vi) of this section. place the tire. (E) After each 1,600 miles, move the (vi) After break-in, allow the air complete set of four tires to the fol- pressure in the tires to fall to the ap- lowing vehicle. Move the tires on the plicable pressure specified in Table 1 of last vehicle to the lead vehicle. In mov- this section or for 2 hours, whichever ing the tires, rotate them as set forth occurs first. Measure, to the nearest in (e)(2)(viii)(A) of this section. 0.001 inch, the tread depth of each can- (F) At the end of the test, measure didate and each course monitoring tire, the tread depth of each tire pursuant avoiding treadwear indicators, at six to the procedure set forth in paragraph equally spaced points in each groove. (e)(2)(vi) of this section. For each tire compute the average of (ix)(A) Determine the projected mile- the measurements. Do not measure age for each candidate tire either by those shoulder grooves which are not the nine-point method of least squares provided with treadwear indicators. set forth in paragraph (e)(2)(ix)(A)(1) of (vii) Adjust wheel alignment to the this section and appendix C to this sec- midpoint of the manufacturer’s speci- tion, or by the two-point arithmetical

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method set forth in paragraph course wear rate for the course moni- (e)(2)(ix)(A)(2) of this section. Notify toring tires (see Note to this paragraph) NHTSA about which of the alternative by the average wear rate for the four grading methods is being used. course monitoring tires. (1) Nine-Point Method of Least Squares. Note to paragraph (e)(2)(ix)(C): The For each course monitoring and can- base wear rate for the course moni- didate tire in the convoy, using the av- toring tires will be obtained by the erage tread depth measurements ob- government by running the tire speci- tained in accordance with paragraphs fied in ASTM E 1136 (incorporated by (e)(2)(vi) and (e)(2)(viii)(D) of this sec- reference, see § 575.3) course monitoring tion and the corresponding mileages as tires for 6,400 miles over the San An- data points, apply the method of least gelo, Texas, UTQGS test route 4 times squares as described in appendix C to per year, then using the average wear this section to determine the estimated rate from the last 4 quarterly CMT regression line of y on x given by the tests for the base course wear rate cal- following formula: culation. Each new base course wear rate will be published in the FEDERAL bx y =+a REGISTER. The course monitoring tires 1000 used in a test convoy must be no more Where: than one year old at the commence- y = average tread depth in mils ment of the test and must be used x = miles after break-in, within two months after removal from a = y intercept of regression line (reference storage. tread depth) in mils, calculated using the method of least squares; and (D) Determine the adjusted wear rate b = the slope of the regression line in mils of for each candidate tire by multiplying tread depth per 1,000 miles, calculated its wear rate determined in accordance using the method of least squares. This with paragraph (e)(2)(ix)(A) of this sec- slope will be negative in value. The tire’s tion by the course severity adjustment wear rate is defined as the absolute value factor determined in accordance with of the slope of the regression line. paragraph (e)(2)(ix)(C) of this section. (2) Two-Point Arithmetical Method. For (E) Determine the projected mileage each course monitoring and candidate for each candidate tire by applying the tire in the convoy, using the average appropriate formula set forth below: tread depth measurements obtained in (1) If the projected mileage is cal- accordance with paragraph (e)(2)(vi) culated pursuant to paragraph and (e)(2)(viii)(F) of this section and (e)(2)(ix)(A)(1) of this section, then: the corresponding mileages as data points, determine the slope (m) of the 1000()a − 62 Projected mileage = + 800 tire’s wear in mils of tread depth per b1 1,000 miles by the following formula: Where: ()YYo1− a = y intercept of regression line (reference m = 1000 tread depth) for the candidate tire as de- ()XXo1− termined in accordance with paragraph Where: (e)(2)(ix)(A)(1) of this section. b1 = the adjusted wear rate for the candidate Yo = average tread depth after break-in, mils tire as determined in accordance with Y1 = average tread depth at 6,400 miles, mils Xo = 0 miles (after break-in). paragraph (e)(2)(ix)(D) of this section. X1 = 6,400 miles of travel (2) If the projected mileage is cal- This slope (m) will be negative in culated pursuant to (e)(2)(ix)(a)(2) of value. The tire’s wear rate is defined as this section, then: the slope (m) expressed in mils per 1,000 miles. Projected −−1000()Yo 62 = + 800 (B) Average the wear rates of the mileage mc four course monitoring tires as deter- Where: mined in accordance with paragraph Yo = average tread depth after break-in, mils (e)(2)(ix)(A) of this section. mc = the adjusted wear rate for the can- (C) Determine the course severity ad- didate tires as determined in accordance justment factor by dividing the base with paragraph (e)(2)(ix)(D) of this section.

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(F) Compute the grade (P) of the the trailer’s tires inflated to 24 psi and NHTSA nominal treadwear value for loaded to 1,085 pounds. each candidate tire by using the fol- (vi) Consecutive tests on the same lowing formula: surface are conducted not less than 30 P = Projected mileage × base course seconds apart. wear raten/402 (vii) A standard tire is discarded in accordance with ASTM E 501 (incor- Where base course wear rate = new n porated by reference, see § 575.3). base course wear rate, i.e., average treadwear of the last 4 quarterly course (2) Procedure. (i) Prepare two stand- monitoring tire tests conducted by ard tires as follows: NHTSA. (A) Condition the tires by running Round off the percentage to the near- them for 200 miles on a pavement sur- est lower 20-point increment. face. (f) Traction grading conditions and pro- (B) Mount each tire on a rim of de- cedures—(1) Conditions. (i) Tire traction sign or measuring rim width specified performance is evaluated on skid pads for tires of its size in accordance with that are established, and whose sever- 49 CFR 571.109, S4.4.1 (a) or (b), or a rim ity is monitored, by the NHTSA both having a width within ¥0 to +0.50 for its compliance testing and for that inches of the width listed. Then inflate of regulated persons. The test pave- the tire to 24 psi, or, in the case of a ments are asphalt and concrete sur- tire with inflation pressure measured faces constructed in accordance with in kilopascals, to 180 kPa. the specifications for pads ‘‘C’’ and ‘‘A’’ (C) Statically balance each tire-rim in the ‘‘Manual for the Construction combination. and Maintenance of Skid Surfaces,’’ (D) Allow each tire to cool to ambi- National Technical Information Serv- ent temperature and readjust its infla- ice No. DOT-HS-800-814. The surfaces tion pressure to 24 psi, or, in the case have locked wheel traction coefficients of a tire with inflation pressure meas- when evaluated in accordance with ured in kilopascals, to 180 kPa. paragraphs (f)(2)(i) through (f)(2)(vii) of this section of 0.50 ±0.10 for the asphalt (ii) Mount the tires on the test appa- and 0.35 ±0.10 for the concrete. The lo- ratus described in paragraph (f)(1)(iv) cation of the skid pads is described in of this section and load each tire to appendix B to this section. 1,085 pounds. (ii) The standard tire is the tire spec- (iii) Tow the trailer on the asphalt ified in ASTM E 501 (incorporated by test surface specified in paragraph reference, see § 575.3). (f)(1)(i) of this section at a speed of 40 (iii) The pavement surface is wetted mph, lock one trailer wheel, and record in accordance with paragraph 4.7, the locked-wheel traction coefficient ‘‘Pavement Wetting System,’’ of ASTM on the tire associated with that wheel E 274 (incorporated by reference, see between 0.5 and 1.5 seconds after lock- § 575.3). up. (iv) The test apparatus is a test trail- (iv) Repeat the test on the concrete er built in conformity with the speci- surface, locking the same wheel. fications in paragraph 4, ‘‘Apparatus,’’ (v) Repeat the tests specified in para- of ASTM E 274 (incorporated by ref- graphs (f)(2) (iii) and (iv) of this section erence, see § 575.3). The test apparatus for a total of 10 measurements on each is instrumented in accordance with test surface. paragraph 4.5 of that method, except that the ‘‘wheel load’’ in paragraph 4.3 (vi) Repeat the procedures specified and tire and rim specifications in para- in paragraphs (f)(2) (iii) through (v) of graph 4.4 of that method are as speci- this section, locking the wheel associ- fied in the procedures in paragraph ated with the other tire. (f)(2) of this section for standard and (vii) Average the 20 measurements candidate tires. taken on the asphalt surface to find (v) The test apparatus is calibrated the standard tire traction coefficient in accordance with ASTM F 377 (incor- for the asphalt surface. Average the 20 porated by reference, see § 575.3), with measurements taken on the concrete

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surface to find the standard tire trac- measuring rim width specified for tires tion coefficient for the concrete sur- of its size in accordance with § 571.109, face. The standard tire traction coeffi- paragraph S4.4.1 (a) or (b) and inflate it cient so determined may be used in the to the applicable pressure specified in computation of adjusted traction coef- Table 1 of this section. ficients for more than one candidate (2) Condition the tire-rim assembly tire. to a temperature of 95 °F for at least 3 (viii) Prepare two candidate tires of hours. the same construction type, manufac- (3) Adjust the pressure again to the turer, line, and size designation in ac- applicable pressure specified in Table 1 cordance with paragraph (f)(2)(i) of this of this section. section, mount them on the test appa- (4) Mount the tire-rim assembly on ratus, and test one of them according an axle, and press the tire tread to the procedures of paragraph (f)(2)(ii) against the surface of a flat-faced steel through (v) of this section, except load test wheel that is 67.23 inches in diame- each tire to 85% of the test load speci- ter and at least as wide as the section fied in § 575.104(h). For CT tires, the width of the tire. test inflation of candidate tires shall (5) During the test, including the be 230 kPa. Candidate tire measure- pressure measurements specified in ments may be taken either before or paragraphs (g) (1) and (3) of this sec- after the standard tire measurements tion, maintain the temperature of the used to compute the standard tire trac- ambient air, as measured 12 inches tion coefficient. Take all standard tire from the edge of the rim flange at any and candidate tire measurements used point on the circumference on either in computation of a candidate tire’s ad- side of the tire at 95 °F. Locate the justed traction coefficient within a sin- temperature sensor so that its readings gle three hour period. Average the 10 are not affected by heat radiation, measurements taken on the asphalt drafts, variations in the temperature of surface to find the candidate tire trac- the surrounding air, or guards or other tion coefficient for the asphalt surface. devices. Average the 10 measurements taken on (6) Press the tire against the test the concrete surface to find the can- wheel with a load of 88 percent of the didate tire traction coefficient for the tire’s maximum load rating as marked concrete surface. on the tire sidewall. (ix) Compute a candidate tire’s adjusted traction coefficient for asphalt (7) Rotate the test wheel at 250 rpm (μ ) by the following formula: for 2 hours. a (8) Remove the load, allow the tire to μ ( a) = Measured candidate tire coeffi- cool to 95 °F or for 2 hours, whichever cient for asphalt+0.50 ¥Measured occurs last, and readjust the inflation standard tire coefficient for asphalt pressure to the applicable pressure (x) Compute a candidate tire’s ad- specified in Table 1 of this section. justed traction coefficient for concrete (9) Reapply the load and without (μc) by the following formula: interruption or readjustment of inflation pressure, rotate the test wheel at μc=Measured candidate tire coefficient μ 375 rpm for 30 minutes, and then at suc- for concrete +0.35 Measured stand- cessively higher rates in 25 rpm incre- ard tire coefficient for concrete ments, each for 30 minutes, until the (g) Temperature resistance grading. (1) tire has run at 575 rpm for 30 minutes, Mount the tire on a rim of design or or to failure, whichever occurs first.

TABLE I—TEST INFLATION PRESSURES [Maximum permissible inflation pressure for the following test]

Tires other than CT tires CT tires

Test type psi kPa kPa 32 36 40 60 240 280 300 340 350 290 330 350 390

Treadwear test...... 24 28 32 52 180 220 180 220 180 230 270 230 270 Temperature resistant test...... 30 34 38 58 220 260 220 260 220 270 310 270 310

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(h) Determination of test load. (1) To be rounded to 900 and 533 kilograms determine test loads for purposes of would be rounded to 535. This figure is paragraphs (e)(2)(iii) and (f)(2)(viii), fol- the test load. low the procedure set forth in paragraphs (h) (2) through (5) of this sec- TABLE 2

tion. Multiplier Multiplier (2) Determine the tire’s maximum in- to be to be Maximum inflation pressure used for used for flation pressure and maximum load treadwear traction rating both as specified on the tire’s testing testing

sidewall. Tires other than CT tires (3) Determine the appropriate multiplier corresponding to the tire’s max- 32 psi ...... 851 .851 36 psi ...... 870 .797 imum inflation pressure, as set forth in 40 psi ...... 883 .753 Table 2. 240 kPa ...... 866 .866 (4) Multiply the tire’s maximum load 280 kPa ...... 887 .804 rating by the multiplier determined in 300 kPa ...... 866 .866 340 kPa ...... 887 .804 paragraph (h)(3). This is the tire’s cal- 350 kPa ...... 866 .866 culated load. (5) Round the product determined in CT tires paragraph (h)(4) (the calculated load) 290 kPa ...... 866 .866 to the nearest multiple of ten pounds 330 kPa ...... 887 .804 or, if metric units are used, 5 kilo- 305 kPa ...... 866 .866 grams. For example, 903 pounds would 390 kPa ...... 887 .804

TABLE 2A

Temp resistance Treadwear Trac- Tire size designation Max pressure tion Max pressure 32 36 40 32 36 40

145/70 R13...... 615 650 685 523 523 553 582 155/70 R13...... 705 740 780 599 599 629 663 165/70 R13...... 795 835 880 676 676 710 748 175/70 R13...... 890 935 980 757 757 795 833 185/70 R13...... 990 1040 1090 842 842 884 926 195/70 R13...... 1100 1155 1210 935 935 982 1029 155/70 R14...... 740 780 815 629 629 663 693 175/70 R14...... 925 975 1025 786 786 829 871 185/70 R14...... 1045 1100 1155 888 888 935 982 195/70 R14...... 1155 1220 1280 982 982 1037 1088 155/70 R15...... 770 810 850 655 655 689 723 175/70 R15...... 990 1040 1090 842 842 884 927 185/70 R15...... 1100 1155 1210 935 935 982 1029 5.60–13 ...... 725 810 880 616 616 689 748 5.20–14 ...... 695 785 855 591 591 667 727 165–15 ...... 915 1,015 1,105 779 779 863 939 185/60 R 13...... 845 915 980 719 719 778 833

(i)–(l) [Reserved]

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FIGURE 2—[PART I]—DOT QUALITY TRACTION AAABC GRADES TEMPERATUREABC TREADWEAR

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(Part II) All Passenger Car Tires Must Con- The second loop runs east over Farm and form to Federal Safety Requirements in Ad- Ranch Roads (FM) and returns to its starting dition to These Grades point. The third loop runs northwest to Water TREADWEAR Valley, northeast toward Robert Lee and re- The treadwear grade is a comparative rat- turns via Texas 208 to the vicinity of Good- ing based on the wear rate of the tire when fellow AFB. tested under controlled conditions on a spec- Route. The route is shown in Figure 3. The ified government test course. For example, a table identifies key points by number. These tire graded 150 would wear one and one-half numbers are encircled in Figure 3 and in pa- (11⁄2) times as well on the government course rentheses in the descriptive material that as a tire graded 100. The relative perform- follows. ance of tires depends upon the actual condi- Southern Loop. The course begins at the tions of their use, however, and may depart intersection (1) of Ft. McKavitt Road and significantly from the norm due to vari- Paint Rock Road (FM388) at the northwest ations in driving habits, service practices corner of Goodfellow AFB. Drive east via FM and differences in road characteristics and 388 to junction with Loop Road 306 (2). Turn climate. right onto Loop Road 306 and proceed south to junction with US277 (3). Turn onto US277 TRACTION and proceed south through Eldorado and So- nora (4), continuing on US277 to junction The traction grades, from highest to low- with FM189 (5). Turn right onto FM189 and est, are AA, A, B, and C. Those grades rep- proceed to junction with Texas 163 (6). Turn resent the tire’s ability to stop on wet pave- left onto Texas 163, and at the option of the ment as measured under controlled condi- manufacturer: tions on specified government test surfaces (A) Proceed south to Camp Hudson Histor- of asphalt and concrete. A tire marked C ical Marker and onto the paved shoulder (7). may have poor traction performance. Warn- Reverse route to junction of Loop Road 306 ing: The traction grade assigned to this tire and FM 388 (2); or is based on straight-ahead braking traction (B) Proceed south to junction with Frank’s tests, and does not include acceleration, cor- Crossing. Reverse route at Frank’s Crossing nering, hydroplaning, or peak traction char- and proceed north on Texas 163 to junction acteristics. with Highway 189; Reverse route at junction TEMPERATURE with Highway 189; proceed south on Texas 163 to junction with Frank’s Crossing; reverse The temperature grades are A (the high- route at Frank’s Crossing and proceed north est), B, and C, representing the tire’s resist- to junction of Loop Road 306 and FM 388 (2). ance to the generation of heat and its ability Eastern Loop. From junction of Loop Road to dissipate heat when tested under con- 306 and FM388 (2), make right turn onto trolled conditions on a specified indoor lab- FM388 and drive east to junction with oratory test wheel. Sustained high tempera- FM2334 (13). Turn right onto FM2334 and pro- ture can cause the material of the tire to de- ceed south across FM765 (14) to junction of generate and reduce tire life, and excessive FM2334 and US87 (15). For convoys that origi- temperature can lead to sudden tire failure. nate at Goodfellow AFB, make U-turn and The grade C corresponds to a level of per- return to junction of FM388 and Loop Road formance which all passenger car tires must 306 (2) by the same route. For convoys that meet under the Federal Motor Safety Stand- do not originate at Goodfellow AFB, upon ard No. 109. Grades B and A represent higher reaching junction of FM2334 and US87 (15), levels of performance on the laboratory test make U-Turn and continue north on FM2334 wheel than the minimum required by law. past the intersection with FM388 to Veribest Warning: The temperature grade for this tire Cotton Gin, a distance of 1.8 miles beyond is established for a tire that is properly in- the intersection. Make U-turn and return to flated and not overloaded. Excessive speed, junction of FM2334 and FM388. Turn right underinflation, or excessive loading, either onto FM388, proceed west to junction FM388 separately or in combination, can cause heat and Loop Road 306. buildup and possible tire failure. Northwestern Loop. From junction of Loop Road 306 and FM388 (2), make right turn onto APPENDIX A—TREADWEAR TEST COURSE AND Loop Road 306. Proceed onto US277, to junc- DRIVING PROCEDURES tion with FM2105 (8). Turn left onto FM2105 Introduction. The test course consists of and proceed west to junction with US87 (10). three loops of a total of 400 miles in the geo- Turn right on US87 and proceed northwest to graphical vicinity of Goodfellow AFB, San the junction with FM2034 near the town of Angelo, Tex. Water Valley (11). Turn right onto FM2034 The first loop runs south 143 miles through and proceed north to Texas 208 (12). Turn the cities of Eldorado, Sonora, and Juno, right onto Texas 208 and proceed south to Tex. to the Camp Hudson Historical Marker, junction with FM2105 (9). Turn left onto and returns by the same route. FM2105 and proceed east to junction with

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US277 (8). Turn right onto US277 and proceed ries of signs is placed in a fixed order at fol- south onto Loop Road 306 to junction with lows: FM388 (2). For convoys that originate at Goodfellow AFB, turn right onto FM388 and SIGN LEGEND proceed to starting point at junction of Ft. Highway Intersection 1000 (or 2000) Feet McKavitt Road and FM388 (1). For convoys STOP AHEAD that do not originate at Goodfellow AFB, do Junction XXX not turn right onto FM388 but continue Direction Sign (Mereta→) south on Loop Road 306. STOP or YIELD Driving instructions. The drivers shall run Procedures. 1. Approach each intersection at posted speed limits throughout the course at posted speed limit. unless an unsafe condition arises. If such 2. When abreast of the STOP AHEAD sign, condition arises, the speed should be reduced apply the brakes so that the vehicle decel- to the maximum safe operating speed. erates smoothly to 20 mph when abreast of Braking Procedures at STOP signs. There are the direction sign. a number of intersections at which stops are 3. Come to a complete stop at the STOP required. At each of these intersections a se- sign or behind any vehicle already stopped.

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APPENDIX B—TRACTION SKID PADS The asphalt skid pad is 600 ft.×60 ft. and is shown in black on the runway in Figure 4. Two skid pads have been laid on an unused The pad is approached from either end by a runway and taxi strip on Goodfellow AFB. Their location is shown in Figure 4.

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75 ft. ramp followed by 100 ft. of level pave- crete pad are of the same design as those for ment. This arrangement permits the skid the asphalt pads. trailers to stabilize before reaching the test A two lane asphalt road has been built to area. The approaches are shown on the figure connect the runway and taxi strip. The road by the hash-marked area. is parallel to the northeast-southwest run- The concrete pad is 600 ft.×48 ft. and is on way at a distance of 100 ft. The curves have the taxi strip. The approaches to the con- super-elevation to permit safe exit from the runway at operating speeds.

APPENDIX C—METHOD OF LEAST SQUARES the line of ‘‘best fit’’ to the data points. It is described in terms of its slope and its ‘‘y’’ The method of least squares is a method of calculation by which it is possible to obtain intercept. a reliable estimate of a true physical rela- The graph in Figure 5 depicts a regression tionship from a set of data which involve line calculated using the least squares meth- random error. The method may be used to od from data collected from a hypothetical establish a regression line that minimizes treadwear test of 6,400 miles, with tread the sum of the squares of the deviations of depth measurements made at every 500 the measured data points from the line. The miles. regression line is consequently described as

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In this graph, xj,yj (j=0, 1, . . ´.8) are the indi- APPENDIX D—USER FEES vidual data points representing the tread 1. Course Monitoring Tires: A fee of $333.00 depth measurements (the overall average for will be assessed for each course monitoring the tire with 6 measurements in each tire tire purchased from NHTSA at Goodfellow groove) at the beginning of the test (after Air Force Base, San Angelo, Texas. This fee break-in) and at the end of each 800-mile seg- is based upon the direct and indirect costs ment of the test. attributable to: (a) the purchase of course The absolute value of the slope of the re- monitoring tires by NHTSA, (b) a pro rata gression line is an expression of the mils of allocation of salaries and general facility tread worn per 1,000 miles, and is calculated costs associated with maintenance of the by the following formula: tires, and (c) warehouse storage fees for the tires. ⎛ 8 8 8 ⎞ − 1 2. Use of Government Traction Skid Pads: A ⎜∑∑∑XYj jj9 X Yj⎟ fee of $34.00 will be assessed for each hour, or ⎝ ===⎠ = j 0 j 0 j 0 fraction thereof, that the traction skid pads b 1000 2 at Goodfellow Air Force Base, San Angelo, 8 ⎛ 8 ⎞ Texas are used. This fee is based upon the di- 2 − 1 rect and indirect costs attributable to: (a) ∑ XXjj⎜∑ ⎟ 9 depreciation on facilities and equipment j=0 ⎝ j=0 ⎠ comprising or used in conjunction with the The ‘‘y’’ intercept of the regression line (a) traction skid pads (i.e., skid system, water in mils is calculated by the following for- truck, air compressor, skid track, tractor mula: sweeper, equipment, buildings), (b) the calibration of the traction skid pads, and (c) a 8 b 8 pro rata allocation of salaries and general fa- =−1 cility costs associated with maintenance of aY9 ∑∑j X j j==0 9000 j 0 the traction skid pads. 3. Fee payments shall be by check, draft, money order, or Electronic Funds Transfer

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System made payable to the Treasurer of the required by paragraph S4.5.1(b) of 49 United States. CFR 571.208 are affixed to the same side 4. The fees set forth in this appendix con- of the driver side sun visor, either: tinue in effect until adjusted by the Admin- istrator of NHTSA. The Administrator re- (A) The rollover warning label must views the fees set forth in this appendix and, be affixed to the right (as viewed from if appropriate, adjusts them by rule at least the driver’s seat) of the air bag warn- every 2 years. ing label and the labels may not be [43 FR 30549, July 17, 1978] contiguous; or (B) The pictogram of the air bag EDITORIAL NOTE: For FEDERAL REGISTER ci- warning label must be separated from tations affecting § 575.104, see the List of CFR Sections Affected, which appears in the the pictograms of the rollover warning Finding Aids section of the printed volume label by text, and and on GPO Access. (1 ) The labels must be located such that the shortest distance from any of § 575.105 Vehicle rollover. the lettering or graphics on the roll- (a) Purpose and scope. This section re- over warning label to any of the let- quires manufacturers of utility vehi- tering or graphics on the air bag warn- cles to alert the drivers of those vehi- ing label is not less than 3 cm, or cles that they have a higher possibility (2 ) If the rollover warning and air of rollover than other vehicle types and bag warning labels are each completely to advise them of steps that can be surrounded by a continuous solid-lined taken to reduce the possibility of roll- border, the shortest distance from the over and/or to reduce the likelihood of border of the rollover warning label to injury in a rollover. the border of the air bag warning label (b) Application. This section applies is not less than 1 cm. to utility vehicles. (iii) The manufacturer must select (c) Definitions. the option to which a vehicle is cer- Utility vehicles means multipurpose tified by the time the manufacturer passenger vehicles (other than those certifies the vehicle and may not there- which are passenger car derivatives) after select a different option for that which have a wheelbase of 110 inches or vehicle. If a manufacturer chooses to less and special features for occasional certify compliance with more than one off-road operation. compliance option, the vehicle must (d) Required information—(1) Rollover satisfy the requirements applicable to Warning Label. (i) Except as provided in each of the options selected. paragraph (d)(2) of this section, each (iv) Vehicles manufactured on or after vehicle must have a label permanently September 1, 2000. When the rollover affixed to either side of the sun visor, warning label required by paragraph at the manufacturer’s option, at the (d)(1)(i) of this section and the air bag driver’s seating position. The label warning label required by paragraph must conform in content, form and se- S4.5.1(b) of 49 CFR 571.208 are affixed to quence to the label shown in Figure 1 the same side of the driver side sun of this section, and must comply with visor the pictogram of the air bag the following requirements: warning label must be separated from (A) The heading area must be yellow, the pictograms of the rollover warning with the text and the alert symbol in label by text and: black. (A) The labels must be located such (B) The message area must be white that the shortest distance from any of with black text. the lettering or graphics on the roll- (C) The pictograms must be black over warning label to any of the let- with a white background. tering or graphics on the air bag warn- (D) The label must be appropriately ing label is not less than 3 cm, or sized so that it is legible, visible and (B) If the rollover warning and air prominent to the driver. bag warning labels are each completely (ii) Vehicles manufactured on or after surrounded by a continuous solid-lined September 1, 1999 and before September 1, border, the shortest distance from the 2000. When the rollover warning label border of the rollover warning label to required by paragraph (d)(1)(i) of this the border of the air bag warning label section and the air bag warning label must be not less than 1 cm.

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(2) Alternate location for warning label. (iv) The statement: ‘‘In a rollover As an alternative to affixing the warn- crash, an unbelted person is signifi- ing label required by paragraph (d)(1)(i) cantly more likely to die than a person of this section to the driver’s sun visor, wearing a seat belt.’’ a manufacturer may permanently affix (5) Combined Rollover and Air Bag the label to the lower rear corner of Alert Warning. If the warnings required the forwardmost driver’s side window. by paragraph (d)(1) of this section and The label must be legible, visible and paragraph S4.5.1(b) of 49 CFR 571.208 to prominent to a person next to the exte- be affixed to the driver side sun visor rior of the driver’s door. are not visible when the sun visor is in (3) Rollover Alert Label. If the label re- the stowed position, a combined roll- quired by paragraph (d)(1) of this sec- over and air bag alert label may be per- tion and affixed to the driver side sun manently affixed to that visor in lieu visor is not visible when the sun visor of the alert labels required by para- is in the stowed position, an alert label graph (d)(3) of this section and para- must be permanently affixed to that graph S4.5.1(c)(2) of 49 CFR 571.208. The visor so that the label is visible when combined rollover and air bag alert the visor is in that position. The alert label must be visible when the visor is label must comply with the following in the stowed position. The combined requirements: rollover and air bag alert warning must (i) The label must read: conform in content to the label shown in Figure 2 of this section, and must ROLLOVER WARNING comply with the following requirements: Flip Visor Over (i) The label must read: (ii) The label must be black with yel- AIR BAG AND ROLLOVER WARN- low text. INGS (iii) The label must be no less than 20 Flip Visor Over square cm. (4) Owner’s Manual. The owner’s man- (ii) The message area must be black ual must include the following state- with yellow text. The message area ments and discussions: must be no less than 20 square cm. (i) The statement ‘‘Utility vehicles (iii) The pictogram shall be black have a significantly higher rollover with a red circle and slash on a white rate than other types of vehicles.’’ background. The pictogram must be (ii) A discussion of the vehicle design not less than 20 mm in diameter. features which cause this type of vehi- (6) At the option of the manufac- cles to be more likely to rollover (e.g., turer, the requirements in paragraph higher center of gravity); (d)(1)(i) for labels that are permanently (iii) A discussion of the driving prac- affixed to specified parts of the vehicle tices that can reduce the risk of a roll- may instead be met by permanent over (e.g., avoiding sharp turns at ex- marking and molding of the required cessive speed); and information.

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[64 FR 11733, Mar. 9, 1999, as amended at 64 FR 47123, Aug. 30, 1999]

§ 575.106 Tire fuel efficiency consumer or to limited production tires as de- information program. fined in § 575.104(c)(2). Tire manufacturers may comply with the requirements (a) Scope. This section requires tire in this § 575.106 as an alternative to manufacturers, tire brand name own- complying with the requirements in ers, and tire retailers to provide infor- § 575.104(d)(1)(i)(A) and (B). mation indicating the relative per- (d) Definitions.—(1) All terms used in formance of replacement passenger car this section that are defined in Section tires in the areas of fuel efficiency, 32101 of Title 49, United States Code, safety, and durability. are used as defined therein. (b) Purpose. The purpose of this sec- (2) As used in this section: tion is to aid consumers in making bet- Brand name owner means a person, ter educated choices in the purchase of other than a tire manufacturer, who passenger car tires. owns or has the right to control the (c) Application. This section applies brand name of a tire or a person who li- to replacement passenger car tires. censes another to purchase tires from a However, this section does not apply to tire manufacturer bearing the light truck tires, deep tread, winter- licensor’s brand name. type snow tires, space-saver or tem- CT means a pneumatic tire with an porary use spare tires, tires with nomi- inverted flange tire and rim system in nal rim diameters of 12 inches or less, which the rim is designed with rim

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flanges pointed radially inward and the referred to as a product code, a product tire is designed to fit on the underside identifier, or a part number. of the rim in a manner that encloses Tire line or tire model means the en- the rim flanges inside the air cavity of tire name used by a tire manufacturer the tire. to designate a tire product, including Dealer means a person selling and dis- all prefixes and suffixes as they appear tributing new motor vehicles or motor on the sidewall of a tire. vehicle equipment primarily to pur- Tire retailer means a dealer or dis- chasers that in good faith purchase the tributor of new replacement passenger vehicle or equipment other than for re- car tires sold for use on passenger cars, sale. multipurpose passenger vehicles, and Distributor means a person primarily trucks, that have a gross vehicle selling and distributing motor vehicles weight rating (GVWR) of 10,000 pounds or motor vehicle equipment for resale. or less. Lab alignment tires or LATs means the reference tires which the reference lab (e) Requirements.—(1) Information. (i) will test to be used to align other roll- Requirements for tire manufacturers. Sub- ing resistance machines with the ref- ject to paragraph (e)(1)(iii) of this sec- erence lab in accordance with the mation, each manufacturer of tires, or in chine alignment procedure in ISO 28580 the case of tires marketed under a (incorporated by reference, see § 575.3), brand name, each brand name owner section 10. shall provide rating information for Light truck (LT) tire means a tire des- each tire of which it is the manufac- ignated by its manufacturer as pri- turer or brand name owner in the man- marily intended for use on lightweight ner set forth in paragraphs (e)(1)(i)(A) trucks or multipurpose passenger vehi- through (C) of this section. The ratings cles. for each tire shall be only those speci- Passenger car tire means a tire in- fied in paragraph (e)(2) of this section. tended for use on passenger cars, mul- For the purposes of this section, each tipurpose passenger vehicles, and tire of a different SKU is to be rated trucks, that have a gross vehicle separately. Each tire shall be able to weight rating (GVWR) of 10,000 pounds achieve the level of performance rep- or less. resented by each rating. Reference lab means the laboratory or (A) Ratings. Each tire shall be rated laboratories that the National High- with the words, letters, symbols, and way Traffic Safety Administration des- figures specified in paragraph (e)(2) of ignates and which maintains and oper- this section. ates a rolling resistance test machine (B) Tire label. [Reserved] to test LATs for rolling resistance so (C) Reporting requirements. The infor- that other testing laboratories may mation collection requirements con- correlate the results from its rolling tained in this section have been ap- resistance test machine in accordance proved by the Office of Management with the machine alignment procedure and Budget under the provisions of the in ISO 28580 (incorporated by reference, Paperwork Reduction Act (44 U.S.C. see § 575.3), section 10. Replacement passenger car tire means 3501 et seq.) and are awaiting an as- any passenger car tire other than a signed OMB Control Number. passenger car tire sold as original (1) Subject to paragraph (e)(1)(iii) of equipment on a new vehicle. this section, manufacturers of tires or, Size designation means the alpha-nu- in the case of tires marketed under a meric designation assigned by a manu- brand name, brand name owners of facturer that identifies a tire’s size. tires subject to this section shall sub- This can include identifications of tire mit to NHTSA electronically, either class, nominal width, aspect ratio, tire directly or through an agent, the fol- construction, and wheel diameter. lowing data for each rated replacement Stock keeping unit or SKU means the passenger car tire: alpha-numeric designation assigned by (i) Rolling resistance rating, as deter- a manufacturer to uniquely identify a mined in paragraph (e)(2)(i) of this sec- tire product. This term is sometimes tion.

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(ii) Wet traction rating, as deter- graphs (e)(1) and (2) of this section for mined in paragraph (e)(2)(ii) of this sec- any tire they wish to have included in tion. the database of information available (iii) Treadwear rating, as determined to consumers on NHTSA’s Web site. in paragraph (e)(2)(iii) of this section. (ii) Requirements for tire retailers. Sub- (2) Format of data submitted. The in- ject to paragraph (e)(1)(iii) of this sec- formation required under paragraph tion, each tire retailer shall provide (e)(1)(i)(C)(1) of this section shall be rating information for each passenger submitted to NHTSA as extra columns car tire offered for sale in the manner in the electronic data submission reset forth in this section. quired under section 26 of Part 579. (iii) Date for compliance. The require- (3) Exempted tires. Manufacturers of ments of paragraphs (e)(1)(i) and tires or, in the case of tires marketed (e)(1)(ii) of this section will be imple- under a brand name, brand name own- mented as indicated in a forthcoming ers of tires subject to this section shall final rule. These dates will be an- submit to NHTSA all tire lines, size nounced in the FEDERAL REGISTER. designations, and stock keeping units (2) Performance.—(i) Fuel efficiency. it manufactures which are exempted [Reserved] from this section (§ 575.106) as deter- (ii) Traction. [Reserved] mined under paragraph (c) of this section. Where a manufacturer is required (iii) Treadwear. [Reserved] to report ratings under this section, (f) Fuel efficiency rating conditions and the information required in this para- procedures.—(1) Conditions. (i) Measure- graph may be submitted with the rat- ment of rolling resistance force under ings information reported in accord- the test procedure specified in para- ance with paragraph (e)(1)(i)(C)(1) of graph (f)(2) of this section shall be this section. Where a manufacturer of made using either the force or the tires, or in the case of tires marketed torque method. under a brand name, brand name own- (ii) The test procedure specified in ers of tires only manufactures tires paragraph (f)(2) of this section shall be that are exempt from this section carried out on an 80-grit roadwheel sur- under paragraph (c) of this section, face. that manufacturer shall submit a one- (iii) The machine alignment proce- time statement listing the tire lines, dure specified in section 10 of the test size designations, and stock keeping procedure specified in paragraph (f)(2) units it manufactures, and certifying of this section shall be conducted using that none of the tires it manufactures pairs of the LATs specified in para- are required to be rated under this sec- graph (f)(1)(iv) of this section, and test- tion. ed by the reference lab. (4) New ratings information. Whenever (iv) Lab alignment tires. The LATs to the tire manufacturer, or in the case of be used in the machine alignment pro- tires marketed under a brand name, cedure in section 10 of the test proce- the brand name owner receives infor- dure specified in paragraph (f)(2) of this mation that would determine new or section will be specified in this section different information required under in a forthcoming final rule. paragraph (e)(1)(i)(C)(1) of this section (v) Break-in procedure for bias ply tires. for a tire, the tire manufacturer or Before starting the rolling resistance brand name owner shall submit the testing under the test procedure speci- new ratings information to NHTSA on fied in paragraph (f)(2) of this section or before the date 30 calendar days on a bias ply replacement passenger after receipt by the manufacturer or car tire, the tire shall be broken in by brand name owner of the new informa- running it for one (1) hour with the tion, whichever comes first. speed, loading, and inflation pressure (5) Voluntary submission of data. Man- as specified in paragraphs (f)(1)(v)(A), ufacturers of tires or, in the case of (f)(1)(v)(B), and (f)(1)(v)(C) of this sec- tires marketed under a brand name, tion. After the one hour break-in, allow brand name owners of tires not subject the tire to cool for two (2) hours and to this section may submit to NHTSA re-adjust to the required ISO 28580 (in- data meeting the requirements of para- corporated by reference, see § 575.3) test

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inflation pressure, and verify 10 min- coefficient of friction on the tire asso- utes after the adjustment is made. ciated with that wheel. After break-in, the bias ply tire should (iv) Repeat the test on the concrete follow the 30 minute warm-up proce- surface, locking the same wheel. dure of ISO 28580 (incorporated by ref- (v) Repeat the tests specified in para- erence, see § 575.3). graphs (g)(2)(iii) and (iv) of this section (A) Speed. The speed shall be 80 kilo- for a total of 10 measurements on each meter per hour (kph). test surface. (B) Loading. The tire loading shall be (vi) Repeat the procedures specified 80 percent of the maximum tire load in paragraphs (g)(2)(iii) through (v) of capacity. this section, locking the wheel associ- (C) Inflation pressure. The inflation ated with the other standard tire. pressure shall be 210 kilopascals (kPa) (vii) Average the 20 measurements for standard load tires, or 250 kPA for taken on the asphalt surface to find reinforced or extra load tires. the standard tire average peak coeffi- (2) Procedure. The test procedure cient of friction for the asphalt surface. shall be as specified in ISO 28580 (incor- Average the 20 measurements taken on porated by reference, see § 575.3), except the concrete surface to find the stand- that the conditions specified in para- ard tire average peak coefficient of graph (f)(1) of this section shall be friction for the concrete surface. The used. standard tire average peak coefficient of friction so determined may be used (g) Traction rating conditions and pro- in the computation of adjusted peak cedures. (1) Conditions. Test conditions coefficients of friction for more than are as specified in § 575.104(f)(1), subject one candidate tire. to the changes in paragraphs (g)(1)(i) (viii) Average the 20 measurements through (g)(1)(iii) of this section to ad- taken on the asphalt surface to find ditionally measure the peak coefficient the standard tire average slide coeffi- of friction. cient of friction for the asphalt surface. (i) The sampling rate of the data ac- Average the 20 measurements taken on quisition is to be no less than 100 Hertz the concrete surface to find the stand- in accordance with Section 6.6.1.8 of ard tire average slide coefficient of ASTM E 1337 (incorporated by ref- friction for the concrete surface. The erence, see § 575.3). standard tire average slide coefficient (ii) The rate of brake application of friction so determined may be used shall be sufficient to control the time in the computation of adjusted slide interval between initial brake applica- coefficients of friction for more than tion and peak longitudinal force to be one candidate tire. between 0.3 and 0.5 seconds, and shall (ix) Prepare two candidate tires of be determined in accordance with Sec- the same SKU in accordance with para- tion 6.3.2 of ASTM E 1337 (incorporated graph (g)(2)(i) of this section, mount by reference, see § 575.3). them on the test apparatus, and test (iii) The peak coefficient of friction one of them according to the proce- (or peak braking coefficient) shall be dures of paragraphs (g)(2)(ii) through determined in accordance with Section (v) of this section, except load each tire 12 of ASTM E 1337 (incorporated by ref- to 85 percent of the test load specified erence, see § 575.3) for each dataset. in § 575.104(h). For CT tires, the test in- (iv) The slide coefficient of friction flation of candidate tires shall be 230 will be determined in accordance with kPa. Candidate tire measurements may § 575.104(f)(2)(iii). be taken either before or after the (2) Procedure. (i) Prepare two stand- standard tire measurements used to ard tires as specified in § 575.104(f)(2)(i). compute the standard tire traction co- (ii) Mount the tires on the test appa- efficient. Take all standard tire and ratus described in § 575.104(f)(1)(iv) and candidate tire measurements used in load each tire to 1,085 pounds. computation of a candidate tire’s ad- (iii) Tow the trailer on the asphalt justed peak coefficient and adjusted test surface specified in § 575.104(f)(1)(i) slide coefficient of friction within a at a speed of 40 mph, lock one trailer single three-hour period. Average the wheel, and record the slide and peak 10 measurements taken on the asphalt

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surface to find the candidate tire aver- Manufacturers of passenger motor ve- age peak coefficient and average slide hicles described in paragraph (b) of this coefficient of friction for the asphalt section are required to include this in- surface. Average the 10 measurements formation on the Monroney label. Al- taken on the concrete surface to find though NHTSA also makes the infor- the candidate tire average peak coeffi- mation available through means such cient of friction for the concrete sur- as postings at http://www.safercar.gov face. Average the 10 measurements and http://www.nhtsa.dot.gov, the addi- taken on the concrete surface to find tional Monroney label information is the candidate tire average slide coeffi- intended to provide consumers with cient of friction for the concrete sur- relevant information at the point of face. (x) Repeat the procedures specified in sale. paragraph (g)(2)(viii) of this section, (b) Application. This section applies using the second candidate tire as the to automobiles with a GVWR of 10,000 tire being tested. pounds or less, manufactured on or (h) Treadwear rating conditions and after September 1, 2007, that are re- procedures.—(1) Conditions. Test condi- quired by the Automobile Information tions are as specified in § 575.104(e)(1). Disclosure Act, 15 U.S.C. 1231–1233, to (2) Procedure. Test procedure is as have price sticker labels (Monroney la- specified in § 575.104(e)(2). bels), e.g., passenger vehicles, station [75 FR 15944, Mar. 30, 2010] wagons, passenger vans, and sport utility vehicles. Subpart C—Transportation Recall (c) Definitions. (1) Monroney label Enhancement, Accountability, means the label placed on new automobiles with the manufacturer’s sug- and Documentation Act; gested retail price and other consumer Consumer Information information, as specified at 15 U.S.C. § 575.201 Child restraint performance. 1231–1233. (2) Safety rating label means the label The National Highway Traffic Safety with NCAP safety rating information, Administration has established a program for rating the performance of as specified at 15 U.S.C. 1232(g). The child restraints. The agency makes the safety rating label is part of the information developed under this rat- Monroney label. ing program available through a vari- (d) Required Label. (1) Except as speci- ety of means, including postings on its fied in paragraph (f) of this section, Web site, http://www.nhtsa.dot.gov. each vehicle must have a safety rating label that is part of its Monroney label, [67 FR 67494, Nov. 5, 2002] meets the requirements specified in paragraph (e) of this section, and con- Subpart D—Safe, Accountable, forms in content, format and sequence Flexible, Efficient Transpor- to the sample label depicted in Figure tation Equity Act: A Legacy 1 of this section. If NHTSA has not pro- for Users (SAFETEA–LU); Con- vided a safety rating for any category sumer Information of vehicle performance for a vehicle, the manufacturer may use the smaller SOURCE: 71 FR 53585, Sept. 12, 2006, unless label specified in paragraph (f) of this otherwise noted. section. (2) The label must depict the star rat- § 575.301 Vehicle Labeling of Safety Rating Information. ings for that vehicle as reported to the vehicle manufacturer by NHTSA. (a) Purpose and Scope. The purpose of (3) Whenever NHTSA informs a man- this section is to aid potential pur- ufacturer in writing of a new safety chasers in the selection of new passenger motor vehicles by providing rating for a specified vehicle or the them with safety rating information continued applicability of an existing developed by NHTSA in its New Car Assessment Program (NCAP) testing.

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safety rating for a new model year, in- (ii) The words ‘‘Frontal Crash’’ must cluding any safety concerns, the manu- be in boldface, cover two lines, and be facturer shall include the new or con- aligned to the left side of the label. tinued safety rating on vehicles manu- (iii) The word ‘‘Driver’’ must be on factured on or after the date 30 cal- the same line as the word ‘‘Frontal’’ in endar days after receipt by the manu- ‘‘Frontal Crash,’’ and be left justified, facturer of the information. horizontally centered and vertically (4) If, for a vehicle that has an exist- aligned at the top of the label. The ing safety rating for a category, achieved star rating for ‘‘Driver’’ must NHTSA informs the manufacturer in be on the same line, left justified, and writing that it has approved an op- aligned to the right side of the label. tional NCAP test that will cover that (iv) If NHTSA has not released the category, the manufacturer may depict star rating for the ‘‘Driver’’ position, vehicles manufactured on or after the the text ‘‘Not Rated’’ must be used in date of receipt of the information as boldface. However, as an alternative, ‘‘Not Rated’’ or ‘‘To Be Rated’’ for that the words ‘‘To Be Rated’’ (in boldface) category. may be used if the manufacturer has (5) The text ‘‘Frontal Crash,’’ ‘‘Side received written notification from Crash,’’ ‘‘Rollover,’’ ‘‘Driver,’’ ‘‘Pas- NHTSA that the vehicle has been cho- senger,’’ ‘‘Front Seat,’’ ‘‘Rear Seat’’ sen for NCAP testing. Both texts must and where applicable, ‘‘Not Rated’’ or be on the same line as the text ‘‘Driv- ‘‘To Be Rated,’’ the star graphic indi- er’’, left justified, and aligned to the cating each rating, as well as any text right side of the label. in the header and footer areas of the (v) The word ‘‘Passenger’’ must be on label, must have a minimum font size the same line as the word ‘‘Crash’’ in of 12 point. All remaining text and ‘‘Frontal Crash,’’ below the word ‘‘Driver,’’ and be left justified, hori- symbols on the label (including the zontally centered and vertically star graphic specified in paragraph aligned at the top of the label. The (e)(8)(i)(A) of this section, must have a achieved star rating for ‘‘Passenger’’ minimum font size of 8 point. must be on the same line, left justified, (e) Required Information and Format— and aligned to the right side of the (1) Safety Rating Label Border. The safe- label. ty rating label must be surrounded by (vi) If NHTSA has not released the a solid dark line that is a minimum of star rating for ‘‘Passenger,’’ the words 3 points in width. ‘‘Not Rated’’ must be used in boldface. (2) Safety Rating Label Size and Leg- However, as an alternative, the words ibility. The safety rating label must be ‘‘To Be Rated’’ (in boldface) may be presented in a legible, visible, and used if the manufacturer has received prominent fashion that covers at least written notification from NHTSA that 8 percent of the total area of the the vehicle has been chosen for NCAP Monroney label (i.e., including the safe- testing. Both texts must be on the ty rating label) or an area with a min- same line as the text ‘‘Passenger’’, left imum of 41⁄2 inches in length and 31⁄2 justified, and aligned to the right side inches in height on the Monroney of the label. label, whichever is larger. (vii) The words ‘‘Star ratings based (3) Heading Area. The words ‘‘Govern- on the risk of injury in a frontal im- ment Safety Ratings’’ must be in bold- pact.’’, followed (on the next line) by face, capital letters that are light in the statement ‘‘Frontal ratings should color and centered. The background ONLY be compared to other vehicles of must be dark. similar size and weight.’’ must be (4) Frontal Crash Area. (i) The frontal placed at the bottom of the frontal crash area must be placed immediately crash area. below the heading area and must have (5) Side Crash Area. (i) The side crash dark text and a light background. Both area must be immediately below the the driver and the right front pas- frontal crash area, separated by a dark senger frontal crash test ratings must line that is a minimum of three points be displayed with the maximum star in width. The text must be dark ratings achieved. against a light background. Both the

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driver and the rear seat passenger side light background. The rollover test crash test rating must be displayed rating must be displayed with the max- with the maximum star rating imum star rating achieved. achieved. (ii) The word ‘‘Rollover’’ must be (ii) The words ‘‘Side Crash’’ must aligned to the left side of the label in cover two lines, and be aligned to the boldface. The achieved star rating left side of the label in boldface. must be on the same line, aligned to (iii) The words ‘‘Front seat’’ must be the right side of the label. on the same line as the word ‘‘Side’’ in (iii) If NHTSA has not tested the ve- ‘‘Side Crash’’ and be left justified, hori- hicle, the words ‘‘Not Rated’’ must be zontally centered and vertically used in boldface. However, as an alter- aligned in the middle of the label. The native, the words ‘‘To Be Rated’’ (in achieved star rating for ‘‘Front seat’’ boldface) may be used if the manufac- must be on the same line, left justified, turer has received written notification and aligned to the right side of the from NHTSA that the vehicle has been label. chosen for NCAP testing. Both texts (iv) If NHTSA has not released the must be on the same line as the text star rating for ‘‘Front Seat,’’ the words ‘‘Rollover’’, left justified, and aligned ‘‘Not Rated’’ must be used in boldface. to the right side of the label. However, as an alternative, the words (iv) The words: ‘‘Star ratings based ‘‘To Be Rated’’ (in boldface) may be on the risk of rollover in a single vehi- used if the manufacturer has received cle crash.’’ must be placed at the bot- written notification from NHTSA that tom of the rollover area. the vehicle has been chosen for NCAP (7) Graphics. The star graphic is de- testing. Both texts must be on the picted in Figure 3 and the safety con- same line as the text ‘‘Front seat’’, left cern graphic is depicted in Figure 4. justified, and aligned to the right side (8) General Information Area. (i) The of the label. general information area must be im- (v) The words ‘‘Rear seat’’ must be on mediately below the rollover area, sep- the same line as the word ‘‘Crash’’ in arated by a dark line that is a min- ‘‘Side Crash,’’ below the word ‘‘Front imum of three points in width. The seat,’’ and be left justified, hori- text must be dark and the background zontally centered and vertically must be light. The text must state the aligned in the middle of the label. The following, in the specified order, on achieved star rating for ‘‘Rear seat’’ separate lines: must be on the same line, left justified, (A) ‘‘ Star ratings range from 1 to 5 and aligned to the right side of the stars (★★★★★), with 5 being the high- label. est.’’ and (vi) If NHTSA has not released the (B) ‘‘Source: National Highway Traf- star rating for ‘‘Rear Seat,’’ the text fic Safety Administration (NHTSA)’’ ‘‘Not Rated’’ must be used in boldface. (9) Footer Area. The text However, as an alternative, the text ‘‘www.safercar.gov or 1–888–327–4236’’ ‘‘To Be Rated’’ (in boldface) may be must be provided in boldface letters used if the manufacturer has received that are light in color, and be centered. written notification from NHTSA that The background must be dark. the vehicle has been chosen for NCAP (10) Safety Concern. For vehicle tests testing. Both texts must be on the for which NHTSA reports a safety con- same line as the text ‘‘Rear seat’’, left cern as part of the star rating, the justified, and aligned to the right side label must: of the label. (i) Depict, as a superscript to the star (vii) The words: ‘‘Star ratings based rating, the related symbol, as depicted on the risk of injury in a side impact.’’ in Figure 4 of this section, at 2⁄3 the must be placed at the bottom of the font size of the base star, and side crash area. (ii) Include at the bottom of the rel- (6) Rollover Area. (i) The rollover area evant area (i.e., frontal crash area, side must be immediately below the side crash area, rollover area), as the last crash area, separated by a dark line line of that area, the related symbol, as that is a minimum of three points in depicted in Figure 4 of this section, as width. The text must be dark against a a superscript of the rest of the line, and

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the text ‘‘Safety Concern: Visit (i) ‘‘This vehicle has not been rated www.safercar.gov or call 1–888–327–4236 by the government for frontal crash, for more details.’’ side crash, or rollover risk.’’ (11) No additional information may (ii) ‘‘Source: National Highway Traf- be provided in the safety rating label fic Safety Administration (NHTSA).’’ area. The specified information pro- (5) Footer Area. The text vided in a language other than English ‘‘www.safercar.gov or 1–888–327–4236’’ is not considered to be additional infor- must be provided in 14-point boldface mation. letters that are light in color, and be (f) Smaller Safety Rating Label for Ve- centered.The background must be hicles with No Ratings. (1) If NHTSA has dark. not released a safety rating for any (6) No additional information may be category for a vehicle, the manufac- provided in the smaller safety rating turer may use a smaller safety rating label area. The specified information label that meets paragraphs (f)(2) provided in a language other than through (f)(5) of this section. A sample label is depicted in Figure 2. English is not considered to be additional information. (2) The label must be at least 41⁄2 (g) Labels for alterers. (1) If, pursuant inches in width and 11⁄2 inches in height, and must be surrounded by a to 49 CFR 567.7, a person is required to solid dark line that is a minimum of 3 affix a certification label to a vehicle, points in width. and the vehicle has a safety rating (3) Heading Area. The text must read label with one or more safety ratings, ‘‘Government Safety Ratings’’ and be the alterer must also place another in 14-point boldface, capital letters label on that vehicle as specified in that are light in color, and be centered. this paragraph. The background must be dark. (2) The additional label (which does (4) General Information. The general not replace the one required by 49 CFR information area must be below the 567.7) must read: ‘‘This vehicle has been header area. The text must be dark and altered. The stated star ratings on the the background must be light. The text safety rating label may no longer be must state the following, in at least 12- applicable.’’ point font, be left-justified, and aligned (3) The label must be placed adjacent to the left side of the label, in the spec- to the Monroney label or as close to it ified order: as physically possible.

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[71 FR 53585, Sept. 12, 2006, as amended at 72 malfunctions that may be related to FR 45176, Aug. 13, 2007] motor vehicle safety. [67 FR 45872, July 10, 2002] PART 576—RECORD RETENTION § 576.2 Purpose. Sec. The purpose of this part is to pre- 576.1 Scope. serve records that are needed for the 576.2 Purpose. proper investigation, and adjudication 576.3 Application. or other disposition, of possible defects 576.4 Definitions. related to motor vehicle safety and in- 576.5 Basic requirements. stances of nonconformity to the motor 576.6 Records. vehicle safety standards and associated 576.7 Retention. regulations. 576.8 Malfunctions covered.

AUTHORITY: 49 U.S.C. 322(a), 30117, 30120(g), § 576.3 Application. 30141–30147; delegation of authority at 49 CFR This part applies to all manufactur- 1.50. ers of motor vehicles, with respect to SOURCE: 39 FR 30045, Aug. 20, 1974, unless all records generated or acquired on or otherwise noted. after August 16, 1969, and to all manufacturers of motor vehicle equipment, EDITORIAL NOTE: For an interpretation with respect to all records in their pos- document regarding part 576, see 40 FR 3296, session, generated or acquired on or Jan. 21, 1975. after August 9, 2002. § 576.1 Scope. [67 FR 45873, July 10, 2002] This part establishes requirements § 576.4 Definitions. for the retention by manufacturers of motor vehicles and of motor vehicle All terms in this part that are de- equipment, of claims, complaints, refined in 49 U.S.C. 30102 and part 579 of ports, and other records concerning al- this chapter are used as defined there- leged and proven motor vehicle or in. motor vehicle equipment defects and [67 FR 45873, July 10, 2002]

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§ 576.5 Basic requirements. § 576.8 Malfunctions covered. (a) Each manufacturer of motor vehi- For purposes of this part, ‘‘malfunc- cles, child restraint systems, and tires tions that may be related to motor ve- shall retain, as specified in § 576.7 of hicle safety’’ shall include, with re- this part, all records described in § 576.6 spect to a motor vehicle or item of of this part for a period of five calendar motor vehicle equipment, any failure years from the date on which they were or malfunction beyond normal deterio- generated or acquired by the manufac- ration in use, or any failure of perform- turer. ance, or any flaw or unintended devi- (b) Each manufacturer of motor vehi- ation from design specifications, that cles and motor vehicle equipment shall could in any reasonably foreseeable retain, as specified in § 576.7 of this manner be a causative factor in, or ag- part, all the underlying records on gravate, an accident or an injury to a which the information reported under person. part 579 of this chapter is based, for a period of five calendar years from the PART 577—DEFECT AND date on which they were generated or NONCOMPLIANCE NOTIFICATION acquired by the manufacturer, except as provided in paragraph (c) of this sec- Sec. tion. 577.1 Scope. (c) Manufacturers need not retain 577.2 Purpose. copies of documents transmitted to 577.3 Application. NHTSA pursuant to parts 573, 577, and 577.4 Definitions. 579 of this chapter. 577.5 Notification pursuant to a manufacturer’s decision. [67 FR 45873, July 10, 2002] 577.6 Notification pursuant to Administra- tor’s decision. § 576.6 Records. 577.7 Time and manner of notification. 577.8 Disclaimers. Records to be maintained by manu- 577.9 Conformity to statutory requirements. facturers under this part include all 577.10 Follow-up notification. documentary materials, films, tapes, 577.11 Reimbursement notification. and other information-storing media 577.12 Notification pursuant to an acceler- that contain information concerning ated remedy program. malfunctions that may be related to 577.13 Notification to dealers and distribu- motor vehicle safety. Such records in- tors. clude, but are not limited to, reports AUTHORITY: 49 U.S.C. 30102, 30103, 30116– and other documents, including mate- 30121, 30166; delegations of authority at 49 rial generated or communicated by CFR 1.50 and 49 CFR 501.8. computer, telefax or other electronic SOURCE: 41 FR 56816, Dec. 30, 1976, unless means, that are related to work per- otherwise noted. formed under warranties; and any lists, compilations, analyses, or discussions § 577.1 Scope. of such malfunctions contained in in- This part sets forth requirements for ternal or external correspondence of manufacturer notification to owners, the manufacturer, including commu- dealers, and distributors of motor vehi- nications transmitted electronically. cles and items of replacement equip- [67 FR 45873, July 10, 2002] ment about a defect that relates to motor vehicle safety or a noncompli- § 576.7 Retention. ance with a Federal motor vehicle safety standard. Duplicate copies need not be retained. Information may be reproduced [69 FR 34959, June 23, 2004] or transferred from one storage medium to another (e.g., from paper files § 577.2 Purpose. to microfilm) as long as no information The purpose of this part is to ensure is lost in the reproduction or transfer, that notifications of defects or non- and when so reproduced or transferred compliances adequately inform and ef- the original form may be treated as a fectively motivate owners of poten- duplicate. tially defective or noncomplying motor

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vehicles or items of replacement equip- Owners includes purchaser. ment to have such vehicles or equipment inspected and, where necessary, [41 FR 56816, Dec. 30, 1976, as amended at 60 FR 17270, Apr. 5, 1995] remedied as quickly as possible. It is also to ensure that dealers and dis- § 577.5 Notification pursuant to a man- tributors of motor vehicles and items ufacturer’s decision. of replacement equipment are made aware of the existence of defects and (a) When a manufacturer of motor ve- noncompliances and of their rights and hicles or replacement equipment deter- responsibilities with regard thereto. mines that any motor vehicle or item of replacement equipment produced by [41 FR 56816, Dec. 30, 1976, as amended at 69 the manufacturer contains a defect FR 34959, June 23, 2004] that relates to motor vehicle safety, or § 577.3 Application. fails to conform to an applicable Fed- eral motor vehicle safety standard, the This part applies to manufacturers of manufacturer shall provide notifica- complete motor vehicles, incomplete tion in accordance with paragraph (a) motor vehicles, and replacement equip- of § 577.7, unless the manufacturer is ment. In the case of vehicles manufac- exempted by the Administrator (pursu- tured in two or more stages, compliant to 49 U.S.C. 30118(d) or 30120(h)) ance by either the manufacturer of the incomplete vehicle, any subsequent from giving such notification. The no- manufacturer, or the manufacturer of tification shall contain the informa- affected replacement equipment, shall tion specified in this section. The infor- be considered compliance by each of mation required by paragraphs (b) and those manufacturers. (c) of this section shall be presented in the form and order specified. The infor- § 577.4 Definitions. mation required by paragraphs (d) For the purposes of this part: through (h) of this section may be pre- Act means 49 U.S.C. Chapter 30101– sented in any order. Except as author- 30169. ized by the Administrator, the manu- Administrator means the Adminis- facturer shall submit a copy of its pro- trator of the National Highway Traffic posed owner notification letter, includ- Safety Administration or his delegate. ing any provisions or attachments re- First purchaser means the first pur- lated to reimbursement, to NHTSA’s chaser in good faith for a purpose other Recall Management Division (NVS–215) than resale. no fewer than five Federal Government Leased motor vehicle means any motor business days before it intends to begin vehicle that is leased to a person for a mailing it to owners. The manufac- term of at least four months by a les- turer shall mark the outside of each sor who has leased five or more vehi- envelope in which it sends an owner no- cles in the twelve months preceding tification letter with a notation that the date of notification by the vehicle includes the words ‘‘SAFETY,’’ ‘‘RE- manufacturer of the existence of a CALL,’’ and ‘‘NOTICE,’’ all in capital safety-related defect or noncompliance letters and in type that is larger than with a Federal motor vehicle safety that used in the address section, and is standard in the motor vehicle. also distinguishable from the other Lessee means a person who is the les- type in a manner other than size. Ex- see of a leased motor vehicle as defined cept where the format of the envelope in this section. has been previously approved by Lessor means a person or entity that NHTSA’s Recall Management Division is the owner, as reflected on the vehi- (NVS–215), each manufacturer must cle’s title, of any five or more leased submit the envelope format it intends vehicles (as defined in this section), as to use to that division at least five of the date of notification by the man- Federal Government business days be- ufacturer of the existence of a safety- fore mailing the notification to owners. related defect or noncompliance with a Submission of envelopes and proposed Federal motor vehicle safety standard owner notification letters shall be in one or more of the leased motor ve- made by any means, including those hicles. means identified in 49 CFR 573.9, that

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permits the manufacturer to verify re- (4) A statement of the precautions, if ceipt promptly by the Recall Manage- any, that the owners should take to re- ment Division and the date it was reduce the chance that the malfunction ceived by that division. Notification will occur before the defect or non- sent to an owner whose address is in ei- compliance is remedied. ther the Commonwealth of Puerto Rico (f) An evaluation of the risk to motor or the Canal Zone shall be written in vehicle safety reasonably related to the both English and Spanish. defect or noncompliance. (b) An opening statement: ‘‘This no- (1) When vehicle crash is a potential tice is sent to you in accordance with occurrence, the evaluation shall in- the requirements of the National Traf- clude whichever of the following is ap- fic and Motor Vehicle Safety Act.’’ propriate: (c) Whichever of the following state- (i) A statement that the defect or ments is appropriate: noncompliance can cause vehicle crash (1) ‘‘(Manufacturer’s name or divi- without prior warning; or sion) has decided that a defect which (ii) A description of whatever prior relates to motor vehicle safety exists warning may occur, and a statement in (identified motor vehicles, in the that if this warning is not heeded, vehi- case of notification sent by a motor ve- cle crash can occur. hicle manufacturer; identified replace- (2) When vehicle crash is not the potential occurrence, the evaluation ment equipment, in the case of notifi- must include a statement indicating cation sent by a replacement equip- the general type of injury to occupants ment manufacturer);’’ or of the vehicle, or to persons outside the (2) ‘‘(Manufacturer’s name or divi- vehicle, that can result from the defect sion) has decided that (identified motor or noncompliance, and a description of vehicles, in the case of notification whatever prior warning may occur. sent by a motor vehicle manufacturer; (g) A statement of measures to be identified replacement equipment, in taken to remedy the defect or non- the case of notification sent by a re- compliance, in accordance with para- placement equipment manufacturer) graph (g)(1) or (g)(2) of this section, fail to conform to Federal Motor Vehi- whichever is appropriate. cle Safety Standard No. (number and (1) When the manufacturer is re- title of standard).’’ quired by the Act to remedy the defect (d) When the manufacturer deter- or noncompliance without charge, or mines that the defect or noncompli- when he will voluntarily so remedy in ance may not exist in each such vehicle full conformity with the Act, he shall or item of replacement equipment, he include— may include an additional statement (i) A statement that he will cause to that effect. such defect or noncompliance to be (e) A clear description of the defect remedied without charge, and whether or noncompliance, which shall in- such remedy will be by repair, replace- clude— ment, or (except in the case of replace- (1) An identification of the vehicle ment equipment) refund, less deprecia- system or particular item(s) of motor tion, of the purchase price. vehicle equipment affected. (ii) The earliest date on which the de- (2) A description of the malfunction fect or noncompliance will be remedied that may occur as a result of the defect without charge. In the case of remedy or noncompliance. The description of a by repair, this date shall be the earliest noncompliance with an applicable date on which the manufacturer rea- standard shall include, in general sonably expects that dealers or other terms, the difference between the per- service facilities will receive necessary formance of the noncomplying vehicle parts and instructions. The manufac- or item of replacement equipment and turer shall specify the last date, if any, the performance specified by the stand- on which he will remedy tires without ard; charge. (3) A statement of any operating or (iii) In the case of remedy by repair other conditions that may cause the through the manufacturer’s dealers or malfunction to occur; and other service facilities:

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(A) A general description of the work (B) The manufacturer has failed or is involved in repairing the defect or non- unable to remedy the defect or noncompliance; and compliance without charge— (B) The manufacturer’s estimate of (1) (In the case of motor vehicles or the time reasonably necessary to per- items of replacement equipment, other form the labor required to correct the than tires) within a reasonable time, defect or noncompliance. which is not longer than 60 days in the (iv) In the case of remedy by repair case of repair after the owner’s first through service facilities other than tender to obtain repair following the those of the manufacturer or its deal- earliest repair date specified in the no- ers: tification, unless the period is extended (A) The name and part number of by Administrator. each part must be added, replaced, or (2) (In the case of tires) after the date modified; specified in the notification on which (B) A description of any modifica- replacement tires will be available. tions that must be made to existing (2) When the manufacturer is not re- parts, which shall also be identified by quired to remedy the defect or non- name and part number; compliance without charge and he will (C) Information as to where needed not voluntarily so remedy, the state- parts will be available; ment shall include— (D) A detailed description (including (i) A statement that the manufac- appropriate illustrations) of each step turer is not required by the Act to rem- required to correct the defect or non- edy without charge. compliance; (ii) A statement of the extent to (E) The manufacturer’s estimate of which the manufacturer will volun- the time reasonably necessary to per- tarily remedy, including the method of form the labor required to correct the remedy and any limitations and condi- defect or noncompliance; and tions imposed by the manufacturer on (F) The manufacturer’s recommenda- such remedy. tions of service facilities where the (iii) The manufacturer’s opinion owner should have the repairs performed. whether the defect or noncompliance can be remedied by repair. If the manu- (v) In the case of remedy by replace- facturer believes that repair is pos- ment, a description of the motor vehicle or item of replacement equipment sible, the statement shall include the that the manufacturer will provide as a information specified in paragraph replacement for the defective or non- (g)(1)(iv) of this section, except that; complying vehicle or equipment. (A) The statement required by para- (vi) In the case of remedy by refund graph (g)(1)(iv)(A) of this section shall of purchase price, the method or basis also indicate the suggested list price of for the manufacturer’s assessment of each part. depreciation. (B) The statement required by para- (vii) A statement informing the graph (g)(1)(iv)(C) of this section shall owner that he or she may submit a also indicate the manufacturer’s esti- complaint to the Administrator, Na- mate of the date on which the parts tional Highway Traffic Safety Admin- will be generally available. istration, 1200 New Jersey Ave., SE., (h) Any lessor who receives a notifi- Washington, DC 20590; or call the toll- cation of a determination of a safety- free Vehicle Safety Hotline at 1–888– related defect or noncompliance per- 327–4236 (TTY: 1–800–424–9153); or go to taining to any leased motor vehicle http://www.safercar.gov, if the owner be- shall send a copy of such notice to the lieves that: lessee as prescribed by § 577.7(a)(2)(iv). (A) The manufacturer, distributor, or This requirement applies to both ini- dealer has failed or is unable to remedy tial and follow-up notifications, but the defect or noncompliance without charge.

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does not apply where the manufacturer istration has decided that (identified has notified a lessor’s lessees directly. motor vehicles in the case of notification sent by a motor vehicle manufac- (Authority: Secs. 108, 112, and 119, Pub. L. 89– 563; 80 Stat. 718; secs. 102, 103, and 104, Pub. turer; identified replacement equip- L. 93–492, 88 Stat. 1470 (15 U.S.C. 1397, 1401, ment, in the case of notification sent 1408, and 1411–1420); delegation of authority by a manufacturer of replacement at 49 CFR 1.50) equipment) fail to conform to federal [41 FR 56816, Dec. 30, 1976, as amended at 46 Motor Vehicle Safety Standard No. FR 6971, Jan. 22, 1981; 46 FR 28657, May 28, (number and title of standard).’’ 1981; 60 FR 17270, Apr. 5, 1995; 61 FR 279, Jan. (3) When the Administrator decides 4, 1996; 68 FR 18142, Apr. 15, 2003; 70 FR 35557, that the defect or noncompliance may June 21, 2005; 72 FR 32016, June 11, 2007] not exist in each such vehicle or item of replacement equipment, the manu- § 577.6 Notification pursuant to Ad- facturer may include an additional ministrator’s decision. statement to that effect. (a) Agency-ordered notification. When (4) The statement: ‘‘(Manufacturer’s a manufacturer is ordered pursuant to name or division) is contesting this de- 49 U.S.C. 30118(b) to provide notifica- termination in a proceeding in the Fed- tion of a defect or noncompliance, he eral courts and has been required to shall provide such notification in ac- issue this notice pending the outcome cordance with §§ 577.5 and 577.7, except of the court proceeding.’’ that the statement required by para- (5) A clear description of the Admin- graph (c) of § 577.5 shall indicate that istrator’s stated basis for his decision, the decision has been made by the Ad- as provided in his order, including a ministrator of the National Highway brief summary of the evidence and rea- Traffic Safety Administration. soning that the Administrator relied (b) Provisional notification. When a upon in making his decision. manufacturer does not provide notifi- (6) A clear description of the Admin- cation as required by paragraph (a) of istrator’ stated evaluation as provided this section, and an action concerning in his order of the risk to motor vehi- the Administrator’s order to provide cle safety reasonably related to the de- such notification has been filed in a fect or noncompliance. United States District Court, the man- (7) Any measures that the Adminis- ufacturer shall, upon the Administra- trator has stated in his order should be tor’s further order, provide in accord- taken by the owner to avoid an unrea- ance with paragraph (b) of § 577.7 a pro- sonable hazard resulting from the de- visional notification containing the in- fect or noncompliance. formation specified in this paragraph, (8) A brief summary of the evidence in the order and, where specified, the and reasoning upon which the manu- form of paragraphs (b)(1) through facturer relies in contesting the Ad- (b)(12) of this section. ministrator’s determination. (1) An opening statement: ‘‘This no- (9) A statement regarding the avail- tice is sent to you in accordance with ability of remedy and reimbursement the requirements of the National Traf- in accordance with paragraph (b)(9)(i) fic and Motor Vehicle Safety Act.’’ or (9)(ii) of this section, whichever is (2) Whichever of the following state- appropriate. ments is appropriate: (i) When the purchase date of the ve- (i) ‘‘The Administrator of the Na- hicle or item of equipment is such that tional Highway Traffic Safety Admin- the manufacturer is required by the istration has decided that a defect Act to remedy without charge or to re- which relates to motor vehicle safety imburse the owner for reasonable and exists in (identified motor vehicles, in necessary repair expenses, he shall in- the case of notification sent by a man- clude— ufacturer of motor vehicles; identified (A) A statement that the remedy will replacement equipment, in the case of be provided without charge to the notification sent by a manufacturer of owner if the Court upholds the Admin- replacement equipment);’’ or istrator’s decision; (ii) ‘‘The Administrator of the Na- (B) A statement of the method of tional Highway Traffic Safety Admin- remedy. If the manufacturer has not

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yet determined the method of remedy, (11) A statement that further notice he shall indicate that he will select ei- will be mailed by the manufacturer to ther repair, replacement with an equiv- the owner if the Administrator’s deci- alent vehicle or item of replacement sion is upheld in the court proceeding. equipment, or (except in the case of re- (12) An address of the manufacturer placement equipment) refund, less de- where the owner may write to obtain preciation, of the purchase price; and additional information regarding the (C) A statement that, if the Court up- notification and remedy. holds the Administrator’s decision, he (c) Post-litigation notification. When a will reimburse the owner for any rea- manufacturer does not provide notifi- sonable and necessary expenses that cation as required in paragraph (a) of the owner incurs (not in excess of any this section and the Administrator pre- amount specified by the Adminis- vails in an action commenced with re- trator) in repairing the defect or non- spect to such notification, the manu- compliance following a date, specified by the manufacturer, which shall not facturer shall, upon the Administra- be later than the date of the Adminis- tor’s further order, provide notification trator’s order to issue this notification. in accordance with paragraph (b) of (ii) When the manufacturer is not re- § 577.7 containing the information spec- quired either to remedy without charge ified in paragraph (a) of this section, or to reimburse, he shall include— except that— (A) A statement that he is not re- (1) The statement required by para- quired to remedy or reimburse, or graph (c) of § 577.5 shall indicate that (B) A statement of the extent to the decision has been made by the Ad- which he will voluntarily remedy or re- ministrator and that his decision has imburse, including the method of rem- been upheld in a proceeding in the Fed- edy, if then known, and any limita- eral courts; and tions and conditions on such remedy or (2) When a provisional notification reimbursement. was issued regarding the defect or non- (10) A statement indicating whether, compliance and the manufacturer is rein the manufacturer’s opinion, the de- quired under the Act to reimburse— fect or noncompliance can be remedied (i) The manufacturer shall state that by repair. When the manufacturer be- he will reimburse the owner for any lieves that such remedy is feasible, the reasonable and necessary expenses that statement shall include: the owner incurred (not in excess of (i) A general description of the work any amount specified by the Adminis- and the manufacturer’s estimate of the trator) for repair of the defect or non- costs involved in repairing the defect compliance of the vehicle or item of or noncompliance; equipment on or after the date on (ii) Information on where needed which provisional notification was or- parts and instructions for repairing the dered to be issued and on or before a defect or noncompliance will be avail- date not sooner than the date on which able, including the manufacturer’s esti- this notification is received by the mate of the day on which they will be owner. The manufacturer shall deter- generally available; mine and specify both dates. (iii) The manufacturer’s estimate of (ii) The statement required by para- the time reasonably necessary to per- graph (g)(1)(vii) of § 577.5 shall also inform the labor required to correct the defect or noncompliance; and form the owner that he may submit a (iv) The manufacturer’s rec- complaint to the Administrator if the ommendations of service facilities owner believes that the manufacturer where the owner could have the repairs has failed to reimburse adequately. performed, including (in the case of a (3) If the manufacturer is not re- manufacturer required to reimburse if quired under the Act to reimburse, he the Administrator’s decision is upheld shall include— in the court proceeding) at least one (i) A statement that he is not re- service facility for whose charges the quired to reimburse, or owner will be fully reimbursed if the (ii) When he will voluntarily reim- Administrator’s decision is upheld. burse, a statement of the extent to

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which he will do so, including any limi- (A) By first class mail to the most re- tations and conditions on such reim- cent purchaser known to the manufac- bursement. turer, and (B) (Except in the case of a tire) if de- [41 FR 56816, Dec. 30, 1976, as amended at 60 cided by the Administrator to be re- FR 17271, Apr. 5, 1995] quired for motor vehicle safety, by pub- § 577.7 Time and manner of notifica- lic notice in such manner as the Ad- tion. ministrator may require after consultation with the manufacturer. (a) The notification required by (iii) In the case of a manufacturer re- § 577.5 shall— quired to provide notification con- (1) Be furnished within a reasonable cerning any defective or noncomplying time after the manufacturer first de- tire, by first class or certified mail. cides that either a defect that relates (iv) In the case of a notification to be to motor vehicle safety or a non- sent by a lessor to a lessee of a leased compliance exists. The Administrator motor vehicle, by first-class mail to may order a manufacturer to send the the most recent lessee known to the notification to owners on a specific lessor. Such notification shall be date where the Administrator finds, mailed within ten days of the lessor’s after consideration of available infor- receipt of the notification from the ve- mation and the views of the manufac- hicle manufacturer. turer, that such notification is in the (b) The notification required by any public interest. The factors that the paragraph of § 577.6 shall be provided: Administrator may consider include, (1) Within 60 days after the manufac- but are not limited to, the severity of turer’s receipt of the Administrator’s the safety risk; the likelihood of occur- order to provide the notification, ex- rence of the defect or noncompliance; cept that the notification shall be fur- whether there is something that an nished within a shorter or longer pe- owner can do to reduce either the like- riod if the Administrator incorporates lihood of occurrence of the defect or in his order a finding that such period noncompliance or the severity of the is in the public interest; and consequences; whether there will be a (2) In the manner and to the recipient delay in the availability of the remedy specified in paragraph (a) of this sec- from the manufacturer; and the antici- tion. pated length of any such delay. (c) The notification required by (2) Be accomplished— § 577.13 shall— (i) In the case of a notification re- (1) Be furnished within a reasonable quired to be sent by a motor vehicle time after the manufacturer decides manufacturer, by first class mail to that a defect that relates to motor ve- each person who is registered under hicle safety or a noncompliance exists. State law as the owner of the vehicle In the case of defects or noncompli- and whose name and address are rea- ances that present an immediate and sonably ascertainable by the manufac- substantial threat to motor vehicle turer through State records or other safety, the manufacturer shall trans- sources available to him. If the owner mit this notice to dealers and distribu- cannot be reasonably ascertained, the tors within three business days of its manufacturer shall notify the most re- transmittal of the Defect and Non- cent purchaser known to the manufac- compliance Information Report under turer. The manufacturer shall also pro- 49 CFR 573.6 to NHTSA, except that vide notification to each lessee of a when the manufacturer transmits the leased motor vehicle that is covered by notice by other than electronic means, an agreement between the manufac- the manufacturer shall transmit this turer and a lessor under which the notice to dealers and distributors with- manufacturer is to notify lessees di- in five business days of its transmittal rectly of safety-related defects and of the Defect and Noncompliance Infor- noncompliances. mation Report to NHTSA. In all other (ii) In the case of a notification re- cases, the notification shall be pro- quired to be sent by a replacement vided in accordance with the schedule equipment manufacturer— submitted to the agency pursuant to

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§ 573.6(c)(8)(ii), unless that schedule is tors, the manufacturer may satisfy its modified by the Administrator. The notification responsibilities by pro- Administrator may direct a manufac- viding the information required under turer to send the notification to deal- this section to its distributors. In such ers on a specific date if the Adminis- cases, the manufacturer must also in- trator finds, after consideration of struct those distributors to transmit a available information and the views of copy of the manufacturer’s notification the manufacturer, that such notifica- to known distributors and retail out- tion is in the public interest. The fac- lets along the distribution chain within tors that the Administrator may con- five working days from its receipt. sider include, but are not limited to, (d) Notwithstanding paragraph (c)(1) the severity of the safety risk; the like- of this section, where the recall is lihood of occurrence of the defect or being conducted pursuant to an order noncompliance; the time frame in issued by the Administrator under 49 which the defect or noncompliance U.S.C. 30118(b), notification required by may manifest itself; availability of an § 577.13 shall be given on or before the interim remedial action by the owner; date prescribed in the Administrator’s whether a dealer inspection would order. identify vehicles or items of equipment that contain the defect or noncompli- [41 FR 56816, Dec. 30, 1976, as amended at 60 ance; and the time frame in which the FR 17271, Apr. 5, 1995; 69 FR 34959, June 23, manufacturer plans to provide the no- 2004; 70 FR 38814, July 6, 2005] tification and the remedy to its deal- § 577.8 Disclaimers. ers. (2) Be accomplished— (a) A notification sent pursuant to (i) In the case of a notification re- §§ 577.5, 577.6, 577.9 or 577.10 regarding a quired to be sent by a motor vehicle defect which relates to motor vehicle manufacturer, by certified mail, safety shall not, except as specifically verifiable electronic means such as re- provided in this part, contain any ceipts or logs from electronic mail or statement or implication that there is satellite distribution system, or other no defect, that the defect does not re- more expeditious and verifiable means late to motor vehicle safety, or that to all dealers and distributors of the the defect is not present in the owner’s vehicles that contain the defect or non- or lessee’s vehicle or item of replace- compliance. ment equipment. This section also ap- (ii) In the case of a notification replies to any notification sent to a les- quired to be sent by a manufacturer of sor or directly to a lessee by a manu- replacement equipment or tires, by facturer. certified mail, verifiable electronic (b) A notification sent pursuant to means such as receipts or logs from §§ 577.5, 577.6, 577.9 or 577.10 regarding a electronic mail or satellite distribution noncompliance with an applicable system, or other more expeditious and motor vehicle safety standard shall verifiable means to all dealers and dis- not, except as specifically provided in tributors of the product that are this part, contain any statement or im- known to the manufacturer. plication that there is not a non- (iii) In those cases where a manufac- compliance, or that the noncompliance turer of motor vehicles or items of is not present in the owner’s or lessee’s motor vehicle equipment provided the vehicle or item of replacement equip- recalled product(s) to a group of deal- ment. This section also applies to any ers or distributors through a central notification sent to a lessor or directly office, notification to that central of- to a lessee by a manufacturer. fice will be deemed to be notice to all dealers and distributors within that [60 FR 17272, Apr. 5, 1995] group. (iv) In those cases in which a manu- § 577.9 Conformity to statutory re- facturer of motor vehicles or items of quirements. motor vehicle equipment has provided A notification that does not conform the recalled product to independent to the requirements of this part is a dealers through independent distribu- violation of the Act.

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§ 577.10 Follow-up notification. (2) A statement urging the recipient (a) If, based on quarterly reports sub- to present the vehicle or item of equip- mitted pursuant to § 573.7 of this part ment for remedy; and (3) Except as determined by the Ad- or other available information, the Ad- ministrator, the information required ministrator decides that a notification to be included in the initial notifica- of a safety-related defect of a non- tion. compliance with a Federal motor vehi- (f) The manufacturer shall mark the cle safety standard sent by a manufac- outside of each envelope in which it turer has not resulted in an adequate sends a follow-up notification in a number of vehicles or items of equip- manner which meets the requirements ment being returned for remedy, the of § 577.5(a) of this part. Administrator may direct the manu- (g) Notwithstanding any other provi- facturer to send a follow-up notifica- sion of this part, the Administrator tion in accordance with this section. may authorize the use of other media The scope, timing, form, and content of besides first-class mail for a follow-up such follow-up notification will be es- notification. tablished by the Administrator, in consultation with the manufacturer, to [60 FR 17272, Apr. 5, 1995, as amended at 68 maximize the number of owners, pur- FR 18142, Apr. 15, 2003] chasers, and lessees who will present their vehicles or items of equipment § 577.11 Reimbursement notification. for remedy. (a) Except as otherwise provided in (b) The Administrator may consider paragraph (e) of this section, when a the following factors in deciding manufacturer of motor vehicles or re- whether or not to require a manufac- placement equipment is required to turer to undertake a follow-up notifica- provide notice in accordance with tion campaign: §§ 577.5 or 577.6, in addition to com- (1) The percentage of covered vehi- plying with other sections of this part, cles or items of equipment that have the manufacturer shall notify owners been presented for the remedy; that they may be eligible to receive re- (2) The amount of time that has imbursement for the cost of obtaining elapsed since the prior notification(s); a pre-notification remedy of a problem (3) The likelihood that a follow-up associated with a defect or noncompli- notification will increase the number ance consistent with the manufactur- of vehicles or items of equipment re- er’s reimbursement plan submitted to ceiving the remedy; NHTSA pursuant to §§ 573.6(c)(8)(i) and (4) The seriousness of the safety risk 573.13 of this chapter. from the defect or noncompliance; (b) The manufacturer’s notification (5) Whether the prior notification(s) shall include a statement, following undertaken by the manufacturer com- the items required by § 577.5 or § 577.6, plied with the requirements of the stat- that ute and regulations; and (1) Refers to the possible eligibility (6) Such other factors as are con- for reimbursement for the cost of re- sistent with the purpose of the statute. pair or replacement; and (c) A manufacturer shall be required (2) Describes how a consumer may to provide a follow-up notification obtain information about reimburse- under this section only with respect to ment from the manufacturer; vehicles or items of equipment that (c) The information referred to in have not been returned for remedy pur- § 577.11(b)(2) of this part shall be pro- suant to the prior notification(s). vided in one of the following ways: (d) Except where the Administrator (1) In an enclosure to the notification determines otherwise, the follow-up no- under § 577.5 or § 577.6 that provides the tification shall be sent to the same cat- information described in § 577.11(d), egories of recipients that received the consistent with the manufacturer’s re- prior notification(s). imbursement plan; or (e) A follow-up notification must in- (2) Through a toll-free telephone clude: number (with TTY capability) identi- (1) A statement that identifies it as a fied in the notification that provides follow-up to an earlier communication; the information described in § 577.11(d),

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consistent with the manufacturer’s re- § 577.12 Notification pursuant to an ac- imbursement plan. celerated remedy program. (3) For notifications of defects or (a) When the Administrator requires noncompliances in item of motor vehi- a manufacturer to accelerate its rem- cle equipment that are in a form other edy program under § 573.14 of this chap- than a letter to a specific owner or pur- ter, or when a manufacturer agrees chaser, if the manufacturer does not with a request from the Administrator otherwise maintain a toll-free tele- that it accelerate its remedy program phone number for the use of con- in advance of being required to do so, sumers, the manufacturer may refer in addition to complying with other claimants to a non-toll-free telephone sections of this part, the manufacturer number (with TTY capability) if it also shall provide notification in accord- specifies a mailing address at which ance with this section. owners can obtain the relevant infor- (b) Except as provided elsewhere in mation regarding the manufacturer’s this section or when the Administrator reimbursement plan. determines otherwise, the notification (d) The information to be provided under this section shall be sent to the under paragraph (c) of this section same recipients as provided by § 577.7. If must: no notification has been provided to (1) Identify the vehicle and/or equip- owners pursuant to this part, the provi- ment that is the subject of the recall sions required by this section may be and the underlying problem; combined with the notification under (2) State that the manufacturer has a §§ 577.5 or 577.6. A manufacturer need program for reimbursing pre-notifica- only provide a notification under this tion remedies and identify the type of section to owners of vehicles or items remedy eligible for reimbursement; of equipment for which the defect or (3) Identify any limits on the time noncompliance has not been remedied. period in which the repair or replace- (c) The manufacturer’s notification ment of the recalled vehicle or equip- shall include the following: ment must have occurred; (1) If there was a prior notification, a (4) Identify any restrictions on eligi- statement that identifies that notifica- bility for reimbursement that the man- tion and states that this notification ufacturer is imposing (as limited by supplements it; § 573.13 (d) of this chapter); (2) When the accelerated remedy pro- (5) Specify all necessary documenta- gram has been required by the Admin- tion that must be submitted to obtain istrator, a statement that the National reimbursement; Highway Traffic Safety Administration (6) Explain how to submit a claim for has required the manufacturer to ac- reimbursement of a pre-notification celerate its remedy program; remedy; and (3) A statement of how the program (7) Identify the office and address of has been accelerated (e.g., by expanding the manufacturer where a claim can be the sources of replacement parts and/or submitted by mail and any authorized expanding the number of authorized re- dealers or facilities where a claimant pair facilities); may submit a claim for reimburse- (4) Where applicable, a statement ment. that the owner may elect to obtain the recall remedy using designated service (e) The manufacturer is not required facilities other than those that are to provide notification regarding reim- owned or franchised by the manufac- bursement under this section if NHTSA turer or are the manufacturer’s author- finds, based upon a written request by ized dealers, and an explanation of how a manufacturer accompanied by sup- the owner may arrange for service at porting information, views, and argu- those other facilities; ments, that all covered vehicles are (5) Where applicable, a statement under warranty or that no person that the owner may elect to obtain the would be eligible for reimbursement recall remedy using specified replace- under § 573.13 of this chapter. ment parts or equipment from sources [67 FR 64065, Oct. 17, 2002] other than the manufacturer;

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(6) Where applicable, a statement in- PART 578—CIVIL AND CRIMINAL dicating whether the owner will be re- PENALTIES quired to pay an alternative facility and/or parts supplier, subject to reim- Sec. bursement by the manufacturer; and 578.1 Scope. (7) If an owner will be required to pay 578.2 Purpose. an alternative facility and/or parts sup- 578.3 Applicability. plier, a statement that the owner will 578.4 Definitions. be eligible to have those expenditures 578.5 Inflationary adjustment of civil pen- reimbursed by the manufacturer, and a alties. description of how a consumer may ob- 578.6 Civil penalties for violations of speci- tain information about reimbursement fied provisions of Title 49 of the United from the manufacturer consistent with States Code. § 577.11(b)(2), (c) and (d). 578.7 Criminal safe harbor provision. AUTHORITY: Pub. L. No. 101–410, Pub. L. No. [67 FR 72393, Dec. 5, 2002] 104–134, 49 U.S.C. 30165, 30170, 30505, 32304A, 32308, 32309, 32507, 32709, 32710, 32912, and 33115 § 577.13 Notification to dealers and as amended; delegation of authority at 49 distributors. CFR 1.50. (a) The notification to dealers and SOURCE: 62 FR 5169, Feb. 4, 1997, unless oth- distributors of a safety-related defect erwise noted. or a noncompliance with a Federal motor vehicle safety standard shall § 578.1 Scope. contain a clear statement that identi- This part specifies the civil penalties fies the notification as being a safety for violations of statutes administered recall notice, an identification of the by the National Highway Traffic Safe- motor vehicles or items of motor vehi- ty Administration, as adjusted for in- cle equipment covered by the recall, a flation. This part also sets forth the re- description of the defect or noncompli- quirements regarding the reasonable ance, and a brief evaluation of the risk time and the manner of correction for to motor vehicle safety related to the a person seeking safe harbor protection defect or noncompliance. The notification shall also include a complete de- from criminal liability under 49 U.S.C. scription of the recall remedy, and the 30170(a). estimated date on which the remedy [65 FR 81418, Dec. 26, 2000] will be available. Information required by this paragraph that is not available § 578.2 Purpose. at the time of the original notification One purpose of this part is to pre- shall be provided as it becomes avail- serve the remedial impact of civil pen- able. alties and to foster compliance with (b) The notification shall also include the law by specifying the civil pen- an advisory stating that it is a viola- alties for statutory violations, as ad- tion of Federal law for a dealer to de- justed for inflation. The other purpose liver a new motor vehicle or any new of this part is to set forth the require- or used item of motor vehicle equip- ments regarding the reasonable time ment (including a tire) covered by the and the manner of correction for a per- notification under a sale or lease until son seeking safe harbor protection the defect or noncompliance is rem- from criminal liability under 49 U.S.C. edied. 30170(a). (c) The manufacturer shall, upon request of the Administrator, dem- [65 FR 81418, Dec. 26, 2000] onstrate that it sent the required notification to each of its known dealers § 578.3 Applicability. and distributors and the date of such This part applies to civil penalties notification. for violations of Chapters 301, 305, 323, 325, 327, 329, and 331 of Title 49 of the [69 FR 34960, June 23, 2004, as amended at 70 FR 38815, July 6, 2005]

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United States Code. This part also ap- under this paragraph for a related se- plies to the criminal penalty safe har- ries of violations is $16,375,000. bor provision of section 30170 of Title 49 (2) School buses. Notwithstanding of the United States Code. paragraph (a)(1) of this section, a person who: [65 FR 81419, Dec. 26, 2000] (i) Violates section 30112(a)(1) of Title 49 United States Code by the manufac- § 578.4 Definitions. ture, sale, offer for sale, introduction All terms used in this part that are or delivery for introduction into inter- defined in sections 30102, 30501, 32101, state commerce, or importation of a 32702, 32901, and 33101 of Title 49 of the school bus or school bus equipment (as United States Code are used as defined those terms are defined in 49 U.S.C. in the appropriate statute. § 30125(a)); or Administrator means the Adminis- (ii) Violates section 30112(a)(2) of trator of the National Highway Traffic Title 49 United States Code, shall be Safety Administration. subject to a civil penalty of not more Civil penalty means any non-criminal than $11,000 for each violation. A sepa- penalty, fine, or other sanction that: rate violation occurs for each motor (1) Is for a specific monetary amount vehicle or item of motor vehicle equip- as provided by Federal law, or has a ment and for each failure or refusal to maximum amount provided for by Fed- allow or perform an act required by eral law; and this section. The maximum penalty (2) Is assessed, compromised, col- under this paragraph for a related selected, or enforced by NHTSA pursuant ries of violations is $16,650,000. to Federal law. (3) Section 30166. A person who vio- NHTSA means the National Highway lates section 30166 of Title 49 of the Traffic Safety Administration. United States Code or a regulation prescribed under that section is liable to [62 FR 5169, Feb. 4, 1997, as amended at 65 FR the United States Government for a 81419, Dec. 26, 2000] civil penalty for failing or refusing to allow or perform an act required under § 578.5 Inflationary adjustment of civil that section or regulation. The max- penalties. imum penalty under this paragraph is The civil penalties set forth in this $6,000 per violation per day. The max- part continue in effect until adjusted imum penalty under this paragraph for by the Administrator. At least once a related series of daily violations is every four years, the Administrator $16,375,000. shall review the amount of these civil (b) National Automobile Title Informa- penalties and will, if appropriate, ad- tion System. An individual or entity vio- just them by rule. lating 49 U.S.C. Chapter 305 is liable to the United States Government for a § 578.6 Civil penalties for violations of civil penalty of not more than $1,100 for specified provisions of Title 49 of each violation. the United States Code. (c) Bumper standards. (1) A person (a) Motor vehicle safety—(1) In general. that violates 49 U.S.C. § 32506(a) is lia- A person who violates any of sections ble to the United States Government 30112, 30115, 30117 through 30122, for a civil penalty of not more than 30123(a), 30125(c), 30127, or 30141 through $1,100 for each violation. A separate 30147 of Title 49 of the United States violation occurs for each passenger Code or a regulation prescribed under motor vehicle or item of passenger any of those sections is liable to the motor vehicle equipment involved in a United States Government for a civil violation of 49 U.S.C. 32506(a)(1) or (4)— penalty of not more than $6,000 for (i) That does not comply with a each violation. A separate violation oc- standard prescribed under 49 U.S.C. curs for each motor vehicle or item of 32502, or motor vehicle equipment and for each (ii) For which a certificate is not pro- failure or refusal to allow or perform vided, or for which a false or mis- an act required by any of those sec- leading certificate is provided, under 49 tions. The maximum civil penalty U.S.C. 32504.

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(2) The maximum civil penalty under ernment for a civil penalty of not more this paragraph (c) for a related series of than $1,100 for each violation. The fail- violations is $1,175,000. ure of more than one part of a single (d) Consumer information—(1) Crash- motor vehicle to conform to an appli- worthiness and damage susceptibility. A cable standard under 49 U.S.C. 33102 or person that violates 49 U.S.C. 32308(a), 33103 is only a single violation. The regarding crashworthiness and damage maximum penalty under this para- susceptibility, is liable to the United graph for a related series of violations States Government for a civil penalty is $350,000. of not more than $1,100 for each viola- (2) A person that violates 49 U.S.C. tion. Each failure to provide informa- 33114(a)(5) is liable to the United States tion or comply with a regulation in Government for a civil penalty of not violation of 49 U.S.C. 32308(a) is a sepa- more than $140,000 a day for each viola- rate violation. The maximum penalty tion. under this paragraph for a related se- (h) Automobile fuel economy. (1) A per- ries of violations is $575,000. son that violates 49 U.S.C. 32911(a) is (2) Consumer tire information. Any per- liable to the United States Government son who fails to comply with the na- for a civil penalty of not more than tional tire fuel efficiency program $16,000 for each violation. A separate under 49 U.S.C. 32304A is liable to the violation occurs for each day the viola- United States Government for a civil tion continues. penalty of not more than $50,000 for (2) Except as provided in 49 U.S.C. each violation. 32912(c), a manufacturer that violates a (e) Country of origin content labeling. standard prescribed for a model year A manufacturer of a passenger motor under 49 U.S.C. 32902 is liable to the vehicle distributed in commerce for United States Government for a civil sale in the United States that willfully penalty of $5.50 multiplied by each .1 of fails to attach the label required under a mile a gallon by which the applicable 49 U.S.C. 32304 to a new passenger average fuel economy standard under motor vehicle that the manufacturer that section exceeds the average fuel manufactures or imports, or a dealer economy— that fails to maintain that label as required under 49 U.S.C. 32304, is liable to (i) Calculated under 49 U.S.C. the United States Government for a 32904(a)(1)(A) or (B) for automobiles to civil penalty of not more than $1,100 for which the standard applies manufac- each violation. Each failure to attach tured by the manufacturer during the or maintain that label for each vehicle model year; is a separate violation. (ii) Multiplied by the number of those (f) Odometer tampering and disclosure. automobiles; and (1) A person that violates 49 U.S.C. (iii) Reduced by the credits available Chapter 327 or a regulation prescribed to the manufacturer under 49 U.S.C. or order issued thereunder is liable to 32903 for the model year. the United States Government for a [62 FR 5169, Feb. 4, 1997, as amended at 64 FR civil penalty of not more than $3,200 for 37878, July 14, 1999; 65 FR 68110, Nov. 14, 2000; each violation. A separate violation oc- 66 FR 41151, Aug. 7, 2001; 69 FR 57866, Sept. 28, curs for each motor vehicle or device 2004; 70 FR 53311, Sept. 8, 2005; 71 FR 28281, involved in the violation. The max- May 16, 2006; 73 FR 9956, Feb. 25, 2008; 75 FR imum civil penalty under this para- 5248, Feb. 2, 2010] graph for a related series of violations is $140,000. § 578.7 Criminal safe harbor provision. (2) A person that violates 49 U.S.C. (a) Scope. This section sets forth the Chapter 327 or a regulation prescribed requirements regarding the reasonable or order issued thereunder, with intent time and the manner of correction for to defraud, is liable for three times the a person seeking safe harbor protection actual damages or $2,000, whichever is from criminal liability under 49 U.S.C. greater. 30170(a)(2), which provides that a per- (g) Vehicle theft protection. (1) A person described in 49 U.S.C. 30170(a)(1) is son that violates 49 U.S.C. 33114(a)(1)– not subject to criminal penalties there- (4) is liable to the United States Gov- under if:

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(1) At the time of the violation, such detailed description of that informa- person does not know that the violation and/or the content of those docu- tion would result in an accident caus- ments and the reason why the indi- ing death or serious bodily injury; and vidual cannot provide them to NHTSA (2) The person corrects any improper (e.g., the information or documents are reports or failure to report, with re- not in the individual’s possession or spect to reporting requirements of 49 control). U.S.C. 30166, within a reasonable time. (3) For a corporation, the submission (b) Reasonable time. A correction is must be signed by an authorized person considered to have been performed (ordinarily, the individual officer or within a reasonable time if the person employee who submitted the improper seeking protection from criminal li- report or who should have provided the ability makes the correction to any report that the corporation failed to improper (i.e., incorrect, incomplete, submit on behalf of the company, or or misleading) report not more than someone in the company with author- thirty (30) calendar days after the date ity to make such a submission). of the report to the agency and cor- (4) Submissions must be made by a rects any failure to report not more means which permits the sender to than thirty (30) calendar days after the verify promptly that the report was in report was due to be sent to or received fact received by NHTSA and the day it by the agency, as the case may be, pur- was received by NHTSA. suant to 49 U.S.C. 30166, including a (5) Submit the report to Chief Coun- regulation, requirement, request or sel (NCC–10), National Highway Traffic order issued thereunder. In order to Safety Administration, Room 5219, 400 meet these reasonable time require- Seventh Street, SW., Washington, DC ments, all submissions required by this 20590. section must be received by NHTSA [65 FR 81419, Dec. 26, 2000, as amended at 66 within the time period specified in this FR 38384, July 24, 2001] paragraph, and not merely mailed or otherwise sent within that time period. PART 579—REPORTING OF INFOR- (c) Sufficient manner of correction. MATION AND COMMUNICA- Each person seeking safe harbor protection from criminal penalties under TIONS ABOUT POTENTIAL DE- 49 U.S.C. 30170(a)(2) must comply with FECTS the following with respect to each improper report and failure to report for Subpart A—General which safe harbor protection is sought: Sec. (1) Sign and submit to NHTSA a 579.1 Scope. dated document identifying: 579.2 Purpose. (i) Each previous improper report 579.3 Application. (e.g., informational statement and doc- 579.4 Terminology. 579.5 Notices, bulletins, customer satisfac- ument submission), and each failure to tion campaigns, consumer advisories, report as required under 49 U.S.C. 30166, and other communications. including a regulation, requirement, 579.6 Address for submitting reports and request or order issued thereunder, for other information. which protection is sought, and 579.7–579.10 [Reserved] (ii) The specific predicate under which the improper or omitted report Subpart B—Reporting of Safety Recalls and should have been provided (e.g., the re- Other Safety Campaigns in Foreign port was required by a specified regula- Countries tion, NHTSA Information Request, or 579.11 Reporting responsibilities. NHTSA Special Order). 579.12 Contents of reports. (2) Submit the complete and correct 579.13–579.20 [Reserved] information that was required to be submitted but was improperly sub- Subpart C—Reporting of Early Warning mitted or was not previously sub- Information mitted, including relevant documents 579.21 Reporting requirements for manufac- that were not previously submitted, or, turers of 5,000 or more light vehicles an- if the person cannot do so, provide a nually.

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579.22 Reporting requirements for manufac- ances in their products, including the turers of 100 or more buses, manufactur- reporting of safety recalls and other ers of 500 or more emergency vehicles safety campaigns that the manufac- and manufacturers of 5,000 or more medium-heavy vehicles (other than buses turer conducts outside the United and emergency vehicles) annually. States. 579.23 Reporting requirements for manufac- [67 FR 63310, Oct. 11, 2002] turers of 5,000 or more motorcycles annually. 579.24 Reporting requirements for manufac- § 579.3 Application. turers of 5,000 or more trailers annually. (a) This part applies to all manufac- 579.25 Reporting requirements for manufacturers of motor vehicles and motor ve- turers of child restraint systems. hicle equipment with respect to all 579.26 Reporting requirements for manufacturers of tires. motor vehicles and motor vehicle 579.27 Reporting requirements for manufac- equipment that have been offered for turers of fewer than 100 buses annually, sale, sold, or leased in the United for manufacturers of fewer than 500 States by the manufacturer, including emergency vehicles annually, for manu- any parent corporation, any subsidiary facturers of fewer than 5,000 light vehi- or affiliate of the manufacturer, or any cles, medium-heavy vehicles (other than subsidiary or affiliate of any parent buses and emergency vehicles), motor- corporation, and with respect to all cycles or trailers annually, for manufacturers of original equipment, and for motor vehicles and motor vehicle manufacturers of replacement equipment equipment that have been offered for other than child restraint systems and sale, sold, or leased in a foreign coun- tires. try by the manufacturer, including any 579.28 Due date of reports and other mis- parent corporation, any subsidiary or cellaneous provisions. affiliate of the manufacturer, or any 579.29 Manner of reporting. subsidiary or affiliate of any parent AUTHORITY: 49 U.S.C. 30102–103, 30112, 30117– corporation, and are identical or sub- 121, 30166–167; delegation of authority at 49 stantially similar to any motor vehi- CFR 1.50 and 49 CFR 501.8. cles or motor vehicle equipment that SOURCE: 67 FR 45873, July 10, 2002, unless have been offered for sale, sold, or otherwise noted. leased in the United States. (b) In the case of any report required Subpart A—General under subpart B of this part, compliance by the fabricating manufacturer, § 579.1 Scope. the importer, the brand name owner, or This part sets forth requirements for a parent or subsidiary of such fabri- reporting information and submitting cator, importer, or brand name owner documents that may help identify de- of the motor vehicle or motor vehicle fects related to motor vehicle safety equipment that is identical or substan- and noncompliances with Federal tially similar to that covered by the motor vehicle safety standards, includ- foreign recall or other safety cam- ing reports of foreign safety recalls and paign, shall be considered compliance other safety-related campaigns con- by all persons. ducted outside the United States under (c) In the case of any report required 49 U.S.C. 30166(l), early warning infor- under subpart C of this part, compli- mation under 49 U.S.C. 30166(m), and ance by the fabricating manufacturer, copies of communications about de- the importer, the brand name owner, or fects and noncompliances under 49 a parent or United States subsidiary of U.S.C. 30166(f). such fabricator, importer, or brand name owner of the motor vehicle or § 579.2 Purpose. motor vehicle equipment, shall be con- The purpose of this part is to en- sidered compliance by all persons. hance motor vehicle safety by speci- (d) With regard to any information fying information and documents that required to be reported under subpart C manufacturers of motor vehicles and of this part, an entity covered under motor vehicle equipment must provide paragraph (a) of this section need only to NHTSA with respect to possible review information and systems where safety-related defects and noncompli- information responsive to subpart C of

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this part is kept in the usual course of units, connective elements (such as business. wiring harnesses, hoses, piping, etc.), and mounting elements (such as brack- [43 FR 38833, Aug. 31, 1978, as amended at 67 FR 63310, Oct. 11, 2002] ets, fasteners, etc.). Base means the detachable bottom § 579.4 Terminology. portion of a child restraint system that (a) Statutory terms. The terms dealer, may remain in the vehicle to provide a defect, distributor, motor vehicle, motor base for securing the system to a seat vehicle equipment, and State are used as in a motor vehicle. defined in 49 U.S.C. 30102. Bead means all the materials in a (b) Regulatory terms. The term Vehicle tire below the sidewalls in the rim con- Identification Number (VIN) is used as tact area, including bead rubber com- defined in § 565.3(o) of this chapter. The ponents, the bead bundle and rubber terms bus, Gross Vehicle Weight Rating coating if present, the body ply and its (GVWR), motorcycle, multipurpose pas- turn-up including the rubber coating, senger vehicle, passenger car, trailer, and rubber, fabric, or metallic reinforcing truck are used as defined in § 571.3(b) of materials, and the inner-liner rubber this chapter. The term Booster seat is under the bead area. used as defined in S4 of § 571.213 of this Brand name owner means a person chapter. The term Tire Identification that markets a motor vehicle or motor Number (TIN) is the ‘‘tire identification vehicle equipment under its own trade number’’ described in § 574.5 of this name whether or not it is the fabri- chapter. The term Limited production cator or importer of the vehicle or tire is used as defined in § 575.104(c)(2) of equipment. this chapter. Buckle and restraint harness means (c) Other terms. The following terms the components of a child restraint apply to this part: system that are intended to restrain a Administrator means the Adminis- child seated in such a system, includ- trator of the National Highway Traffic ing the belt webbing, buckles, buckle Safety Administration (NHTSA), or the release mechanism, belt adjusters, belt Administrator’s delegate. positioning devices, and shields. Affiliate means, in the context of an Child restraint system means any sys- affiliate of or person affiliated with a tem that meets, or is offered for sale in specified person, a person that directly, the United States as meeting, any defi- or indirectly through one or more nition in S4 of § 571.213 of this chapter, intermediates, controls or is controlled or that is offered for sale as a child re- by, or is under common control with, straint system in a foreign country. the person specified. The term person Claim means a written request or usually is a corporation. written demand for relief, including Air bag means an air bag or other money or other compensation, assump- automatic occupant restraint device tion of expenditures, or equitable re- (other than a ‘‘seat belt’’ as defined in lief, related to a motor vehicle crash, this subpart) installed in a motor vehi- accident, the failure of a component or cle that restrains an occupant in the system of a vehicle or an item of motor event of a vehicle crash without requir- vehicle equipment, or a fire originating ing any action on the part of the occu- in or from a motor vehicle or a sub- pant to obtain the benefit of the re- stance that leaked from a motor vehi- straint. This term includes inflatable cle. Claim includes, but is not limited restraints (front and side air bags), to, a demand in the absence of a law- knee bolsters, and any other automatic suit, a complaint initiating a lawsuit, restraining device that may be devel- an assertion or notice of litigation, a oped that does not include a restrain- settlement, covenant not to sue or re- ing belt or harness. This term also in- lease of liability in the absence of a cludes all air bag-related components, written demand, and a subrogation re- such as the inflator assembly, air bag quest. A claim exists regardless of any module, control module, crash sensors denial or refusal to pay it, and regard- and all hardware and software associ- less of whether it has been settled or ated with the air bag. This term in- resolved in the manufacturer’s favor. cludes all associated switches, control The existence of a claim may not be

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conditioned on the receipt of anything which a vehicle or child restraint sys- beyond the document(s) stating a tem is to be maintained or operated claim. Claim does not include demands (excluding promotional and marketing related to asbestos exposure, to emis- materials, customer satisfaction sur- sions of volatile organic compounds veys, and operating instructions or from vehicle interiors, or to end-of-life owner’s manuals that accompany the disposal of vehicles, parts or compo- vehicle or child restraint system at the nents of vehicles, equipment, or parts time of first sale); or advice or direc- or components of equipment. tion to a dealer or distributor to cease Common green tires means tires that the delivery or sale of specified models are produced to the same internal spec- of vehicles or equipment. ifications but that have, or may have, Dealer field report means a field report different external characteristics and from a dealer or authorized service fa- may be sold under different tire line cility of a manufacturer of motor vehi- names. cles or motor vehicle equipment. Consumer complaint means a communication of any kind made by a con- Electrical system means any electrical sumer (or other person) to or with a or electronic component of a motor ve- manufacturer addressed to the com- hicle that is not included in one of the pany, an officer thereof or an entity other reporting categories enumerated thereof that handles consumer mat- in subpart C of this part, and specifi- ters, a manufacturer website that re- cally includes the battery, battery ca- ceives consumer complaints, a manu- bles, alternator, fuses, and main body facturer electronic mail system that wiring harnesses of the motor vehicle receives such information at the cor- and the ignition system, including the porate level, or that are otherwise re- ignition switch and starter motor. The ceived by a unit within the manufac- term also includes all associated turer that receives consumer inquiries switches, control units, connective ele- or complaints, including telephonic ments (such as wiring harnesses, hoses, complaints, expressing dissatisfaction piping, etc.), and mounting elements with a product, or relating the unsatis- (such as brackets, fasteners, etc.). factory performance of a product, or Engine and engine cooling means the any actual or potential defect in a component (e.g., motor) of a motor ve- product, or any event that allegedly hicle providing motive power to the ve- was caused by any actual or potential hicle, and includes the exhaust system defect in a product, but not including a (including the exhaust emission sys- claim of any kind or a notice involving tem), the engine control unit, engine a fatality or injury. lubrication system, and the underhood Control (including the terms control- cooling system for that engine. This ling, controlled by, and under common term also includes all associated control with) means the possession, di- switches, control units, connective ele- rect or indirect, of the power to direct ments (such as wiring harnesses, hoses, or cause the direction of the manage- piping, etc.), and mounting elements ment and policies of a person, whether through the ownership of voting securi- (such as brackets, fasteners, etc.). ties, by contract, or otherwise. Equipment comprises original and re- Customer satisfaction campaign, con- placement equipment: (1) Original sumer advisory, recall, or other activity equipment means an item of motor ve- involving the repair or replacement of hicle equipment (other than a tire) motor vehicles or motor vehicle equipment that was installed in or on a motor ve- means any communication by a manu- hicle at the time of its delivery to the facturer to, or made available to, more first purchaser if the item of equip- than one dealer, distributor, lessor, les- ment was installed on or in the motor see, other manufacturer, or owner, vehicle at the time of its delivery to a whether in writing or by electronic dealer or distributor for distribution; means, relating to repair, replacement, or the item of equipment was installed or modification of a vehicle, compo- by the dealer or distributor with the nent of a vehicle, item of equipment, or express authorization of the motor ve- a component thereof, the manner in hicle manufacturer.

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(2) Replacement equipment means cludes, but is not limited to, the fuel motor vehicle equipment other than tank and filler cap, neck, and pipe, original equipment, and tires. along with associated piping, hoses, Exterior lighting mean all the exterior and clamps, the fuel pump, fuel lines, lamps (including any interior-mounted connectors from the fuel tank to the center highmounted stop lamp if engine, the fuel injection/carburetion mounted in the interior of a vehicle), system (including fuel injector rails lenses, reflectors, and associated equip- and injectors), and the fuel vapor re- ment of a motor vehicle, including all covery system(s), canister(s), and vent associated switches, control units, con- lines. The term also includes all associ- nective elements (such as wiring har- ated switches, control units, connec- nesses, piping, etc.), and mounting ele- tive elements (such as wiring har- ments (such as brackets, fasteners, nesses, hoses, piping, etc.), and mount- etc.). ing elements (such as brackets, fas- Field report means a communication teners, etc.). in writing, including communications Good will means the repair or replace- in electronic form, from an employee ment of a motor vehicle or item of or representative of a manufacturer of motor vehicle equipment, including motor vehicles or motor vehicle equip- labor, paid for by the manufacturer, at ment, a dealer or authorized service fa- least in part, when the repair or re- cility of such manufacturer, or an enti- placement is not covered under war- ty known to the manufacturer as own- ranty, or under a safety recall reported ing or operating a fleet, to the manu- to NHTSA under part 573 of this chap- facturer regarding the failure, mal- ter. function, lack of durability, or other Handle means any element of a child performance problem of a motor vehi- restraint system that is designed to fa- cle or motor vehicle equipment, or any cilitate carrying the restraint outside part thereof, produced for sale by that a motor vehicle, other than an element manufacturer and transported beyond of the seat shell. the direct control of the manufacturer, Incomplete light vehicle means an in- regardless of whether verified or as- complete vehicle as defined in § 568.3 of sessed to be lacking in merit, but does this chapter which, when completed, not include any document covered by will be a light vehicle. the attorney-client privilege or the Integrated child restraint system means work product exclusion. a factory-installed built-in child re- Fire means combustion or burning of straint system as defined in S4 of material in or from a vehicle as evi- § 571.213 of this chapter and includes denced by flame. The term also in- any factory-authorized built-in child cludes, but is not limited to, thermal restraint system. events and fire-related phenomena such Latch means a latching, locking, or as smoke and melt, but does not in- linking system of a motor vehicle and clude events and phenomena associated all its components fitted to a vehicle’s with a normally functioning vehicle exterior doors, rear hatch, liftgate, such as combustion of fuel within an tailgate, trunk, or hood. This term also engine or exhaust from an engine. includes, but is not limited to, devices Fleet means more than ten motor ve- for the remote operation of a latching hicles of the same make, model, and device such as remote release cables model year. (and associated components), electric Foreign country means a country release devices, or wireless control re- other than the United States. lease devices, and includes all compo- Foreign government means the central nents covered in FMVSS No. 206. This government of a foreign country as term also includes all associated well as any political subdivision of that switches, control units, connective ele- country. ments (such as wiring harnesses, hoses, Fuel system means all components of piping, etc.), and mounting elements a motor vehicle used to receive and (such as brackets, fasteners, etc.). store fuel, and to transfer fuel between Light vehicle means any motor vehi- the vehicle’s fuel storage, engine, or cle, except a bus, motorcycle, or trail- fuel emission systems. This term iner, with a GVWR of 10,000 lbs or less.

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Make means a name that a manufac- equipment should be operated, re- turer applies to a group of vehicles. paired, or replaced that relate to safety Manufacturer means a person manu- (excluding promotional and marketing facturing or assembling motor vehicles materials, customer satisfaction sur- or motor vehicle equipment, or import- veys, and operating instructions or ing motor vehicles or motor vehicle owner’s manuals that accompany the equipment for resale. This term in- vehicle or child restraint system at the cludes any parent corporation, any time of first sale); or advice or direc- subsidiary or affiliate, and any sub- tion to a dealer or distributor to cease sidiary or affiliate of a parent corpora- the delivery or sale of specified models tion of such a person. of vehicles or equipment. Medium-heavy vehicle means any Parking brake means a mechanism in- motor vehicle, except a trailer, with a stalled in a motor vehicle which is de- GVWR greater than 10,000 lbs. signed to prevent the movement of a Minimal specificity means: stationary motor vehicle, including all (1) For a vehicle, the make, model, associated switches, control units, con- and model year, nective elements (such as wiring har- (2) For a child restraint system, the nesses, hoses, piping, etc.), and mount- manufacturer and the model (either ing elements (such as brackets, fas- the model name or model number), teners, etc.). (3) For a tire, the manufacturer, tire Platform means the basic structure of line, and tire size, and a vehicle including, but not limited to, (4) For other motor vehicle equip- the majority of the floorpan or under- ment, the manufacturer and, if there is carriage, and elements of the engine a model or family of models identified compartment. The term includes a on the item of equipment, the model structure that a manufacturer des- name or model number. ignates as a platform. A group of vehi- Model means a name that a manufac- cles sharing a common structure or turer of motor vehicles applies to a chassis shall be considered to have a family of vehicles within a make which common platform regardless of wheth- have a degree of commonality in con- er such vehicles are of the same type, struction, such as body, chassis or cab type. For equipment other than child are of the same make, or are sold by restraint systems, it means the name the same manufacturer. that the manufacturer uses to des- Power train means the components or ignate it. For child restraint systems, systems of a motor vehicle which it means the name that the manufac- transfer motive power from the engine turer uses to identify child restraint to the wheels, including the trans- systems with the same seat shell, mission (manual and automatic), gear buckle, base (if so equipped) and re- selection devices and associated link- straint system. ages, clutch, constant velocity joints, Model year means the year that a transfer case, driveline, differential(s), manufacturer uses to designate a dis- and all driven axle assemblies. This crete model of vehicle, irrespective of term includes all associated switches, the calendar year in which the vehicle control units, connective elements was manufactured. If the manufacturer (such as wiring harnesses, hoses, pip- has not assigned a model year, it ing, etc.), and mounting elements (such means the calendar year in which the as brackets, fasteners, etc.). vehicle was manufactured. Product evaluation report means a Notice means a document, other than field report prepared by, and con- a media article, that does not include a taining the observations or comments demand for relief, and that a manufac- of, a manufacturer’s employee who sub- turer receives from a person other than mitted the report concerning the oper- NHTSA. ation or performance of a vehicle or Other safety campaign means an ac- child restraint system as part of the tion in which a manufacturer commu- employee’s personal use of the vehicle nicates with owners and/or dealers in a or child restraint system under a man- foreign country with respect to condi- ufacturer’s program authorizing such tions under which motor vehicles or use, but does not include a report by an

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employee who has been granted per- ten, or secure the components of the sonal use of a vehicle or child restraint seat belt/webbing based restraint sys- system for the specific purpose of fa- tem to ready its use for protection of cilitating the employee’s technical or the occupant in the event of a vehicle engineering evaluation of a known or crash. This term includes the webbing, suspected problem with that vehicle or buckle, anchorage, retractor, belt child restraint system. pretensioner devices, load limiters, and Production year means, for equipment all components, hardware and software and tires, the calendar year in which associated with an automatic or man- the item was produced. ual seat belt system addressed by Property damage means physical in- FMVSS No. 209 or 210. This term also jury to tangible property. includes integrated child restraint sys- Property damage claim means a claim tems in vehicles, and includes any de- for property damage, excluding that vice (and all components of that depart of a claim, if any, pertaining sole- vice), installed in a motor vehicle in ly to damage to a component or system accordance with FMVSS No. 213, which of a vehicle or an item of equipment is designed for use as a safety restraint itself based on the alleged failure or device for a child too small to use a ve- malfunction of the component, system, hicle’s seat belts. This term includes or item, and further excluding matters all vehicle components installed in ac- addressed under warranty. cordance with FMVSS No. 225. This Rear-facing infant seat means a child term also includes all associated restraint system that is designed to po- switches, control units, connective ele- sition a child to face only in the direc- ments (such as wiring harnesses, hoses, tion opposite to the normal direction piping, etc.), and mounting elements of travel of the motor vehicle. (such as brackets, fasteners, etc.). Reporting period means a calendar quarter of a year, unless otherwise Seat shell means the portion of a child stated. restraint system that provides the Rollover means a single-vehicle crash structural shape, form and support for in which a motor vehicle rotates on its the system, and for other components longitudinal axis to at least 90 degrees, of the system such as belt attachment regardless of whether it comes to rest points, and anchorage points to allow on its wheels. the system to be secured to a passenger Safety recall means an offer by a man- seat in a motor vehicle, but not includ- ufacturer to owners of motor vehicles ing a shield. or equipment in a foreign country to Service brake system means all compo- provide remedial action to address a nents of the service braking system of defect that relates to motor vehicle a motor vehicle intended for the trans- safety or a failure to comply with an fer of braking application force from applicable safety standard or guideline, the operator to the wheels of a vehicle, whether or not the manufacturer including the foundation braking sys- agrees to pay the full cost of the reme- tem, such as the brake pedal, master dial action. cylinder, fluid lines and hoses, braking Seats means all components of a assist components, brake calipers, motor vehicle that are subject to wheel cylinders, brake discs, brake FMVSS Nos. 202, 207, and 209, including drums, brake pads, brake shoes, and all electrical and electronic compo- other related equipment installed in a nents within the seat that are related motor vehicle in order to comply with to seat positioning, heating, and cool- FMVSS Nos. 105, 121, 122, or 135 (except ing. This term also includes all associ- equipment relating specifically to a ated switches, control units, connec- parking brake). This term also includes tive elements (such as wiring har- systems and devices for automatic con- nesses, hoses, piping, etc.), and mount- trol of the brake system such as ing elements (such as brackets, fas- antilock braking, traction control, sta- teners, etc.). bility control, and enhanced braking. Seat belts means any belt system, The term includes all associated other than an air bag, that may or may switches, control units, connective ele- not require the occupant to latch, fas- ments (such as wiring harnesses, hoses,

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piping, etc.), and mounting elements well as all associated components such (such as brackets, fasteners, etc.). as switches, control units, connective Sidewall means the area of a tire be- elements (such as wiring harnesses, tween the tread and the bead area, in- hoses, piping, etc.), and mounting ele- cluding the sidewall rubber compo- ments (such as brackets, fasteners, nents, the body ply and its coating rub- etc.). ber under the side area, and the inner- Tire means an item of motor vehicle liner rubber under the body ply in the equipment intended to interface be- side area. tween the road and a motor vehicle. SKU (Stock Keeping Unit) means the The term includes all the tires of a ve- alpha-numeric designation assigned by hicle, including the spare tire. For pur- a manufacturer to uniquely identify a poses of §§ 579.21 through 579.24 and tire product. This term is sometimes § 579.27 of this part, this term also in- referred to as a product code, a product cludes the tire inflation valves, tubes, ID, or a part number. and tire pressure monitoring and regu- Steering system means all steering lating systems, as well as all associ- control system components, including ated switches, control units, connec- the steering system mechanism and its tive elements (such as wiring har- associated hardware, the steering nesses, hoses, piping, etc.), and mount- wheel, steering column, steering shaft, ing elements (such as brackets, fas- linkages, joints (including tie-rod teners, etc.). ends), steering dampeners, and power Tire line means the entire name used steering assist systems. This term in- by a tire manufacturer to designate a cludes a steering control system as de- tire product including all prefixes and fined by FMVSS No. 203 and any sub- suffixes as they appear on the sidewall system or component of a steering con- of a tire. trol system, including those compo- Trailer hitch means all coupling sys- nents defined in FMVSS No. 204. This tems, devices, and components thereof, term also includes all associated designed to join or connect any two switches, control units, connective ele- motor vehicles. This term also includes ments (such as wiring harnesses, hoses, all associated switches, control units, piping, etc.), and mounting elements connective elements (such as wiring (such as brackets, fasteners, etc.). harnesses, hoses, piping, etc.), and Structure means any part of a motor mounting elements (such as brackets, vehicle that serves to maintain the fasteners, etc.). shape and size of the vehicle, including Tread (also known as crown) means the frame, the floorpan, the body, all materials in the tread area of a tire bumpers, doors, tailgate, hatchback, including the rubber that makes up the trunk lid, hood, and roof. The term tread, the sub-base rubber, when also includes all associated mounting present, between the tread base and the elements (such as brackets, fasteners, top of the belts, the belt material, ei- etc.). ther steel and/or fabric, and the rubber Suspension system means all compo- coating of the same including any rub- nents and hardware associated with a ber inserts, the body ply and its coat- motor vehicle suspension system, ining rubber under the tread area of the cluding the associated control arms, tire, and the inner-liner rubber under steering knuckles, spindles, joints, the tread. bushings, ball joints, springs, shock ab- Type means, in the context of a light sorbers, stabilizer (anti sway) bars, and vehicle, a vehicle certified by its manu- bearings that are designed to minimize facturer pursuant to § 567.4(g)(7) of this the impact on the vehicle chassis of chapter as a passenger car, multipur- shocks from road surface irregularities pose passenger vehicle, or truck, or a that may be transmitted through the vehicle identified by its manufacturer wheels, and to provide stability when as an incomplete vehicle pursuant to the vehicle is being operated through a § 568.4 of this chapter. In the context of range of speed, load, and dynamic con- a medium heavy vehicle and bus, it ditions. The term also includes all elec- means one of the following categories: tronic control systems and mecha- Truck, tractor, transit bus, school bus, nisms for active suspension control, as coach, recreational vehicle, emergency

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vehicle, or other. In the context of a ment by a manufacturer to a buyer or trailer, it means one of the following lessee that relates to the nature of the categories: Recreational trailers, van material or workmanship and affirms trailers, flatbed trailer, trailer con- or promises that such material or verter dolly, lowbed trailer, dump workmanship is defect free or will trailer, tank trailer, dry bulk trailer, meet a specified level of performance livestock trailer, boat trailer, auto over a specified period of time (includ- transporter, or other. In the context of ing any extensions of such specified pe- a child restraint system, it means the riod of time), or any undertaking in category of child restraint system se- writing in connection with the sale or lected from one of the following: rear- lease by a manufacturer of a motor ve- facing infant seat, booster seat, or hicle or item of motor vehicle equip- other. ment to refund, repair, replace, or take Vehicle speed control means the sys- other remedial action with respect to tems and components of a motor vehi- such product in the event that such cle that control vehicle speed either by product fails to meet the specifications command of the operator or by auto- set forth in the undertaking. matic control, including, but not lim- Warranty adjustment means any pay- ited, to the accelerator pedal, linkages, ment or other restitution, such as, but cables, springs, speed control devices not limited to, replacement, repair, (such as cruise control) and speed lim- credit, or cash refund, made by a tire iting devices. This term includes, but is manufacturer to a consumer or to a not limited to the items addressed by dealer, in reimbursement for payment FMVSS No. 124 and all associated or other restitution to a consumer, switches, control units, connective ele- pursuant to a warranty program of- ments (such as wiring harnesses, hoses, fered by the manufacturer or goodwill. piping, etc.), and mounting elements Warranty claim means any claim paid (such as brackets, fasteners, etc.). by a manufacturer, including provision Visibility means the systems and com- of a credit, pursuant to a warranty pro- ponents of a motor vehicle through gram, an extended warranty program, which a driver views the surroundings or good will. It does not include claims of the vehicle including windshield, for reimbursement for costs or related side windows, back window, and rear expenses for work performed to remedy view mirrors, and systems and compo- a safety-related defect or noncompli- nents used to wash and wipe wind- ance reported to NHTSA under part 573 shields and back windows. This term of this chapter, or in connection with a includes those vehicular systems and motor vehicle emissions-related recall components that can affect the ability under the Clean Air Act or in accord- of the driver to clearly see the roadway ance with State law as authorized and surrounding area, such as the sys- under 42 U.S.C. 7543(b) or 7507. tems and components identified in Wheel means the assembly or compo- FMVSS Nos. 103, 104, and 111. This term nent of a motor vehicle to which a tire also includes the defogger/defroster is mounted. The term includes any system, the heater core, blower fan, item of motor vehicle equipment used windshield wiper systems, mirrors, to attach the wheel to the vehicle, in- windows and glazing material, heads- cluding inner cap nuts and the wheel up display (HUD) systems, and exterior studs, bolts, and nuts. view-based television systems, but does Work product means a document in not include exterior lighting systems the broad sense of the word, prepared which are defined under ‘‘Lighting.’’ in anticipation of litigation where This term includes all associated there is a reasonable prospect of litiga- switches, control units, connective ele- tion and not for some other purpose ments (such as wiring harnesses, hoses, such as a business practice, and pre- piping, etc.), and mounting elements pared or requested by an attorney or an (such as brackets, fasteners, etc.). agent for an attorney. Warranty means any written affirma- (d) Identical or substantially similar tion of fact or written promise made in motor vehicle, item of motor vehicle equip- connection with the sale or lease of a ment, or tire. (1) A motor vehicle sold or motor vehicle or motor vehicle equip- in use outside the United States is

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identical or substantially similar to a those required to be submitted pursu- motor vehicle sold or offered for sale in ant to § 573.6(c)(10) of this chapter, sent the United States if— to more than one manufacturer, dis- (i) Such a vehicle has been sold in tributor, dealer, lessor, lessee, owner, Canada or has been certified as com- or purchaser, in the United States, re- plying with the Canadian Motor Vehi- garding any defect in its vehicles or cle Safety Standards; items of equipment (including any fail- (ii) Such a vehicle is listed in the ure or malfunction beyond normal de- VSP or VSA columns of appendix A to terioration in use, or any failure of per- part 593 of this chapter; formance, or any flaw or unintended (iii) Such a vehicle is manufactured deviation from design specifications), in the United States for sale in a for- whether or not such defect is safety-re- eign country; or lated. (iv) Such a vehicle uses the same ve- (b) Each manufacturer shall furnish hicle platform as a vehicle sold or of- to NHTSA a copy of each communica- fered for sale in the United States. tion relating to a customer satisfaction (2) An item of motor vehicle equip- campaign, consumer advisory, recall, ment sold or in use outside the United or other safety activity involving the States is identical or substantially repair or replacement of motor vehi- similar to equipment sold or offered for cles or equipment, that the manufac- sale in the United States if such equip- turer issued to, or made available to, ment and the equipment sold or offered more than one dealer, distributor, les- for sale in the United States have one sor, lessee, other manufacturer, owner, or more components or systems that or purchaser, in the United States. are the same, and the component or (c) If a notice or communication is system performs the same function in required to be submitted under both vehicles or equipment sold or offered paragraphs (a) and (b) of this section, it for sale in the United States, regard- need only be submitted once. less of whether the part numbers are (d) Each copy shall be in readable identical. form and shall be submitted not later (3) A tire sold or in use outside the than five working days after the end of United States is substantially similar the month in which it is issued. How- to a tire sold or offered for sale in the ever, a document described in para- United States if it has the same size, graph (b) of this section and issued be- speed rating, load index, load range, fore July 1, 2003, need not be sub- number of plies and belts, and similar mitted. ply and belt construction and mate- [67 FR 45873, July 10, 2002, as amended at 68 rials, placement of components, and FR 18142, Apr. 15, 2003; 68 FR 35147, June 11, component materials, irrespective of 2003; 69 FR 49823, Aug. 12, 2004; 72 FR 32017, plant of manufacture or tire line. June 11, 2007] [43 FR 38833, Aug. 31, 1978, as amended at 67 § 579.6 Address for submitting reports FR 63310, Oct. 11, 2002; 68 FR 4113, Jan. 28, and other information. 2003; 68 FR 18142, Apr. 15, 2003; 68 FR 35142, June 11, 2003; 69 FR 20557, Apr. 16, 2004; 72 FR (a) Except as provided by paragraph 29443, May 29, 2007; 74 FR 47757, Sept. 17, 2009] (b) of this section, information, reports, and documents required to be § 579.5 Notices, bulletins, customer sat- submitted to NHTSA pursuant to this isfaction campaigns, consumer part may be submitted by mail, by fac- advisories, and other communica- simile, or by e-mail. If submitted by tions. mail, they must be addressed to the As- (a) Each manufacturer shall furnish sociate Administrator for Enforce- to NHTSA’s Early Warning Division ment, National Highway Traffic Safety (NVS–217) a copy of all notices, bul- Administration, Attention: Early letins, and other communications (in- Warning Division (NVS–217), 1200 New cluding those transmitted by com- Jersey Avenue, SE., Washington, DC puter, telefax, or other electronic 20590. If submitted by facsimile, they means and including warranty and pol- must be addressed to the Associate Ad- icy extension communique´s and prod- ministrator for Enforcement and trans- uct improvement bulletins) other than mitted to (202) 366–7882. If submitted by

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e-mail, submissions under subpart B of graph, this period is determined by ref- this part must be submitted to erence to the general business prac- [email protected] and submissions under tices of the office where the manufac- § 579.5 must be submitted to turer receives such notification, the [email protected]. manufacturer’s international head- (b) Information, documents and re- quarters office (if involved), and the of- ports that are submitted to NHTSA’s fice reporting to NHTSA. early warning data repository must be (c) One-time historical reporting. Not submitted in accordance with § 579.29 of later than 30 calendar days after No- this part. Submissions must be made vember 12, 2002, a manufacturer that by a means that permits the sender to has made a determination to conduct a verify that the report was in fact re- recall or other safety campaign in a ceived by NHTSA and the day it was foreign country, or that has received received by NHTSA. written notification that a foreign gov- [68 FR 4113, Jan. 28, 2003, as amended at 72 ernment has determined that a safety FR 32017, June 11, 2007] recall or other safety campaign must be conducted in its country in the pe- §§ 579.7–579.10 [Reserved] riod between November 1, 2000 and No- vember 12, 2002, and that has not re- Subpart B—Reporting of Safety Re- ported such determination or notifica- calls and Other Safety Cam- tion of determination to NHTSA in a paigns in Foreign Countries report that identified the model(s) and model year(s) of the vehicles, equipment, or tires that were the subject of SOURCE: 67 FR 63310, Oct. 11, 2002, unless otherwise noted. the foreign recall or other safety campaign, the model(s) and model year(s) § 579.11 Reporting responsibilities. of the vehicles, equipment, or tires (a) Determination by a manufacturer. that were identical or substantially Not later than 5 working days after a similar to the subject of the recall or manufacturer determines to conduct a campaign, and the defect or other con- safety recall or other safety campaign dition that led to the foreign recall or in a foreign country covering a motor campaign, as of November 12, 2002, vehicle, item of motor vehicle equip- shall report such determination or no- ment, or tire that is identical or sub- tification of determination to NHTSA stantially similar to a vehicle, item of if the safety recall or other safety cam- equipment, or tire sold or offered for paign covers a motor vehicle, item of sale in the United States, the manufac- motor vehicle equipment, or tire that turer shall report the determination to is identical or substantially similar to NHTSA. For purposes of this para- a vehicle, item of equipment, or tire graph, this period is determined by ref- sold or offered for sale in the United erence to the general business prac- States. However, a report need not be tices of the office in which such deter- resubmitted under this paragraph if mination is made, and the office re- the original report identified the porting to NHTSA. model(s) and model year(s) of the vehi- (b) Determination by a foreign govern- cles, equipment, or tires that were the ment. Not later than 5 working days subject of the foreign recall or other after a manufacturer receives written safety campaign, identified the notification that a foreign government model(s) and model year(s) of the iden- has determined that a safety recall or tical or substantially similar products other safety campaign must be con- in the United States, and identified the ducted in its country with respect to a defect or other condition that led to motor vehicle, item of motor vehicle the foreign recall or other safety cam- equipment, or tire that is identical or paign. substantially similar to a vehicle, item (d) Exemptions from reporting. Not- of equipment, or tire sold or offered for withstanding paragraphs (a), (b), and sale in the United States, the manufac- (c) of this section a manufacturer need turer shall report the determination to not report a foreign safety recall or NHTSA. For purposes of this para- other safety campaign to NHTSA if:

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(1) The manufacturer has determined in § 573.6(c)(1), (c)(2), (c)(3), and (c)(5) of that for the same or substantially this chapter. Each such report must similar reasons relating to motor vehi- also identify each foreign country in cle safety that it is conducting a safety which the safety recall or other safety recall or other safety campaign in a campaign is being conducted, state foreign country, a safety-related defect whether the foreign action is a safety or noncompliance with a Federal motor recall or other safety campaign, state vehicle safety standard exists in iden- whether the determination to conduct tical or substantially similar motor ve- the recall or campaign was made by hicles, motor vehicle equipment, or the manufacturer or by a foreign gov- tires sold or offered for sale in the ernment, describe the manufacturer’s United States, and has filed a defect or program for remedying the defect or noncompliance information report pur- noncompliance (if the action is a safety suant to part 573 of this chapter, pro- recall), specify the date of the deter- vided that the scope of the foreign re- mination and the date the recall or call or campaign is not broader than other campaign was commenced or will the scope of the recall campaign in the commence in each foreign country, and United States; identify all motor vehicles, equipment, (2) The component or system that or tires that the manufacturer sold or gave rise to the foreign recall or other offered for sale in the United States campaign does not perform the same that are identical or substantially function in any substantially similar similar to the motor vehicles, equip- vehicles or equipment sold or offered ment, or tires covered by the foreign for sale in the United States; or recall or campaign. If a determination (3) The sole subject of the foreign re- has been made by a foreign govern- call or other campaign is a label af- ment, the report must also include a fixed to a vehicle, item of equipment, copy of the determination in the origi- or a tire. nal language and, if the determination (e) Annual list of substantially similar is in a language other than English, a vehicles. Not later than November 1 of copy translated into English. each year, each manufacturer of motor (b) Information required by para- vehicles that sells or offers a motor ve- graph (a) of this section that is not hicle for sale in the United States shall available within the 5-working day pe- submit to NHTSA a document that riod specified in § 579.11 of this part identifies both each model of motor ve- shall be submitted as it becomes avail- hicle that the manufacturer sells or able. plans to sell during the following year in a foreign country that the manufac- §§ 579.13–579.20 [Reserved] turer believes is identical or substantially similar to a motor vehicle sold Subpart C—Reporting of Early or offered for sale in the United States (or to a motor vehicle that is planned Warning Information for sale in the United States in the fol- § 579.21 Reporting requirements for lowing year), and each such identical manufacturers of 5,000 or more or substantially similar motor vehicle light vehicles annually. sold or offered for sale in the United For each reporting period, a manu- States. Not later than 30 days after facturer whose aggregate number of January 28, 2003, each manufacturer to light vehicles manufactured for sale, which this paragraph applies shall sub- sold, offered for sale, introduced or de- mit an initial annual list of vehicles livered for introduction in interstate for calendar year 2003 that meets the commerce, or imported into the United requirements of this paragraph. States, during the calendar year of the [67 FR 63310, Oct. 11, 2002, as amended at 68 reporting period or during each of the FR 4113, Jan. 28, 2003] prior two calendar years is 5,000 or more shall submit the information de- § 579.12 Contents of reports. scribed in this section. For paragraphs (a) Each report made pursuant to (a) and (c) of this section, the manufac- § 579.11 of this part must be dated and turer shall submit information sepa- must include the information specified rately with respect to each make,

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model, and model year of light vehicle volved a fire or rollover, coded as fol- manufactured during the reporting pe- lows: 01 steering system, 02 suspension riod and the nine model years prior to system, 03 service brake system, 05 the earliest model year in the report- parking brake, 06 engine and engine ing period, including models no longer cooling system, 07 fuel system, 10 in production. power train, 11 electrical system, 12 ex- (a) Production information. Informa- terior lighting, 13 visibility, 14 air tion that states the manufacturer’s bags, 15 seat belts, 16 structure, 17 name, the quarterly reporting period, latch, 18 vehicle speed control, 19 tires, the make, the model, the model year, 20 wheels, 22 seats, 23 fire, 24 rollover, the type, the platform, and the produc- 98 where a system or component not tion. The production shall be stated as covered by categories 01 through 22 is either the cumulative production of specified in the claim or notice, and 99 the current model year to the end of the reporting period, or the total model where no system or component of the year production for each model year vehicle is specified in the claim or no- for which production has ceased. tice. If an incident involves more than (b) Information on incidents involving one such code, each shall be reported death or injury. For all light vehicles separately in the report with a limit of manufactured during a model year cov- five codes to be included. ered by the reporting period and the (c) Numbers of property damage claims, nine model years prior to the earliest consumer complaints, warranty claims, model year in the reporting period: and field reports. Separate reports on (1) A report on each incident involv- the numbers of those property damage ing one or more deaths or injuries oc- claims, consumer complaints, warranty curring in the United States that is claims, and field reports which involve identified in a claim against and re- the systems and components that are ceived by the manufacturer or in a no- specified in codes 01 through 22 in para- tice received by the manufacturer graph (b)(2) of this section, or a fire which notice alleges or proves that the (code 23), or rollover (code 24). Each death or injury was caused by a pos- such report shall state, separately by sible defect in the manufacturer’s vehi- each such code, the number of such cle, together with each incident involv- property damage claims, consumer ing one or more deaths occurring in a complaints, warranty claims, or field foreign country that is identified in a reports, respectively, that involves the claim against and received by the man- systems or components or fire or roll- ufacturer involving the manufacturer’s vehicle, if that vehicle is identical or over indicated by the code. If an under- substantially similar to a vehicle that lying property damage claim, con- the manufacturer has offered for sale sumer complaint, warranty claim, or in the United States. The report shall field report involves more than one be submitted as a report on light vehi- such code, each shall be reported sepa- cles and organized such that incidents rately in the report with no limit on are reported alphabetically by make, the number of codes to be included. No within each make alphabetically by reporting is necessary if the system or model, and within each model chrono- component involved is not specified in logically by model year. such codes, and the incident did not in- (2) For each incident described in volve a fire or rollover. paragraph (b)(1) of this section, the (d) Copies of field reports. For all light manufacturer shall separately report vehicles manufactured during a model the make, model, model year, and VIN year covered by the reporting period of the vehicle, the incident date, the and the nine model years prior to the number of deaths, the number of inju- earliest model year in the reporting pe- ries for incidents occurring in the riod, a copy of each field report (other United States, the State or foreign than a dealer report or a product eval- country where the incident occurred, uation report) involving one or more of each system or component of the vehi- the systems or components identified cle that allegedly contributed to the in paragraph (b)(2) of this section, or incident, and whether the incident in-

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fire, or rollover, containing any assess- either of the prior two calendar years ment of an alleged failure, malfunc- is 500 or more shall submit the infor- tion, lack of durability, or other per- mation described in this section. For formance problem of a motor vehicle or each reporting period, a manufacturer item of motor vehicle equipment (in- whose aggregate number of medium- cluding any part thereof) that is origi- heavy vehicles (a sum that does not in- nated by an employee or representative clude buses or emergency vehicles) of the manufacturer and that the man- manufactured for sale, sold, offered for ufacturer received during a reporting sale, introduced or delivered for intro- period. These documents shall be sub- duction in interstate commerce, or im- mitted alphabetically by make, within each make alphabetically by model, ported into the United States, during and within each model chronologically the calendar year of the reporting pe- by model year. For purposes of this riod or during either of the prior two paragraph, if a field report refers to calendar years is 5,000 or more shall more than one make or model of light submit the information described in vehicle produced by a manufacturer on this section. For paragraphs (a) and (c) a particular platform, the manufac- of this section, the manufacturer shall turer shall submit the report alpha- submit information separately with re- betically by platform rather than by spect to each make, model, and model make or model. If such a field report year of bus, emergency vehicle and/or refers to more than one platform, sepa- medium-heavy vehicle manufactured rate copies shall be submitted for each during the reporting period and the such platform. If a field report refers to nine model years prior to the earliest more than one model year of a speci- model year in the reporting period, in- fied make/model or platform, the man- cluding models no longer in produc- ufacturer shall submit it by the ear- tion. liest model year to which it refers. (a) Production information. Informa- [67 FR 45873, July 10, 2002, as amended at 68 tion that states the manufacturer’s FR 18142, Apr. 15, 2003; 68 FR 35142, June 11, name, the quarterly reporting period, 2003; 72 FR 29443, May 29, 2007; 74 FR 47757, the make, the model, the model year, Sept. 17, 2009] the type, and the production. The pro- § 579.22 Reporting requirements for duction shall be stated as either the manufacturers of 100 or more cumulative production of the current buses, manufacturers of 500 or model year to the end of the reporting more emergency vehicles and man- period, or the total model year produc- ufacturers of 5,000 or more medium-heavy vehicles (other than tion for each model year for which pro- buses and emergency vehicles) an- duction has ceased. For each model nually. that is manufactured and available For each reporting period, a manu- with more than one type of fuel system facturer whose aggregate number of (i.e., gasoline, diesel, or other (includ- buses manufactured for sale, sold, of- ing vehicles that can be operated using fered for sale, introduced or delivered more than one type of fuel, such as gas- for introduction in interstate com- oline and compressed natural gas)), the merce, or imported into the United information required by this sub- States, during the calendar year of the section shall be reported separately by reporting period or during either of the each of the three fuel system types. prior two calendar years is 100 or more For each model that is manufactured shall submit the information described and available with more than one type in this section. For each reporting pe- of service brake system (i.e., hydraulic riod, a manufacturer whose aggregate or air), the information required by number of emergency vehicles (ambu- this subsection shall be reported by lances and fire trucks) manufactured each of the two brake types. If the for sale, sold, offered for sale, intro- service brake system in a vehicle is not duced or delivered for introduction in readily characterized as either hydrau- interstate commerce, or imported into lic or air, the vehicle shall be consid- the United States, during the calendar ered to have hydraulic service brakes. year of the reporting period or during

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(b) Information on incidents involving specified in the claim or notice, and 99 death or injury. For all buses, emer- where no system or component of the gency vehicles and medium heavy vehi- vehicle is specified in the claim or no- cles manufactured during a model year tice. If an incident involves more than covered by the reporting period and the one such code, each shall be reported nine model years prior to the earliest separately in the report with a limit of model year in the reporting period: five codes to be included. (1) A report on each incident involv- (c) Numbers of property damage claims, ing one or more deaths or injuries oc- consumer complaints, warranty claims, curring in the United States that is and field reports. Separate reports on identified in a claim against and re- the numbers of those property damage ceived by the manufacturer or in a no- claims, consumer complaints, warranty tice received by the manufacturer claims, and field reports which involve which notice alleges or proves that the the systems and components that are death or injury was caused by a pos- specified in codes 01 through 22 in para- sible defect in the manufacturer’s vehi- graph (b)(2) of this section, or a fire cle, together with each incident involv- (code 23), or rollover (code 24). Each ing one or more deaths occurring in a such report shall state, separately by foreign country that is identified in a each such code, the number of such claim against and received by the man- property damage claims, consumer ufacturer involving the manufacturer’s complaints, warranty claims, or field vehicle, if that vehicle is identical or reports, respectively, that involves the substantially similar to a vehicle that systems or components or fire or roll- the manufacturer has offered for sale over indicated by the code. If an under- in the United States. The report shall lying property damage claim, con- be submitted as a report on medium- sumer complaint, warranty claim, or heavy vehicles and buses and organized field report involves more than one such that incidents are reported alpha- such code, each shall be reported sepa- betically by make, within each make rately in the report with no limit on alphabetically by model, and within the number of codes to be included. No each model chronologically by model reporting is necessary if the system or year. component involved is not specified in (2) For each incident described in such codes, and the incident did not in- paragraph (b)(1) of this section, the volve a fire or rollover. manufacturer shall separately report (d) Copies of field reports. For all me- the make, model, model year, and VIN dium heavy vehicles and buses manu- of the medium-heavy vehicle or bus, factured during a model year covered the incident date, the number of by the reporting period and the nine deaths, the number of injuries for inci- model years prior to the earliest model dents occurring in the United States, year in the reporting period, a copy of the State or foreign country where the each field report (other than a dealer incident occurred, each system or com- report or a product evaluation report) ponent of the vehicle that allegedly involving one or more of the systems contributed to the incident, and wheth- or components identified in paragraph er the incident involved a fire or roll- (b)(2) of this section, or fire, or rollover, coded as follows: 01 steering sys- over, containing any assessment of an tem, 02 suspension system, 03 service alleged failure, malfunction, lack of brake system, hydraulic, 04 service durability, or other performance prob- brake system, air, 05 parking brake, 06 lem of a motor vehicle or item of engine and engine cooling system, 07 motor vehicle equipment (including fuel system, gasoline, 08 fuel system, any part thereof) that is originated by diesel, 09 fuel system, other, 10 power an employee or representative of the train, 11 electrical, 12 exterior lighting, manufacturer and that the manufac- 13 visibility, 14 air bags, 15 seat belts, turer received during a reporting pe- 16 structure, 17 latch, 18 vehicle speed riod. These documents shall be sub- control, 19 tires, 20 wheels, 21 trailer mitted alphabetically by make, within hitch, 22 seats, 23 fire, 24 rollover, 98 each make alphabetically by model, where a system or component not cov- and within each model chronologically ered by categories 01 through 22 is by model year. For purposes of this

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paragraph, if a field report refers to (1) A report on each incident involv- more than one make or model of vehi- ing one or more deaths or injuries oc- cle produced by a manufacturer on a curring in the United States that is particular platform, the manufacturer identified in a claim against and re- shall submit the report alphabetically ceived by the manufacturer or in a no- by platform rather than by make or tice received by the manufacturer model. If such a field report refers to which notice alleges or proves that the more than one platform, separate cop- death or injury was caused by a pos- ies shall be submitted for each such sible defect in the manufacturer’s mo- platform. If a field report refers to torcycle, together with each incident more than one model year of a speci- involving one or more deaths occurring fied make/model or platform, the man- in a foreign country that is identified ufacturer shall submit it by the ear- in a claim against and received by the liest model year to which it refers. manufacturer involving the manufacturer’s motorcycle, if that motorcycle [67 FR 45873, July 10, 2002, as amended at 68 FR 18142, Apr. 15, 2003; 68 FR 35143, June 11, is identical or substantially similar to 2003; 72 FR 29443, May 29, 2007; 74 FR 47757, a motorcycle that the manufacturer Sept. 17, 2009] has offered for sale in the United States. The report shall be submitted § 579.23 Reporting requirements for as a report on motorcycles and orga- manufacturers of 5,000 or more mo- nized such that incidents are reported torcycles annually. alphabetically by make, within each For each reporting period, a manu- make alphabetically by model, and facturer whose aggregate number of within each model chronologically by motorcycles manufactured for sale, model year. sold, offered for sale, introduced or de- (2) For each incident described in livered for introduction in interstate paragraph (b)(1) of this section, the commerce, or imported into the United manufacturer shall separately report States, during the calendar year of the the make, model, model year, and VIN reporting period or during either of the of the motorcycle, the incident date, prior two calendar years is 5,000 or the number of deaths, the number of more shall submit the information de- injuries for incidents occurring in the scribed in this section. For paragraphs United States, the State or foreign (a) and (c) of this section, the manufac- country where the incident occurred, turer shall submit information sepa- each system or component of the mo- rately with respect to each make, torcycle that allegedly contributed to model, and model year of motorcycle the incident, and whether the incident manufactured during the reporting pe- involved a fire, coded as follows: 01 riod and the nine model years prior to steering, 02 suspension, 03 service the earliest model year in the report- brake system, 06 engine and engine ing period, including models no longer cooling, 07 fuel system, 10 power train, in production. 11 electrical, 12 exterior lighting, 16 (a) Production information. Informa- structure,18 vehicle speed control, 19 tion that states the manufacturer’s tires, 20 wheels, 23 fire, 98 where a sys- name, the quarterly reporting period, tem or component not covered by cat- the make, the model, the model year, egories 01 through 20 is specified in the and the production. The production claim or notice, and 99 where no sys- shall be stated as either the cumu- tem or component of the vehicle is lative production of the current model specified in the claim or notice. If an year to the end of the reporting period, incident involves more than one such or the total model year production for code, each shall be reported separately each model year for which production in the report with a limit of five codes has ceased. to be included. (b) Information on incidents involving (c) Numbers of property damage claims, death or injury. For all motorcycles consumer complaints, warranty claims, manufactured during a model year cov- and field reports. Separate reports on ered by the reporting period and the the numbers of those property damage nine model years prior to the earliest claims, consumer complaints, warranty model year in the reporting period: claims, and field reports which involve

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the systems and components that are submit it by the earliest model year to specified in codes 01 through 20 in para- which it refers. graph (b)(2) of this section, or a fire [67 FR 45873, July 10, 2002, as amended at 68 (code 23). Each such report shall state, FR 18142, Apr. 15, 2003; 68 FR 35143, June 11, separately by each such code, the num- 2003; 72 FR 29443, May 29, 2007; 74 FR 47758, ber of such property damage claims, Sept. 17, 2009] consumer complaints, warranty claims, or field reports, respectively, that in- § 579.24 Reporting requirements for manufacturers of 5,000 or more volves the systems or components or trailers annually. fire indicated by the code. If an underlying property damage claim, con- For each reporting period, a manufacturer whose aggregate number of sumer complaint, warranty claim, or trailers manufactured for sale, sold, of- field report involves more than one fered for sale, introduced or delivered such code, each shall be reported sepa- for introduction in interstate com- rately in the report with no limit on merce, or imported into the United the number of codes to be included. No States, during the calendar year of the reporting is necessary if the system or reporting period or during either of the component involved is not specified in prior two calendar years is 5,000 or such codes, and the incident did not in- more shall submit the information de- volve a fire. scribed in this section. For paragraphs (d) Copies of field reports. For all mo- (a) and (c) of this section, the manufac- torcycles manufactured during a model turer shall submit information with re- year covered by the reporting period spect to each make, model and model and the nine model years prior to the year of trailer manufactured during earliest model year in the reporting pe- the reporting period and the nine riod, a copy of each field report (other model years prior to the earliest model than a dealer report or a product eval- year in the reporting period, including uation report) involving one or more of models no longer in production. the systems or components identified (a) Production information. Informa- in paragraph (b)(2) of this section or tion that states the manufacturer’s fire, containing any assessment of an name, the quarterly reporting period, alleged failure, malfunction, lack of the make, the model, the model year, the type, and the production. The pro- durability, or other performance prob- duction shall be stated as either the lem of a motorcycle or item of motor cumulative production of the current vehicle equipment (including any part model year to the end of the reporting thereof) that is originated by an em- period, or the total model year produc- ployee or representative of the manu- tion for each model year for which pro- facturer and that the manufacturer reduction has ceased. For each model ceived during a reporting period. These that is manufactured and available documents shall be submitted alpha- with more than one type of service betically by make, within each make brake system (i.e., hydraulic and air), alphabetically by model, and within the information required by this sub- each model chronologically by model section shall be reported by each of the year. For purposes of this paragraph, if two brake types (i.e., ‘‘H’’ for hydrau- a field report refers to more than one lic, ‘‘A’’ for air). If the service brake make or model of motorcycle produced system in a trailer is not readily char- by a manufacturer on a particular plat- acterized as either hydraulic or air, the form, the manufacturer shall submit trailer shall be considered to have hy- the report alphabetically by platform draulic service brakes. If a model has rather than by make or model. If such no brake system, it shall be reported as a field report refers to more than one ‘‘N,’’ for none. platform, separate copies shall be sub- (b) Information on incidents involving mitted for each such platform. If a death or injury. For all trailers manu- field report refers to more than one factured during a model year covered model year of a specified make/model by the reporting period and the nine model years prior to the earliest model or platform, the manufacturer shall year in the reporting period:

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(1) A report on each incident involv- graph (b)(2) of this section, or a fire ing one or more deaths or injuries oc- (code 23). Each such report shall state, curring in the United States that is separately by each such code, the num- identified in a claim against and re- ber of such property damage claims, ceived by the manufacturer or in a no- consumer complaints, warranty claims, tice received by the manufacturer or field reports, respectively, that in- which notice alleges or proves that the volves the systems or components or death or injury was caused by a pos- fire indicated by the code. If an under- sible defect in the manufacturer’s lying property damage claim, con- trailer, together with each incident in- sumer complaint, warranty claim, or volving one or more deaths occurring field report involves more than one in a foreign country that is identified such code, each shall be reported sepa- in a claim against and received by the rately in the report with no limit on manufacturer involving the manufac- the number of codes to be included. No turer’s trailer, if that trailer is iden- reporting is necessary if the system or tical or substantially similar to a trail- component involved is not specified in er that the manufacturer has offered such codes, and the incident did not infor sale in the United States. The re- volve a fire. port shall be submitted as a report on (d) Copies of field reports. For all trail- trailers and organized such that inci- ers manufactured during a model year dents are reported alphabetically by covered by the reporting period and the make, with each make alphabetically nine model years prior to the earliest by model, and within each model model year in the reporting period, a chronologically by model year. copy of each field report (other than a (2) For each incident described in dealer report or a product evaluation paragraph (b)(1) of this section, the report) involving one or more of the manufacturer shall separately report systems or components identified in the make, model, model year, and VIN paragraph (b)(2) of this section or fire, of the trailer, the incident date, the containing any assessment of an al- number of deaths, the number of inju- leged failure, malfunction, lack of du- ries for incidents occurring in the rability, or other performance problem United States, the State or foreign of a trailer or item of motor vehicle country where the incident occurred, equipment (including any part thereof) each system or component of the trail- that is originated by an employee or er that allegedly contributed to the in- representative of the manufacturer and cident, and whether the incident in- that the manufacturer received during volved a fire, coded as follows: 02 sus- a reporting period. These documents pension, 03 service brake system, hy- shall be submitted alphabetically by draulic, 04 service brake system, air, 05 make, within each make alphabetically parking brake, 11 electrical, 12 exterior by model, and within each model lighting, 16 structure, 17 latch, 19 tires, chronologically by model year. For 20 wheels, 21 trailer hitch, 23 fire, 98 purposes of this paragraph, if a field re- where a system or component not cov- port refers to more than one make or ered by categories 02 through 21 is model of trailer produced by a manu- specified in the claim or notice, and 99 facturer on a particular platform, the where no system or component of the manufacturer shall submit the report trailer is specified in the claim or no- alphabetically by platform rather than tice. If an incident involves more than by make or model. If such a field report one such code, each shall be reported refers to more than one platform, sepa- separately in the report with a limit of rate copies shall be submitted for each five codes to be included. such platform. If a field report refers to (c) Numbers of property damage claims, more than one model year of a speci- consumer complaints, warranty claims, fied make/model or platform, the man- and field reports. Separate reports on ufacturer shall submit it by the ear- the numbers of those property damage liest model year to which it refers. claims, consumer complaints, warranty [67 FR 45873, July 10, 2003, as amended at 68 claims, and field reports which involve FR 18143, Apr. 15, 2003; 68 FR 35143, June 11, the systems and components that are 2003; 72 FR 29443, May 29, 2007; 74 FR 47758, specified in codes 02 through 21 in para- Sept. 17, 2009]

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§ 579.25 Reporting requirements for incident involving one or more deaths manufacturers of child restraint occurring in a foreign country that is systems. identified in a claim against and re- For each reporting period, a manu- ceived by the manufacturer involving facturer who has manufactured for the manufacturer’s child restraint sys- sale, sold, offered for sale, introduced tem, if the child restraint system is or delivered for introduction in inter- identical or substantially similar to a state commerce, or imported child re- child restraint system that the manu- straint systems into the United States, facturer has offered for sale in the shall submit the information described United States. The report shall be sub- in this section. For paragraphs (a) and mitted as a report on child restraint (c) of this section, the manufacturer systems and organized such that inci- shall submit information separately dents are reported alphabetically by with respect to each make, model, and make, within each make alphabetically production year of child restraint sys- by model, and within each model tem manufactured during the reporting chronologically by production year. period and the four production years (2) For each such incident described prior to the earliest production year in in paragraph (b)(1) of this section, the the reporting period, including models manufacturer shall separately report no longer in production. For paragraph the make, model, and production year (c) of this section, if any consumer of the child restraint system, the inci- complaints or warranty claims regard- dent date, the number of deaths, the ing a model of child restraint system number of injuries for incidents occur- do not specify the production year of ring in the United States, the State or the system, the manufacturer shall foreign country where the incident oc- submit information for ‘‘unknown’’ curred, and each system or component production year in addition to the up- of the child restraint system that al- to-five production years for which the legedly contributed to the incident, manufacturer must otherwise report coded as follows: 51 buckle and re- the number of such consumer com- straint harness, 52 seat shell, 53 handle, plaints/warranty claims. (a) Production information. Informa- 54 base, 98 where a system or compo- tion that states the manufacturer’s nent not covered by categories 51 name, the quarterly reporting period, through 54 is specified in the claim or the make, the model, the production notice, and 99 where no system or com- year, the type, and the production. The ponent of the child restraint system is production shall be stated as either the specified in the claim or notice. If an cumulative production of the current incident involves more than one such model year to the end of the reporting code, each shall be reported separately period, or the total calendar year pro- in the report. If the production year of duction for each calendar year for the child restraint system is unknown, which production has ceased. the manufacturer shall specify the (b) Information on incidents involving number ‘‘9999’’ in the field for produc- death or injury. For all child restraint tion year. systems manufactured during a produc- (c) Numbers of consumer complaints tion year covered by the reporting pe- and warranty claims, and field reports. riod and the four production years Separate reports on the numbers of prior to the earliest production year in those consumer complaints and war- the reporting period: ranty claims, and field reports, which (1) A report on each incident involv- involve the systems and components ing one or more deaths or injuries oc- that are specified in codes 51 through curring in the United States that is 54 in paragraph (b)(2) of this section. identified in a claim against and re- Each such report shall state, sepa- ceived by the manufacturer or in a no- rately by each such code, the number tice received by the manufacturer of such consumer complaints and war- which notice alleges or proves that the ranty claims, or field reports, respec- death or injury was caused by a pos- tively, that involves the systems or sible defect in the manufacturer’s child components indicated by the code. If restraint system, together with each an underlying consumer complaint and

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warranty claim, or field report, in- in the vehicle at the time of its impor- volves more than one such code, each tation if the manufacturer of the tires shall be counted separately in the re- is not required to report under this sec- port with no limit on the number of tion. For paragraphs (a) and (c) of this codes to be included. No reporting is section, the manufacturer shall submit necessary if the system or component information separately with respect to involved is not specified in such codes. each tire line, size, SKU, plant where (d) Copies of field reports. For all child manufactured, and model year of tire restraint systems manufactured during manufactured during the reporting pe- a production year covered by the re- riod and the four calendar years prior porting period and the four production to the reporting period, including tire years prior to the earliest production lines no longer in production. For each year in the reporting period, a copy of group of tires with the same SKU, each field report (other than a dealer plant where manufactured, and year report or a product evaluation report) for which the volume produced or im- involving one or more of the systems ported is less than 15,000, or are deep or components identified in paragraph tread, winter-type snow tires, space- (b)(2) of this section, containing any saver or temporary use spare tires, assessment of an alleged failure, mal- tires with nominal rim diameters of 12 function, lack of durability, or other inches or less, or are not passenger car performance problem of a child re- tires, light truck tires, or motorcycle straint system (including any part tires, the manufacturer need only re- thereof) that is originated by an em- port information on incidents involv- ployee or representative of the manu- ing a death or injury, as specified in facturer and that the manufacturer re- paragraph (b) of this section. For pur- ceived during a reporting period. These poses of this section, the two-character documents shall be submitted alpha- DOT alphanumeric code for production betically by make, within each make plants located in the United States as- alphabetically by model, and within signed by NHTSA in accordance with each model chronologically by produc- §§ 574.5(a) and 574.6(b) of this chapter tion year. For purposes of this para- may be used to identify ‘‘plant where graph, if a field report refers to more manufactured.’’ If the production plant than one make or model of child re- is located outside the United States, straint system produced by a manufac- the full plant name must be provided. turer, the manufacturer shall submit (a) Production information. Informa- the report under the first such model tion that states the manufacturer’s in alphabetical order. If a field report name, the quarterly reporting period, refers to more than one production the tire line, the tire size, the tire type year of a specified make/model, the code, the SKU, the plant where manu- manufacturer shall submit it by the factured, whether the tire is approved earliest production year to which it re- for use as original equipment on a fers. motor vehicle, if so, the make, model, [67 FR 45873, July 10, 2002, as amended at 68 and model year of each vehicle for FR 18143, Apr. 15, 2003; 68 FR 35144, June 11, which it is approved, the production 2003; 72 FR 29444, May 29, 2007] year, the cumulative warranty production, and the cumulative total produc- § 579.26 Reporting requirements for tion through the end of the reporting manufacturers of tires. period. If the manufacturer knows that For each reporting period, a manu- a particular group of tires is not used facturer (including a brand name as original equipment on a motor vehi- owner) who has manufactured for sale, cle, it shall state ‘‘N’’ in the appro- sold, offered for sale, introduced or de- priate field, and if the manufacturer is livered for introduction in interstate not certain, it shall state ‘‘U’’ in that commerce, or imported tires in the field. United States shall submit the infor- (b) Information on incidents involving mation described in this section. For death or injury. For all tires manufac- purposes of this section, an importer of tured during a production year covered motor vehicles for resale is deemed to by the reporting period and the four be the manufacturer of the tires on and production years prior to the earliest

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production year in the reporting pe- tively, that involve the components in- riod: dicated by the code. If an underlying (1) A report on each incident involv- property damage claim or warranty ad- ing one or more deaths or injuries oc- justment involves more than one such curring in the United States that is code, each shall be reported separately identified in a claim against and rein the report with no limit on the num- ceived by the manufacturer or in a no- ber of codes to be included. No report- tice received by the manufacturer ing is necessary if the system or com- which notice alleges or proves that the ponent involved is not specified in such death or injury was caused by a pos- codes, or if the TIN is not specified in sible defect in the manufacturer’s tire, any property damage claim. together with each incident involving (d) Common green tire reporting. With one or more deaths occurring in a for- each quarterly report, each manufac- eign country that is identified in a turer of tires shall provide NHTSA claim against and received by the man- with a list of common green tires. For ufacturer involving the manufacturer’s each specific common green tire group- tire, if that tire is identical or substan- ing, the list shall provide all relevant tially similar to a tire that the manu- tire lines, tire type codes, SKU num- facturer has offered for sale in the bers, brand names, and brand name United States. The report shall be sub- owners. mitted as a report on tires and orga- [67 FR 45873, July 10, 2002, as amended at 68 nized such that incidents are reported FR 18143, Apr. 15, 2003; 68 FR 35144, June 11, alphabetically by tire line, within each 2003] tire line by tire size, and within each tire size chronologically by production § 579.27 Reporting requirements for year. manufacturers of fewer than 100 (2) For each such incident described buses annually, for manufacturers in paragraph (b)(1) of this section, the of fewer than 500 emergency vehi- manufacturer shall separately report cles annually, for manufacturers of fewer than 5,000 light vehicles, me- the tire line, size, and production year dium-heavy vehicles (other than of the tire, the TIN, the incident date, buses and emergency vehicles), mo- the number of deaths, the number of torcycles or trailers annually, for injuries for incidents occurring in the manufacturers of original equip- United States, the State or foreign ment, and for manufacturers of re- country where the incident occurred, placement equipment other than the make, model, and model year of the child restraint systems and tires. vehicle on which the tire was installed, (a) Applicability. This section applies and each component of the tire that al- to all manufacturers of vehicles with legedly contributed to the incident, respect to vehicles that are not covered coded as follows: 71 tread, 72 sidewall, by reports on light vehicles, medium- 73 bead, 98 where a component not cov- heavy vehicles and buses, motorcycles, ered by categories 71 through 73 is or trailers submitted pursuant to specified in the claim or notice, and 99 §§ 579.21 through 579.24 of this part, to where no component of the tire is spec- all manufacturers of original equip- ified in the claim or notice. If an inci- ment, to all manufacturers of replace- dent involves more than one such code, ment equipment other than manufac- each shall be reported separately in the turers of tires and child restraint sys- report. tems, and to registered importers reg- (c) Numbers of property damage claims istered under 49 U.S.C. 30141(c). and warranty adjustments. Separate re- (b) Information on incidents involving ports on the numbers of those property deaths. For each reporting period, a damage claims and warranty adjust- manufacturer to which this section ap- ments which involve the components plies shall submit a report, pertaining that are specified in codes 71 through to vehicles and/or equipment manufac- 73, and 98, in paragraph (b)(2) of this tured or sold during the calendar year section. Each such report shall state, of the reporting period and the nine separately by each such code, the num- calendar years prior to the reporting bers of such property damage claims period (four calendar years for equip- and warranty adjustments, respec- ment), including models no longer in

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production, on each incident involving fire, shall be identified and coded as one or more deaths occurring in the specified in § 579.24(b)(2) of this part. United States that is identified in a (5) For original and replacement claim against and received by the man- equipment, a written identification of ufacturer or in a notice received by the each component of the equipment that manufacturer which notice alleges or was allegedly involved, and whether proves that the death was caused by a there was a fire, in the manufacturer’s possible defect in the manufacturer’s own words. vehicle or equipment, together with (6) For original and replacement each incident involving one or more equipment, if the production year of deaths occurring in a foreign country the equipment is unknown, the manu- that is identified in a claim against facturer shall specify the number and received by the manufacturer in- ‘‘9999’’ in the field for model or produc- volving the manufacturer’s vehicle or tion year. equipment, if it is identical or substantially similar to a vehicle or item of [67 FR 45873, July 10, 2002, as amended at 68 equipment that the manufacturer has FR 18143, Apr. 15, 2003; 68 FR 35144, June 11, offered for sale in the United States. 2003; 74 FR 47758, Sept. 17, 2009] The report shall be organized such that incidents are reported alphabetically § 579.28 Due date of reports and other by make, within each make alphabeti- miscellaneous provisions. cally by model, and within each model (a) Initial submission of reports. Except chronologically by model year. If a as provided in paragraph (n) of this sec- manufacturer has not received such a tion, the first calendar quarter for claim or notice during a reporting pe- which reports are required under riod, the manufacturer need not submit §§ 579.21 through 579.27 of this subpart is a report to NHTSA for that reporting the third calendar quarter of 2003. period. (b) Due date of reports. Except as pro- (c) For each incident described in vided in subsection (n) of this section, paragraph (b) of this section, the man- each manufacturer of motor vehicles ufacturer shall separately report the and motor vehicle equipment shall sub- make, model, and model year of the ve- mit each report that is required by this hicle or equipment, the VIN (for vehi- subpart not later than 60 days after the cles only), the incident date, the num- last day of the reporting period. Except ber of deaths, the number of injuries as provided in § 579.27(b), if a manufac- for incidents occurring in the United turer has not received any of the cat- States, the State or foreign country egories of information or documents where the incident occurred, each sys- during a quarter for which it is re- tem or component of the vehicle or quired to report pursuant to §§ 579.21 equipment that allegedly contributed through 579.26, the manufacturer’s re- to the incident, and whether the inci- port must indicate that no relevant in- dent involved a fire or rollover, as fol- formation or documents were received lows: during that quarter. If the due date for (1) For light vehicles, the system or any report is a Saturday, Sunday or a component involved, and the existence of a fire or rollover, shall be identified Federal holiday, the report shall be due and coded as specified in § 579.21(b)(2) of on the next business day. this part. (c) One-time reporting of historical (2) For medium-heavy vehicles and information. (1) No later than January buses, the system or component in- 15, 2004: volved, and the existence of a fire or (i) Each manufacturer of vehicles rollover, shall be identified and coded covered by §§ 579.21 through 579.24 of as specified in § 579.22(b)(2) of this part. this part shall file separate reports pro- (3) For motorcycles, the system or viding information on the numbers of component involved, and the existence warranty claims recorded in the manu- of a fire, shall be identified and coded facturer’s warranty system, and field as specified in § 579.23(b)(2) of this part. reports, that it received in each cal- (4) For trailers, the system or compo- endar quarter from July 1, 2000, to June nent involved, and the existence of a 30, 2003, for vehicles manufactured in

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model years 1994 through 2003 (includ- manufacturer shall attempt to obtain ing any vehicle designated as a 2004 the missing minimal specificity infor- model); mation from such counsel. (ii) Each manufacturer of child re- (e) Claims received by registered agents. straint systems covered by § 579.25 of A claim received by any registered this part shall file separate reports agent of a manufacturer under the laws covering the numbers of warranty of any State, or the agent that any claims recorded in the manufacturer’s manufacturer offering motor vehicles warranty system and consumer com- or motor vehicle equipment for import plaints (added together), and field re- has designated pursuant to 49 U.S.C. ports, that it received in each calendar 30164(a), shall be deemed received by quarter from July 1, 2000, to June 30, the manufacturer. 2003, for child restraint systems manufactured from July 1, 1998, to June 30, (f) Updating of information required in 2003, and reports. (1) Except as specified in this (iii) Each manufacturer of tires cov- subsection, a manufacturer need not ered by § 579.26 of this part shall file update its reports under this subpart. separate reports covering the numbers (2) With respect to each report of an of warranty adjustments recorded in incident submitted under paragraph (b) the manufacturer’s warranty adjust- of §§ 579.21 through 579.26 of this part: ment system for tires that it received (i) If a vehicle manufacturer is not in each calendar quarter from July 1, aware of the VIN, or a tire manufac- 2000, to June 30, 2003, for tires manufacturer is not aware of the TIN, at the tured from July 1, 1998, to June 30, 2003. time the incident is initially reported, (2) Each report filed under paragraph the manufacturer shall submit an up- (c)(1) of this section shall include pro- dated report of such incident in its reduction data, as specified in paragraph port covering the reporting period in (a) of 579.21 through 579.26 of this part which the VIN or TIN is identified. A and shall identify the alleged system or manufacturer need not submit an up- component covered by warranty claim, dated report if the VIN or TIN is iden- warranty adjustment, or field report as tified by the manufacturer in a report- specified in paragraph (c) of 579.21 ing period that is more than one year through 579.26 of this part. later than the initial report to NHTSA. (d) Minimal specificity. A claim or notice involving death, a claim or notice (ii) If a manufacturer indicated code involving injury, a claim involving 99 in its report because a system or property damage, a consumer com- component had not been identified in plaint, a warranty claim or warranty the claim or notice that led to the readjustment, or a field report need not port, and the manufacturer becomes be reported if it does not identify the aware during a subsequent calendar vehicle or equipment with minimal quarter that one or more of the speci- specificity. If a manufacturer initially fied systems or components allegedly receives a claim, notice, complaint, contributed to the incident, the manu- warranty claim, warranty adjustment, facturer shall submit an updated report or field report in which the vehicle or of such incident in its report covering equipment is not identified with mini- the reporting period in which the in- mal specificity and subsequently ob- volved specified system(s) or compo- tains information that provides the nent(s) is (are) identified. A manufac- requisite information needed to iden- turer need not submit an updated re- tify the product with minimal speci- port if the system(s) or component(s) ficity, the claim, etc. shall be deemed is(are) identified by the manufacturer to have been received when the addi- in a reporting period that is more than tional information is received. If a one year later than the initial report manufacturer receives a claim or no- to NHTSA. tice involving death or injury in which the vehicle or equipment is not identi- (iii) If one or more systems or compo- fied with minimal specificity and the nents is identified in a manufacturer’s matter is being handled by legal coun- report of an incident, the manufacturer sel retained by the manufacturer, the need not submit an updated report to

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reflect additional systems or compo- try in which an incident occurred, the nents allegedly involved in the inci- manufacturer shall use the English- dent that it becomes aware of in a sub- language name of the country in non- sequent reporting period. abbreviated form. (iv) If the report is of an incident in- (k) Claims of confidentiality. If a man- volving an injury and an injured person ufacturer claims that any of the infor- dies after a manufacturer has reported mation, data, or documents that it sub- the injury to NHTSA, the manufac- mits is entitled to confidential treat- turer need not submit an updated re- ment, it must make such claim in ac- port to NHTSA reflecting that death. cordance with part 512 of this chapter. (g) When a report involving a death is (l) Additional related information that not required. A report on incident(s) in- NHTSA may request. In addition to involving one or more deaths occurring formation required periodically under in a foreign country that is identified this subpart, NHTSA may request in claim(s) against a manufacturer of other information that may help iden- motor vehicles or motor vehicle equip- tify a defect related to motor vehicle ment involving a vehicle or equipment safety. that is identical or substantially simi- (m) Use of the plural. As used in this lar to equipment that the manufac- part, the plural includes the singular turer has offered for sale in the United and the singular includes the plural to States need not be furnished if the bring within the scope of reporting claim specifically alleges that the that which might otherwise be con- death was caused by a possible defect strued to be without the scope. in a component other than one that is (n) Submission of copies of field reports. common to the vehicle or equipment Copies of field reports required under that the manufacturer has offered for this subpart shall be submitted not sale in the United States. later than 15 days after reports are due (h) When a report involving a claim or pursuant to paragraph (b) of this sec- notice is not required. If a manufacturer tion. has reported a claim or notice relating [67 FR 45873, July 10, 2002, as amended at 68 to an incident involving death or in- FR 18143, Apr. 15, 2003; 68 FR 20225, Apr. 24, jury, the manufacturer need not: 2003; 68 FR 35144, 35148, June 11, 2003; 68 FR (1) Report a claim or notice arising 64569, Nov. 14, 2003; 69 FR 57869, Sept. 28, 2004; out of the incident by a person who was 70 FR 2023, Jan. 12, 2005; 72 FR 29444, May 29, not injured physically, and 2007] (2) Include in its number of property damage claims a property damage § 579.29 Manner of reporting. claim arising out of the incident. (a) Submission of reports. (1) Except as (i) Reporting on behalf of other manu- provided in this paragraph, each report facturers. Whenever a fabricating man- required under paragraphs (a) through ufacturer or importer submits a report (c) of §§ 579.21 through 579.26 of this part on behalf of one or more other manu- must be submitted to NHTSA’s early facturers (including a brand name warning data repository identified on owner), as authorized under § 579.3(b) of NHTSA’s Internet homepage this part, the submitting manufacturer (www.nhtsa.dot.gov). A manufacturer must identify each such other manu- must use templates provided at the facturer. Whenever a brand name early warning website, also identified owner submits a report on its own be- on NHTSA’s homepage, for submitting half, it must identify the fabricating reports. For data files smaller than the manufacturer of each separate product size limit of the Internet e-mail server on which it is reporting. of the Department of Transportation, a (j) Abbreviations. Whenever a manu- manufacturer may submit a report as facturer is required to identify a State an attachment to an e-mail message to in which an incident occurred, the [email protected], using the same manufacturer shall use the two-letter templates. abbreviations established by the (2) Each report required under § 579.27 United States Postal Service (e.g., AZ of this part may be submitted to for Arizona). Whenever a manufacturer NHTSA’s early warning data reposi- is required to identify a foreign coun- tory as specified in paragraph (a)(1) of

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this section or by manually filling out tion, must obtain approval from an interactive form on NHTSA’s early NHTSA for the use of such protocol. warning website. (f) Information and requests sub- (3) For each report required under mitted under paragraphs (c), (d), and paragraphs (a) through (c) of §§ 579.21 (e) of this section shall be provided in through 579.26 of this part and sub- writing to the Director, Office of De- mitted in the manner provided in para- fects Investigation, NHTSA, Attention: graph (a)(1) of this section, a manufac- Early Warning Division (NVS–217), 1200 turer must state the make, model and New Jersey Avenue, SE., Washington, model year of each motor vehicle or DC 20590. item of motor vehicle equipment in terms that are identical to the state- [67 FR 45873, July 10, 2002, as amended at 68 ment of the make, model, model year FR 35145, June 11, 2003; 72 FR 32017, June 11, of each motor vehicle or item of motor 2007; 74 FR 47758, Sept. 17, 2009] vehicle equipment provided in the manufacturer’s previous report. PART 580—ODOMETER DISCLOSURE (b) Submission of documents. A copy of REQUIREMENTS each document required under paragraph (d) of §§ 579.21 through 579.26 of Sec. this part may be submitted in digital 580.1 Scope. form using a graphic compression pro- 580.2 Purpose. tocol, approved by NHTSA, to the 580.3 Definitions. NHTSA data repository, or as an at- 580.4 Security of title documents and power tachment to an e-mail message, as of attorney forms. specified in paragraph (a)(1) of this sec- 580.5 Disclosure of odometer information. tion. Any digital image provided by a 580.6 [Reserved] manufacturer shall be not less than 200 580.7 Disclosure of odometer information or more than 300 dpi (dots per inch) res- for leased motor vehicles. olution. Such documents may also be 580.8 Odometer disclosure statement reten- submitted in paper form. Each docu- tion. ment shall be identified in accordance 580.9 Odometer record retention for auction with the templates provided at companies. NHTSA’s early warning Web site, 580.10 Application for assistance. which is identified in paragraph (a)(1) 580.11 Petition for approval of alternate dis- of this section. closure requirements. (c) Designation of manufacturer con- 580.12 Petition for extension of time. tacts. Not later than 30 days prior to 580.13 Disclosure of odometer information the date of its first quarterly submis- by power of attorney. sion, each manufacturer must provide 580.14 Power of attorney to review title doc- the names, office telephone numbers, uments and acknowledge disclosure. postal and street mailing addresses, 580.15 Certification by person exercising and electronic mail addresses of two powers of attorney. 580.16 Access of transferee to prior title and employees (one primary and one back- power of attorney documents. up) whom NHTSA may contact for re- 580.17 Exemptions. solving issues that may arise concerning the submission of information APPENDIX A TO PART 580—SECURE PRINTING and documents required by this part. PROCESSES AND OTHER SECURE PROCESSES (d) Manufacturer reporting identifica- APPENDIX B TO PART 580—DISCLOSURE FORM FOR TITLE tion and password. Not later than 30 APPENDIX C TO PART 580—SEPARATE DISCLO- days prior to the date of its first quar- SURE FORM terly submission, each manufacturer APPENDIX D TO PART 580—DISCLOSURE FORM must request a manufacturer identi- FOR LEASED VEHICLE fication number and a password. APPENDIX E TO PART 580—POWER OF ATTOR- (e) Graphic compression protocol. Not NEY DISCLOSURE FORM later than 30 days prior to the date of its first quarterly submission, each AUTHORITY: 49 U.S.C. 32705; delegation of manufacturer which wishes to submit a authority at 49 CFR 1.50(f) and 501.8(e)(1). copy of a document in digital form, as SOURCE: 53 FR 29476, Aug. 5, 1988, unless provided in paragraph (b) of this sec- otherwise noted.

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§ 580.1 Scope. any and all copies set forth by secure This part prescribes rules requiring process which are issued by the State. transferors and lessees of motor vehi- Secure printing process or other secure cles to make written disclosure to process means any process which deters transferees and lessors respectively, and detects counterfeiting and/or unau- concerning the odometer mileage and thorized reproduction and allows alter- its accuracy as directed by sections 408 ations to be visible to the naked eye. (a) and (e) of the Motor Vehicle Infor- Transferee means any person to whom mation and Cost Savings Act as ownership of a motor vehicle is trans- amended, 15 U.S.C. 1988 (a) and (e). In ferred, by purchase, gift, or any means addition, this part prescribes the rules other than by the creation of a secu- requiring the retention of odometer rity interest, and any person who, as disclosure statements by motor vehicle agent, signs an odometer disclosure dealers, distributors and lessors and statement for the transferee. the retention of certain other informa- Transferor means any person who tion by auction companies as directed transfers his ownership of a motor ve- by sections 408(g) and 414 of the Motor hicle by sale, gift, or any means other Vehicle Information and Cost Savings than by the creation of a security in- Act as amended, 15 U.S.C. 1990(d) and terest, and any person who, as agent, 1988(g). signs an odometer disclosure statement for the transferor. § 580.2 Purpose. [53 FR 29476, Aug. 5, 1988, as amended at 54 The purpose of this part is to provide FR 35887, Aug. 30, 1989; 56 FR 47686, Sept. 20, purchasers of motor vehicles with 1991] odometer information to assist them in determining a vehicle’s condition and § 580.4 Security of title documents and value by making the disclosure of a ve- power of attorney forms. hicle’s mileage a condition of title and Each title shall be set forth by means by requiring lessees to disclose to their of a secure printing process or other se- lessors the vehicle’s mileage at the cure process. In addition, power of at- time the lessors transfer the vehicle. In torney forms issued pursuant to addition, the purpose of this part is to §§ 580.13 and 580.14 and documents which preserve records that are needed for are used to reassign the title shall be the proper investigation of possible issued by the State and shall be set violations of the Motor Vehicle Infor- forth by a secure process. mation and Cost Savings Act and any subsequent prosecutorial, adjudicative [54 FR 35887, Aug. 30, 1989] or other action. § 580.5 Disclosure of odometer infor- § 580.3 Definitions. mation. All terms defined in sections 2 and (a) Each title, at the time it is issued 402 of the Motor Vehicle Information to the transferee, must contain the and Cost Savings Act are used in their mileage disclosed by the transferor statutory meaning. Other terms used when ownership of the vehicle was in this part are defined as follows: transferred and contain a space for the Lessee means any person, or the information required to be disclosed agent for any person, to whom a motor under paragraphs (c), (d), (e) and (f) of vehicle has been leased for a term of at this section at the time of future trans- least 4 months. fer. Lessor means any person, or the (b) Any documents which are used to agent for any person, who has leased 5 reassign a title shall contain a space or more motor vehicles in the past 12 for the information required to be dis- months. closed under paragraphs (c), (d), (e) and Mileage means actual distance that a (f) of this section at the time of trans- vehicle has traveled. fer of ownership. Original power of attorney means, for (c) In connection with the transfer of single copy forms, the document set ownership of a motor vehicle, each forth by secure process which is issued transferor shall disclose the mileage to by the State, and, for multicopy forms, the transferee in writing on the title

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or, except as noted below, on the docu- exists between the odometer reading ment being used to reassign the title. and the actual mileage. In the case of a transferor in whose (f) The transferee shall sign the dis- name the vehicle is titled, the trans- closure statement, print his name, and feror shall disclose the mileage on the return a copy to his transferor. title, and not on a reassignment docu- (g) If the vehicle has not been titled ment. This written disclosure must be or if the title does not contain a space signed by the transferor, including the for the information required, the writ- printed name. In connection with the ten disclosure shall be executed as a transfer of ownership of a motor vehi- separate document. cle in which more than one person is a (h) No person shall sign an odometer transferor, only one transferor need disclosure statement as both the trans- sign the written disclosure. In addition feror and transferee in the same trans- to the signature and printed name of action, unless permitted by §§ 580.13 or the transferor, the written disclosure 580.14. must contain the following informa- [53 FR 29476, Aug. 5, 1988, as amended at 54 tion: FR 35887, Aug. 30, 1989; 56 FR 47686, Sept. 20, (1) The odometer reading at the time 1991] of transfer (not to include tenths of miles); § 580.6 [Reserved] (2) The date of transfer; (3) The transferor’s name and current § 580.7 Disclosure of odometer infor- address; mation for leased motor vehicles. (4) The transferee’s name and current (a) Before executing any transfer of address; and ownership document, each lessor of a (5) The identity of the vehicle, in- leased motor vehicle shall notify the cluding its make, model, year, and lessee in writing that the lessee is re- body type, and its vehicle identifica- quired to provide a written disclosure tion number. to the lessor regarding the mileage. (d) In addition to the information This notice shall contain a reference to provided under paragraph (c) of this the federal law and shall state that section, the statement shall refer to failure to complete or providing false the Federal law and shall state that information may result in fines and/or failure to complete or providing false imprisonment. Reference may also be information may result in fines and/or made to applicable State law. imprisonment. Reference may also be (b) In connection with the transfer of made to applicable State law. ownership of the leased motor vehicle, (e) In addition to the information the lessee shall furnish to the lessor a provided under paragraphs (c) and (d) written statement regarding the mile- of this section, age of the vehicle. This statement (1) The transferor shall certify that must be signed by the lessee and, in ad- to the best of his knowledge the odom- dition to the information required by eter reading reflects the actual mile- paragraph (a) of this section, shall con- age, or; tain the following information: (2) If the transferor knows that the (1) The printed name of the person odometer reading reflects the amount making the disclosure; of mileage in excess of the designed (2) The current odometer reading mechanical odometer limit, he shall in- (not to include tenths of miles); clude a statement to that effect; or (3) The date of the statement; (3) If the transferor knows that the (4) The lessee’s name and current ad- odometer reading differs from the mile- dress; age and that the difference is greater (5) The lessor’s name and current ad- than that caused by odometer calibra- dress; tion error, he shall include a statement (6) The identity of the vehicle, in- that the odometer reading does not re- cluding its make, model, year, and flect the actual mileage, and should body type, and its vehicle identifica- not be relied upon. This statement tion number; shall also include a warning notice to (7) The date that the lessor notified alert the transferee that a discrepancy the lessee of disclosure requirements;

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(8) The date that the completed dis- § 580.13, or by their transferee pursuant closure statement was received by the to § 580.14, shall retain for five years a lessor; and photostat, carbon, or other facsimile (9) The signature of the lessor. copy of each power of attorney that (c) In addition to the information they receive. They shall retain all pow- provided under paragraphs (a) and (b) ers of attorney at their primary place of this section, of business in an order that is appro- (1) The lessee shall certify that to the priate to business requirements and best of his knowledge the odometer that permits systematic retrieval. reading reflects the actual mileage; or [53 FR 29476, Aug. 5, 1988, as amended at 54 (2) If the lessee knows that the odom- FR 35888, Aug. 30, 1989] eter reading reflects the amount of mileage in excess of the designed me- § 580.9 Odometer record retention for chanical odometer limit, he shall in- auction companies. clude a statement to that effect; or Each auction company shall estab- (3) If the lessee knows that the odom- lish and retain at its primary place of eter reading differs from the mileage business in an order that is appropriate and that the difference is greater than to business requirements and that per- that caused by odometer calibration mits systematic retrieval, for five error, he shall include a statement that years following the date of sale of each the odometer reading is not the actual motor vehicle, the following records: mileage and should not be relied upon. (a) The name of the most recent (d) If the lessor transfers the leased owner (other than the auction com- vehicle without obtaining possession of pany); it, the lessor may indicate on the title (b) The name of the buyer; the mileage disclosed by the lessee (c) The vehicle identification num- under paragraph (b) and (c) of this sec- ber; and tion, unless the lessor has reason to be- (d) The odometer reading on the date lieve that the disclosure by the lessee which the auction company took pos- does not reflect the actual mileage of session of the motor vehicle. the vehicle. § 580.10 Application for assistance. § 580.8 Odometer disclosure statement (a) A State may apply to NHTSA for retention. assistance in revising its laws to com- (a) Dealers and distributors of motor ply with the requirements of 408(d) (1) vehicles who are required by this part and (2) of the Motor Vehicle Informa- to execute an odometer disclosure tion and Cost Savings Act, 15 U.S.C. statement shall retain for five years a 1988(d) (1) and (2) and §§ 580.4 and 580.5 photostat, carbon or other facsimile of this part. copy of each odometer mileage state- (b) Each application filed under sec- ment which they issue and receive. tion shall— They shall retain all odometer disclo- (1) Be written in the English lan- sure statements at their primary place guage; of business in an order that is appro- (2) Be submitted, to the Office of priate to business requirements and Chief Counsel, National Highway Traf- that permits systematic retrieval. fic Safety Administration, 400 Seventh (b) Lessors shall retain, for five years Street, SW., Washington, DC 20590; following the date they transfer owner- (3) Include a copy of current motor ship of the leased vehicle, each odom- vehicle titling and/or disclosure re- eter disclosure statement which they quirements in effect in the State; and receive from a lessee. They shall retain (4) Include a draft of legislation or all odometer disclosure statements at regulations intended to amend or re- their primary place of business in an vise current State motor vehicle ti- order that is appropriate to business tling and/or disclosure requirements to requirements and that permits system- conform with Federal requirements. atic retrieval. (c) The agency will respond to the ap- (c) Dealers and distributors of motor plicant, in writing, and provide a list of vehicles who are granted a power of at- the Federal statutory and/or regu- torney by their transferor pursuant to latory requirements that the State

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may have failed to include in its pro- (b) Each petition filed under this sec- posal and indicate if any sections of tion shall— the proposal appear to conflict with (1) Be written in the English lan- Federal requirements. guage; (2) Be submitted, by February 28, § 580.11 Petition for approval of alter- 1989, to the Office of Chief Counsel, Na- nate disclosure requirements. tional Highway Traffic Safety Admin- (a) A State may petition NHTSA for istration, 400 Seventh Street SW., approval of disclosure requirements Washington, DC, 20590; which differ from the disclosure re- (3) Set forth a chronological analysis quirements of § 580.5, § 580.7, or § 580.13(f) of the efforts the State has taken to of this part. meet the deadline, the reasons why it (b) Each petition filed under this sec- did not do so, the length of time de- tion shall— sired for extension and a description of (1) Be written in the English lan- the steps to be taken while the exten- guage; sion is in effect. (2) Be submitted to the Office of (c) Notice of either the grant or de- Chief Counsel, National Highway Traf- nial of the petition is issued to the pe- fic Safety Administration, 400 Seventh titioner and will be published in the Street SW., Washington, DC 20590; FEDERAL REGISTER. (3) Set forth the motor vehicle disclo- (d) A petition for a renewal of an ex- sure requirements in effect in the tension of time must be filed no later State, including a copy of the applica- than 30 days prior to the termination ble State law or regulation; and of the extension of time granted by the (4) Explain how the State motor vehi- Agency. A petition for a renewal of an cle disclosure requirements are con- extension of time must meet the same sistent with the purposes of the Motor requirements as the original petition Vehicle Information and Cost Savings for an extension of time. Act. (e) If a petition for a renewal of the (c) Notice of the petition and an ini- extension of time which meets the re- tial determination pending a 30-day quirements of § 580.12(b) is filed, the ex- comment period will be published in tension of time will continue until a decision is made on the renewal peti- the FEDERAL REGISTER. Notice of final grant or denial of a petition for ap- tion. proval of alternate motor vehicle dis- § 580.13 Disclosure of odometer infor- closure requirements will be published mation by power of attorney. in the FEDERAL REGISTER. The effect of the grant of a petition is to relieve a (a) If the transferor’s title is phys- State from responsibility to conform ically held by a lienholder, or if the the State disclosure requirements with transferor to whom the title was issued § 580.5, § 580.7, or § 580.13(f), as applica- by the State has lost his title and the ble, for as long as the approved alter- transferee obtains a duplicate title on nate disclosure requirements remain in behalf of the transferor, and if other- effect in that State. The effect of a de- wise permitted by State law, the trans- nial is to require a State to conform to feror may give a power of attorney to the requirements of § 580.5, § 580.7 or his transferee for the purpose of mile- § 580.13(f), as applicable, of this part age disclosure. The power of attorney until such time as the NHTSA approves shall be on a form issued by the State any alternate motor vehicle disclosure to the transferee that is set forth by requirements. means of a secure printing process or other secure process, and shall contain, [53 FR 29476, Aug. 5, 1988, as amended at 56 in part A, a space for the information FR 47686, Sept. 20, 1991] required to be disclosed under paragraphs (b), (c), (d), and (e) of this sec- § 580.12 Petition for extension of time. tion. If a State permits the use of a (a) If a State cannot conform its laws power of attorney in the situation de- to achieve compliance with this part scribed in § 580.14(a), the form must by April 29, 1989, the State may peti- also contain, in part B, a space for the tion for an extension of time. information required to be disclosed

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under § 580.14, and, in part C, a space for upon. This statement shall also include the certification required to be made a warning notice to alert the transferee under § 580.15. that a discrepancy exists between the (b) In connection with the transfer of odometer reading and the actual mile- ownership of a motor vehicle, each age. transferor to whom a title was issued (e) The transferee shall sign the by the State whose title is physically power of attorney form, print his held by a lienholder or whose title has name, and return a copy of the power been lost, and who elects to give his of attorney form to the transferor. transferee a power of attorney for the (f) Upon receipt of the transferor’s purpose of mileage disclosure, must ap- title, the transferee shall complete the point the transferee his attorney-in- space for mileage disclosure on the fact for the purpose of mileage disclo- title exactly as the mileage was dis- sure and disclose the mileage on the closed by the transferor on the power power of attorney form issued by the of attorney form. The transferee shall State. This written disclosure must be submit the original power of attorney signed by the transferor, including the form to the State that issued it, with a printed name, and contain the fol- copy of the transferor’s title or with lowing information: the actual title when the transferee (1) The odometer reading at the time submits a new title application at the of transfer (not to include tenths of same time. The State shall retain the miles); power of attorney form and title for (2) The date of transfer; three years or a period equal to the (3) The transferor’s name and current State titling record retention period, address; whichever is shorter. If the mileage (4) The transferee’s name and current disclosed on the power of attorney address; and form is lower than the mileage appear- (5) The identity of the vehicle, ining on the title, the power of attorney cluding its make, model year, body is void and the dealer shall not com- type and vehicle identification number. plete the mileage disclosure on the (c) In addition to the information title. provided under paragraph (b) of this [54 FR 35888, Aug. 30, 1989, as amended at 54 section, the power of attorney form FR 40083, Sept. 29, 1989; 56 FR 47686, Sept. 20, shall refer to the Federal odometer law 1991] and state that providing false information or the failure of the person grant- § 580.14 Power of attorney to review ed the power of attorney to submit the title documents and acknowledge form to the State may result in fines disclosure. and/or imprisonment. Reference may (a) In circumstances where part A of also be made to applicable State law. a secure power of attorney form has (d) In addition to the information been used pursuant to § 580.13 of this provided under paragraphs (b) and (c) part, and if otherwise permitted by of this section: State law, a transferee may give a (1) The transferor shall certify that power of attorney to his transferor to to the best of his knowledge the odom- review the title and any reassignment eter reading reflects the actual mile- documents for mileage discrepancies, age; or and if no discrepancies are found, to ac- (2) If the transferor knows that the knowledge disclosure on the title. The odometer reading reflects mileage in power of attorney shall be on part B of excess of the designed mechanical the form referred to in § 580.13(a), which odometer limit, he shall include a shall contain a space for the informa- statement to that effect; or tion required to be disclosed under (3) If the transferor knows that the paragraphs (b), (c), (d), and (e) of this odometer reading differs from the mile- section and, in part C, a space for the age and the difference is greater than certification required to be made under that caused by a calibration error, he § 580.15. shall include a statement that the (b) The power of attorney must in- odometer reading does not reflect the clude a mileage disclosure from the actual mileage and should not be relied transferor to the transferee and must

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be signed by the transferor, including § 580.15 Certification by person exer- the printed name, and contain the fol- cising powers of attorney. lowing information: (a) A person who exercises a power of (1) The odometer reading at the time attorney under both §§ 580.13 and 580.14 of transfer (not to include tenths of must complete a certification that he miles); has disclosed on the title document the (2) The date of transfer; mileage as it was provided to him on (3) The transferor’s name and current the power of attorney form, and that address; upon examination of the title and any (4) The transferee’s name and current reassignment documents, the mileage address; and disclosure he has made on the title pur- (5) The identity of the vehicle, in- suant to the power of attorney is great- cluding its make, model year, body er than that previously stated on the type and vehicle identification number. title and reassignment documents. (c) In addition to the information This certification shall be under part C provided under paragraph (b) of this of the same form as the powers of at- section, the power of attorney form torney executed under §§ 580.13 and shall refer to the Federal odometer law 580.14 and shall include: and state that providing false informa- (1) The signature and printed name of tion or the failure of the person grant- the person exercising the power of ated the power of attorney to submit the torney; form to the State may result in fines (2) The address of the person exer- and/or imprisonment. Reference may cising the power of attorney; and also be made to applicable State law. (3) The date of the certification. (d) In addition to the information (b) If the mileage reflected by the provided under paragraphs (b) and (c) transferor on the power of attorney is of this section: less than that previously stated on the (1) The transferor shall certify that title and any reassignment documents, to the best of his knowledge the odom- the power of attorney shall be void. eter reading reflects the actual mileage; [54 FR 35889, Aug. 30, 1989] (2) If the transferor knows that the § 580.16 Access of transferee to prior odometer reading reflects mileage in title and power of attorney docu- excess of the designed mechanical ments. odometer limit, he shall include a (a) In circumstances in which a statement to that effect; or power of attorney has been used pursu- (3) If the transferor knows that the ant to § 580.13 of this part, if a subse- odometer reading differs from the mile- quent transferee elects to return to his age and the difference is greater than transferor to sign the disclosure on the that caused by a calibration error, he title when the transferor obtains the shall include a statement that the title and does not give his transferor a odometer reading does not reflect the power of attorney to review the title actual mileage and should not be relied and reassignment documents, upon the upon. This statement shall also include transferee’s request, the transferor a warning notice to alert the transferee shall show to the transferee a copy of that a discrepancy exists between the the power of attorney that he received odometer reading and the actual mile- from his transferor. age. (b) Upon request of a purchaser, a (e) The transferee shall sign the transferor who was granted a power of power of attorney form, and print his attorney by his transferor and who name. holds the title to the vehicle in his own (f) The transferor shall give a copy of name, must show to the purchaser the the power of attorney form to his copy of the previous owner’s title and transferee. the power of attorney form. [54 FR 35888, Aug. 30, 1989] [54 FR 35889, Aug. 30, 1989]

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§ 580.17 Exemptions. and detail quality approaching that of the intaglio process. Notwithstanding the requirements of (d) Micro-line Printing—a reduced line of §§ 580.5 and 580.7: type that appears to be a solid line to the (a) A transferor or a lessee of any of naked eye but contains readable intelligence the following motor vehicles need not under strong magnification. disclose the vehicle’s odometer mile- (e) Pantograph Void Feature—wording in- age: corporated into a pantograph by varying (1) A vehicle having a Gross Vehicle screen density in the pantograph. The wording will appear when attempts are made to Weight Rating, as defined in § 571.3 of photocopy on color copiers. this title, of more than 16,000 pounds; (f) Hologram—a defraction foil substrate, (2) A vehicle that is not self-pro- produced from a negative which was made by pelled; splitting a laser beam into two separate (3) A vehicle that was manufactured beams to produce a three dimensional effect. in a model year beginning at least ten (g) Security Paper—paper containing a se- years before January 1 of the calendar curity watermark and/or a security thread. year in which the transfer occurs; or 2. Methods to allow alterations to be visible to the naked eye. Example to paragraph (a)(3): For vehicle (a) Erasure Sensitive Background Inks—a transfers occurring during calendar year process whereby the text is printed in a dark 1998, model year 1988 or older vehicles are ex- color ink over a fine line erasure-sensitive empt. prismatic ink tint. (4) A vehicle sold directly by the (b) Security Lamination—retro-reflective manufacturer to any agency of the security laminate is placed over vital information after it has been entered to allow for United States in conformity with con- detection of attempts to alter this informa- tractual specifications. tion. (b) A transferor of a new vehicle prior (c) Security Paper—paper which has been to its first transfer for purposes other chemically treated to detect chemical alter- than resale need not disclose the vehi- ations. cle’s odometer mileage. (c) A lessor of any of the vehicles APPENDIX B TO PART 580—DISCLOSURE listed in paragraph (a) of this section FORM FOR TITLE need not notify the lessee of any of ODOMETER DISCLOSURE STATEMENT these vehicles of the disclosure requirements of § 580.7. Federal law (and State law, if applicable) requires that you state the mileage in con- [53 FR 29476, Aug. 5, 1988, as amended at 54 nection with the transfer of ownership. Fail- FR 35888, Aug. 30, 1989. Redesignated at 62 FR ure to complete or providing a false state- 47765, Sept. 11, 1997; 63 FR 52632, Oct. 1, 1998] ment may result in fines and/or imprisonment. APPENDIX A TO PART 580—SECURE I state that the odometer now reads lll PRINTING PROCESSES AND OTHER SE- (no tenths) miles and to the best of my CURE PROCESSES knowledge that it reflects the actual mileage of the vehicle described herein, unless one of 1. Methods to deter or detect counter- the following statements is checked. feiting and/or unauthorized reproduction. —(1) I hereby certify that to the best of my (a) Intaglio printing—a printing process knowledge the odometer reading reflects the utilized in the production of bank-notes and amount of mileage in excess of its mechan- other security documents whereby an en- ical limits. graved plate meets the paper under ex- —(2) I hereby certify that the odometer tremely high pressure forcing the paper into reading is NOT the actual mileage. WARN- the incisions below the surface of the plate. ING—ODOMETER DISCREPANCY. (b) Intaglio Printing With Latent Images— llllllllllllllllllllllll a printing process utilized in the production of bank-notes and other security documents (Transferor’s Signature) whereby an engraved plate meets the paper llllllllllllllllllllllll under extremely high pressure forcing the paper into the incisions below the surface of (Transferee’s Signature) the plate. The three dimensional nature of llllllllllllllllllllllll intaglio printing creates latent images that aid in verification of authenticity and deter (Printed name) counterfeiting. llllllllllllllllllllllll (c) High Resolution Printing—a printing process which achieves excellent art clarity (Printed name)

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Date of Statement lllllllllllll imprisonment. Complete disclosure form Transferee’s Name lllllllllllll below and return to lessor. Transferee’s Address llllllllllll I,llllll (name of person making disclosure, Print) state that the odometer now (Street) reads llll (no tenths) miles and to the llllllllllllllllllllllll best of my knowledge that it reflects the actual mileage of the vehicle described below, (City) (State) (ZIP Code) unless one of the following statements is checked. APPENDIX C TO PART 580—SEPARATE —(1) I hereby certify that to the best of my DISCLOSURE FORM knowledge the odometer reading reflects the amount of mileage in excess of its mechan- ODOMETER DISCLOSURE STATEMENT ical limits. Federal law (and State law, if applicable) —(2) I hereby certify that the odometer requires that you state the mileage upon reading is NOT the actual mileage. transfer of ownership. Failure to complete or providing a false statement may result in Make llllllllllllllllllll fines and/or imprisonment. Model llllllllllllllllllll I, llllll (transferor’s name, Print) Body Type llllllllllllllllll state that the odometer now reads llll Vehicle Identification Number lllllll (no tenths) miles and to the best of my Year lllllllllllllllllllll knowledge that it reflects the actual mileage Lessee’s Name llllllllllllllll of the vehicle described below, unless one of Lessee’s Address llllllllllllll the following statements is checked. (Street) —(1) I hereby certify that to the best of my llllllllllllllllllllllll knowledge the odometer reading reflects the (City) (State) (ZIP Code) amount of mileage in excess of its mechan- Lessee’s Signature lllllllllllll ical limits. Date of Statement lllllllllllll —(2) I hereby certify that the odometer Lessor’s Name llllllllllllllll reading is NOT the actual mileage. WARN- Lessor’s Address llllllllllllll ING—ODOMETER DISCREPANCY. (Street) llllllllllllllllllllllll Make llllllllllllllllllll (City) (State) (ZIP Code) Model llllllllllllllllllll Date Disclosure Form Sent to Lessee llll Body Type llllllllllllllllll Date Completed Disclosure Form Received Vehicle Identification Number lllllll from Lessee llllllllllllllll Year lllllllllllllllllllll Lessor’s Signature lllllllllllll llllllllllllllllllllllll (Transferor’s Signature) APPENDIX E TO PART 580—POWER OF llllllllllllllllllllllll ATTORNEY DISCLOSURE FORM (Printed name) Transferor’s Address llllllllllll WARNING: This form may be used only (Street) when title is physically held by lienholder or llllllllllllllllllllllll has been lost. This form must be submitted (City) (State) (ZIP Code) to the state by the person exercising powers Date of Statement lllllllllllll of attorney. Failure to do so may result in llllllllllllllllllllllll fines and/or imprisonment. (Transferee’s Signature) VEHICLE DESCRIPTION llllllllllllllllllllllll Year llll Make lllllll (Printed name) Model lllllll Body Type Transferee’s Name lllllllllllll lllllll Transferee’s Address llllllllllll Vehicle Identification Number (Street) llllllllllll llllllllllllllllllllllll (City) (State) (ZIP Code) PART A. POWER OF ATTORNEY TO DISCLOSE MILEAGE APPENDIX D TO PART 580—DISCLOSURE Federal law (and State Law, if applicable) FORM FOR LEASED VEHICLE requires that you state the mileage upon transfer of ownership. Providing a false ODOMETER DISCLOSURE STATEMENT (LEASED statement may result in fines and/or impris- VEHICLE) onment. Federal law (and State law, if applicable) I, lllllllllllllll (transferor’s requires that the lessee disclose the mileage name, Print) appoint to the lessor in connection with the transfer lllllllllllllll (transferee’s of ownership. Failure to complete or making name, Print) as my attorney-in-fact, to dis- a false statement may result in fines and/or close the mileage, on the title for the vehicle

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described above, exactly as stated in my fol- mileage unless one of the following state- lowing disclosure. ments is checked. I state that the odometer now reads ll (1) I hereby certify that to the best of llllll (no tenths) miles and to the best my knowledge the odometer reading reflect of my knowledge that it reflects the actual the mileage in excess of its mechanical lim- mileage unless one of the following state- its. ments is checked. ll (2) I hereby certify that the odometer ll (1) I hereby certify that to the best of reading is NOT the actual mileage. WARN- my knowledge the odometer reading reflect ING—ODOMETER DISCREPANCY. the mileage in excess of its mechanical lim- llllllllllllllllllllllll its. (Transferor’s Signature) ll (2) I hereby certify that the odometer llllllllllllllllllllllll reading is NOT the actual mileage. WARN- (Printed Name) ING—ODOMETER DISCREPANCY. llllllllllllllllllllllll Transferor’s Address (Street) (Transferor’s Signature) llllllllllll llllllllllllllllllllllll (City) llllll (State) ll (ZIP Code) (Printed Name) lllll. Transferor’s Address (Street) Date of Statement llllllll llllllllllll PART C. CERTIFICATION (City) llllll (State) ll (ZIP Code) lllll. (To Be Completed When parts A and B Date of Statement llllllll Have Been Used) llllllllllllllllllllllll I, llllllll, (person exercising above (Transferee’s Signature) powers of attorney, Print), hereby certify llllllllllllllllllllllll that the mileage I have disclosed on the title (Printed Name) document is consistent with that provided to Transferee’s Name llllllllllll me in the above power of attorney. Further, Transferee’s Address (Street) upon examination of the title and any reas- llllllllllll signment documents for the vehicle described above, the mileage diclosure I have (City) llllll (State) ll (ZIP Code) made on the title pursuant to the power of lllll. attorney is greater than that previously PART B. POWER OF ATTORNEY TO REVIEW stated on the title and reassignment docu- TITLE DOCUMENTS AND ACKNOWLEDGE DIS- ments. This certification is not intended to CLOSURE. create, nor does it create any new or additional liability under Federal or State law. (Part B is invalid unless Part A has been llllllllllllllllllllllll completed.) (Signature) I, lllllllllllllll (transferee’s llllllllllllllllllllllll name, Print) appoint (Printed Name) lllllllllllllll (transferor’s name, Print) as my attorney-in-fact, to sign llllllllllllllllllllllll the mileage disclosure, on the title for the Address (Street) vehicle described above, only if the disclo- (City) llllllll (State) ll (ZIP Code) sure is exactly as the disclosure completed lllll below. Date llllllll llllllllllllllllllllllll (Transferee’s Signature) [54 FR 9816, Mar. 8, 1989, as amended at 54 FR llllllllllllllllllllllll 35889, Aug. 30, 1989] (Printed Name) Transferee’s Name llllllllllll PART 581—BUMPER STANDARD Transferee’s Address (Street) llllllllllll Sec. (City) llllll (State) ll (ZIP Code) 581.1 Scope. lllll. 581.2 Purpose. Federal law (and State Law, if applicable) 581.3 Application. requires that you state the mileage upon 581.4 Definitions. transfer of ownership. Providing a false 581.5 Requirements. statement may result in fines and/or impris- 581.6 Conditions. onment. 581.7 Test procedures. 581.8 Exemptions. I, llllllllll (transferor’s name, Print) state that the odometer now reads AUTHORITY: 49 U.S.C. 32502; 322, 30111, 30115, llllll (no tenths) miles and to the best 30117 and 30166; delegation of authority at 49 of my knowledge that it reflects the actual CFR 1.50.

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SOURCE: 42 FR 24059, May 12, 1977, unless cle shall be adjustable to within the otherwise noted. beam aim inspection limits specified in Table 1 of SAE Recommended Practice § 581.1 Scope. J599 AUG97, measured with the aiming This standard establishes require- method appropriate for that headlamp. ments for the impact resistance of ve- (2) The vehicle’s hood, trunk, and hicles in low speed front and rear colli- doors shall operate in the normal man- sions. ner. (3) The vehicle’s fuel and cooling sys- § 581.2 Purpose. tems shall have no leaks or constricted The purpose of this standard is to re- fluid passages and all sealing devices duce physical damage to the front and and caps shall operate in the normal rear ends of a passenger motor vehicle manner. from low speed collisions. (4) The vehicle’s exhaust system shall have no leaks or constrictions. § 581.3 Application. (5) The vehicle’s propulsion, suspen- This standard applies to passenger sion, steering, and braking systems motor vehicles other than multipur- shall remain in adjustment and shall pose passenger vehicles and low-speed operate in the normal manner. vehicles as defined in 49 CFR part (6) A pressure vessel used to absorb 571.3(b). impact energy in an exterior protection system by the accumulation of gas [63 FR 33217, June 17, 1998] pressure or hydraulic pressure shall § 581.4 Definitions. not suffer loss of gas or fluid accompanied by separation of fragments from All terms defined in 49 U.S.C. 32101 the vessel. are used as defined therein. (7) The vehicle shall not touch the Bumper face bar means any compo- test device, except on the impact ridge nent of the bumper system that con- shown in Figures 1 and 2, with a force tacts the impact ridge of the pendulum that exceeds 2000 pounds on the com- test device. bined surfaces of Planes A and B of the [42 FR 24059, May 12, 1977, as amended at 64 test device. FR 2862, Jan. 19, 1999] (8) The exterior surfaces shall have no separations of surface materials, § 581.5 Requirements. paint, polymeric coatings, or other (a) Each vehicle shall meet the dam- covering materials from the surface to age criteria of §§ 581.5(c)(1) through which they are bonded, and no perma- 581.5(c)(9) when impacted by a pen- nent deviations from their original dulum-type test device in accordance contours 30 minutes after completion with the procedures of § 581.7(b), under of each pendulum and barrier impact, the conditions of § 581.6, at an impact except where such damage occurs to speed of 1.5 m.p.h., and when impacted the bumper face bar and the compo- by a pendulum-type test device in ac- nents and associated fasteners that di- cordance with the procedures of rectly attach the bumper face bar to § 581.7(a) at 2.5 m.p.h., followed by an the chassis frame. impact into a fixed collision barrier (9) Except as provided in § 581.5(c)(8), that is perpendicular to the line of there shall be no breakage or release of travel of the vehicle, while traveling fasteners or joints. longitudinally forward, then longitu- [42 FR 24059, May 12, 1977, as amended at 42 dinally rearward, under the conditions FR 38909, Aug. 1, 1977; 43 FR 40231, Sept. 11, of § 581.6, at 2.5 m.p.h. 1978; 47 FR 21837, May 20, 1982; 64 FR 16360, (b) [Reserved] Apr. 5, 1999; 64 FR 49092, Sept. 10, 1999] (c) Protective criteria. (1) Each lamp or reflective device except license plate § 581.6 Conditions. lamps shall be free of cracks and shall The vehicle shall meet the require- comply with applicable visibility re- ments of § 581.5 under the following quirements of S5.3.1.1 of Standard No. conditions. 108 (§ 571.108 of this chapter). The aim (a) General. (1) The vehicle is at un- of each headlamp installed on the vehi- loaded vehicle weight.

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(2) The front wheels are in the necessary to the movement of the vehi- straight ahead position. cle are not operating during impact. (3) Tires are inflated to the vehicle (Authority: Sec. 102, Pub. L. 92–513, 86 Stat. manufacturer’s recommended pressure 947 (15 U.S.C. 1912); secs. 103, 119, Pub. L. 89– for the specified loading condition. 563, 80 Stat. 718 (15 U.S.C. 1392, 1407); delega- (4) Brakes are disengaged and the tion of authority at 49 CFR 1.50 and 501.7) transmission is in neutral. [42 FR 24059, May 12, 1977, as amended at 42 (5) Trailer hitches, license plate FR 38909, Aug. 1, 1977; 48 FR 43331, Sept. 23, brackets, and headlamp washers are re- 1983] moved from the vehicle. Running § 581.7 Test procedures. lights, fog lamps, and equipment mounted on the bumper face bar are re- (a) Longitudinal impact test procedures. (1) Impact the vehicle’s front surface moved from the vehicle if they are op- and its rear surface two times each tional equipment. with the impact line at any height (b) Pendulum test conditions. The fol- from 16 to 20 inches, inclusive, in ac- lowing conditions apply to the pen- cordance with the following procedure. dulum test procedures of § 581.7 (a) and (2) For impacts at a height of 20 (b). inches, place the test device shown in (1) The test device consists of a block Figure 1 so that Plane A is vertical and with one side contoured as specified in the impact line is horizontal at the Figure 1 and Figure 2 with the impact specified height. ridge made of A1S1 4130 steel hardened (3) For impacts at a height between to 34 Rockwell ‘‘C.’’ The impact ridge 20 inches and 16 inches, place the test and the surfaces in Planes A and B of device shown in Figure 2 so that Plane the test device are finished with a sur- A is vertical and the impact line is hor- face roughness of 32 as specified by izontal at a height within the range. SAE Recommended Practice J449A, (4) For each impact, position the test June 1963. From the point of release of device so that the impact line is at the device until the onset of rebound, least 2 inches apart in vertical direc- the pendulum suspension system holds tion from its position in any prior im- Plane A vertical, with the arc de- pact, unless the midpoint of the impact line with respect to the vehicle is to be scribed by any point on the impact line more than 12 inches apart laterally lying in a vertical plane (for § 581.7(a), from its position in any prior impact. longitudinal; for § 581.7(b), at an angle (5) For each impact, align the vehicle ° of 30 to a vertical longitudinal plane) so that it touches, but does not move, and having a constant radius of not the test device, with the vehicle’s lon- less than 11 feet. gitudinal centerline perpendicular to (2) With Plane A vertical, the impact the plane that includes Plane A of the line shown in Figures 1 and 2 is hori- test device and with the test device in- zontal at the same height as the test board of the vehicle corner test posi- device’s center of percussion. tions specified in § 581.7(b). (3) The effective impacting mass of (6) Move the test device away from the test device is equal to the mass of the vehicle, then release it to impact the tested vehicle. the vehicle. (4) When impacted by the test device, (7) Perform the impacts at intervals the vehicle is at rest on a level rigid of not less than 30 minutes. concrete surface. (b) Corner impact test procedure. (1) Impact a front corner and a rear corner (c) Barrier test condition. At the onset of the vehicle once each with the im- of a barrier impact, the vehicle’s en- pact line at a height of 20 inches and gine is operating at idling speed in ac- impact the other front corner and the cordance with the manufacturer’s spec- other rear corner once each with the ifications. Vehicle systems that are not impact line at any height from 16 to 20 inches, inclusive, in accordance with the following procedure. (2) For an impact at a height of 20 inches, place the test device shown in

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Figure 1 so that Plane A is vertical and the impact line is horizontal at the specified height. (3) For an impact at a height between 16 inches and 20 inches, place the test device shown in Figure 2 so that Plane A is vertical and the impact line is horizontal at a height within the range. (4) Align the vehicle so that a vehicle corner touches, but does not move, the lateral center of the test device with Plane A of the test device forming an angle of 60 degrees with a vertical longitudinal plane. (5) Move the test device away from the vehicle, then release it to impact the vehicle. (6) Perform the impact at intervals of not less than 30 minutes.

[42 FR 24059, May 12, 1977, as amended at 42 FR 38909, Aug. 1, 1977]

§ 581.8 Exemptions. support that the vehicle has been manufactured for a special use and that A manufacturer of a passenger motor vehicle to which a bumper standard compliance with the bumper standard issued under this part applies may would interfere unreasonably with the apply to the Administrator: special use of the vehicle. (a) For rulemaking as provided in (d) An application filed for exemption part 552 of this chapter to exempt a under part 555 of this chapter shall be class of passenger motor vehicles from filed in accordance with the require- all or any part of a bumper standard ments of that part. issued under this part on the basis that (e) The NHTSA shall process exemp- the class of vehicles has been manufac- tion applications in accordance with tured for a special use and that compli- § 555.7 of this chapter. An exemption ance with the standard would unrea- granted a manufacturer on the basis of sonably interfere with the special use paragraph (a) of this section is indefi- of the class of vehicle; or nite in length but expires when the (b) To exempt a make or model of manufacturer ceases production of the passenger motor vehicle on the basis exempted vehicle, or when the exempt- set forth in paragraph (a) of this sec- ed vehicle as produced has been so tion or part 555 of this chapter. modified from its original design that (c) An application filed for exemption the Administrator decides that it is no on the basis of paragraph (a) of this longer manufactured for the special use section shall contain the information upon which the application for its ex- specified in § 555.5 of this chapter, and emption was based. The Administrator set forth data, views, and arguments in may terminate an exemption in the

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manner set forth in §§ 555.8(c) and section 2 of the Cost Savings Act are 555.8(f) of this chapter, and for the rea- used as so defined. sons set forth in § 555.8(d) of this chap- (b) Definitions used in this part. (1) ter. An exempted vehicle shall be la- Automobile dealer means any person beled in accordance with § 555.9 of this who engages in the retail sale of new chapter. Information relating to an ap- automobiles as a trade or business. plication shall be available to the pub- (2) Collision insurance means insur- lic in the manner specified in § 555.10 of ance that reimburses the insured party this chapter. for physical damage to his property re- [64 FR 2862, Jan. 19, 1999] sulting from automobile accidents. (3) Insurance cost means the insur- PART 582—INSURANCE COST ance premium rate, as expressed in ap- INFORMATION REGULATION propriate indices, for collision and medical payment, including personal Sec. injury protection in no-fault states. 582.1 Scope. (4) Medical payment insurance means 582.2 Purpose. 582.3 Definitions. insurance that reimburses the insured 582.4 Requirements. party for medical expenses sustained 582.5 Information form. by himself, his family, and his passengers in automobile accidents. AUTHORITY: 49 U.S.C. 32303; delegation of authority at 49 CFR 1.50(f). [40 FR 4918, Feb. 3, 1975, as amended at 58 FR SOURCE: 40 FR 4918, Feb. 3, 1975, unless oth- 12550, Mar. 5, 1993] erwise noted. § 582.4 Requirements. § 582.1 Scope. (a) Each automobile dealer shall This part requires automobile dealers make available to prospective pur- to make available to prospective purchasers, without charge, the informa- chasers information reflecting dif- tion specified in § 582.5, at each location ferences in insurance costs for different where he or she offers new vehicles for makes and models of passenger motor sale. vehicles based upon differences in damage susceptibility and crashworthiness, (b) Each automobile dealer shall pursuant to section 201(e) of the Motor maintain a sufficient quantity of book- Vehicle Information and Cost Savings lets containing the information speci- Act (15 U.S.C. 1941(e)), herein ‘‘the Cost fied in § 582.5 to assure that they are Savings Act.’’ available for retention by prospective purchasers. § 582.2 Purpose. (c) The booklets shall be revised to The purpose of this part is to enable reflect the updated data published by prospective purchasers to compare dif- NHTSA each year within 30 days of ferences in auto insurance costs for the NHTSA’s publication of the data in the various makes and models of passenger FEDERAL REGISTER. motor vehicles, based upon differences in damage susceptibility and crash- [58 FR 12550, Mar. 5, 1993] worthiness, and to realize any savings § 582.5 Information form. in collision insurance resulting from differences in damageability, and any The information made available pur- savings in medical payment insurance suant to § 582.4 shall be presented in resulting from differences in crash- writing in the English language and in worthiness. not less than 10-point type. It shall be presented in the format set forth § 582.3 Definitions. below, and shall include the complete (a) Statutory definitions. All terms explanatory text and the updated data used in this part which are defined in published annually by NHTSA.

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MARCH [YEAR TO BE INSERTED] PLEASE NOTE: In setting insurance premiums, insurance companies mainly rely on COMPARISON OF DIFFERENCES IN IN- factors that are not directly related to the SURANCE COSTS FOR PASSENGER vehicle itself (except for its value). Rather, CARS, STATION WAGONS/PASSENGER they mainly consider driver characteristics VANS, PICKUPS AND UTILITY VEHI- (such as age, gender, marital status, and CLES ON THE BASIS OF DAMAGE SUS- driving record), the geographic area in which CEPTIBILITY the vehicle is driven, how many miles are traveled, and how the vehicle is used. There- The National Highway Traffic Safety Ad- fore, to obtain complete information about ministration (NHTSA) has provided the in- insurance premiums, you should contact information in this booklet in compliance with surance companies or their agents directly. Federal law as an aid to consumers consid- Insurance companies do not generally ad- ering the purchase of a new vehicle. The just their premiums on the basis of data re- booklet compares differences in insurance flecting the crashworthiness of different ve- costs for different makes and models of pas- hicles. However, some companies adjust senger cars, station wagons/passenger vans, their premiums for personal injury protec- pickups, and utility vehicles on the basis of tion and medical payments coverage if the damage susceptibility. However, it does not insured vehicle has features that are likely indicate a vehicle’s relative safety. to improve its crashworthiness, such as air The following table contains the best bags and automatic seat belts. available information regarding the effect of Test data relating to vehicle crash- damage susceptibility on insurance pre- worthiness and rollover ratings are available miums. It was taken from data compiled by from NHTSA’s New Car Assessment Program the Highway Loss Data Institute (HLDI) in (NCAP). NCAP test results demonstrate rel- its December [YEAR TO BE INSERTED] In- ative frontal and side crash protection in surance Collision Report, and reflects the col- new vehicles, and relative rollover resist- lision loss experience of passenger cars, util- ance. Information on vehicles that NHTSA ity vehicles, light trucks, and vans sold in has tested in the NCAP program can be ob- the United States in terms of the average tained from http://www.safercar.gov or by loss payment per insured vehicle year for calling NHTSA’s toll-free Vehicle Safety [THREE APPROPRIATE YEARS TO BE IN- Hotline at 1–888–327–4236 (TTY: 1–800–424– SERTED]. NHTSA has not verified the data 9153). in this table. [Insert Table To Be Published Each March The table represents vehicles’ collision loss by the National Highway Traffic Safety Ad- experience in relative terms, with 100 rep- ministration] resenting the average for all passenger vehicles. Thus, a rating of 122 reflects a collision If you would like more details about the loss experience that is 22 percent higher information in this table, or wish to obtain (worse) than average, while a rating of 96 re- the complete Insurance Collision Report, flects a collision loss experience that is 4 please contact HLDI directly, at: Highway percent lower (better) than average. The Loss Data Institute, 1005 North Glebe Road, table is not relevant for models that have Arlington, VA 22201, Tel: (703) 247–1600. been substantially redesigned for [YEAR TO [60 FR 15512, Mar. 24, 1995, as amended at 70 BE INSERTED], and it does not include in- FR 35557, June 21, 2005] formation about models without enough claim experience. Although many insurance companies use PART 583—AUTOMOBILE PARTS the HLDI information to adjust the ‘‘base CONTENT LABELING rate’’ for the collision portion of their insurance premiums, the amount of any such ad- Sec. justment is usually small. It is unlikely that 583.1 Scope. your total premium will vary more than ten 583.2 Purpose. percent depending upon the collision loss ex- 583.3 Applicability. perience of a particular vehicle. 583.4 Definitions. If you do not purchase collision coverage 583.5 Label requirements. or your insurance company does not use the 583.6 Procedure for determining U.S./Cana- HLDI information, your premium will not dian parts content. vary at all in relation to these rankings. 583.7 Procedure for determining major for- In addition, different insurance companies eign sources of passenger motor vehicle often charge different premiums for the equipment. same driver and vehicle. Therefore, you 583.8 Procedure for determining country of should contact insurance companies or their origin for engines and transmissions (for agents directly to determine the actual pre- purposes of determining the information mium that you will be charged for insuring specified by §§ 583.5(a)(4) and 583.5(a)(5) a particular vehicle. only).

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583.9 Attachment and maintenance of label. (1) Administrator means the Adminis- 583.10 Outside suppliers of passenger motor trator of the National Highway Traffic vehicle equipment. Safety Administration. 583.11 Allied suppliers of passenger motor (2) Allied supplier means a supplier of vehicle equipment. passenger motor vehicle equipment 583.12 Suppliers of engines and trans- that is wholly owned by the manufac- missions. turer, or in the case of a joint venture 583.13 Supplier certification and certificates. vehicle assembly arrangement, any 583.14 Currency conversion rate. supplier that is wholly owned by one 583.15 Joint ownership. member of the joint venture arrange- 583.16 Maintenance of records. ment. A supplier is considered to be 583.17 Reporting. wholly owned by the manufacturer if a common parent company owns both AUTHORITY: 49 U.S.C. 32304, 49 CFR 1.50, the manufacturer and the supplier, or 501.2(f). if a group of related companies own SOURCE: 59 FR 37330, July 21, 1994, unless both the manufacturer and the supplier otherwise noted. and no outside interests (interests other than the manufacturer itself or § 583.1 Scope. companies which own the manufac- This part establishes requirements turer) own the supplier. for the disclosure of information relat- (3) Carline means a name denoting a ing to the countries of origin of the group of vehicles which has a degree of equipment of new passenger motor ve- commonality in construction (e.g., hicles. body, chassis). Carline does not consider any level of decor or opulence and § 583.2 Purpose. is not generally distinguished by such The purpose of this part is to aid po- characteristics as roof line, number of tential purchasers in the selection of doors, seats, or windows, except for new passenger motor vehicles by pro- light duty trucks. Carline is not distin- viding them with information about guished by country of manufacture, the value of the U.S./Canadian and for- final assembly point, engine type, or eign parts content of each vehicle, the driveline. Light duty trucks are consid- countries of origin of the engine and ered to be different carlines than pas- transmission, and the site of the vehi- senger cars. A carline includes all cle’s final assembly. motor vehicles of a given nameplate. Special purpose vehicles, vans, and § 583.3 Applicability. pickup trucks are classified as separate carlines. This part applies to manufacturers of (4) Final assembly means all oper- new passenger motor vehicles manufac- ations involved in the assembly of a ve- tured or imported for sale in the hicle, performed at the final assembly United States, suppliers of passenger point including but not limited to as- motor vehicle equipment, and dealers sembly of body panels, painting, final of new passenger motor vehicles. chassis assembly, trim installation, except engine and transmission fabrica- § 583.4 Definitions. tion and assembly and the fabrication (a) Statutory terms. The terms allied of motor vehicle equipment compo- supplier, carline, country of origin, deal- nents produced at the same final as- er, foreign content, manufacturer, new sembly point using forming processes passenger motor vehicle, of U.S./Canadian such as stamping, machining or mold- origin, outside supplier, passenger motor ing processes. vehicle, passenger motor vehicle equip- (5) Final assembly point means the ment, percentage (by value), State, and plant, factory, or other place, which is value added in the United States and a building or series of buildings in close Canada, defined in 49 U.S.C. 32304(a), proximity, where a new passenger are used in accordance with their stat- motor vehicle is produced or assembled utory meanings except as further de- from passenger motor vehicle equip- fined in paragraph (b) of this section. ment and from which such vehicle is (b) Other terms and further definitions. delivered to a dealer or importer in

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such a condition that all component for determining U.S./Canadian Parts parts necessary to the mechanical op- Content is set forth in § 583.6); eration of such automobile are in- (2) Major sources of foreign parts concluded with such vehicle whether or tent. The names of any countries other not such component parts are perma- than the United States and Canada nently installed in or on such vehicle. which contributed at least 15 percent of For multi-stage vehicles, the final as- the average overall percentage, by sembly point is the location where the value, of the passenger motor vehicle first stage vehicle is assembled. equipment installed on vehicles within (6) Outside supplier means: the carline of which the vehicle is part, (i) A non-allied supplier of passenger and the percentages attributable to motor vehicle equipment to a manufac- each such country (if there are more turer’s allied supplier and than two such countries, the manufac- (ii) Anyone other than an allied sup- turer need only provide the informa- plier who ships directly to the manu- tion for the two countries with the facturer’s final assembly point. highest percentages; the procedure for (7) Passenger motor vehicle equipment determining major foreign sources of means any system, subassembly, or passenger motor vehicle equipment is component received at the final assem- set forth in § 583.7); bly point for installation on, or attach- (3) Final assembly point. The city, ment to, such vehicle at the time of its state (in the case of vehicles assembled initial shipment by the manufacturer in the United States), and country of to a dealer for sale to an ultimate pur- the final assembly point of the pas- chaser. Passenger motor vehicle equip- senger motor vehicle; ment also includes any system, sub- (4) Country of origin for the engine. assembly, or component received by an The country of origin of the passenger allied supplier from an outside supplier motor vehicle’s engine (the procedure for incorporation into equipment sup- for making this country of origin de- plied by the allied supplier to the man- termination is set forth in § 583.8); ufacturer with which it is allied. (5) Country of origin for the trans- (8) Person means an individual, part- mission. The country of origin of the nership, corporation, business trust, or passenger motor vehicle’s transmission any organized group of persons. (the procedure for making this country (9) Ultimate purchaser means with re- of origin determination is set forth in spect to any new passenger motor vehi- § 583.8); cle, the first person, other than a dealer purchasing in its capacity as a deal- (6) Explanatory note. A statement er, who in good faith purchases such which explains that parts content does new passenger motor vehicle for pur- not include final assembly, distribu- poses other than resale. tion, or other non-parts costs. (b) Except as provided in paragraphs [59 FR 37330, July 21, 1994, as amended at 64 (e), (f) and (g) of this section, the label FR 40780, July 28, 1999] required under paragraph (a) of this section shall read as follows, with the § 583.5 Label requirements. specified information inserted in the (a) Except as provided in paragraphs places indicated (except that if there (f) and (g) of this section, each manu- are no major sources of foreign parts facturer of new passenger motor vehi- content, omit the section ‘‘Major cles shall cause to be affixed to each Sources of Foreign Parts Content’’): passenger motor vehicle manufactured on or after October 1, 1994, a label that PARTS CONTENT INFORMATION provides the following information: For vehicles in this carline: (1) U.S./Canadian parts content. The U.S./Canadian Parts Content: (insert num- overall percentage, by value, of the ber) % passenger motor vehicle equipment Major Sources of Foreign Parts Content: that was installed on vehicles within (Name of country with highest percent- the carline of which the vehicle is part, age): (insert number) % and that originated in the United (Name of country with second highest per- States and/or Canada (the procedure centage): (insert number) %

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NOTE: Parts content does not include final with the specified information inserted assembly, distribution, or other non-parts in the places indicated: costs. For this vehicle: This carline is assembled in the U.S. and/or Canada, and in [insert name of each other Final Assembly Point: (city, state, country) country]. The U.S./Canadian parts content Country of Origin: for the portion of the carline assembled in Engine: (name of country) [insert name of country, treating the U.S. Transmission: (name of country) and Canada together, i.e., U.S./Canada] is (c) The percentages required to be [ll]%. provided under paragraph (a) of this (2) A manufacturer selecting this op- section may be rounded by the manu- tion shall divide the carline for pur- facturer to the nearest 5 percent. poses of this additional information (d) The label required by paragraph into the following portions: the portion (a) of this section shall: assembled in the U.S./Canada and the (1) Be placed in a prominent location portions assembled in each other coun- on each vehicle where it can be read try. from the exterior of the vehicle with the doors closed, and may be either (3) A manufacturer selecting this op- part of the Monroney price information tion for a particular carline shall pro- label required by 15 U.S.C. 1232, part of vide the specified additional informa- the fuel economy label required by 15 tion on the labels of all vehicles within U.S.C. 2006, or a separate label. A sepa- the carline, providing the U.S./Cana- rate label may include other consumer dian content that corresponds to the information. U.S./Canadian content of the manufac- (2)(i) Be printed in letters that have a turing location shown as the final as- color that contrasts with the back- sembly point (with all U.S. and Cana- ground of the label; and dian locations considered as a single (ii) Have the information required by assembly point) on the label. paragraphs (a)(1) through (5) of this (f) A final stage manufacturer of ve- section vertically centered on the label hicles assembled in multiple stages in boldface capital letters and numer- need not provide the U.S./Canadian als of 12 point size or larger; and Parts Content or Major Foreign (iii) Have the information required Sources items of the label otherwise re- by paragraph (a)(6) of this section in quired under paragraphs (a)(1) and (2) type that is two points smaller than of this section. the information required by paragraphs (g) A manufacturer that produces a (a)(1) through (5) of this section. total of fewer than 1000 passenger (3) In the case of a label that is in- motor vehicles in a model year need cluded as part of the Monroney price not provide the U.S./Canadian Parts information label or fuel economy Content or Major Foreign Sources label, or a separate label that includes items of the label otherwise required other consumer information, be sepa- under paragraphs (a)(1) and (2) of this rated from all other information on section. those labels by a solid line that is a (h) Requests for information and certifi- minimum of three points in width. cations relevant to information on the (4) The information required by para- label. (1) Each manufacturer and allied graphs (a)(1) through (6) of this section supplier shall request its suppliers to shall be immediately preceded by the provide directly to it the information words, ‘‘PARTS CONTENT INFORMA- and certifications specified by this part TION,’’ in boldface, capital letters that which are necessary for the manufac- are 12 point size or larger. turer/allied supplier to carry out its re- (e) Carlines assembled in the U.S./Can- sponsibilities under this part. The in- ada and in one or more other countries. formation shall be requested suffi- (1) If a carline is assembled in the U.S. ciently early to enable the manufac- and/or Canada, and in one or more turer to meet the timing requirements other countries, the manufacturer specified by this part. may, at its option, add the following (2) For requests made by manufactur- additional information at the end of ers or allied suppliers to outside sup- the explanatory note specified in (a)(6), pliers:

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(i) The requester shall indicate that § 583.6 Procedure for determining U.S./ the request is being made pursuant to Canadian parts content. 49 CFR part 583, and that the regula- (a) Each manufacturer, except as tion is administered by the National specified in § 583.5 (f) and (g), shall de- Highway Traffic Safety Administra- termine the percentage U.S./Canadian tion; Parts Content for each carline on a (ii) The requester shall indicate that model year basis. This determination 49 CFR part 583 requires outside sup- shall be made before the beginning of pliers to provide specified information each model year. Items of equipment upon the request of a manufacturer or produced at the final assembly point allied supplier to which it supplies pas- (but not as part of final assembly) are senger motor vehicle equipment and treated in the same manner as if they that, to the best of the requester’s were supplied by an allied supplier. All knowledge, the outside supplier is re- value otherwise added at the final as- quired to provide the requested infor- sembly point and beyond, including all final assembly costs, is excluded from mation; the calculation of U.S./Canadian parts (iii) If any information other than content. The country of origin of nuts, that required by 49 CFR part 583 is re- bolts, clips, screws, pins, braces, gaso- quested, the requester shall indicate line, oil, blackout, phosphate rinse, which information is required by 49 windshield washer fluid, fasteners, tire CFR part 583 and which is not; assembly fluid, rivets, adhesives, grom- (iv) The requester shall indicate that mets, and wheel weights, used in final 49 CFR part 583 specifies that while in- assembly of the vehicle, is considered formation may be requested by an ear- to be the country where final assembly lier date, the outside supplier is not re- of the vehicle takes place. quired to provide the information until (b) Determining the value of items of the date specified by the requester or equipment. (1) For items of equipment the date 45 days after receipt of the re- received at the final assembly point, quest, whichever is later. the value is the price paid by the man- (i) Carlines assembled in more than one ufacturer for the equipment as deliv- assembly plant. (1) If a carline is assem- ered to the final assembly point. bled in more than one assembly plant, (2) For items of equipment produced the manufacturer may, at its option, at the final assembly point (but not as add the following additional informa- part of final assembly), the value is the tion at the end of the explanatory note fair market price that a manufacturer specified in paragraph (a)(6) of this sec- of similar size and location would pay tion, with the specified information in- a supplier for such equipment. serted in the places indicated: (3) For items of equipment received at the factory or plant of an allied sup- Two or more assembly plants produce the plier, the value is the price paid by the vehicles in this carline. The vehicles assem- allied supplier for the equipment as de- bled at the plant where this vehicle was as- livered to its factory or plant. sembled have a U.S./Canadian parts content (c) Determining the U.S./Canadian per- of [l]%. centage of the value of items of equip- (2) A manufacturer selecting this opment. (1) Equipment supplied by an out- tion shall divide the carline for pur- side supplier to a manufacturer or al- poses of this additional information lied supplier is considered: into portions representing each assem- (i) 100 percent U.S./Canadian, if 70 bly plant. percent or more of its value is added in (3) A manufacturer selecting this op- the United States and/or Canada; and (ii) To otherwise have the actual per- tion for a particular carline shall pro- cent of its value added in the United vide the specified additional informa- States and/or Canada, rounded to the tion on the labels of all vehicles within nearest five percent. the carline. (2) The extent to which an item of [59 FR 37330, July 21, 1994, as amended at 60 equipment supplied by an allied sup- FR 14229, Mar. 16, 1995; 60 FR 47893, Sept. 15, plier is considered U.S./Canadian is de- 1995; 64 FR 40780, July 28, 1999] termined by dividing the value added

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in the United States and/or Canada by by the supplier, back to and including the total value of the equipment. The the two closest stages each of which resulting number is multiplied by 100 represented a substantial trans- to determine the percentage U.S./Cana- formation into a new and different dian content of the equipment. product with a different name, char- (3) In determining the value added in acter and use. the United States and/or Canada of (ii) The value of materials used to equipment supplied by an allied sup- produce a product in the earliest of plier, any equipment that is delivered these two substantial transformation to the allied supplier by an outside sup- stages shall be treated as value added plier and is incorporated into the allied in the country in which that stage oc- supplier’s equipment, is considered: curred. (i) 100 percent U.S./Canadian, if at (B) For any material used by the sup- least 70 percent of its value is added in plier which was imported into the the United States and/or Canada; and United States or Canada from a third (ii) To otherwise have the actual per- country, the value added in the United cent of its value added in the United States and/or Canada is presumed to be States and/or Canada, rounded to the zero. However, if documentation is nearest five percent. available to the supplier which identi- (4)(i) Value added in the United fies value added in the United States States and/or Canada by an allied sup- and/or Canada for that material (deter- plier or outside supplier includes— mined according to the principles set (A) The value added in the U.S. and/ forth in (A), such value added in the or Canada for materials used by the United States and/or Canada is count- supplier, determined according to ed. (4)(ii) for outside suppliers and (4)(iii) (iii) Allied suppliers of passenger for allied suppliers, plus, motor vehicle equipment shall deter- (B) For passenger motor vehicle mine the value that is added in the equipment assembled or produced in U.S. and/or Canada for materials in the the U.S. or Canada, the value of the difference between the price paid by equipment in accordance with (c)(3). the manufacturer or allied supplier for (iv) For the minor items listed in the the equipment, as delivered to its fac- § 583.4 definition of ‘‘passenger motor tory or plant, and the total value of vehicle equipment’’ as being excluded the materials in the equipment. from that term, outside and allied sup- (ii) Outside suppliers of passenger pliers may, to the extent that they in- motor vehicle equipment will deter- corporate such items into their equip- mine the value added in the U.S. and/or ment, treat the cost of the minor items Canada for materials in the equipment as value added in the country of assem- as specified in paragraphs (A) and (B). bly. (A)(1) For any material used by the (v) For passenger motor vehicle supplier which was produced or assem- equipment which is imported into the bled in the U.S. or Canada, the supplier territorial boundaries of the United will subtract from the total value of States or Canada from a third country, the material any value that was not the value added in the United States added in the U.S. and/or Canada. The and/or Canada is presumed to be zero. determination of the value that was However, if documentation is available not added in the U.S. and/or Canada to the supplier which identifies value shall be a good faith estimate based on added in the United States and/or Can- information that is available to the ada for that equipment (determined ac- supplier, e.g., information in its cording to the principles set forth in records, information it can obtain from the rest of (c)(4)), such value added in its suppliers, the supplier’s knowledge the United States and/or Canada is of manufacturing processes, etc. counted. (2) The supplier shall consider the (vi) The payment of duty does not re- amount of value added and the location sult in value added in the United in which that value was added— States and/or Canada. (i) At each earlier stage, counting (5) Except as provided in paragraph from the time of receipt of a material (c)(6) of this section, if a manufacturer

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or allied supplier does not receive in- (1) Adding the total value of all of formation from one or more of its sup- the equipment (regardless of country of pliers concerning the U.S./Canadian origin) expected to be installed in that content of particular equipment, the carline during the next model year; U.S./Canadian content of that equip- (2) Dividing the value of the U.S./Ca- ment is considered zero. This provision nadian content of such equipment by does not affect the obligation of manu- the amount calculated in paragraph facturers and allied suppliers to re- (d)(1) of this section, and quest this information from their sup- (3) Multiplying the resulting number pliers or the obligation of the suppliers by 100. to provide the information. (e) Alternative calculation procedures. (6) If a manufacturer or allied sup- (1) A manufacturer may submit a peti- plier requests information in a timely tion to use calculation procedures manner from one or more of its outside based on representative or statistical suppliers concerning the U.S./Canadian sampling, as an alternative to the cal- content of particular equipment, but culation procedures specified in this does not receive that information de- section to determine U.S./Canadian spite a good faith effort to obtain it, parts content and major sources of for- the manufacturer or allied supplier eign parts content. may make its own good faith value (2) Each petition must— added determinations, subject to the (i) Be submitted at least 120 days be- following provisions: fore the manufacturer would use the (i) The manufacturer or allied sup- alternative procedure; plier shall make the same value added (ii) Be written in the English lan- determinations as would be made by guage; the outside supplier; (iii) Be submitted in three copies to: (ii) The manufacturer or allied sup- Administrator, National Highway Traf- plier shall consider the amount of fic Safety Administration, 400 Seventh value added and the location in which Street SW., Washington, DC 20590; the value was added for all of the (iv) State the full name and address stages that the outside supplier would of the manufacturer; be required to consider; (v) Set forth in full the data, views (iii) The manufacturer or allied sup- and arguments of the manufacturer plier may determine that particular that would support granting the peti- value is added in the United States tion, including— and/or Canada only if it has a good (A) the alternative procedure, and faith basis to make that determina- (B) analysis demonstrating that the tion; alternative procedure will produce sub- (iv) A manufacturer and its allied stantially equivalent results to the suppliers may, on a combined basis, procedure set forth in this section; make value added determinations for (vi) Specify and segregate any part of no more than 10 percent, by value, of a the information and data submitted in carline’s total parts content from out- the petition that is requested to be side suppliers; withheld from public disclosure in ac- (v) Value added determinations made cordance with part 512 of this chapter by a manufacturer or allied supplier (the basic alternative procedure and under this paragraph shall have the basic supporting analysis must be pro- same effect as if they were made by the vided as public information, but con- outside supplier; fidential business information may (vi) This provision does not affect the also be used in support of the petition). obligation of outside suppliers to pro- (3) The NHTSA publishes in the FED- vide the requested information. ERAL REGISTER, affording opportunity (d) Determination of the U.S./Canadian for comment, a notice of each petition percentage of the total value of a carline’s containing the information required by passenger motor vehicle equipment. The this part. A copy of the petition is percentage of the value of a carline’s placed in the public docket. However, if passenger motor vehicle equipment NHTSA finds that a petition does not that is U.S./Canadian is determined contain the information required by by— this part, it so informs the petitioner,

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pointing out the areas of insufficiency (b) Determining the value of items of and stating that the petition will not equipment. The value of each item of receive further consideration until the equipment is determined in the manner required information is submitted. specified in § 583.6(b). (4) If the Administrator determines (c) Determining the country of origin of that the petition does not contain ade- items of equipment. (1) Except as pro- quate justification, he or she denies it vided in (c)(2), the country of origin of and notifies the petitioner in writing, each item is the country which con- explaining the reasons for the denial. A tributes the greatest amount of value copy of the letter is placed in the pub- added to that item (treating the U.S. lic docket. and Canada together). (5) If the Administrator determines (2) Instead of making country of ori- that the petition contains adequate gin determinations in the manner spec- justification, he or she grants it, and ified in (c)(1), a manufacturer may, at notifies the petitioner in writing. A its option, use any other methodology copy of the letter is placed in the pub- that is used for customs purposes (U.S. lic docket. or foreign), so long as a consistent (6) The Administrator may attach methodology is employed for all items such conditions as he or she deems ap- of equipment, and the U.S. and Canada propriate to a grant of a petition, are treated together. which the manufacturer must follow in (d) Determination of the percentage of order to use the alternative procedure. the total value of a carline’s passenger motor vehicle equipment which is attrib- [60 FR 47894, Sept. 15, 1995; as amended at 61 utable to individual countries other than FR 46390, Sept. 3, 1996; 62 FR 33761, June 23, 1997; 64 FR 40780, July 28, 1999] the U.S. and Canada. The percentage of the value of a carline’s passenger § 583.7 Procedure for determining motor vehicle equipment that is attrib- major foreign sources of passenger utable to each country other than the motor vehicle equipment. U.S. and Canada is determined on a (a) Each manufacturer, except as model year basis by— specified in § 583.5(f) and (g), shall de- (1) Adding up the total value of all of termine the countries, if any, which the passenger motor vehicle equipment are major foreign sources of passenger (regardless of country of origin) ex- motor vehicle equipment and the per- pected to be installed in that carline centages attributable to each such during the next model year; country for each carline on a model (2) Adding up the value of such equip- year basis, before the beginning of each ment which originated in each country model year. The manufacturer need other than the U.S. or Canada; only determine this information for (3) Dividing the amount calculated in the two such countries with the high- paragraph (d)(2) of this section for each est percentages. Items of equipment country by the amount calculated in produced at the final assembly point paragraph (d)(1) of this section, and (but not as part of final assembly) are multiplying each result by 100. treated in the same manner as if they (e) A country is a major foreign were supplied by an allied supplier. In source of passenger motor vehicle making determinations under this sec- equipment for a carline only if the tion, the U.S. and Canada are treated country is one other than the U.S. or together as if they were one (non-for- Canada and if 15 or more percent of the eign) country. The country of origin of total value of the carline’s passenger nuts, bolts, clips, screws, pins, braces, motor vehicle equipment is attrib- gasoline, oil, blackout, phosphate utable to the country. rinse, windshield washer fluid, fas- (f) In determining the percentage of teners, tire assembly fluid, rivets, ad- the total value of a carline’s passenger hesives, grommets, and wheel weights, motor vehicle equipment which is at- used in final assembly of the vehicle, is tributable to individual countries other considered to be the country where than the U.S. and Canada, no value final assembly of the vehicle takes which is counted as U.S./Canadian place. parts content is also counted as being

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value which originated in a country utable to individual countries. The value other than the U.S. or Canada. of an engine/transmission that is attributable to each country is deter- [59 FR 37330, July 21, 1994, as amended at 60 FR 47895, Sept. 15, 1995; 64 FR 40781, July 28, mined by adding the total value of all 1999] of the components installed in that engine/transmission which originated in § 583.8 Procedure for determining that country. For the country where country of origin for engines and final assembly of the engine/trans- transmissions (for purposes of de- mission takes place, the assembly and termining the information specified labor costs incurred for such final as- by §§ 583.5(a)(4) and 583.5(a)(5) only). sembly are also added. (e) The country of origin of each en- (a) Each supplier of an engine or gine and the country of origin of each transmission shall determine the coun- transmission is the country which con- try of origin once a year for each en- tributes the greatest amount of value gine and transmission. The origin of added to that item of equipment (the engines shall be calculated for engines U.S. and Canada are treated sepa- of the same displacement produced at the same plant. The origin for trans- rately). missions shall be calculated for trans- [59 FR 37330, July 21, 1994, as amended at 60 missions of the same type produced at FR 47895, Sept. 15, 1995; 64 FR 40781, July 28, the same plant. Transmissions are of 1999] the same type if they have the same at- tributes including: Drive line applica- § 583.9 Attachment and maintenance tion, number of forward gears, con- of label. trols, and layout. The U.S. and Canada (a) Attachment of the label. (1) Except are treated separately in making such as provided in (a)(2), each manufac- determination. turer shall cause the label required by (b) The value of an engine or trans- § 583.5 to be affixed to each new pas- mission is determined by first adding senger motor vehicle before the vehicle the prices paid by the manufacturer of is delivered to a dealer. the engine/transmission for each com- (2) For vehicles which are delivered ponent comprising the engine/trans- to a dealer prior to the introduction mission, as delivered to the assembly date for the model in question, each plant of the engine/transmission, and manufacturer shall cause the label re- the fair market value of each indi- quired by § 583.5 to be affixed to the ve- vidual part produced at the plant. The hicle prior to such introduction date. assembly and labor costs incurred for (b) Maintenance of the label. (1) Each the final assembly of the engine/trans- dealer shall cause to be maintained mission are then added to determine each label on the new passenger motor the value of the engine or trans- vehicles it receives until after such mission. time as a vehicle has been sold to a (c) Determining the country of origin of components. (1) Except as provided in consumer for purposes other than re- (c)(2), the country of origin of each sale. item of equipment is the country which (2) If the manufacturer of a passenger contributes the greatest amount of motor vehicle provides a substitute value added to that item (the U.S. and label containing corrected information, Canada are treated separately). the dealer shall replace the original (2) Instead of making country of ori- label with the substitute label. gin determinations in the manner spec- (3) If a label becomes damaged so ified in (c)(1), a manufacturer may, at that the information it contains is not its option, use any other methodology legible, the dealer shall replace it with that is used for customs purposes (U.S. an identical, undamaged label. or foreign), so long as a consistent methodology is employed for all com- § 583.10 Outside suppliers of passenger ponents. motor vehicle equipment. (d) Determination of the total value of (a) For each unique type of passenger an engine/transmission which is attrib- motor vehicle equipment for which a

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manufacturer or allied supplier re- base its estimates on expected averages quests information, the outside sup- for these factors. plier shall provide the manufacturer/al- (2) The 12 month period specified in lied supplier with a certificate pro- (c)(1) may be varied in time and length viding the following information: by the manufacturer or allied supplier (1) The name and address of the sup- if it determines that the alteration is plier; not likely to result in less accurate in- (2) A description of the unique type formation being provided to consumers of equipment; on the label required by this part. (3) The price of the equipment to the (d) For outside suppliers of engines manufacturer or allied supplier; and transmissions, the information and (4) A statement that the equipment certification required by this section is has, or does not have, at least 70 per- in addition to that required by § 583.12. cent of its value added in the United States and Canada, determined under [59 FR 37330, July 21, 1994, as amended at 64 FR 40781, July 28, 1999] § 583.6(c); (5) For equipment which has less § 583.11 Allied suppliers of passenger than 70 percent of its value added in motor vehicle equipment. the United States and Canada, (i) The country of origin of the equip- (a) For each unique type of passenger ment, determined under § 583.7(c); and motor vehicle equipment which an al- (ii) The percent of its value added in lied supplier supplies to the manufac- the United States and Canada, to the turer with which it is allied, the allied nearest 5 percent, determined under supplier shall provide the manufac- § 583.6(c). turer with a certificate providing the (6) For equipment that may be used following information: in an engine or transmission, the coun- (1) The name and address of the sup- try of origin of the equipment, deter- plier; mined under § 583.8(c); (2) A description of the unique type (7) A certification for the informa- of equipment; tion, pursuant to § 583.13, and the date (3) The price of the equipment to the (at least giving the month and year) of manufacturer; the certification. (4) The percentage U.S./Canadian (8) A single certificate may cover content of the equipment, determined multiple items of equipment. under § 583.6(c); (b) The information and certification (5) The country of origin of the equip- required by paragraph (a) of this sec- ment, determined under § 583.7(c); tion shall be provided to the manufac- (6) For equipment that may be used turer or allied supplier no later than 45 in an engine or transmission, the coun- days after receipt of the request, or the try of origin of the equipment, deter- date specified by the manufacturer/al- mined under § 583.8(c); lied supplier, whichever is later. (A (7) A certification for the informa- manufacturer or allied supplier may tion, pursuant to § 583.13, and the date request that the outside supplier vol- (at least giving the month and year) of untarily provide the information and the certification. certification at an earlier date.) (8) A single certificate may cover (c)(1) Except as provided in paragraph multiple items of equipment. (c)(2) of this section, the information (b)(1) Except as provided in para- provided in the certificate shall be the graph (b)(2) of this section, the infor- supplier’s best estimates of price, con- mation provided in the certificate shall tent, and country of origin for the be the supplier’s best estimates of unique type of equipment expected to price, content, and country of origin be supplied during the 12 month period for the unique type of equipment ex- beginning on the first July 1 after re- pected to be supplied during the 12 ceipt of the request. If the unique type month period beginning on the first of equipment supplied by the supplier July 1 after receipt of the request. If is expected to vary with respect to the unique type of equipment supplied price, content, and country of origin by the supplier is expected to vary with during that period, the supplier shall respect to price, content, and country

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of origin during that period, the sup- (d) In the event that, during a model plier shall base its estimates on ex- year, a supplier of engines or trans- pected averages for these factors. missions produces an engine of a new (2) The 12 month period specified in displacement or transmission of a new (b)(1) may be varied in time and length type or produces the same engine dis- by the manufacturer if it determines placement or transmission in a dif- that the alteration is not likely to re- ferent plant, the supplier shall notify sult in less accurate information being the manufacturer of the origin of the provided to consumers on the label renew engine or transmission prior to quired by this part. shipment of the first engine or trans- (c) [Reserved] mission that will be installed in a pas- (d) For allied suppliers of engines and senger motor vehicle intended for pub- transmissions, the information and lic sale. certification required by this section is (e) A single certificate may cover in addition to that required by § 583.12. multiple engines or transmissions. If a certificate provided in advance of the § 583.12 Suppliers of engines and delivery of an engine or transmission transmissions. becomes inaccurate because of changed (a) For each engine or transmission circumstances, a corrected certificate for which a manufacturer or allied sup- shall be provided no later than the plier requests information, the supplier time of delivery of the engine or trans- of such engine or transmission shall mission. provide the manufacturer or allied sup- (f) For suppliers of engines and trans- plier with a certificate providing the missions, the information and certifi- following information: cation required by this section is in ad- (1) The name and address of the sup- dition to that required by §§ 583.10 and plier; 583.11. (2) A description of the engine or transmission; § 583.13 Supplier certification and cer- (3) The country of origin of the en- tificates. gine or transmission, determined under Each supplier shall certify the infor- § 583.8; mation on each certificate provided (4) A certification for the informa- under §§ 583.10, 583.11, and 583.12 by in- tion, pursuant to § 583.13, and the date cluding the following phrase on the (at least giving the month and year) of certificate: ‘‘This information is cer- the certification. tified in accordance with DOT regula- (b) The information provided in the tions.’’ The phrase shall immediately certificate shall be the supplier’s best precede the other information on the estimate of country of origin for the certificate. The certificate may be sub- unique type of engine or transmission. mitted to a manufacturer or allied sup- If the unique type of equipment used in plier in any mode (e.g., paper, elec- the engine or transmission is expected tronic) provided the mode contains all to vary with respect to price, content, information in the certificate. and country of origin during that period, the supplier shall base its country § 583.14 Currency conversion rate. of origin determination on expected For purposes of calculations of con- averages for these factors. tent value under this part, manufactur- (c) The information and certification ers and suppliers shall calculate ex- required by paragraph (a) of this sec- change rates using the methodology tion shall be provided by outside sup- set forth in this section. pliers to the manufacturer or allied (a) Manufacturers. (1) Unless a manu- supplier no later than 45 days after re- facturer has had a petition approved by ceipt of the request, or the date speci- the Environmental Protection Agency fied by the manufacturer/allied sup- under 40 CFR 600.511–80(b)(1), for all plier, whichever is later. (A manufac- calculations made by the manufacturer turer or allied supplier may request as a basis for the information provided that the outside supplier voluntarily on the label required by § 583.5, manu- provide the information and certifi- facturers shall take the mean of the ex- cation at an earlier date.) change rates in effect at the end of

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each quarter set by the Federal Re- of the written agreement, and state the serve Bank of New York for twelve cal- carline of which it is considered the endar quarters prior to and including manufacturer, the names of the other the calendar quarter ending one year persons which jointly own the carline, prior to the date that the manufac- and the name of the person, if any, for- turer submits information for a carline merly considered to be the manufac- under § 583.17. turer of record. (2) A manufacturer that has had a pe- (5) The joint owners of a carline may tition approved by the Environmental change the manufacturer of record for Protection Agency under 40 CFR a future model year by concluding a 600.511–80(b)(1), which provides for a dif- written agreement before the begin- ferent method of determining exchange ning of that model year. rates, shall use the same method as a (6) The allied suppliers for the jointly basis for the information provided on owned carline are the suppliers that the label required by § 583.5, and shall are wholly owned by any of the manu- inform the Administrator of the ex- facturers of the jointly owned carline. change rate method it is using at the time the information required by § 583.5 § 583.16 Maintenance of records. is submitted. (a) General. Each manufacturer of (b) Suppliers. For all calculations un- new passenger motor vehicles and each derlying the information provided on supplier of passenger motor vehicle each certificate required by §§ 583.10, equipment subject to this part shall es- 583.11, and 583.12, suppliers shall take tablish, maintain, and retain in orga- the mean of the exchange rates in ef- nized and indexed form, records as fect at the end of each quarter set by specified in this section. All records, the Federal Reserve Bank of New York including the certificates provided by for twelve calendar quarters prior to suppliers, may be stored in any mode and including the calendar quarter end- provided the mode contains all infor- ing one year prior to the date of such mation in the records and certificates. certificate. (b) Manufacturers. Each manufacturer shall maintain all records which pro- § 583.15 Joint ownership. vide a basis for the information it pro- (a) A carline jointly owned and/or vides on the labels required by § 583.5, produced by more than one manufac- including, but not limited to, certifi- turer shall be attributed to the single cates from suppliers, parts lists, cal- manufacturer that markets the car- culations of content, and relevant con- line, subject to paragraph (b) of this tracts with suppliers. The records shall section. be maintained for five years after De- (b)(1) The joint owners of a carline cember 31 of the model year to which may designate, by written agreement, the records relate. the manufacturer of record of that car- (c) Suppliers. Each supplier shall line. maintain all records which form a basis (2) The manufacturer of record is re- for the information it provides on the sponsible for compliance with all the certificates required by §§ 583.10, 583.11, manufacturer requirements in this part and 583.12, including, but not limited with respect to the jointly owned car- to, calculations of content, certificates line. However, carline determinations from suppliers, and relevant contracts must be consistent with § 583.4(3). with manufacturers and suppliers. The (3) A designation under this section records shall be maintained for six of a manufacturer of record is effective years after December 31 of the calendar beginning with the first model year be- year set forth in the date of each cer- ginning after the conclusion of the tificate. written agreement, or, if the joint owners so agree in writing, with a specified § 583.17 Reporting. later model year. For each model year, manufacturers (4) Each manufacturer of record shall shall submit to the Administrator 3 send to the Administrator written no- copies of the information required by tification of its designation as such not § 583.5(a) to be placed on a label for later than 30 days after the conclusion each carline. The information for each

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carline shall be submitted not later 585.55 Reporting requirements. than the date the first vehicle of the 585.56 Records. carline is offered for sale to the ultimate purchaser. Subpart G—Tire Pressure Monitoring System Phase-in Reporting Requirements PART 585—PHASE-IN REPORTING 585.61 Scope. REQUIREMENTS 585.62 Purpose. 585.63 Applicability. 585.64 Definitions. Subpart A—General 585.65 Response to inquiries. Sec. 585.66 Reporting requirements. 585.1 Definitions. 585.67 Records. 585.2 Phase-in reports. 585.68 Petition to extend period to file re- 585.3 Vehicles produced by more than one port. manufacturer. 585.4 Petitions to extend period to file re- Subpart H—Side Impact Protection Phase- port. in Reporting Requirements

Subpart B—Advanced Air Bag Phase-in 585.71 Scope. 585.72 Purpose. Reporting Requirements 585.73 Applicability. 585.11 Scope. 585.74 Definitions. 585.12 Purpose. 585.75 Response to inquiries. 585.13 Applicability. 585.76 Reporting requirements. 585.14 Definitions. 585.77 Records. 585.15 Reporting requirements. 585.16 Records. Subpart I—Electronic Stability Control System Phase-In Reporting Requirements Subpart C—Rear Inboard Lap/Shoulder Belt Phase-in Reporting Requirements 585.81 Scope. 585.82 Purpose. 585.21 Scope. 585.83 Applicability. 585.22 Purpose. 585.84 Definitions. 585.23 Applicability. 585.85 Response to inquiries. 585.24 Reporting requirements. 585.86 Reporting requirements. 585.25 Records. 585.87 Records. 585.88 Petition to extend period to file re- Subpart D—Appendix A–1 of FMVSS No. port. 208 Phase-in Reporting Requirements Subpart J—Head Restraints Phase-in 585.31 Scope. Reporting Requirements 585.32 Purpose. 585.33 Applicability. 585.91 Scope. 585.34 Definitions. 585.92 Purpose. 585.35 Response to inquiries. 585.93 Applicability. 585.36 Reporting requirements. 585.94 Definitions. 585.37 Records. 585.95 Response to inquiries. 585.96 Reporting requirements. Subpart E—Fuel System Integrity Phase-in 585.97 Records. Reporting Requirements Subpart L—Roof Crush Resistance Phase-in 585.41 Scope. Reporting Requirements 585.42 Purpose. 585.43 Applicability. 585.111 Scope. 585.44 Response to inquiries. 585.112 Purpose. 585.45 Reporting requirements. 585.113 Applicability. 585.46 Records. 585.114 Definitions. 585.115 Response to inquiries. Subpart F—Tires for Motor Vehicles with a 585.116 Reporting requirements. GVWR of 10,000 Pounds or Less Phase- 585.117 Records. in Reporting Requirements AUTHORITY: 49 U.S.C. 322, 30111, 30115, 30117, and 30166; delegation of authority at 49 CFR 585.51 Scope. 1.50. 585.52 Purpose. 585.53 Applicability. SOURCE: 69 FR 70916, Dec. 8, 2004, unless 585.54 Response to inquiries. otherwise noted.

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Subpart A—General § 585.4 Petitions to extend period to file report. § 585.1 Definitions. A petition for extension of the time (a) All terms defined in 49 U.S.C. to submit a report required under this 30102 are used in accordance with their part shall be received not later than 15 statutory meaning. days before the report is due. The peti- (b) The terms bus, gross vehicle weight tion shall be submitted to: Adminis- rating or GVWR, motor vehicle, multipur- trator, National Highway Traffic Safe- pose passenger vehicle, passenger car, and ty Administration, 400 Seventh Street, truck are used as defined in § 571.3 of SW., Washington, DC 20590. The filing of a petition does not automatically this chapter. extend the time for filing a report. A (c) means the 12- Production year petition will be granted only if the pe- month period between September 1 of titioner shows good cause for the ex- one year and August 31 of the following tension, and if the extension is con- year, inclusive, unless otherwise speci- sistent with the public interest. fied.

§ 585.2 Phase-in reports. Subpart B—Advanced Air Bag Phase-in Reporting Requirements Each report submitted to NHTSA under this part shall: § 585.11 Scope. (a) Identify the manufacturer; This subpart establishes require- (b) State the full name, title, and ad- ments for manufacturers of passenger dress of the official responsible for pre- cars and trucks, buses, and multipur- paring the report; pose passenger vehicles with a GVWR (c) Identify the production year being of 3,855 kg or less and an unloaded vehi- reported on; cle weight of 2,495 kg or less to submit (d) Contain a statement regarding reports, and maintain records related whether or not the manufacturer com- to the reports, concerning the number plied with the requirements of the Fed- and identification of such vehicles that eral motor vehicle safety standard ad- are certified as complying with the addressed by the report, for the period vanced air bag requirements of Stand- covered by the report, and the basis for ard No. 208, Occupant crash protection that statement; (49 CFR 571.208). (e) Be written in the English lan- § 585.12 Purpose. guage; and (f) Be submitted to: Administrator, The purpose of these reporting re- National Highway Traffic Safety Ad- quirements is to aid the National High- ministration, 400 Seventh Street, SW., way Traffic Safety Administration in Washington, DC 20590. determining whether a manufacturer has complied with the advanced air bag § 585.3 Vehicles produced by more requirements of Standard No. 208 dur- than one manufacturer. ing the phase-ins of those requirements. Each manufacturer whose reporting of information is affected by one or § 585.13 Applicability. more of the express written contracts This subpart applies to manufactur- permitted by a Federal Motor Vehicle ers of passenger cars and trucks, buses, Safety Standard subject to the report- and multipurpose passenger vehicles ing requirements of this part shall: with a GVWR of 3,855 kg or less and an (a) Report the existence of each con- unloaded vehicle weight of 2,495 kg or tract, including the names of all par- less. However, this subpart does not ties to the contract and explain how apply to any manufacturers whose pro- the contract affects the report being duction consists exclusively of walk-in submitted. vans, vehicles designed to be sold ex- (b) Report the number of vehicles clusively to the U.S. Postal Service, covered by each contract in each pro- vehicles manufactured in two or more duction year. stages, and vehicles that are altered

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after previously having been certified Standard No. 208 shall submit a report in accordance with part 567 of this to the National Highway Traffic Safety chapter. In addition, this subpart does Administration providing the informa- not apply to manufacturers whose pro- tion specified in paragraph (c) of this duction of motor vehicles for the section and in § 585.2 of this part. United States market is less than 5,000 (2) Within 60 days after the end of the vehicles in a production year. production year ending August 31, 2007, each manufacturer choosing to certify § 585.14 Definitions. vehicles manufactured during that pro- For the purposes of this subpart, duction year as complying with phase (a) Phase one of the advanced air bag two of the advanced air bag require- requirements of Standard No. 208 refers ments of Standard No. 208 shall submit to the requirements set forth in S14.1, a report to the National Highway Traf- S14.2, S14.5.1(a), S14.5.2, S15.1, S15.2, fic Safety Administration providing S17, S19, S21, S23, and S25 of Federal the information specified in paragraph Motor Vehicle Safety Standard No. 208, (c) of this section and in § 585.2 of this 49 CFR 571.208. part. (b) Phase two of the advanced air bag (3) Within 60 days after the end of the reporting requirements of Standard No. production year ending August 31, 2009, 208 refers to the requirements set forth each manufacturer choosing to certify in S14.3, S14.4, S14.5.1(b), S14.5.2, S15.1, vehicles manufactured during that pro- S15.2, S17, S19, S21, S23, and S25 of Fed- duction year as complying with phase eral Motor Vehicle Safety Standard three of the advanced air bag require- No. 208, 49 CFR 571.208. ments of Standard No. 208 shall submit (c) Phase three of the advanced air bag a report to the National Highway Traf- reporting requirements of Standard No. fic Safety Administration providing 208 refers to the requirements set forth the information specified in paragraph in S14.6 and S14.7 of Federal Motor Ve- (c) of this section and in § 585.2 of this hicle Safety Standard No. 208, 49 CFR part. 571.208. (b) Phase-in reporting requirements. (1) (d) Vehicles means passenger cars and Within 60 days after the end of the pro- trucks, buses, and multipurpose pas- duction years ending August 31, 2004, senger vehicles with a GVWR of 3,855 August 31, 2005, and August 31, 2006, kg or less and an unloaded vehicle each manufacturer shall submit a re- weight of 2,495 kg or less manufactured port to the National Highway Traffic for sale in the United States whose pro- Safety Administration regarding its duction of motor vehicles for sale in compliance with phase one of the ad- the United States is equal to or greater vanced air bag requirements of Stand- than 5,000 vehicles in a production ard No. 208 for its vehicles produced in year, and does not mean walk-in vans, that production year. The report shall vehicles designed to be sold exclusively provide the information specified in to the U.S. Postal Service, vehicles paragraph (d) of this section and in manufactured in two or more stages, § 585.2 of this part. Each report shall and vehicles that are altered after pre- also specify the number of advance viously having been certified in accord- credit vehicles, if any, which are being ance with part 567 of this chapter. applied to the production year being [69 FR 70916, Dec. 8, 2004, as amended at 71 reported on. FR 51779, Aug. 31, 2006] (2) Within 60 days after the end of production years ending August 31, § 585.15 Reporting requirements. 2008, August 31, 2009, and August 31, (a) Advanced credit phase-in reporting 2010, each manufacturer shall submit a requirements. (1) Within 60 days after report to the National Highway Traffic the end of production years ending Au- Safety Administration regarding its gust 31, 2000, August 31, 2001, August 31, compliance with phase two of the ad- 2002, and August 31, 2003, each manufac- vanced air bag requirements of Stand- turer choosing to certify vehicles man- ard No. 208 for its vehicles produced in ufactured during any of those produc- that production year. The report shall tion years as complying with phase one provide the information specified in of the advanced air bag requirements of paragraph (d) of this section and in

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§ 585.2 of this part. Each report shall years prior to the year for which the also specify the number of advance report is being submitted. credit vehicles, if any, which are being (2) Production of complying vehicles. applied to the production year being Each manufacturer shall report for the reported on. production year for which the report is (3) Within 60 days after the end of the filed the number of vehicles, by make production years ending August 31, and model year, that meet the applica- 2010, August 31, 2011, and August 31, ble advanced air bag requirements of 2012, each manufacturer shall submit a Standard No. 208, and to which ad- report to the National Highway Traffic vanced air bag requirements the vehi- Safety Administration regarding its cles are certified. Provide this informa- compliance with phase three of the ad- tion separately for phase two and phase vanced air bag requirements of Stand- three of the advanced air bag reporting ard No. 208 for its vehicles produced in requirements. that production year. The report shall [69 FR 70916, Dec. 8, 2004, as amended at 71 provide the information specified in FR 51779, Aug. 31, 2006; 72 FR 62142, Nov. 2, paragraph (d) of this section and in 2007] § 585.2 of this part. (c) Advanced credit phase-in report con- § 585.16 Records. tent. (1) With respect to the reports Each manufacturer shall maintain identified in section 585.15(a)(1), each records of the Vehicle Identification manufacturer shall report for the pro- Number of each vehicle for which infor- duction year for which the report is mation is reported under § 585.15(c) filed the number of vehicles, by make until December 31, 2011. Each manufac- and model year, that meet the applica- turer shall maintain records of the Ve- ble advanced air bag requirements of hicle Identification Number of each ve- Standard No. 208, and to which ad- hicle for which information is reported vanced air bag requirements the vehi- under § 585.15(d)(2) until December 31, cles are certified. 2013. (2) With respect to the report identi- [72 FR 62142, Nov. 2, 2007] fied in section 585.15(a)(2), each manufacturer shall report the number of vehicles, by make and model year, that Subpart C—Rear Inboard Lap/ meet the applicable advanced air bag Shoulder Belt Phase-In Report- requirements of Standard No. 208, and ing Requirements to which the advanced air bag requirements the vehicles are certified. § 585.21 Scope. (3) With respect to the report identi- This subpart establishes require- fied in section 585.15(a)(3), each manu- ments for manufacturers of passenger facturer shall report the number of ve- cars and for trucks, buses, and multi- hicles, by make and model year, that purpose passenger vehicles with a meet the applicable advanced air bag GVWR of 4,536 kg (10,000 lb) or less to requirements of Standard No. 208, and submit reports, and maintain records to which the advanced air bag require- related to the reports, concerning the ments the vehicles are certified. number and identification of such vehi- (d) Phase-in report content—(1) Basis cles that are certified as complying for phase-in production requirements. For with the Type 2 seat belt requirements production years ending August 31, for rear seating positions of Standard 2003, August 31, 2004, August 31, 2005, No. 208, Occupant crash protection (49 August 31, 2007, August 31, 2008, August CFR 571.208). 31, 2009, August 31, 2010, and August 31, 2011, each manufacturer shall provide § 585.22 Purpose. the number of vehicles manufactured The purpose of these reporting rein the current production year, or, at quirements is to assist the National the manufacturer’s option, for the cur- Highway Traffic Safety Administration rent production year and each of the in determining whether a manufac- prior two production years if the man- turer has complied with the Type 2 ufacturer has manufactured vehicles seat belt requirements for rear seating during both of the two production positions of Standard No. 208.

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§ 585.23 Applicability. number of vehicles, by make and model This subpart applies to manufactur- year, that meet the applicable Type 2 ers of passenger cars and trucks, buses, seat belt for each rear designated seat- and multipurpose passenger vehicles ing position requirements of Standard with a GVWR of 4,536 kg or less. How- No. 208. ever, this subpart does not apply to any (d) Phase-in report content. (1) Basis manufacturers whose production con- for phase-in production requirements. sists exclusively of walk-in vans, vehi- For production years ending August 31, cles designed to be sold exclusively to 2006, and August 31, 2007, each manufac- the U.S. Postal Service, vehicles manu- turer shall provide the number of vehi- factured in two or more stages, and ve- cles manufactured in the current pro- hicles that are altered after previously duction year, or, at the manufacturer’s having been certified in accordance option, for the current production year with part 567 of this chapter. In addi- and each of the prior two production tion, this subpart does not apply to years if the manufacturer has manufac- manufacturers that produce fewer than tured vehicles during each production 5,000 vehicles annually for sale in the year prior to the year for which the re- United States. port is being submitted. [72 FR 62142, Nov. 2, 2007] (2) Production of complying vehicles. Each manufacturer shall report for the § 585.24 Reporting requirements. production year for which the report is (a) Advanced credit phase-in reporting filed the number of vehicles, by make requirements. Within 60 days after the and model year, that meet the applica- end of the production year ending Au- ble Type 2 seat belt for each rear des- gust 31, 2005, each manufacturer choos- ignated seating position requirements ing to certify vehicles manufactured of Standard No. 208. during that production year as complying with the Type 2 seat belt for § 585.25 Records. each rear designated seating position Each manufacturer shall maintain requirements of Standard No. 208 shall records of the Vehicle Identification submit a report to the National High- Number of each vehicle for which infor- way Traffic Safety Administration pro- mation is reported under § 585.24(c) and viding the information specified in (d)(2) until December 31, 2008. paragraph (c) of this section and in § 585.2 of this part. (b) Phase-in reporting requirements. Subpart D—Appendix A–1 of Within 60 days after the end of the pro- FMVSS No. 208 Phase-in Re- duction years ending August 31, 2006, porting Requirements and August 31, 2007, each manufacturer shall submit a report to the National SOURCE: 73 FR 66801, Nov. 12, 2008, unless Highway Traffic Safety Administration otherwise noted. regarding its compliance with the Type 2 seat belt for each rear designated § 585.31 Scope. seating position requirements of Standard No. 208 for its vehicles pro- This part establishes requirements duced in that production year. The re- for manufacturers of passenger cars, port shall provide the information and of trucks, buses and multipurpose specified in paragraph (d) of this sec- passenger vehicles with a gross vehicle tion and in § 585.2 of this part. Each re- weight rating (GVWR) of 3,856 kilo- port shall also specify the number of grams (kg) (8,500 pounds (lb)) or less, to advance credit vehicles, if any, which submit a report, and maintain records are being applied to the production related to the report, concerning the year being reported on. number of such vehicles that are cer- (c) Advanced credit phase-in report con- tified as complying with S19, S21, and tent. With respect to the reports identi- S23 of FMVSS No. 208 (49 CFR 571.208) fied in section 585.24(a), each manufac- when using the child restraint systems turer shall report for the production specified in Appendix A–1 of this stand- year for which the report is filed the ard.

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§ 585.32 Purpose. compliance with requirements of Standard No. 208 when using the child The purpose of these reporting re- restraint systems specified in Appendix quirements is to assist the National A–1 of that standard for its vehicles Highway Traffic Safety Administration produced in that year. Each report in determining whether a manufac- shall provide the information specified turer has complied with the require- in paragraph (b) of this section and in ments of Standard No. 208 when using section 585.2 of this part. the child restraint systems specified in Appendix A–1 of that standard. (b) Phase-in report content— (1) Basis for phase-in production goals. § 585.33 Applicability. Each manufacturer shall provide the number of vehicles manufactured in This part applies to manufacturers of the current production year, or, at the passenger cars, and of trucks, buses manufacturer’s option, in each of the and multipurpose passenger vehicles three previous production years. A new with a GVWR of 3,856 kg (8,500 lb) or manufacturer that is, for the first less. time, manufacturing passenger cars, § 585.34 Definitions. trucks, multipurpose passenger vehicles or buses for sale in the United (a) All terms defined in 49 U.S.C. States must report the number of pas- 30102 are used in their statutory mean- senger cars, trucks, multipurpose pas- ing. senger vehicles or buses manufactured (b) Bus, gross vehicle weight rating during the current production year. or GVWR, multipurpose passenger ve- (2) Production of complying vehicles. hicle, passenger car, and truck are used Each manufacturer shall report on the as defined in § 571.3 of this chapter. number of vehicles that meet the re- (c) Production year means the 12- quirements of Standard No. 208 when month period between September 1 of using the child restraint systems speci- one year and August 31 of the following fied in Appendix A–1 of that standard. year, inclusive. (d) Limited line manufacturer means § 585.37 Records. a manufacturer that sells three or Each manufacturer shall maintain fewer carlines, as that term is defined records of the Vehicle Identification in 49 CFR 583.4, in the United States Number for each vehicle for which in- during a production year. formation is reported under § 585.36 § 585.35 Response to inquiries. until December 31, 2013. At any time during the production year ending August 31, 2010, each man- Subpart E—Fuel System Integrity ufacturer shall, upon request from the Phase-In Reporting Requirements Office of Vehicle Safety Compliance, provide information identifying the ve- § 585.41 Scope. hicles (by make, model and vehicle This subpart establishes require- identification number) that have been ments for manufacturers of passenger certified as complying with the re- cars, multipurpose passenger vehicles, quirements of Standard No. 208 when trucks, and buses with a GVWR of 4,536 using the child restraint systems speci- kg (10,000 lb) or less to respond to fied in Appendix A–1 of that standard. NHTSA inquiries, to submit reports, The manufacturer’s designation of a and to maintain records related to the vehicle as a certified vehicle is irrev- reports, concerning the number of such ocable. vehicles that meet the upgraded requirements of Standard No. 301, Fuel § 585.36 Reporting Requirements. systems integrity (49 CFR 571.301). (a) Phase-in reporting requirements. Within 60 days after the end of the pro- § 585.42 Purpose. duction year ending August 31, 2010, The purpose of these requirements is each manufacturer shall submit a re- to assist the National Highway Traffic port to the National Highway Traffic Safety Administration in determining Safety Administration concerning its whether a manufacturer has complied

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with the upgraded requirements of number of such vehicles manufactured Standard No. 301. during the current production year. (2) Production. Each manufacturer § 585.43 Applicability. shall report for the production year for This subpart applies to manufactur- which the report is filed the number of ers of passenger cars, multipurpose passenger cars, multipurpose passenger passenger vehicles, trucks and buses vehicles, trucks, and buses with a with a GVWR of 4,536 or less. However, GVWR of 4,536 kg or less that meet this subpart does not apply to manu- S6.2(b) or S6.3(b) of Standard No. 301. facturers that produce fewer than 5,000 § 585.46 Records. vehicles annually for sale in the United States. Each manufacturer shall maintain records of the Vehicle Identification [72 FR 62142, Nov. 2, 2007] Number for each vehicle for which information is reported under § 585.44 Response to inquiries. § 585.45(b)(2) until December 31, 2010. During the production years ending August 31, 2007, August 31, 2008, and Au- Subpart F—Tires for Motor Vehicles gust 31, 2009, each manufacturer shall, with a GVWR of 10,000 Pounds upon request from the Office of Vehicle or Less Phase-In Reporting Re- Safety Compliance, provide informa- quirements tion identifying the vehicles (by make, model, and vehicle identification num- § 585.51 Scope. ber) that have been certified as com- This subpart establishes require- plying with the requirements of S6.2(b) ments for manufacturers of new pneu- of Standard No. 301. The manufactur- matic tires for motor vehicles with a er’s designation of a vehicle as a cer- GVWR of 4,536 kg (10,000 lb) or less to tified vehicle is irrevocable. respond to NHTSA inquiries, to submit reports, and to maintain records re- § 585.45 Reporting requirements. lated to the reports, concerning the (a) General reporting requirements. number of such tires that meet the re- Within 60 days after the end of the pro- quirements of Standard No. 139, New duction years ending August 31, 2007, pneumatic tires for light vehicles (49 CFR August 31, 2008 and August 31, 2009, 571.139). each manufacturer shall submit a report to the National Highway Traffic § 585.52 Purpose. Safety Administration concerning its The purpose of these requirements is compliance with S6.2(b) of Standard to assist the National Highway Traffic No. 301 for its passenger cars, multipur- Safety Administration in determining pose passenger vehicles, trucks, and whether a manufacturer has complied buses with a GVWR of less than 4,536 with the requirements of Standard No. kg produced in that year. Each report 139. shall provide the information specified in paragraph (b) of this section and in § 585.53 Applicability. section 585.2 of this part. This subpart applies to manufactur- (b) Report content. (1) Basis for state- ers of tires for motor vehicles with a ment of compliance. Each manufac- GVWR of 4,536 kg or less. turer shall provide the number of passenger cars, multipurpose passenger ve- § 585.54 Response to inquiries. hicles, trucks, and buses with a GVWR Each manufacturer shall, upon re- of 4,536 kg or less manufactured for quest from the Office of Vehicle Safety sale in the United States for each of Compliance, provide information iden- the three previous production years, tifying the tires (by make, model, or, at the manufacturer’s option, for brand and tire identification number) the previous production year. A new that have been certified as complying manufacturer that has not previously with the requirements of Standard No. manufactured these vehicles for sale in 139. The manufacturer’s designation of the United States must report the a tire as a certified tire is irrevocable.

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§ 585.55 Reporting requirements. to the report, concerning the number (a) General reporting requirements. of such vehicles that meet the require- Within 60 days after the end of the pro- ments of Standard No. 138, Tire pressure duction years ending August 31, 2006 monitoring systems (49 CFR 571.138). and August 31, 2007, each manufacturer shall submit a report to the National § 585.62 Purpose. Highway Traffic Safety Administration The purpose of these reporting re- concerning its compliance with Stand- quirements is to assist the National ard No. 139 for its tires produced in Highway Traffic Safety Administration that year for motor vehicles with a in determining whether a manufac- GVWR of 4,536 kg or less. Each report turer has complied with Standard No. shall provide the information specified 138. in paragraph (b) of this section and in section 585.2 of this part. § 585.63 Applicability. (b) Report content. (1) Basis for state- This subpart applies to manufactur- ment of compliance. Each manufacturer shall provide the number of tires ers of passenger cars, multipurpose for motor vehicles with a GVWR of passenger vehicles, trucks, and buses 4,536 kg or less manufactured for sale with a gross vehicle weight rating of in the United States for each of the 4,536 kilograms (10,000 pounds) or less, three previous production years, or, at except those vehicles with dual wheels the manufacturer’s option, for the pro- on an axle. However, this subpart does duction year for which the report is not apply to manufacturers whose pro- filed. A new manufacturer that has not duction consists exclusively of vehicles previously manufactured these tires for manufactured in two or more stages, sale in the United States shall report and vehicles that are altered after pre- the number of such tires manufactured viously having been certified in accord- during the current production year. ance with part 567 of the chapter. In (2) Production. Each manufacturer addition, this subpart does not apply to shall report for the production year for manufacturers whose production of which the report is filed the number of motor vehicles for the United States new pneumatic tires for motor vehicles market is less than 5,000 vehicles in a with a GVWR of 4,536 kg or less that production year. meet Standard No. 139. § 585.64 Definitions. § 585.56 Records. means the 12-month Each manufacturer shall maintain Production year records of the tire identification num- period between September 1 of one year ber for each vehicle for which informa- and August 31 of the following year, in- tion is reported under § 585.55(b)(2) until clusive. December 31, 2008. § 585.65 Response to inquiries. Subpart G—Tire Pressure Moni- At any time prior to August 31, 2007, toring System Phase-in Re- each manufacturer must, upon request porting Requirements from the Office of Vehicle Safety Com- pliance, provide information identifying the vehicles (by make, model, SOURCE: 70 FR 18190, Apr. 8, 2005, unless otherwise noted. and vehicle identification number) that have been certified as complying with § 585.61 Scope. Standard No. 138. The manufacturer’s This subpart establishes require- designation of a vehicle as a certified ments for manufacturers of passenger vehicle is irrevocable. Upon request, cars, multipurpose passenger vehicles, the manufacturer also must specify trucks, and buses with a gross vehicle whether it intends to utilize either weight rating of 4,536 kilograms (10,000 carry-forward or carry-backward cred- pounds) or less, except those vehicles its, and the vehicles to which those with dual wheels on an axle, to submit credits relate. a report, and maintain records related

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§ 585.66 Reporting requirements. on or after October 5, 2005 and before September 1, 2006. (a) General reporting requirements. Within 60 days after the end of the pro- (ii) Period from September 1, 2006 to Au- duction years ending August 31, 2006 gust 31, 2007. The number shall be ei- and August 31, 2007, each manufacturer ther the manufacturer’s average an- must submit a report to the National nual production of vehicles manufac- Highway Traffic Safety Administration tured on or after September 1, 2003, and concerning its compliance with Stand- before September 1, 2006, or, at the ard No. 138 (49 CFR 571.138) for its pas- manufacturer’s option, it shall be the senger cars, multipurpose passenger ve- manufacturer’s production on or after hicles, trucks, and buses with a gross September 1, 2006 and before September vehicle weight rating of less than 4,536 1, 2007. A new manufacturer that has kilograms (10,000 pounds) produced in not previously manufactured these ve- that year. Each report must— hicles for sale in the United States (1) Identify the manufacturer; must report the number of such vehi- (2) State the full name, title, and ad- cles manufactured during the produc- dress of the official responsible for pre- tion period on or after September 1, paring the report; 2006 and before September 1, 2007. (3) Identify the production year being (2) Production. Each manufacturer reported on; must report for the production period (4) Contain a statement regarding for which the report is filed: the total whether or not the manufacturer com- number of passenger cars, multipur- plied with the requirements of Stand- pose passenger vehicles, trucks, and ard No. 138 (49 CFR 571.138) for the pe- buses with a gross vehicle weight rat- riod covered by the report and the ing of 4,536 kilograms (10,000 pounds) or basis for that statement; less that meet Standard No. 138 (49 (5) Provide the information specified CFR 571.138). in paragraph (b) of this section; (3) Statement regarding compliance. (6) Be written in the English lan- Each manufacturer must provide a guage; and statement regarding whether or not (7) Be submitted to: Administrator, the manufacturer complied with the National Highway Traffic Safety Ad- TPMS requirements as applicable to ministration, 400 Seventh Street, SW., the period covered by the report, and Washington, DC 20590. the basis for that statement. This (b) Report content—(1) Basis for state- statement must include an explanation ment of compliance. Each manufacturer concerning the use of any carry-for- must provide the number of passenger ward and/or carry-backward credits. cars, multipurpose passenger vehicles, (4) Vehicles produced by more than one trucks, and buses with a gross vehicle manufacturer. Each manufacturer weight rating of 4,536 kilograms (10,000 whose reporting of information is af- pounds) or less, except those vehicles fected by one or more of the express with dual wheels on an axle, manufac- written contracts permitted by S7.5.2 tured for sale in the United States for of Standard No. 138 (49 CFR 571.138) each reporting period as follows: must: (i) Period from October 5, 2005 to Au- (i) Report the existence of each con- gust 31, 2006. The number shall be ei- tract, including the names of all par- ther the manufacturer’s average an- ties to the contract, and explain how nual production of vehicles manufac- the contract affects the report being tured on or after September 1, 2002, and submitted. before October 5, 2005, or, at the manu- (ii) Report the actual number of vehi- facturer’s option, it shall be the manu- cles covered by each contract. facturer’s production on or after Octo- ber 5, 2005 and before September 1, 2006. [70 FR 18190, Apr. 8, 2005, as amended at 70 A new manufacturer that has not pre- FR 53101, Sept. 7, 2005] viously manufactured these vehicles for sale in the United States must re- § 585.67 Records. port the number of such vehicles manu- Each manufacturer must maintain factured during the production period records of the Vehicle Identification

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Number for each vehicle for which in- and multipurpose passenger vehicles formation is reported under with a GVWR of 4,536 kg (10,000 lb) or § 585.66(b)(2) until December 31, 2009. less. However, this part does not apply to vehicles excluded by S2 and S5 of § 585.68 Petition to extend period to Standard No. 214 (49 CFR 571.214) from file report. the requirements of that standard. A manufacturer may petition for extension of time to submit a report § 585.74 Definitions. under this Part. A petition will be (a) All terms defined in 49 U.S.C. granted only if the petitioner shows 30102 are used in their statutory mean- good cause for the extension and if the ing. extension is consistent with the public (b) Bus, gross vehicle weight rating or interest. The petition must be received GVWR, multipurpose passenger vehicle, not later than 15 days before expiration passenger car, and truck are used as de- of the time stated in § 585.66(a). The fil- fined in § 571.3 of this chapter. ing of a petition does not automati- (c) Production year means the 12- cally extend the time for filing a re- month period between September 1 of port. The petition must be submitted one year and August 31 of the following to: Administrator, National Highway year, inclusive. Traffic Safety Administration, 400 Sev- (d) Limited line manufacturer means a enth Street, SW., Washington, DC manufacturer that sells three or fewer 20590. carlines, as that term is defined in 49 CFR 583.4, in the United States during Subpart H—Side Impact Protec- a production year. tion Phase-in Reporting Re- quirements § 585.75 Response to inquiries. At any time during the production

SOURCE: 72 FR 51972, Sept. 11, 2007, unless years ending August 31, 2011, August 31, otherwise noted. 2012, August 31, 2013, and August 31, 2014, each manufacturer shall, upon re- § 585.71 Scope. quest from the Office of Vehicle Safety This part establishes requirements Compliance, provide information iden- for manufacturers of passenger cars, tifying the vehicles (by make, model and of trucks, buses and multipurpose and vehicle identification number) that passenger vehicles with a gross vehicle have been certified as complying with weight rating (GVWR) of 4,536 kilo- the moving deformable barrier test grams (kg) (10,000 pounds) or less, to with advanced test dummies (S7.2) or submit a report, and maintain records the vehicles (by make, model and vehi- related to the report, concerning the cle identification number) that have number of such vehicles that meet the been certified as complying with the moving deformable barrier test re- vehicle-to-pole test requirements (S9.1) quirements of S7 of Standard No. 214, of FMVSS No. 214 (49 CFR 571.214). The Side impact protection (49 CFR 571.214), manufacturer’s designation of a vehicle and the vehicle-to-pole test require- as a certified vehicle that meets S7.2 or ments of S9 of that standard. S9.1 is irrevocable. [73 FR 32485, June 9, 2008] § 585.72 Purpose. The purpose of these reporting re- § 585.76 Reporting requirements. quirements is to assist the National (a) Advanced credit phase-in reporting Highway Traffic Safety Administration requirements. (1) Within 60 days after in determining whether a manufac- the end of the production years ending turer has complied with the require- August 31, 2008, through August 31, ments of Standard No. 214, Side Impact 2014, each manufacturer choosing to Protection (49 CFR 571.214). certify vehicles manufactured during any of those production years as com- § 585.73 Applicability. plying with the upgraded moving de- This part applies to manufacturers of formable barrier (S7.2 of Standard No. passenger cars, and of trucks, buses 214)(49 CFR 571.214) or vehicle-to-pole

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requirements (S9) of Standard No. 214 reported on, information on the num- shall submit a report to the National ber of vehicles that meet the moving Highway Traffic Safety Administration deformable barrier test requirements providing the information specified in of S7 of Standard No. 214, Side Impact paragraph (c) of this section and in Protection (49 CFR 571.214), and the § 585.2 of this part. number of vehicles that meet the vehi- (2) [Reserved] cle-to-pole test requirements of S9 of (b) Phase-in reporting requirements. that standard. Within 60 days after the end of each of the production years ending August 31, [72 FR 51972, Sept. 11, 2007, as amended at 73 2011, August 31, 2012, August 31, 2013, FR 32485, June 9, 2008] and August 31, 2014, each manufacturer shall submit a report to the National § 585.77 Records. Highway Traffic Safety Administration Each manufacturer shall maintain concerning its compliance with the records of the Vehicle Identification moving deformable barrier require- Number for each vehicle for which in- ments of S7 of Standard No. 214 and formation is reported under § 585.76 with the vehicle-to-pole requirements until December 31, 2018. of S9 of that Standard for its vehicles produced in that year. Each report [73 FR 32485, June 9, 2008] shall provide the information specified in paragraph (c) of this section and in Subpart I—Electronic Stability section 585.2 of this part. Control System Phase-In Re- (c) Advanced credit phase-in report con- porting Requirements tent—(1) Production of complying vehicles. With respect to the reports identified in § 585.76(a), each manufacturer SOURCE: 72 FR 17316, Apr. 6, 2007, unless otherwise noted. shall report for the production year for which the report is filed the number of § 585.81 Scope. vehicles, by make and model year: That are certified as meeting the mov- This subpart establishes require- ing deformable barrier test requirements for manufacturers of passenger ments of S7.2 of Standard No. 214, Side cars, multipurpose passenger vehicles, impact protection (49 CFR 571.214), and trucks, and buses with a gross vehicle that are certified as meeting the vehi- weight rating of 4,536 kilograms (10,000 cle-to-pole test requirements of S9 of pounds) or less to submit a report, and Standard No. 214. maintain records related to the report, (2) [Reserved] concerning the number of such vehicles (d) Phase-in report content—(1) Basis that meet the requirements of Stand- for phase-in production goals. Each man- ard No. 126, Electronic stability control ufacturer shall provide the number of systems (49 CFR 571.126). vehicles manufactured in the current production year, or, at the manufactur- § 585.82 Purpose. er’s option, in each of the three pre- The purpose of these reporting re- vious production years. A new manu- quirements is to assist the National facturer that is, for the first time, Highway Traffic Safety Administration manufacturing passenger cars for sale in determining whether a manufac- in the United States must report the turer has complied with Standard No. number of passenger cars manufactured during the current production 126 (49 CFR 571.126). year. § 585.83 Applicability. (2) Production of complying vehicles. Each manufacturer shall report for the This subpart applies to manufactur- production year being reported on, and ers of passenger cars, multipurpose each preceding production year, to the passenger vehicles, trucks, and buses extent that vehicles produced during with a gross vehicle weight rating of the preceding years are treated under 4,536 kilograms (10,000 pounds) or less. Standard No. 214 as having been pro- However, this subpart does not apply duced during the production year being to manufacturers whose production

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consists exclusively of vehicles manu- riod covered by the report and the factured in two or more stages, and ve- basis for that statement; hicles that are altered after previously (5) Provide the information specified having been certified in accordance in paragraph (b) of this section; with part 567 of this chapter. In addi- (6) Be written in the English lan- tion, this subpart does not apply to guage; and manufacturers whose production of (7) Be submitted to: Administrator, motor vehicles for the United States National Highway Traffic Safety Ad- market is less than 5,000 vehicles in a ministration, 400 Seventh Street, SW., production year. Washington, DC 20590. § 585.84 Definitions. (b) Report content—(1) Basis for statement of compliance. Each manufacturer For the purposes of this subpart: must provide the number of passenger Production year means the 12-month cars, multipurpose passenger vehicles, period between September 1 of one year trucks, and buses with a gross vehicle and August 31 of the following year, in- weight rating of 4,536 kilograms (10,000 clusive. pounds) or less, manufactured for sale § 585.85 Response to inquiries. in the United States for each of the three previous production years, or, at At any time prior to August 31, 2011, the manufacturer’s option, for the cur- each manufacturer must, upon request rent production year. A new manufac- from the Office of Vehicle Safety Com- turer that has not previously manufac- pliance, provide information identi- tured these vehicles for sale in the fying the vehicles (by make, model, United States must report the number and vehicle identification number) that of such vehicles manufactured during have been certified as complying with the current production year. Standard No. 126 (49 CFR 571.126). The manufacturer’s designation of a vehicle (2) Production. Each manufacturer as a certified vehicle is irrevocable. must report for the production year for Upon request, the manufacturer also which the report is filed: the number of must specify whether it intends to uti- passenger cars, multipurpose passenger lize carry-forward credits, and the ve- vehicles, trucks, and buses with a gross hicles to which those credits relate. vehicle weight rating of 4,536 kilograms (10,000 pounds) or less that meet Stand- § 585.86 Reporting requirements. ard No. 126 (49 CFR 571.126). (a) General reporting requirements. (3) Statement regarding compliance. Within 60 days after the end of the pro- Each manufacturer must provide a duction years ending August 31, 2009, statement regarding whether or not August 31, 2010, and August 31, 2011, the manufacturer complied with the each manufacturer must submit a re- ESC requirements as applicable to the port to the National Highway Traffic period covered by the report, and the Safety Administration concerning its basis for that statement. This state- compliance with Standard No. 126 (49 ment must include an explanation con- CFR 571.126) for its passenger cars, cerning the use of any carry-forward multipurpose passenger vehicles, credits. trucks, and buses with a gross vehicle (4) Vehicles produced by more than one weight rating of less than 4,536 kilo- manufacturer. Each manufacturer grams (10,000 pounds) produced in that whose reporting of information is af- year. Each report must— fected by one or more of the express (1) Identify the manufacturer; written contracts permitted by S8.6.2 (2) State the full name, title, and ad- of Standard No. 126 (49 CFR 571.126) dress of the official responsible for pre- must: paring the report; (i) Report the existence of each con- (3) Identify the production year being tract, including the names of all par- reported on; ties to the contract, and explain how (4) Contain a statement regarding the contract affects the report being whether or not the manufacturer com- submitted. plied with the requirements of Stand- (ii) Report the actual number of vehi- ard No. 126 (49 CFR 571.126) for the pe- cles covered by each contract.

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§ 585.87 Records. sively of vehicles that are manufac- Each manufacturer must maintain tured in two or more stages or that are altered (within the meaning of 49 CFR records of the Vehicle Identification 567.7) after having previously been cer- Number for each vehicle for which in- tified in accordance with part 567 of formation is reported under this chapter. § 585.86(b)(2) until December 31, 2013. § 585.94 Definitions. § 585.88 Petition to extend period to file report. Production year means the 12-month A manufacturer may petition for ex- period between September 1 of one year tension of time to submit a report and August 31 of the following year, in- under this Part. A petition will be clusive. granted only if the petitioner shows § 585.95 Response to inquiries. good cause for the extension and if the extension is consistent with the public (a) Production year ending August 31, interest. The petition must be received 2010. At any time during the produc- not later than 15 days before expiration tion year, each manufacturer must, of the time stated in § 585.86(a). The fil- upon request from the Office of Vehicle ing of a petition does not automati- Safety Compliance, provide informa- cally extend the time for filing a re- tion identifying the vehicles (by make, port. The petition must be submitted model and vehicle identification num- to: Administrator, National Highway ber) that have been certified as com- Traffic Safety Administration, 400 Sev- plying with § 571.202a without regard to enth Street, SW., Washington, DC any option to comply with the stand- 20590. ard in § 571.202 or with the European regulations referenced in S4.3(a) of § 571.202. Subpart J—Head Restraints Phase- (b) Production year ending August 31, in Reporting Requirements 2011. At any time during the production year, each manufacturer must, SOURCE: 72 FR 25523, May 4, 2007, unless upon request from the Office of Vehicle otherwise noted. Safety Compliance, provide information identifying the vehicles (by make, § 585.91 Scope. model and vehicle identification num- This subpart establishes require- ber) that have been certified as comments for manufacturers of passenger plying with the requirements specified cars, multipurpose passenger vehicles, in § 571.202a for rear head restraints. trucks and buses with a GVWR of 4,536 kg or less to submit a report, and § 585.96 Reporting requirements. maintain records related to the report, (a) Production year ending August 31, concerning the number of vehicles that 2010—(1) General reporting requirements. meet the requirements of Standard No. Within 60 days after the end of the pro- 202a. duction year ending August 31, 2010, each manufacturer must submit a re- § 585.92 Purpose. port to the National Highway Traffic The purpose of these reporting re- Safety Administration concerning its quirements is to assist the National compliance with the head restraint re- Highway Traffic Safety Administration quirements specified in § 571.202a, within determining whether a manufac- out regard to any option to comply turer has complied with Standard No. with the standard in § 571.202 or with 202a. the European regulations referenced in S4.3(a) of § 571.202, for its passenger § 585.93 Applicability. cars, trucks, buses and multipurpose This subpart applies to manufactur- passenger vehicles produced in that ers of passenger cars, multipurpose year. The report must provide the in- passenger vehicles, trucks and buses formation specified in paragraph (2) of with a GVWR of 4,536 kg or less. How- this section and in § 585.2 of this part. ever, it does not apply to manufactur- (2) Report content—(i) Basis for phase- ers whose production consists exclu- in production goals. Each manufacturer

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must provide the number of passenger that has not previously manufactured cars and multipurpose passenger vehi- these vehicles for sale in the United cles, trucks and buses with a GVWR of States must report the number of such 4,536 kg or less manufactured for sale vehicles manufactured during the pro- in the United States. The number must duction period on or after September 1, be either the manufacturer’s average 2010 and before September 1, 2011. annual production of vehicles manufac- (ii) Production. Each manufacturer tured on or after September 1, 2007 and must report for the production year before September 1, 2010, or, at the ending August 31, 2011: The total num- manufacturer’s option, the manufac- ber of passenger cars, multipurpose turer’s production on or after Sep- passenger vehicles, trucks, and buses tember 1, 2009 and before September 1, with a gross vehicle weight rating of 2010. A new manufacturer that has not 4,536 kg or less that meet the rear head previously manufactured these vehicles restraint requirements of § 571.202a. for sale in the United States must report the number of such vehicles manu- § 585.97 Records. factured during the production period Each manufacturer must maintain beginning on or after September 1, 2009 records of the Vehicle Identification and before September 1, 2010. Number for each vehicle for which in- (ii) Production. Each manufacturer formation is reported under § 585.96 must report for the production year until December 31, 2007. ending August 31, 2010: The total number of passenger cars, multipurpose passenger vehicles, trucks, and buses Subpart L—Roof Crush Resistance with a gross vehicle weight rating of Phase-in Reporting Requirements 4,536 kg or less that meet § 571.202a, without regard to any option to com- SOURCE: 74 FR 22387, May 12, 2009, unless ply with the standard in § 571.202 or otherwise noted. with the European regulations referenced in S4.3(a) of § 571.202. § 585.111 Scope. (b) Production year ending August 31, This subpart establishes require- 2011—(1) General reporting requirements. ments for manufacturers of passenger Within 60 days after the end of the pro- cars, multipurpose passenger vehicles, duction year ending August 31, 2011, trucks, and buses with a gross vehicle each manufacturer must submit a re- weight rating of 2,722 kilograms (6,000 port to the National Highway Traffic pounds) or less to submit a report, and Safety Administration concerning its maintain records related to the report, compliance with the rear head re- concerning the number of such vehicles straint requirements specified in that meet the requirements of Stand- § 571.202a. The report must provide the ard No. 216a; Roof crush resistance; Up- information specified in paragraph (2) graded standard (49 CFR 571.216a). of this section and in § 585.2 of this part. § 585.112 Purpose. (2) Report content—(i) Basis for phase- in production goals. Each manufacturer The purpose of these reporting re- must provide the number of passenger quirements is to assist the National cars and multipurpose passenger vehi- Highway Traffic Safety Administration cles, trucks and buses with a GVWR of in determining whether a manufac- 4,536 kg or less manufactured for sale turer has complied with Standard No. in the United States with rear head re- 216a (49 CFR 571.216a). straints. The number must be either the manufacturer’s average annual pro- § 585.113 Applicability. duction of vehicles with rear head re- This subpart applies to manufactur- straints manufactured on or after Sep- ers of passenger cars, multipurpose tember 1, 2008 and before September 1, passenger vehicles, trucks, and buses 2011, or, at the manufacturer’s option, with a gross vehicle weight rating of the manufacturer’s production on or 2,722 kilograms (6,000 pounds) or less. after September 1, 2010 and before Sep- However, this subpart does not apply tember 1, 2011. A new manufacturer to manufacturers whose production

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consists exclusively of vehicles manu- period covered by the report and the factured in two or more stages, and ve- basis for that statement; hicles that are altered after previously (5) Provide the information specified having been certified in accordance in paragraph (b) of this section; with part 567 of this chapter. In addi- (6) Be written in the English lan- tion, this subpart does not apply to guage; and manufacturers whose production of (7) Be submitted to: Administrator, motor vehicles for the United States National Highway Traffic Safety Ad- market is less than 5,000 vehicles in a ministration, 1200 New Jersey Avenue, production year. SE., Washington, DC 20590. (b) Report content—(1) Basis for state- § 585.114 Definitions. ment of compliance. Each manufacturer For the purposes of this subpart: must provide the number of passenger Production year means the 12-month cars, multipurpose passenger vehicles, period between September 1 of one year trucks, and buses with a gross vehicle and August 31 of the following year, in- weight rating of 2,722 kilograms (6,000 clusive. pounds) or less, manufactured for sale in the United States for each of the § 585.115 Response to inquiries. three previous production years, or, at At any time prior to August 31, 2018, the manufacturer’s option, for the cur- each manufacturer must, upon request rent production year. A new manufac- from the Office of Vehicle Safety Com- turer that has not previously manufac- pliance, provide information identi- tured these vehicles for sale in the fying the vehicles (by make, model, United States must report the number and vehicle identification number) that of such vehicles manufactured during have been certified as complying with the current production year. Standard No. 216a (49 CFR 571.216a). (2) Production. Each manufacturer The manufacturer’s designation of a must report for the production year for vehicle as a certified vehicle is irrev- which the report is filed: the number of ocable. Upon request, the manufacturer passenger cars, multipurpose passenger also must specify whether it intends to vehicles, trucks, and buses with a gross utilize carry-forward credits, and the vehicle weight rating of 2,722 kilograms vehicles to which those credits relate. (6,000 pounds) or less that meet Stand- ard No. 216a (49 CFR 571.216a). § 585.116 Reporting requirements. (3) Statement regarding compliance. (a) General reporting requirements. Each manufacturer must provide a Within 60 days after the end of the pro- statement regarding whether or not duction years ending August 31, 2013, the manufacturer complied with the re- August 31, 2014, and August 31, 2015, quirements of Standard No. 216a (49 each manufacturer must submit a re- CFR 571.216a) as applicable to the pe- port to the National Highway Traffic riod covered by the report, and the Safety Administration concerning its basis for that statement. This state- compliance with Standard No. 216a (49 ment must include an explanation con- CFR 571.216a) for its passenger cars, cerning the use of any carry-forward multipurpose passenger vehicles, credits. trucks, and buses with a gross vehicle (4) Vehicles produced by more than one weight rating of less than 2,722 kilo- manufacturer. Each manufacturer grams (6,000 pounds) produced in that whose reporting of information is af- year. Each report must — fected by one or more of the express (1) Identify the manufacturer; written contracts permitted by S8.6.2 (2) State the full name, title, and ad- of Standard No. 216a (49 CFR 571.216a) dress of the official responsible for pre- must: paring the report; (i) Report the existence of each con- (3) Identify the production year being tract, including the names of all par- reported on; ties to the contract, and explain how (4) Contain a statement regarding the contract affects the report being whether or not the manufacturer com- submitted. plied with the requirements of Stand- (ii) Report the actual number of vehi- ard No. 216a (49 CFR 571.216a) for the cles covered by each contract.

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§ 585.117 Records. cient precision to give repetitive and Each manufacturer must maintain correlative results under similar test records of the Vehicle Identification conditions and to reflect adequately Number for each vehicle for which in- the protective performance of a motor formation is reported under vehicle or item of motor vehicle equip- § 585.116(b)(2) until December 31, 2018. ment with respect to human occupants § 587.3 Application. PART 586 [RESERVED] This part does not in itself impose duties or liabilities on any person. It is PART 587—DEFORMABLE BARRIERS a description of tools that are used in compliance tests to measure the per- Subpart A—General formance of occupant protection sys- Sec. tems required by the safety standards 587.1 Scope. that refer to these tools. It is designed 587.2 Purpose. to be referenced by, and become part 587.3 Application. of, the test procedures specified in motor vehicle safety standards such as Subpart B—Side Impact Moving Standard No. 208, Occupant Crash Pro- Deformable Barrier tection, and Standard No. 214, Side Im- 587.4 Definitions. pact Protection. 587.5 Incorporated materials. [65 FR 17199, Mar. 31, 2000] 587.6 General description. 587.7–587.10 [Reserved] Subpart B—Side Impact Moving Subpart C—Offset Deformable Barrier Deformable Barrier 587.11 [Reserved] 587.12 Incorporation by reference. § 587.4 Definitions. 587.13 General description. All terms defined in section 102 of the 587.14 Deformable face component dimen- National Traffic and Motor Vehicle sions and material specifications. Safety Act (15 U.S.C. 1391) are used in 587.15 Verification of aluminum honeycomb crush strength. their statutory meaning. 587.16 Adhesive bonding procedure. 587.17 Construction. § 587.5 Incorporated materials. 587.18 Dimensions of fixed rigid barrier. (a) The drawings and specifications 587.19 Mounting. referred to in this regulation that are FIGURES TO SUBPART C not set forth in full are hereby incor- AUTHORITY: 49 U.S.C. 322, 30111, 30115, 30117, porated in this part by reference. These and 30166; delegation of authority at 49 CFR materials are thereby made part of this 1.50. regulation. The Director of the Federal SOURCE: 55 FR 45779, Oct. 30, 1990, unless Register has approved the materials in- otherwise noted. corporated by reference. For materials subject to change, only the specific EDITORIAL NOTE: Nomenclature changes to part 587 appear at 69 FR 18803, Apr. 9, 2004. version approved by the Director of the Federal Register and specified in the Subpart A—General regulation are incorporated. A notice of any change will be published in the § 587.1 Scope. FEDERAL REGISTER. As a convenience to the reader, the materials incor- This part describes deformable im- porated by reference are listed in the pact barriers that are to be used for Finding Aid Table found at the end of testing compliance of motor vehicles this volume of the Code of Federal Reg- with motor vehicle safety standards. ulations. [65 FR 17198, Mar. 31, 2000] (b) The drawings and specifications incorporated in this part by reference § 587.2 Purpose. are available for examination in the The design and performance criteria general reference section of Docket 79– specified in this part are intended to 04, Docket Section, National Highway describe measuring tools with suffi- Traffic Safety Administration, Room

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5109, 400 Seventh Street, SW., Wash- drawings shown in DSL–1290, dated Oc- ington, DC 20590. Copies may be ob- tober 1991. tained from Rowley-Scher (c) In configuration 2 (with two cam- Reprographics, Inc., 1111 14th Street, eras and camera mounts, a light trap NW., Washington, DC 20005, telephone vane, and ballast reduced), the moving (202) 628–6667 or (202) 408–8789. The draw- deformable barrier (crabbable axle), in- ings and specifications are also on file cluding the impact surface, supporting in the reference library of the Office of structure, and carriage, weighs 3,015 the Federal Register, National Ar- pounds, has a track width of 74 inches, chives and Records Administration, and has a wheelbase of 102 inches. Washington, DC. (d) In configuration 2, the moving deformable barrier has the following cen- § 587.6 General description. ter of gravity: (a) The moving deformable barrier X=44.2 inches rear of front axle consists of component parts and com- Y=0.3 inches left of longitudinal center ponent assemblies which are described line in drawings and specifications that are Z=19.7 inches from ground. set forth in this § 587.6 of this chapter (e) The moving deformable barrier (incorporated by reference; see § 587.5). has the following moment of inertia: (b) The moving deformable barrier specifications are provided in the draw- Pitch=1669 ft-lb-sec2 ings shown in DSL–1278 through DSL– Roll=375 ft-lb-sec2 1287, except DSL–1282, and the drawing Yaw=1897 ft-lb-sec2 shown in DSL–1290 (DSL–1278 through [55 FR 45779, Oct. 30, 1990; 56 FR 47011, Sept. DSL–1287, except for DSL–1282, and 17, 1991, as amended at 57 FR 7558, Mar. 3, DSL–1290 are incorporated by ref- 1992; 68 FR 44472, July 29, 2003] erence; see § 587.5). (1) The specifications for the final as- §§ 587.7–587.10 [Reserved] sembly of the moving deformable barrier are provided in the drawings shown Subpart C—Offset Deformable in DSL–1278, dated June 2002. Barrier (2) The specifications for the frame assembly of the moving deformable SOURCE: 65 FR 17199, Mar. 31, 2000, unless barrier are provided in the drawings otherwise noted. shown in DSL–1281, dated August 20, 1980. § 587.11 [Reserved] (3) The specifications for the face of the moving deformable barrier are pro- § 587.12 Incorporation by reference. vided in the drawings shown in DSL– Society of Automotive Engineers 1285, dated October 1991, and DSL–1286, (SAE) Recommended Practice J211/1 dated August 20, 1980. Rev. MAR 95, Instrumentation for Im- (4) The specifications for the ballast pact Tests-Part 1—Electronic Instru- installation and details concerning the mentation, is incorporated by reference ballast plate are provided in drawings in § 587.15 in accordance with 5 U.S.C. shown in DSL–1279 and DSL–1280, both 552(a) and 1 CFR part 51. A copy may be dated August 20, 1980. obtained from SAE at Society of Auto- (5) The specifications for the hub as- motive Engineers, Inc., 400 Common- sembly and details concerning the wealth Drive, Warrendale, PA 15096. A brake are provided in drawings shown copy of the material may be inspected in DSL–1283, dated October 1991. at NHTSA’s Docket Section, 400 Sev- (6) The specifications for the rear enth Street, S.W., room 5109, Wash- guide assembly are provided in draw- ington, DC, or at the National Archives ings shown in DSL–1284, dated August and Records Administration (NARA). 20, 1980. For information on the availability of (7) The specifications for the research this material at NARA, call 202–741– axle assembly are provided in drawings 6030, or go to: http://www.archives.gov/ shown in DSL–1287, dated October 1991. federallregister/ (8) The specifications for the compli- codeloflfederallregulations/ ance axle assembly are provided in ibrllocations.html.

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§ 587.13 General description. (1) Dimensions. The backing sheet has The offset deformable barrier is com- a height of 800 mm (31.5 in), a width of prised of two elements: a fixed rigid 1,000 mm (39.4 in), and a thickness of 2.0 ± barrier and a deformable face (Figure mm (0.08 in) 0.1 mm (0.004 in). 1). The fixed rigid barrier is adequate (2) Material. The backing sheet is to not deflect or displace more than 10 manufactured out of aluminum 5251/ mm during the vehicle impact. The de- 5052. formable face consists of aluminum (d) Cladding sheet. honeycomb and aluminum covering. (1) Dimensions. The cladding sheet of the main honeycomb block has a total § 587.14 Deformable face component length of 1,700 mm (66.9 in), a width of dimensions and material specifica- 1,000 mm (39.4 in), and a thickness of tions. 0.81 mm (0.03 in) ±0.07 mm (0.003 in). It The dimensions of the deformable is shaped as indicated in Figure 1. face are illustrated in Figure 1 of this (2) Material. The cladding sheet of the subpart. The dimensions and materials main honeycomb block is manufac- of the individual components are listed tured out of aluminum 5251/5052. separately below. All dimensions allow (e) Bumper element honeycomb fac- a tolerance of ±2.5 mm (0.1 in) unless ing sheet. otherwise specified. (1) Dimensions. The bumper facing (a) Main honeycomb block. sheet has a height of 330 mm (13 in), a (1) Dimensions. The main honeycomb width of 1,000 mm (39.4 in), and a thick- block has a height of 650 mm (25.6 in) ness of 0.81 mm (0.03 in) ±0.07 mm (0.003 (in the direction of honeycomb ribbon in). axis), a width of 1,000 mm (39.4 in), and (2) Material. The bumper element a depth of 450 mm (17.7 in)(in the direc- honeycomb facing sheet is manufac- tion of honeycomb cell axis). tured out of aluminum 5251/5052. (2) Material. The main honeycomb (f) Adhesive. The adhesive used block is constructed of the following throughout is a two-part polyurethane. material. The honeycomb is manufac- (such as Ciba-Geigy XB5090/1 resin with tured out of aluminum 3003, with a foil XB5304 hardener, or equivalent). thickness of 0.076 mm (0.003 in) ±0.004 mm (0.002 in) a cell size of 19.14 mm § 587.15 Verification of aluminum hon- (0.75 in), a density of 28.6 kg/m3 (1.78 lb/ eycomb crush strength. ft3) ±2kg/m3 (0.25 1b/ft3), and a crush The following procedure is used to as- strength of 0.342 MPa (49.6 psi) + certain the crush strength of the main 0%¥10%, measured in accordance with honeycomb block and the bumper ele- the certification procedure described in ment honeycomb, as specified in § 587.15. §§ 587.14(a)(2) and 587.14(b)(2). (b) Bumper element honeycomb. (a) Sample locations. To ensure uni- (1) Dimensions. The bumper element formity of crush strength across the honeycomb has a height of 330 mm (13 whole of the deformable face, 8 samples in)(in the direction of honeycomb rib- are taken from 4 locations evenly bon axis), a width of 1,000 mm (39.4 in), spaced across the honeycomb material. and a depth of 90 mm (3.5 in) (in the di- Seven of these 8 samples must meet the rection of honeycomb cell axis). crush strength requirements when test- (2) Material. The bumper element ed in accordance with the following honeycomb is constructed of the fol- sections. The location of the samples lowing material. The honeycomb is depends on the size of the honeycomb manufactured out of aluminum 3003, material being tested. Four samples, with a foil thickness of 0.076 mm (0.003 each measuring 300 mm (11.8 in) × 300 in) ±0.004 mm (0.0002 in), a cell size of mm (11.8 in) × 25 mm (1 in) thick are 6.4 mm (0.25 in) ±1 mm (0.040 in), a den- cut from the honeycomb material. (See sity of 82.6 kg/m3 (5.15 lb/ft3) ±3 kg/m3 Figure 2 for how to locate these sam- (0.19 lb/ft3), and a crush strength of ples on two different sizes of honey- 1.711 MPa (248 psi) + 0% ¥10%, meas- comb material.) Each of these larger ured in accordance with the certifi- samples is cut into samples of the size cation procedure described in § 587.14. specified in § 587.15(b). Verification is (c) Backing sheet. based on the testing of two samples

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from each of the four locations. The [F(n)1++ ... F(n)m] other two samples are retained for fu- F(n) = ;n = 13,2, ture verification, if necessary. m (b) Sample size. Samples of the fol- where m represents the number of lowing size are used for testing. The data points measured in each of the length is 150 mm (5.9 in) ±6 mm (0.24 three intervals. Calculate the crush in), the width is 150 mm (5.9 in) ±6 mm strength of each section as follows: (0.24 in), and the thickness is 25 mm (1 in) ±2 mm (0.08 in). The walls of incom- F(n) plete cells around the edge of the sam- S(n) ==;n 13,2, ple are trimmed as follows (See Figure A 3). In the width (‘‘W’’) direction, the (f) Sample crush strength specification. fringes (‘‘f’’) are no greater than 1.8 For a honeycomb sample to meet crush mm (0.07 in); in the length (‘‘L’’) direc- strength requirements, the following tion, the fringes (‘‘e’’) are at least half condition must be met. For the 0.342 the length of one bonded cell wall (‘‘d’’) MPa (49.6 psi) material, the strength (in the ribbon direction). must be equal to or greater than 0.308 MPa (45 psi) but less than or equal to (c) Area measurement. The length of 0.342 MPa (49.6 psi) for all three com- the sample is measured in three loca- pression intervals. For the 1.711 MPa tions, 12.7 mm (0.5 in) from each end (248 psi) material the strength must be and in the middle, and recorded as L1, equal to or greater than 1.540 MPa (223 L2, and L3 (Figure 3). In the same man- psi) but less than or equal to 1.711 MPa ner, the width is measured and re- (248 psi) for all three compression in- corded as W1, W2, and W3 (Figure 3). tervals. These measurements are taken on the (g) Testing hardware. (1) The hardware centerline of the thickness. The crush used to verify crush strength is capable area is then calculated as: of applying a load of 13.3 kN (3,000 lb), (L1++ L2 L3) (W1 + W2 + W3) over at least a 16.5 mm (0.65 in) stroke. A = X 33 The crush rate is constant and known. To ensure that the load is applied to the entire sample, the top and bottom (d) Crush rate and distance. The sam- crush plates are no smaller than 165 ple is crushed at a rate of not less than mm by 165 mm (6.5 in × 6.5 in). The en- 5.1 mm/min (0.2 in/ min) and not more gaging surfaces of the crush plates than 7.6 mm/min (0.29 in/min). The min- have a roughness approximately equiv- imum crush distance is 16.5 mm (0.65 alent to 60 grit sandpaper. The bottom in). Force versus deflection data are crush plate is marked to ensure that collected in either analog or digital the applied load is centered on the form for each sample tested. If analog sample. data are collected, a means of con- (2) The crush plate assemblies have verting the data to digital data must an average angular rigidity (about axes be made available. All digital data are normal to the direction of crush) of at collected at a rate consistent with SAE least 1017 Nm/deg (750 ft-lb/deg), over Recommended Practice J211/1 Rev. the range of 0 to 203 Nm (0 to 150 ft-lb) MAR 95 (see § 587.12). applied torque. (e) Crush strength determination. Ig- nore all data prior to 6.4 mm (0.25 in) of § 587.16 Adhesive bonding procedure. crush and after 16.5 mm (0.65 in) of Immediately before bonding, alu- crush. Divide the remaining data into minum sheet surfaces to be bonded are three sections or displacement inter- thoroughly cleaned using a suitable vals (n = 1, 2, 3) (see Figure 4) as fol- solvent, such as 1-1-1 Trichloroethane. lows. Interval one is from 6.4–9.7 mm This is carried out at least twice and (0.25–0.38 in) deflection, inclusive. In- more often if required to eliminate terval two is from 9.7–13.2 mm (0.38–0.52 grease or dirt deposits. The cleaned in) deflection, exclusive. Interval three surfaces are abraded using 120 grit ab- is from 13.2–16.5 mm (0.52–0.65 in) de- rasive paper. Metallic/silicon carbide flection, inclusive. Find the average for abrasive paper is not to be used. The each section as follows: surfaces are thoroughly abraded and

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the abrasive paper changed regularly bottom edge of the flange. The holes during the process to avoid clogging, are spaced at 100 mm (3.9 in), 300 mm which could lead to a polishing effect. (11.8 in), 500 mm (19.7 in), 700 mm (27.5 Following abrading, the surfaces are in), 900 mm (35.4 in) horizontally, from thoroughly cleaned again, as above. In either edge of the barrier. All holes are total, the surfaces are solvent-cleaned drilled within ±1 mm (0.04 in) of the at least four times. All dust and depos- nominal distances. its left as a result of the abrading process are removed, as these can adversely § 587.18 Dimensions of fixed rigid bar- affect bonding. The adhesive is applied rier. to one surface only, using a ribbed rub- (a) The fixed rigid barrier has a mass ber roller. In cases where honeycomb is of not less than 7 × 104 to be bonded to aluminum sheet, the kg (154,324 lb). adhesive is applied to the aluminum (b) The height of the fixed rigid bar- sheet only. A maximum pressure of 0.5 rier is at least as high as the highest kg/m2 (11.9 lb/ft2) is applied evenly over point on the vehicle at the intersection the surface, giving a maximum film of the vertical transverse plane tan- thickness of 0.5 mm (0.02 in). gent to the forwardmost point of both front tires, when the tires are parallel § 587.17 Construction. to the longitudinal centerline of the (a) The main honeycomb block is vehicle, and the vertical plane through bonded to the backing sheet with adhe- the longitudinal centerline of the vehi- sive such that the cell axes are perpen- cle. dicular to the sheet. The cladding sheet is adhesively bonded to the front sur- § 587.19 Mounting. face of the main honeycomb block. The (a) The deformable face is rigidly at- top and bottom surfaces of the cladding tached to the edge of the fixed rigid sheet are not bonded to the main hon- barrier or to some rigid structure at- eycomb block but are positioned close tached thereto. The front of the fixed to it. The cladding sheet is adhesively rigid barrier to which the deformable bonded to the backing sheet at the face is attached is flat (continuous over mounting flanges. The bumper element the height and width of the face and honeycomb is adhesively bonded to the ± ± front of the cladding sheet such that vertical 1 degree and perpendicular 1 the cell axes are perpendicular to the degree to the axis of the run-up track). sheet. The bottom of the bumper ele- The edge of the deformable face is ment honeycomb is flush with the bot- aligned with the edge of the fixed rigid tom surface of the cladding sheet. The barrier appropriate for the side of the bumper facing sheet is adhesively vehicle to be tested. bonded to the front of the bumper ele- (b) The deformable face is attached ment honeycomb. to the fixed rigid barrier by means of (b) The bumper element honeycomb ten bolts, five in the top mounting is divided into three equal sections by flange and five in the bottom, such means of two horizontal slots. These that the bottom of the bumper element slots are cut through the entire depth honeycomb is 200 mm (7.8 in) ±15 mm of the bumper element and extend the (0.6 in) from the ground. These bolts whole width of the bumper. The slots are at least 8 mm (0.3 in) in diameter. are cut using a saw; their width is the Steel clamping strips are used for both width of the blade used which do not the top and bottom mounting flanges exceed 4.0 mm (0.16 in). (Figure 1). These strips are 60 mm (2.4 (c) Clearance holes for mounting the in) high and 1000 mm (39.4 in) wide and deformable face are drilled in the clad- have thickness of at least 3 mm (0.12 ding sheet mounting flanges (shown in in). Five clearance holes of 20 mm (0.8 Figure 5). The holes are 20 mm (0.79 in) in) diameter are drilled in both strips in diameter. Five holes are drilled in the top flange at a distance of 40 mm to correspond with those in the mount- (1.57 in) from the top edge of the flange ing flange on the deformable face clad- and five holes in the bottom flange at ding sheet (see § 586.17(c)). a distance of 40 mm (1.6 in) from the

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FIGURES TO SUBPART C OF PART 587

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PART 588—CHILD RESTRAINT SYS- § 588.1 Scope. TEMS RECORDKEEPING REQUIRE- This part establishes requirements MENTS for manufacturers of child restraint systems to maintain lists of the names Sec. and addresses of child restraint owners. 588.1 Scope. 588.2 Purpose. § 588.2 Purpose. 588.3 Applicability. The purpose of this part is to aid 588.4 Definitions. manufacturers in contacting the own- 588.5 Records. ers of child restraints during notifica- 588.6 Record retention. tion campaigns conducted in accord- AUTHORITY: 49 U.S.C. 322, 30111, 30115, 30117, ance with 49 CFR part 577, and to aid and 30166; delegation of authority at 49 CFR the National Highway Traffic Safety 1.50. Administration in determining wheth- SOURCE: 57 FR 41438, Sept. 10, 1992, unless er a manufacturer has met its recall re- otherwise noted. sponsibilities.

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§ 588.3 Applicability. the date of manufacture of that restraint system. This part applies to manufacturers of child restraint systems, except factory- installed built-in restraints. PARTS 589–590 [RESERVED]

§ 588.4 Definitions. PART 591—IMPORTATION OF VEHI- (a) Statutory definitions. All terms de- CLES AND EQUIPMENT SUBJECT fined in section 102 of the National TO FEDERAL SAFETY, BUMPER Traffic and Motor Vehicle Safety Act AND THEFT PREVENTION STAND- (15 U.S.C. 1391) are used in their statu- ARDS tory meaning. (b) Motor Vehicle Safety Standard defi- Sec. nitions. Unless otherwise indicated, all 591.1 Scope. terms used in this part that are defined 591.2 Purpose. in the Motor Vehicle Safety Standards, 591.3 Applicability. 591.4 Definitions. part 571 of this subchapter (hereinafter 591.5 Declarations required for importation. ‘‘the Standards’’), are used as defined 591.6 Documents accompanying declara- in the Standards. tions. (c) Definitions used in this part. 591.7 Restrictions on importations. Child restraint system is used as de- 591.8 Conformance bond and conditions. fined in S4 of 49 CFR 571.213, Child Re- 591.9 Petitions for remission or mitigation of forfeiture. straint Systems. 591.10 Offer of cash deposits or obligations Factory-installed built-in child restraint of the United States in lieu of sureties on system is used as defined in S4 of 49 bonds. CFR 571.213. APPENDIX A TO PART 591—SECTION 591.5(f) Owners include purchasers. BOND FOR THE ENTRY OF A SINGLE VEHI- Registration form means the form pro- CLE vided with a child restraint system in APPENDIX B TO PART 591—SECTION 591.5(f) BOND FOR THE ENTRY OF MORE THAN A compliance with the requirements of 49 SINGLE VEHICLE CFR 571.213, and any communication APPENDIX C TO PART 591—POWER OF ATTOR- from an owner of a child restraint to NEY AND AGREEMENT the manufacturer that provides the re- AUTHORITY: Pub. L. 100–562, 49 U.S.C. 322(a), straint’s model name or number and 30117, 30141–30147; delegation of authority at the owner’s name and mailing address. 49 CFR 1.50. § 588.5 Records. SOURCE: 54 FR 40078, Sept. 29, 1989, unless otherwise noted. Each manufacturer, or manufacturer’s designee, shall record and main- § 591.1 Scope. tain records of the owners of child re- This part establishes procedures gov- straint systems who have submitted a erning the importation of motor vehi- registration form. The record shall be cles and motor vehicle equipment sub- in a form suitable for inspection such ject to the Federal motor vehicle safe- as computer information storage de- ty, bumper, and theft prevention stand- vices or card files, and shall include the ards. names, mailing addresses, and if collected, se-mail addresses of the owners, [55 FR 11378, Mar. 28, 1990] and the model name or number and § 591.2 Purpose. date of manufacture (month, year) of the owner’s child restraint systems. The purpose of this part is to ensure that motor vehicles and motor vehicle [70 FR 53579, Sept. 9, 2005] equipment permanently imported into the United States conform with theft § 588.6 Record retention. prevention standards issued under part Each manufacturer, or manufactur- 541 of this chapter and that they con- er’s designee, shall maintain the infor- form with, or are brought into con- mation specified in § 588.5 of this part formity with, all applicable Federal for a registered restraint system for a motor vehicle safety standards issued period of not less than six years from under part 571 of this chapter and

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bumper standards issued under part 581 (2) Wrecked, destroyed, or damaged, of this chapter. The purpose of this to which an insurance company ac- part is also to ensure that noncon- quires ownership pursuant to a damage forming vehicles and equipment items settlement (other than a damage set- imported on a temporary basis are ulti- tlement in connection with a recovered mately either exported or abandoned to theft vehicle unless such motor vehicle the United States. sustained sufficient damage to meet the 75 percent threshold specified in [55 FR 11378, Mar. 28, 1990] the first sentence); or (3) Voluntarily designated as such by § 591.3 Applicability. its owner, without regard to the extent This part applies to any person offer- of the motor vehicle’s damage and re- ing a motor vehicle or item of motor pairs. vehicle equipment for importation into the United States. [54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990; 55 FR 11378, Mar. 28, [55 FR 11378, Mar. 28, 1990] 1990; 59 FR 52097, Oct. 14, 1994; 60 FR 57954, Nov. 24, 1995; 69 FR 52092, Aug. 24, 2004] § 591.4 Definitions. § 591.5 Declarations required for im- All terms used in this part that are portation. defined in 49 U.S.C. 30102, 32101, 32301, No person shall import a motor vehi- 32502, and 33101 are used as defined in cle or item of motor vehicle equipment those sections except that the term into the United States unless, at the ‘‘model year’’ is used as defined in part time it is offered for importation, its 593 of this chapter. importer files a declaration, in dupli- Administrator means the Adminis- cate, which declares one of the fol- trator of NHTSA. lowing: NHTSA means the National Highway (a)(1) The vehicle was not manufac- Traffic Safety Administration of the tured primarily for use on the public Department of Transportation. roads and thus is not a motor vehicle Dutiable value means entered value, subject to the Federal motor vehicle as determined by the Secretary of the safety, bumper, and theft prevention Treasury. standards; or Original manufacturer means the enti- (2) The equipment item is not a sys- ty responsible for the original manu- tem, part, or component of a motor ve- facture or assembly of a motor vehicle, hicle and thus is not an item of motor and does not include any person (other vehicle equipment subject to the Fed- than such entity) who converts the eral motor vehicle safety, bumper, and motor vehicle after its manufacture to theft prevention standards. conformance with the Federal motor (b) The vehicle or equipment item vehicle safety standards. conforms with all applicable safety Reconstructed motor vehicle means a standards (or the vehicle does not con- motor vehicle whose body is less than form solely because readily attachable 25 years old and which is mounted on a equipment items which will be at- chassis or frame that is not its original tached to it before it is offered for sale chassis or frame and that is less than to the first purchases for purposes 25 years old. other than resale are not attached), Salvage motor vehicle means a motor and bumper and theft prevention vehicle, whether or not repaired, which standards, and bears a certification has been: label or tag to that effect permanently (1) Wrecked, destroyed, or damaged, affixed by the original manufacturer to to the extent that the total estimated the vehicle, or by the manufacturer to or actual cost of parts and labor to re- the equipment item or its delivery con- build or reconstruct the motor vehicle tainer, in accordance with, as applica- to its pre-accident condition and for ble, parts 541, 555, 567, 568, and 581, or legal operation on the streets, roads, or 571 (for certain equipment items) of highways, exceeds 75 percent of its re- this chapter. tail value at the time it was wrecked, (c) The vehicle or equipment item destroyed, or damaged; or does not comply with all applicable

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Federal motor vehicle safety, bumper, porter who has registered with NHTSA and theft prevention standards, but is pursuant to part 592 of this chapter and intended solely for export, and the ve- whose registration has not been sus- hicle or equipment item, and the out- pended or revoked; and the Adminis- side of the container of the equipment trator has determined pursuant to part item, if any, bears a label or tag to 593 of this chapter that the model and that effect. model year of the vehicle to be im- (d) The vehicle does not conform with ported is eligible for importation into all applicable Federal motor vehicle the United States; and safety, bumper, and theft prevention (3) The vehicle is not a salvage motor standards, but the importer is eligible vehicle or a reconstructed motor vehi- to import it because: cle. (1) (S)he is a nonresident of the (g) (For importations for personal use United States and the vehicle is reg- only) The vehicle was certified by its istered in a country other than the original manufacturer as complying United States, with all applicable Canadian motor ve- (2) (S)he is temporarily importing hicle safety standards and its original the vehicle for personal use for a period manufacturer has informed NHTSA not to exceed one year, and will not that it complies with all applicable sell it during that time, Federal motor vehicle safety, bumper, (3) (S)he will export it not later than and theft prevention standards, or that the end of one year after entry, and it complies with all such standards ex- (4) The declaration contains the im- cept for the labeling requirements of porter’s passport number and country Federal Motor Vehicle Safety Stand- of issue. ards Nos. 101 and 110 or 120, and/or the (e) The vehicle or equipment item re- specifications of Federal Motor Vehicle quires further manufacturing oper- Safety Standard No. 108 relating to ations to perform its intended func- daytime running lamps. The vehicle is tion, other than the addition of readily not a salvage motor vehicle, a repaired attachable equipment items such as salvage motor vehicle, or a recon- mirrors, wipers, or tire and rim assem- structed motor vehicle. blies, or minor finishing operations (h) The vehicle does not conform such as painting, and any part of such with all applicable Federal motor vehi- vehicle that is required to be marked cle safety, bumper, and theft preven- by part 541 of this chapter is marked in tion standards, but the importer is eli- accordance with that part. gible to import it because (s)he: (f) The vehicle does not conform with (1)(i) Is a member of the personnel of all applicable Federal motor vehicle a foreign government on assignment in safety and bumper standards (but does the United States, or a member of the conform with all applicable Federal Secretariat of a public international theft prevention standards), but the organization so designated under the importer is eligible to import it be- International Organization Immunities cause: Act, and within the class of persons for (1) The importer has furnished a bond whom free entry of motor vehicles has in an amount equal to 150% of the duti- been authorized by the Department of able value of the vehicle, containing State; the terms and conditions specified in (ii) Is importing the motor vehicle on section 591.8; and a temporary basis for the personal use (2)(i) The importer has registered of the importer, and will register it with NHTSA pursuant to part 592 of through the Office of Foreign Missions this chapter, and such registration has of the Department of State; not been revoked or suspended, and the (iii) Will not sell the vehicle to any Administrator has determined pursu- person in the United States, other than ant to part 593 of this chapter that the a person eligible to import a vehicle model and model year of the vehicle to under this paragraph; and be imported is eligible for importation (iv) Will obtain from the Office of into the United States; or Foreign Missions of the Department of (ii) The importer has executed a con- State, before departing the United tract or other agreement with an im- States at the conclusion of a tour of

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duty, an ownership title to the vehicle § 591.6 Documents accompanying dec- good for export only; or larations. (2)(i) Is a member of the armed forces Declarations of eligibility for impor- of a foreign country on assignment in tation made pursuant to § 591.5 must be the United States; accompanied by the following certifi- (ii) Is importing the vehicle on a cation and documents, where applica- temporary basis, and for the personal ble. use of the importer; (a) A declaration made pursuant to (iii) Will not sell the vehicle to any § 591.5(a) shall be accompanied by a person in the United States, other than statement substantiating that the ve- to a person eligible to import a vehicle hicle was not manufactured for use on under this subsection; and the public roads, or that the equipment (iv) Will export the vehicle upon de- item was not manufactured for use on parting the United States at the con- a motor vehicle or is not an item of clusion of a tour of duty. motor vehicle equipment. (i)(1) The vehicle is 25 or more years (b) A declaration made pursuant to old. § 591.5(e) shall be accompanied by: (2) The equipment item was manufac- (1) (For a motor vehicle) a document tured on a date when no applicable meeting the requirements of § 568.4 of safety or theft prevention standard was part 568 of this chapter. in effect. (2) (For an item of motor vehicle (j)(1) The vehicle or equipment item equipment) a written statement issued by the manufacturer of the equipment does not conform with all applicable item which states the applicable Fed- Federal motor vehicle safety and eral motor vehicle safety standard(s) bumper standards, but is being im- with which the equipment item is not ported solely for the purpose of: in compliance, and which describes the (i) Research; further manufacturing required for the (ii) Investigations; equipment item to perform its in- (iii) Show or display; tended function. (iv) Demonstrations or training; or (c) A declaration made pursuant to (v) Competitive racing events; paragraph (f) of § 591.5, and under a (2)(i) The importer has received writ- bond for the entry of a single vehicle, ten permission from NHTSA; or shall be accompanied by a bond in the (ii) The importer is an original manu- form shown in appendix A to this part, facturer of motor vehicles (or a wholly in an amount equal to 150% of the duti- owned subsidiary thereof) that are cer- able value of the vehicle, or, if under tified to comply with all applicable bond for the entry of more than one ve- Federal motor vehicle safety stand- hicle, shall be accompanied by a bond ards; and in the form shown in appendix B to this part and by Customs Form CF 7501, for (3) The importer will provide the Ad- the conformance of the vehicle(s) with ministrator with documentary proof of all applicable Federal motor vehicle export or destruction not later than 30 safety and bumper standards, or, if days following the end of the period for conformance is not achieved, for the which the vehicle has been admitted delivery of such vehicles to the Sec- into the United States. retary of Homeland Security for export (k) The equipment item is subject to at no cost to the United Sates, or for the theft prevention standard, and is its abandonment. marked in accordance with the require- (d) A declaration made pursuant to ments of part 541 of this chapter. § 591.5(f) by an importer who is not a [54 FR 40078, Sept. 29, 1989, as amended at 55 Registered Importer shall be accom- FR 3747, Feb. 5, 1990; 55 FR 11378, Mar. 28, panied by a copy of the contract or 1990; 55 FR 17439, Apr. 25, 1990; 57 FR 2047, other agreement that the importer has Jan. 17, 1992; 57 FR 44703, Sept. 29, 1992; 59 FR with a Registered Importer to bring 31560, June 20, 1994; 64 FR 37882, July 14, 1999; the vehicle into conformance with all 69 FR 52092, Aug. 24, 2004] applicable Federal motor vehicle safety standards.

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(e) A declaration made pursuant to containing a full and complete state- § 591.5(h) shall be accompanied by a ment identifying the equipment item copy of the importer’s official orders, or the vehicle and its make, model, or, if a qualifying member of the per- model year or date of manufacture, sonnel of a foreign government on as- VIN, and mileage at the time the re- signment in the United States, the quest is made. The importer’s written name of the embassy to which the im- request to the Administrator shall ex- porter is accredited. plain why the vehicle or equipment (f) A declaration made pursuant to item is of historical or technological § 591.5(j) shall be accompanied by the interest. The importer shall also pro- following documentation: vide a statement that, until the vehicle (1) A declaration made pursuant to is not less than 25 years old, (s)he shall § 591.5(j)(1)(i), (ii), (iv), or (v) and not sell, or transfer possession of, or (j)(2)(i) shall be accompanied by a letter from the Administrator authorizing title to, the vehicle, and shall not li- importation pursuant to § 591.5(j)(1)(i), cense it for use, or operate it on the (ii), (iv), or (v) and (j)(2)(i). Any person public roads, except under such terms seeking to import a motor vehicle or and conditions as the Administrator motor vehicle equipment pursuant to may authorize. If the importer wishes these sections shall submit, in advance to operate the vehicle on the public of such importation, a written request roads, the request to the Administrator to the Administrator containing a full shall include a description of the pur- and complete statement identifying poses for which (s)he wishes to use it the vehicle or equipment, its make, on the public roads, a copy of an insur- model, model year or date of manufac- ance policy or a contract to acquire an ture, VIN if a motor vehicle, and the insurance policy, which contains as a specific purpose(s) of importation. The condition thereof that the vehicle will discussion of purpose(s) shall include a not accumulate mileage of more than description of the use to be made of the 2,500 miles in any 12-month period and vehicle or equipment. If use on the pub- a statement that the importer shall lic roads is an integral part of the pur- maintain such policy in effect until the pose for which the vehicle or equip- vehicle is not less than 25 years old, a ment is imported, the statement shall statement that the importer will allow request permission for use on the pub- the Administrator to inspect the vehi- lic roads, describing the purpose which cle at any time after its importation to makes such use necessary, and stating verify that the accumulated mileage of the estimated period of time during the vehicle is not more than 2,500 miles which use of the vehicle or equipment on the public roads is necessary. The in any 12-month period, and a state- request shall also state the intended ment that the vehicle will not be used means of final disposition, and disposi- on the public roads unless it is in com- tion date, of the vehicle or equipment pliance with the regulations of the En- after completion of the purposes for vironmental Protection Agency. which it is imported. The request shall (3) A declaration made pursuant to be addressed to Director, Office of Ve- § 591.5(j)(2)(ii) shall be accompanied by hicle Safety Compliance (NSA–32), Na- the written statement of its importer tional Highway Traffic Safety Admin- describing the use to be made of the ve- istration, Room 6111, 400 Seventh hicle or equipment item. If use on the Street, SW, Washington, DC 20590. public roads is an integral part of the (2) A declaration made pursuant to purpose for which the vehicle or equip- § 591.5(j)(1)(iii) and (j)(2)(i) shall be ac- ment item is imported, the statement companied by a letter from the Admin- shall describe the purpose which makes istrator authorizing importation pur- such use necessary, state the estimated suant to § 591.5(j)(1)(iii) and (j)(2)(i). period of time during which use of the Any person seeking to import a motor vehicle or equipment item on the pub- vehicle or motor vehicle equipment lic roads is necessary, and state the in- pursuant to those sections shall subtended means of final disposition (and mit, in advance of such importation, a disposition date) of the vehicle or written request to the Administrator

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equipment item after completion of the road use under § 591.5(j), or a change of purpose for which it is imported. status under paragraph (e) of this section, including a failure to allow in- [54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990; 55 FR 6994, Feb. 28, 1990; spection upon request to verify that 55 FR 11379, Mar. 28, 1990; 57 FR 2047, Jan. 17, the accumulated mileage of the vehicle 1992; 57 FR 29043, June 30, 1992; 58 FR 12908, is not more than 2,500 miles in any 12- Mar. 8, 1993; 59 FR 52097, Oct. 14, 1994; 60 FR month period, shall be considered a 57954, Nov. 24, 1995; 64 FR 37883, July 14, 1999; violation of 49 U.S.C. 30112(a) for which 69 FR 52092, Aug. 24, 2004] a civil penalty may be imposed. Such a violation will also act to void the au- § 591.7 Restrictions on importations. thorization and require the exportation (a) A vehicle or equipment item of the vehicle. With respect to importa- which has entered the United States tions under § 591.6(f)(2) or a change of under a declaration made pursuant to status to an importation for show or § 591.5(j), and for which a Temporary display as provided under paragraph (e) Importation Bond has been provided to of this section, if the Administrator the Secretary of the Treasury, shall has reason to believe that a violation not remain in the United States for a has occurred, the Administrator may period that exceeds 3 years from its tentatively conclude that a term of date of entry. entry has been violated, but shall make (b) If the importer of a vehicle or no final conclusion until the importer equipment item under § 591.5(j) does not or owner has been afforded an oppor- intend to export or destroy the vehicle tunity to present data, views, and argu- or equipment item not later than 3 ments as to why there is no violation years after the date of entry, and in- or why a penalty should not be im- tends to pay duty to the U.S. Customs posed. Service on such vehicle or equipment (e) If the importer of a vehicle under item, the importer shall request per- § 591.5(f)(2)(ii) has been notified in writ- mission in writing from the Adminis- ing by the Registered Importer with trator for the vehicle or equipment which it has executed a contract or item to remain in the United States for other agreement that the registration an additional period of time not to ex- of the Registered Importer has been ceed 5 years from the date of entry. suspended (for other than the first Such a request must be received not time) or revoked, pursuant to § 592.7 of later than 60 days before the date that this chapter, and that it has not affixed is 3 years after the date of entry. Such a certification label on the vehicle and/ vehicle or equipment item shall not re- or filed a certification of conformance main in the United States for a period with the Administrator as required by that exceeds 5 years from the date of § 592.6 of this chapter, and that it there- entry, unless further written permis- fore may not release the vehicle for the sion has been obtained from the Ad- importer, the importer shall execute a ministrator. contract or other agreement with an- (c) An importer of a vehicle which other Registered Importer for the cer- has entered the United States under a tification of the vehicle and submission declaration made pursuant to of the certification of conformance to § 591.5(j)(2)(i) shall not sell, or transfer the Administrator. The Administrator possession of, or title to, the vehicle, shall toll the 120-day period for submis- and shall not license it for use, or oper- sion of a certification to the Adminis- ate it on the public roads, except under trator pursuant to § 592.6(d) of this such terms and conditions as the Ad- chapter during the period from the ministrator may authorize in writing. date of the Registered Importer’s noti- An importer of a vehicle which has en- fication to the importer until the date tered the United States under a dec- of the contract with the substitute laration made pursuant to Registered Importer. § 591.5(j)(2)(ii) shall at all times retain [54 FR 40078, Sept. 29, 1989, as amended at 55 title to it. FR 6994, Feb. 28, 1990; 57 FR 2047, Jan. 17, (d) Any violation of a term or condi- 1992; 58 FR 12908, Mar. 8, 1993; 59 FR 31560, tion imposed by the Administrator in a June 20, 1994; 64 FR 37883, July 14, 1999; 69 FR letter authorizing importation for on- 52092, Aug. 24, 2004]

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§ 591.8 Conformance bond and condi- tified compliance of the vehicle to the tions. Administrator, unless the Adminis- (a) The bond required under section trator has notified the principal before 591.6(c) for importation of a vehicle not 30 calendar days that (s)he has accept- originally manufactured to conform ed the certification, and that the vehi- with all applicable standards issued cle and bond may be released, except under part 571 and part 581 of this chap- that no such release shall be permitted, ter shall cover only one motor vehicle, before or after the 30th calendar day, if and shall be in an amount equal to the principal has received written no- 150% of the dutiable value of the vehi- tice from the Administrator that an in- cle. However, a registered importer spection of the vehicle will be required may enter vehicles under a bond of a or that there is reason to believe that continuing nature that covers an in- such certification is false or contains a definite number of motor vehicles 150% misrepresentation; of whose total dutiable value at any (4) In the case of a Registered Im- point in time does not exceed $1,000,000. porter, to cause the vehicle to be avail- (b) The principal on the bond shall be able for inspection, if the principal has the importer of the vehicle. received written notice from the Ad- (c) The surety on the bond shall pos- ministrator that an inspection is re- sess a certificate of authority to under- quired. write Federal bonds. (See list of certifi- (5) In the case of a Registered Im- cated sureties at 54 FR 27800, June 30, porter, not to release the vehicle until 1989) the Administrator is satisfied with the (d) In consideration of the release certification and any modification from the custody of the Bureau of Cus- thereof, if the principal has received toms and Border Protection, or the written notice from the Administrator withdrawal from a Customs bonded that there is reason to believe that the warehouse into the commerce of, or for certification is false or contains a mis- consumption in, the United States, of a representation. motor vehicle not originally manufac- (6) If the principal has received writ- tured to conform to applicable stand- ten notice from the Administrator that ards issued under part 571 and part 581 the vehicle has been found not to com- of this chapter, the obligors (principal ply with all applicable Federal motor and surety) shall agree to the following vehicle safety and bumper standards, conditions of the bond: and written demand that the vehicle be (1) To have such vehicle brought into abandoned to the United States, or de- conformity with all applicable stand- livered to the Secretary of Homeland ards issued under part 571 and part 581 Security for export (at no cost to the of this chapter within the number of United States), or to abandon the vehi- days after the date of entry that the cle to the United States, or to deliver Administrator has established for such the vehicle, or cause the vehicle to be vehicle (to wit, 120 days); delivered to, the custody of the Bureau (2) In the case of a vehicle imported of Customs and Border Protection at pursuant to section 591.5(f), to file (or if the port of entry listed above, or to not a Registered Importer, to cause the any other port of entry, and to secure Registered Importer of the vehicle to all documents necessary for expor- file) with the Administrator, a certifi- tation of the vehicle from the United cate that the vehicle complies with States at no cost to the United States, each Federal motor vehicle safety and or in default of abandonment or rede- bumper standard in the year that the livery after prior notice by the Admin- vehicle was manufactured and which istrator to the principal, to pay to the applies in such year to the vehicle; or Administrator the amount of the bond. (3) In the case of a Registered Im- (e) If the principal defaults on the ob- porter, not to release custody of the ve- ligation of paragraph (d)(6) of this sec- hicle to any person for license or reg- tion, to abandon the vehicle to the istration for use on public roads, United States or to redeliver the vehi- streets, or highways, or license or reg- cle to the custody of a District Direc- ister the vehicle from the date of entry tor of Customs and to execute all docu- until 30 calendar days after it has cer- ments necessary for its exportation,

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the obligors shall pay to the Adminis- within 120 days, shall refer the matter trator the amount of the bond given to the Department of Justice. under the provisions of this section. [55 FR 11380, Mar. 28, 1990, as amended at 59 [55 FR 11379, Mar. 28, 1990, as amended at 59 FR 31560, June 20, 1994] FR 31560, June 20, 1994; 69 FR 52092, Aug. 24, 2004] § 591.10 Offer of cash deposits or obligations of the United States in lieu § 591.9 Petitions for remission or miti- of sureties on bonds. gation of forfeiture. (a) In lieu of sureties on any bond re- (a) After a bond has been forfeited, a quired under § 591.6(c), an importer may principal and/or a surety may petition offer United States money, United for remission of forfeiture. A principal States bonds (except for savings bonds), United States certificates of in- and/or surety may petition for mitiga- debtedness, Treasury notes, or Treas- tion of forfeiture only if the motor ve- ury bills in an amount equal to the hicle has been imported pursuant to amount of the bond. paragraph 591.5(f) and the condition not (b) At the time the importer deposits met relates to the compliance of a pas- any obligation of the United States, senger motor vehicle with part 581 of other than United States money, with this chapter. the Administrator, (s)he shall deliver a (b) A petition for remission or miti- duly executed power of attorney and gation shall: agreement, in the form shown in ap- (1) Be addressed to the Adminis- pendix C to this part, authorizing the trator, identified as either a petition Administrator or delegate of the Ad- for remission or for mitigation, sub- ministrator, in case of any default in mitted in triplicate, and signed by the the performance of any of the condi- principal and/or the surety. tions of the bond, to sell the obligation (2) State the make, model, model so deposited, and to apply the proceeds year, and VIN of the vehicle involved, of sale, in whole or in part, to the sat- and contain the Customs Entry number isfaction of any penalties for violations under which the vehicle entered the of 49 U.S.C. 30112 and 49 U.S.C. 32506 United States. arising by reasons of default. (3) State the facts and circumstances (c) If the importer deposits money of the United States with the Adminis- relied on by the petitioner to justify trator, the Administrator, or delegate remission or mitigation. of the Administrator, may apply the (4) Be filed within 30 days from the cash, in whole or in part, to the satis- date of the mailing of the notice of for- faction of any penalties for violations feiture incurred. of 49 U.S.C. 30112 and 49 U.S.C. 32506 (c) A false statement contained in a arising by reason of default. petition may subject the petitioner to prosecution under the provisions of 18 [58 FR 12908, Mar. 8, 1993, as amended at 59 FR 52097, Oct. 14, 1994] U.S.C. 1001. (d) If the Administrator finds that all APPENDIX A TO PART 591—SECTION conditions of the bond have, in fact, 591.5(f) BOND FOR THE ENTRY OF A been fulfilled, the forfeiture is remit- SINGLE VEHICLE ted. (e) A decision to mitigate a forfeiture Department of Transportation upon condition that a stated amount is National Highway Traffic Safety paid shall be effective for not more Administration than 60 days from the date of notice to BOND TO ENSURE CONFORMANCE WITH the petitioner of such decision. If pay- FEDERAL MOTOR VEHICLE SAFETY ment of the stated amount is not made, AND BUMPER STANDARDS or arrangements made for delayed or installment payment, the full claim of (To redeliver vehicle, to produce documents, to perform conditions of release such as to forfeiture shall be deemed applicable. bring vehicle into conformance with all ap- The Administrator shall collect the plicable Federal motor vehicle safety and claim, or, if unable to collect the claim bumper standards)

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Know All Men by These Presents That sonable time after such importation, as spec- (principal’s name, mailing address which in- ified by the Administrator of the National cludes city, state, ZIP code, and state of in- Highway Traffic Safety Administration (the corporation if a corporation), as principal, ‘‘Administrator’’); and (surety’s name, mailing address which (2) The principal shall then file, or if not a includes city, state, ZIP code and state of in- Registered Importer, shall then cause the corporation), as surety, are held and firmly Registered Importer of the vehicle to file, bound unto the UNITED STATES OF AMER- with the Administrator, a certificate that ICA in the sum of (bond amount in words) the vehicle complies with each Federal dollars ($ (bond amount in numbers)), which motor vehicle safety standard in the year represents 150% of the entered value of the that the vehicle was manufactured and following described motor vehicle, as deter- which applies in such year to the vehicle, mined by the Bureau of Customs and Border and that the vehicle complies with the Fed- Protection: (make, model, model year, and eral bumper standard (if applicable); VIN) for the payment of which we bind our- (3) The principal, if a Registered Importer, selves, our heirs, executors, and assigns shall not release custody of the vehicle to (jointly and severally), firmly bound by any person for license or registration for use these presents. on public roads, streets, or highways, or license or register the vehicle from the date of WITNESS our hands and seals thislllday entry until 30 calendar days after it has cer- oflll, 20ll. tified compliance of the vehicle to the Ad- WHEREAS, motor vehicles may be entered ministrator, unless the Administrator noti- under the provisions of 49 U.S.C. Chapters 301 fies the principal before 30 calendar days and 325; and DOT Form HS–7 ‘‘Declaration;’’ that (s)he has accepted such certification and the vehicle and bond may be released, WHEREAS, pursuant to 49 CFR part 591, a except that no such release shall be per- regulation promulgated under the provisions mitted, before or after the 30th calendar day, of 49 U.S.C. Chapter 301, the above-bounden if the principal has received written notice principal desires to import permanently the from the Administrator that an inspection of motor vehicle described above, which is a such vehicle will be required, or that there is motor vehicle that was not originally manu- reason to believe that such certification is factured to conform to the Federal motor ve- false or contains a misrepresentation. hicle safety or bumper standards; and (4) And if the principal has received writ- WHEREAS, pursuant to 49 CFR part 592, a ten notice from the Administrator that an regulation promulgated under the provisions inspection is required, the principal shall of 49 U.S.C. Chapter 301, the above-bounden cause the vehicle to be available for inspec- principal has been granted the status of Reg- tion, and the vehicle and bond shall be istered Importer of motor vehicles not origi- promptly released after completion of an in- nally manufactured to conform to the Fed- spection showing no failure to comply. How- ever, if the inspection shows a failure to eral motor vehicle safety and bumper stand- comply, the vehicle and bond shall not be re- ards (or, if not a Registered Importer, has a leased until such time as the failure to com- contract with a Registered Importer cov- ply ceases to exist; ering the vehicle described above); and (5) And if the principal has received writ- WHEREAS, pursuant to 49 CFR part 593, a ten notice from the Administrator that there regulation promulgated under 49 U.S.C. is reason to believe that the certificate is Chapter 301, the Administrator of the Na- false or contains a misrepresentation, the ve- tional Highway Traffic Safety Administra- hicle or bond shall not be released until the tion has decided that the motor vehicle de- Administrator is satisfied with the certifi- scribed above is eligible for importation into cation and any modification thereof; the United States; and (6) And if the principal has received written notice from the Administrator that the WHEREAS, the motor vehicle described vehicle has been found not to comply with above has been imported at the port of all applicable Federal motor vehicle safety lllll, and entered at said port for con- and bumper standards, and written demand sumption on entry No.lll, datedlll, that the vehicle be abandoned to the United 20ll; States, or delivered to the Secretary of NOW, THEREFORE, THE CONDITION OF Homeland Security for export (at no cost to THIS OBLIGATION IS SUCH THAT— the United States), the principal shall aban- (1) The above-bounden principal (the don the vehicle to the United States, or shall ‘‘principal’’), in consideration of the perma- deliver the vehicle, or cause the vehicle to be nent admission into the United States of the delivered to, the custody of the Bureau of motor vehicle described above (the ‘‘vehi- Customs and Border Protection at the port cle’’), voluntarily undertakes and agrees to of entry listed above, or any other port of have such vehicle brought into conformity entry, and shall execute all documents nec- with all applicable Federal motor vehicle essary for exportation of the vehicle from safety and bumper standards within a rea- the United States, at no cost to the United

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States; or in default of abandonment or rede- cludes city, state, ZIP code, and state of in- livery after proper notice by the Adminis- corporation if a corporation), as principal, trator to the principal, the principal shall and (surety’s name, mailing address which pay to the Administrator the amount of this includes city, state, ZIP code and state of in- obligation; corporation) as surety, are held and firmly Then this obligation shall be void; other- bound unto the UNITED STATES OF AMER- wise it shall remain in full force and effect. ICA in the sum of (bond amount in words) Signed, sealed, and delivered in the presence dollars ($ (bond amount in numbers)), which of— represents 150% of the entered value of the following described motor vehicle, as deter- llllllllllllllllllllllll mined by the Bureau of Customs and Border Name Address Protection (make, model, model year, and lllllll(SEAL) VIN of each vehicle) for the payment of (Principal) which we bind ourselves, our heirs, executors, and assigns (jointly and severally), llllllllllllllllllllllll firmly bound by these presents. Name Address WITNESS our hands and seals this lll day llllllllllllllllllllllll of lll, 20ll. Name Address WHEREAS, motor vehicles may be entered lllllll(SEAL) under the provisions of 49 U.S.C. Chapters 301 (Surety) and 325; and DOT Form HS–7 ‘‘Declaration,’’ llllllllllllllllllllllll WHEREAS, pursuant to 49 CFR part 591, a regulation promulgated under the provisions Name Address of 49 U.S.C. Chapter 301, the above-bounden CERTIFICATE AS TO CORPORATE principal desires to import permanently the PRINCIPAL motor vehicles described above, which are motor vehicles that were not originally man- I, llllll certify that I am the llll ufactured to conform to the Federal motor of the corporation named as principal in the vehicle safety, or bumper, or theft preven- within bond; that lllll, who signed the tion standards; and bond on behalf of the principal, was then WHEREAS, pursuant to 49 CFR part 592, a lllllll of said corporation; that I regulation promulgated under the provisions know his/her signature, and his/her signature of 49 U.S.C. Chapter 301, the above-bounden thereto is genuine; and that said bond was principal has been granted the status of Reg- duly signed, sealed, and attested for and in istered Importer of motor vehicles not origi- behalf of said corporation by authority of its nally manufactured to conform to the Fed- governing body. eral motor vehicle safety, bumper, and theft lllllll[Corporate Seal] To be used when a power of attorney has prevention standards; and been filed with NHTSA. May be executed by WHEREAS, pursuant to 49 CFR part 593, a secretary, assistant secretary, or other offi- regulation promulgated under 49 U.S.C. cer. Chapter 301, the Administrator of the Na- tional Highway Traffic Safety Administra- [55 FR 11380, Mar. 28, 1990, as amended at 59 tion has decided that each motor vehicle de- FR 52097, Oct. 14, 1994; 69 FR 52093, Aug. 24, scribed above is eligible for importation into 2004] the United States; and APPENDIX B TO PART 591—SECTION WHEREAS, the motor vehicles described 591.5(f) BOND FOR THE ENTRY OF above have been imported at the port of lll, and entered at said port for consump- MORE THAN A SINGLE VEHICLE tion on entry No. llll, dated DEPARTMENT OF TRANSPORTATION lllllllll l, 20ll; NOW, THEREFORE, THE CONDITION OF NATIONAL HIGHWAY TRAFFIC SAFETY THIS OBLIGATION IS SUCH THAT— ADMINISTRATION (1) The above-bounden principal (‘‘the prin- BOND TO ENSURE CONFORMANCE WITH cipal’’), in consideration of the permanent FEDERAL MOTOR VEHICLE SAFETY admission into the United States of the AND BUMPER STANDARDS motor vehicles described above, voluntarily undertakes and agrees to have such vehicles (To redeliver vehicles, to produce docu- brought into conformity with all applicable ments, to perform conditions of release such Federal motor vehicle safety and bumper as to bring vehicles into conformance with standards within a reasonable time after all applicable Federal motor vehicle safety such importation, as specified by the Admin- and bumper standards) istrator of the National Highway Traffic Know All Men by These Presents That Safety Administration (the ‘‘Adminis- (principal’s name, mailing address which in- trator’’);

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(2) For each vehicle described above (‘‘such shall pay to the Administrator an amount vehicle’’), the principal shall then file, with equal to 150% of the entered value of such ve- the Administrator, a certificate that such hicle as determined by the Bureau of Cus- vehicle complies with each Federal motor toms and Border Protection; vehicle safety standard in the year that such Then this obligation shall be void; other- vehicle was manufactured and which applies wise it shall remain in full force and effect. in such year to such vehicle, and that such [At this point the terms agreed upon be- vehicle complies with the Federal bumper tween the principal and surety for termi- standard (if applicable); nation of the obligation may be entered] (3) The principal shall not release custody Signed, sealed and delivered in the pres- of any vehicle to any person, or license or ence of register the vehicle, from the date of entry llllllllllllllllllllllll until 30 calendar days after it has certified compliance of such vehicle to the Adminis- PRINCIPAL: (name and address) trator, unless the Administrator notifies the llllllllllllllllllllllll principal before 30 days that (s)he has accepted such certification and such vehicle (Signature) (SEAL) and all liability under this bond for such ve- llllllllllllllllllllllll hicle may be released, except that no such release shall be permitted, before or after (Printed name and title) the 30th calendar day, if the principal has re- llllllllllllllllllllllll ceived written notice from the Adminis- trator that an inspection of such vehicle will SURETY: (name and address) be required, or that there is reason to believe llllllllllllllllllllllll that such certification is false or contains a misrepresentation. (Signature) (4) And if the principal has received writ- llllllllllllllllllllllll ten notice from the Administrator that an inspection of such vehicle is required, the (Printed name and title) principal shall cause such vehicle to be [60 FR 57954, Nov. 24, 1995, as amended at 69 available for inspection, and such vehicle FR 52093, Aug. 24, 2004] and all liability under this bond for such vehicle shall be promptly released after com- APPENDIX C TO PART 591—POWER OF pletion of an inspection showing no failure to comply. However, if the inspection shows ATTORNEY AND AGREEMENT a failure to comply, such vehicle and all li- lllllll does constitute and appoint ability under this bond for such vehicle shall the Administrator of the National Highway not be released until such time as the failure Traffic Safety Administration, United States to comply ceases to exist; Department of Transportation, or delegate, (5) And if the principal has received writ- as attorney for the undersigned, for and in ten notice from the Administrator that there the name of the undersigned to collect or to is reason to believe that such certificate is sell, assign, and transfer the securities de- false or contains a misrepresentation, such scribed below as follows: vehicle and all liability under this bond for such vehicle shall not be released until the Title Administrator is satisfied with such certifi- Matures cation and any modification thereof; Int. Rate (6) And if the principal has received writ- Denom. ten notice from the Administrator that such Serial # vehicle has been found not to comply with Coupon/registered all applicable Federal motor vehicle safety The securities having been deposited by it and bumper standards, and written demand as security for the performance of the agree- that such vehicle be abandoned to the United ments undertaken in a bond with the United States, or delivered to the Secretary of States, executed on the date of lllll , Homeland Security for export (at no cost to lll, the terms and conditions of which are the United States), the principal shall aban- incorporated by reference into this power of don such vehicle to the United States, or attorney and agreement and made a part shall deliver such vehicle, or cause such ve- hereof. The undersigned agrees that in case hicle to be delivered to, the custody of the of any default in the performance of any of Bureau of Customs and Border Protection at the agreements the attorney shall have full the port of entry listed above, or any other power to collect the securities or any part port of entry, and shall execute all docu- thereof, or to sell, assign, and transfer the ments necessary for exportation of such ve- securities or any part thereof, or to sell, as- hicle from the United States, at no cost to sign, and transfer the securities of any part the United States; or in default of abandon- thereof at public or private sale, without no- ment or redelivery after proper notice by the tice, free from any equity of redemption and Administrator to the principal, the principal without appraisement or valuation, notice

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and right to redeem being waived and to § 592.2 Purpose. apply the proceeds of the sale or collection in whole or in part to the satisfaction of any The purpose of this part is to provide obligation arising by reason of default. The content and format requirements for undersigned further agrees that the author- persons who wish to register with the ity granted by this agreement is irrevocable. Administrator as importers of motor The undersigned ratifies and confirms what- vehicles not originally manufactured ever the attorney shall do by virtue of this to conform to all applicable Federal agreement. motor vehicle safety standards, to pro- Witnessed and signed this lllll day of vide procedures for the registration f , . lllll lll importers and for the suspension, rev- llllllllllllllllllllllll ocation and reinstatement of registra- Before me, the undersigned, a notary pub- tion, and to set forth the duties re- lic within and for the County of llllll quired of Registered Importers. in the State of llllll, personally ap- peared lllllll and acknowledged the § 592.3 Applicability. execution of the foregoing power of attorney. This part applies to any person who Witness my hand and notarial seal this wishes to register with the Adminis- lllll day of lllll, 199l. trator as an importer of nonconforming [Notarial seal] vehicles, and to any person who is reg- Notary Public llllllll istered as an importer. [58 FR 12909, Mar. 8, 1993] § 592.4 Definitions. All terms in this part that are de- PART 592—REGISTERED IMPORTERS fined in 49 U.S.C. 30102 and 30125 are OF VEHICLES NOT ORIGINALLY used as defined therein. MANUFACTURED TO CONFORM Administrator means the Adminis- TO THE FEDERAL MOTOR VEHICLE trator, National Highway Traffic Safe- SAFETY STANDARDS ty Administration. Independent insurance company means Sec. an entity that is registered with any 592.1 Scope. State and authorized by that State to 592.2 Purpose. conduct an insurance business includ- 592.3 Applicability. ing the issuance or underwriting of a 592.4 Definitions. service insurance policy, none of whose 592.5 Requirements for registration and its affiliates, shareholders, officers, direc- maintenance. tors, or employees, or any person in af- 592.6 Duties of a registered importer. finity with such, is employed by, or has 592.7 Suspension, revocation, and reinstate- a financial interest in, or otherwise ment of suspended registration. controls or participates in the business 592.8 Inspection; release of vehicle and of, a Registered Importer to which it bond. issues or underwrites a service insur- 592.9 Forfeiture of bond. ance policy. AUTHORITY: Pub. L. 100–562, 49 U.S.C. 322(a), NHTSA means the National Highway 30117, 30141–30147; delegation of authority at Traffic Safety Administration. 49 CFR 1.50. Principal, with respect to a Registered SOURCE: 54 FR 40090, Sept. 29, 1989, unless Importer, means any officer of a cor- otherwise noted. poration, a general partner of a partnership, or the sole proprietor of a sole § 592.1 Scope. proprietorship. The term includes a director of an incorporated Registered This part establishes procedures Importer, and any person whose owner- under 49 U.S.C. 30141(c) for the registra- ship interest in a Registered Importer tion of importers of motor vehicles is 10% or more. that were not originally manufactured Registered Importer means any person to comply with all applicable Federal that the Administrator has registered motor vehicle safety standards. This as an importer pursuant to section part also establishes the duties of Reg- 592.5(b). istered Importers. Safety recall means a notification and [59 FR 52098, Oct. 14, 1994] remedy campaign conducted pursuant

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to 49 U.S.C. 30118–30120 to address a partners and limited partners; if one or noncompliance with a Federal motor more of the partners is a corporation, vehicle safety standard or a defect that the application must include the infor- relates to motor vehicle safety. mation specified by either paragraph Service insurance policy means any (a)(4)(iii) or (iv) of this section, as ap- policy issued or underwritten by an plicable; independent insurance company which (iii) If the applicant is a non-public covers a specific motor vehicle and corporation, the application must in- guarantees that any noncompliance clude the full name, street address, and with a Federal motor vehicle safety date of birth of each officer, director, standard or defect related to motor ve- manager, and person who is authorized hicle safety determined to exist in that to sign documents on behalf of the cor- vehicle will be remedied without poration. The application must also in- charge to the owner of the vehicle. clude the name of any person who owns [54 FR 40090, Sept. 29, 1989, as amended at 59 or controls 10 percent or more of the FR 52098, Oct. 14, 1994; 69 FR 52094, Aug. 24, corporation. The applicant must also 2004] provide a statement issued by the Of- fice of the Secretary of State, or other § 592.5 Requirements for registration responsible official of the State in and its maintenance. which the applicant is incorporated, (a) Any person wishing to register as certifying that the applicant is a cor- an importer of motor vehicles not poration in good standing; originally manufactured to conform to (iv) If the applicant is a public cor- all applicable Federal motor vehicle poration, the applicant must include a safety standards must file an applica- copy of its latest 10–K filing with the tion which: Securities and Exchange Commission, (1) Is headed with the words ‘‘Appli- and provide the name and address of cation for Registration as Importer’’, any person who is authorized to sign and submitted in three copies to: Ad- documents on behalf of the corpora- ministrator, National Highway Traffic tion; Safety Administration, Room 6115, 400 (v) Contains a statement that the ap- 7th Street SW., Washington, DC 20590, plicant has never had a registration re- Attn: NEF–32 Importer Registration. voked pursuant to § 592.7, nor is it, nor (2) Is written in the English lan- was it, directly or indirectly, owned or guage. controlled by, or under common owner- (3) Sets forth the full name, street ship or control with, a Registered Im- address, and title of the person pre- porter that has had a registration re- paring the application, and the full voked pursuant to § 592.7; and name, street address, e-mail address (if (vi) Identifies any shareholder, offi- any), and telephone and facsimile ma- cer, director, employee, or any person chine (if any) numbers in the United in affinity with such, who has been pre- States of the person for whom applica- viously affiliated with another Reg- tion is made (the ‘‘applicant’’). istered Importer in any capacity. If (4) Specifies the form of the appli- any such persons are identified, the ap- cant’s organization (i.e., sole propri- plicant shall state the name of each etorship, partnership, or corporation) such Registered Importer and the af- and the State under which it is orga- filiation of any identified person. nized, and: (5) Includes the following: (i) If the applicant is an individual, (i) The street address and telephone the application must include the full number in the United States of each of name, street address, and date of birth its facilities for conformance, storage, of the individual. and repair that the applicant will use (ii) If the applicant is a partnership, to fulfill its duties as a Registered Im- the application must include the full porter and where the applicant will name, street address, and date of birth maintain the records it is required by of each partner; if one or more of the this part to keep; partners is a limited partnership, the (ii) The street address that the appli- application must include the names cant designates as its mailing address and street addresses of the general (in addition, an applicant may list a

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post office box, provided that it is in mined to exist in any such motor vehi- the same city as the street address des- cle in accordance with part 573 and ignated as its mailing address); part 577 of this chapter. If the applica- (iii) A copy of the applicant’s busi- tion is accompanied by a copy of a con- ness license or other similar document tract to acquire such a policy, the ap- issued by an appropriate State or local plicant shall provide NHTSA with a authority, authorizing it to do business copy of the policy within 10 days after as an importer, or modifier, or seller of it has been issued to the applicant. motor vehicles, as applicable to the ap- (9) Sets forth in full complete de- plicant and with respect to each facil- scriptive information, views, and argu- ity that the applicant has identified ments sufficient to establish that the pursuant to paragraph (a)(5)(i) of this applicant: section, or a statement by the appli- (i) Is technically able to modify any cant that it has made a bona fide in- nonconforming motor vehicle to con- quiry and is not required by such State form to all applicable Federal motor or local authority to have such a li- vehicle safety and bumper standards, cense or document; including but not limited to the profes- (iv) The name of each principal of the sional qualifications of the applicant applicant whom the applicant author- and its employees at the time of the izes to submit conformity certifi- application (such as whether any such cations to NHTSA and the street ad- persons have been certified as mechan- dress of the repair, storage, or con- ics), and a description of their experi- formance facility where each such ence in conforming and repairing vehi- principal will be located; and cles; (v) If an applicant is a corporation (ii) Owns or leases one or more facili- not organized under the laws of a State ties sufficient in nature and size to re- of the United States, or is a sole pro- pair, conform, and store the vehicles prietorship or partnership located out- for which it provides certification of side the United States, the application conformance to NHTSA and which it must be accompanied by the appli- imports and may hold pending release cant’s designation of an agent for serv- of conformance bonds, including a copy ice of process in the form specified by of a deed or lease evidencing ownership Section 551.45 of this chapter. or tenancy for each such facility, still (6) Contains a statement that the ap- or video photographs of each such facil- plicant has never had a registration re- ity, the street address and telephone voked pursuant to § 592.7, nor is it or number of each such facility; was it, directly or indirectly, owned or (iii) Is financially and technically controlled by, or under common owner- able to provide notification of and to ship or control with, a person who has remedy a noncompliance with a Fed- had a registration revoked pursuant to eral motor vehicle safety standard or a § 592.7. defect related to motor vehicle safety (7) Contains a certified check payable determined to exist in the vehicles that to the Treasurer of the United States, it imports and/or for which it provides for the amount of the initial annual fee certification of conformity to NHTSA established pursuant to part 594 of this through repair, repurchase or replace- chapter. ment of such vehicles; and (8) Contains a copy of a contract to (iv) Is able to acquire and maintain acquire, effective upon its registration information regarding the vehicles as an importer, a prepaid mandatory that it imported and the names and ad- service insurance policy underwritten dresses of owners of the vehicles that it by an independent insurance company, imported and/or for which it provided or a copy of such policy, in an amount certifications of conformity to NHTSA that equals $2,000 for each motor vehi- in order to notify such owners when a cle for which the applicant will furnish noncompliance or a defect related to a certificate of conformity to the Ad- motor vehicle safety has been deter- ministrator, for the purpose of ensur- mined to exist in such vehicles. ing that the applicant will be able fi- (10) Segregates and specifies any part nancially to remedy any noncompli- of the information and data submitted ance or safety related defect deter- under this part that the applicant

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wishes to have withheld from public forms the applicant in writing and disclosure in accordance with part 512 issues it a Registered Importer Num- of this chapter. ber. (11) Contains the statement: ‘‘I cer- (e)(1) The Administrator shall deny tify that I have read and understood registration to any applicant who (s)he the duties of a Registered Importer, as decides does not comply with the reset forth in 49 CFR 592.6, and that quirements of paragraph (a) of this sec- [name of applicant] will fully comply tion and to an applicant whose pre- with each such duty. I further certify vious registration has been revoked. that all the information provided in The Administrator also may deny reg- this application is true and correct. I istration to an applicant that is or was further certify that I understand that, owned or controlled by, or under com- in the event the registration for which mon ownership or control with, or in it is applying is suspended or revoked, affinity with, a Registered Importer or lapses, [name of applicant] will re- whose registration has been revoked. main obligated to notify owners and to In determining whether to deny an ap- remedy noncompliances or safety re- plication, the Administrator may con- lated defects, as required by 49 CFR sider whether the applicant is com- 592.6(j), for each vehicle for which it prised in whole or in part of relatives, has furnished a certificate of con- employees, major shareholders, part- formity to the Administrator.’’ ners, or relatives of former partners or (12) Has the applicant’s signature ac- major shareholders, of a Registered Im- knowledged by a notary public. porter whose registration was revoked. (b) If the application is incomplete, (2) If the Administrator denies an ap- the Administrator notifies the appli- plication, (s)he informs the applicant cant in writing of the information that in writing of the reasons for denial and is needed for the application to be com- that the applicant is entitled to a re- plete and advises that no further ac- fund of that component of the initial tion will be taken on the application annual fee representing the remaining until the applicant has furnished all costs of administration of the registra- the information needed. tion program, but not those compo- (c) If the Administrator deems it nec- nents of the initial annual fee rep- essary for a determination upon the ap- resenting the costs of processing the plication, NHTSA conducts an inspec- application, and, if applicable, the tion of the applicant. Subsequent to costs of conducting an inspection of the inspection, NHTSA calculates the the applicant’s facilities. costs attributable to such inspection, (3) Within 30 days from the date of and notifies the applicant in writing the denial, the applicant may submit a that such costs comprise a component petition for reconsideration. The appli- of the initial annual fee and must be cant may submit information and/or paid before a determination is made documentation supporting its request. upon its application. If the Administrator grants registra- (d) When the application is complete tion as a result of the request, (s)he no- (and, if applicable, when the applicant tifies the applicant in writing and has paid a sum representing the inspec- issues it a Registered Importer Num- tion component of the initial annual ber. If the Administrator denies reg- fee), the Administrator reviews the ap- istration, (s)he notifies the applicant in plication and decides whether the ap- writing and refunds that component of plicant has complied with the require- the initial annual fee representing the ments prescribed in paragraph (a) of remaining costs of administration of this section. The Administrator shall the registration program, but does not base this decision on the application refund those components of the initial and upon any inspection NHTSA may annual fee representing the costs of have conducted of the applicant’s con- processing the application, and, if ap- formance, storage, and recordkeeping plicable, the costs of conducting an in- facilities and any assessment of the ap- spection. plicant’s personnel. If the Adminis- (f) In order to maintain its registra- trator decides that the applicant com- tion, a Registered Importer must file plies with the requirements, (s)he in- an annual statement. The Registered

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Importer must affirm in its annual suant to paragraph (e) of this section, statement that all information pro- within 120 calendar days after such vided in its application or pursuant to entry. For each motor vehicle, the Reg- § 592.6(q), or as may have been changed istered Importer must furnish to the in any notification that it has provided Secretary of Homeland Security at the to the Administrator in compliance time of importation a bond in an with § 592.6(l), remains correct, and amount equal to 150 percent of the du- that it continues to comply with the tiable value of the vehicle, as deter- requirements for being a Registered mined by the Secretary of Homeland Importer. The Registered Importer Security, to ensure that such vehicle must include with its annual state- either will be brought into conformity ment a current copy of its service in- with all applicable Federal motor vehi- surance policy. Such statement must cle safety and bumper standards or will be titled ‘‘Yearly Statement of Reg- be exported (at no cost to the United istered Importer,’’ and must be filed States) by the importer or the Sec- not later than September 30 of each retary of Homeland Security or aban- year. A Registered Importer must also doned to the United States. However, if pay any annual fee, and any other fee the Registered Importer has procured a that is established under part 594 of continuous entry bond, it must furnish this chapter. An annual fee must be the Administrator with such bond, and paid not later than September 30 of any must furnish the Secretary of Home- calendar year for the fiscal year that land Security (acting on behalf of the begins on October 1 of that calendar Administrator) with a photocopy of year. The Registered Importer must such bond and Customs Form CF 7501 pay any other fee not later than 15 at the time of importation of each days after the date of the written no- motor vehicle. tice from the Administrator. (b) Establish, maintain, and retain, (g) A registration granted under this for 10 years from the date of entry, at part is not transferable. the facility in the United States it has (h) An applicant whose application is identified in its application pursuant pending on September 30, 2004, and to § 592.5 (a)(5)(i), for each motor vehi- which has not provided the information cle for which it furnishes a certificate required by paragraph (a) of this sec- of conformity, the following records, tion, as amended, must provide all the including correspondence and other information required by that sub- documents, in hard copy format: section before the Administrator will (1) The declaration required by § 591.5 give further consideration to the appli- of this chapter. cation. (2) All vehicle or equipment purchase [54 FR 40090, Sept. 29, 1989, as amended at 54 or sales orders or agreements, conform- FR 47088, Nov. 9, 1989; 55 FR 37330, Sept. 11, ance agreements between the Reg- 1990; 69 FR 52094, Aug. 24, 2004; 70 FR 57801, istered Importer and persons who im- Oct. 4, 2005] port motor vehicles for personal use, and correspondence between the Reg- § 592.6 Duties of a registered importer. istered Importer and the owner or pur- Each Registered Importer must: chaser of the vehicle. (a) With respect to each motor vehi- (3) The make, model, model year, cle that it imports into the United odometer reading, and VIN of each ve- States, assure that the Administrator hicle that it imports and the last has decided that the vehicle is eligible known name and address of the owner for importation pursuant to part 593 of or purchaser of the vehicle. this chapter, prior to such importation. (4) Records, including photographs The Registered Importer must also and other documents, sufficient to bring such vehicle into conformity identify the vehicle and to substantiate with all applicable Federal motor vehi- that it has been brought into con- cle safety standards prescribed under formity with all Federal motor vehicle part 571 of this chapter and the bumper safety and bumper standards that standard prescribed under part 581 of apply to the vehicle, that the certifi- this chapter, if applicable, and furnish cation label has been affixed, and that certification to the Administrator pur- either the vehicle is not subject to any

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safety recalls or that all noncompli- who performed the necessary modifica- ances and safety defects covered by tions to the vehicle is an employee of such recalls were remedied before the [RI name] and has provided full docu- submission to the Administrator under mentation of the work that I have re- paragraph (d) of this section. All photo- viewed, and I am satisfied that the ve- graphs submitted shall be unaltered. hicle as modified complies.’’ The Reg- (5) A copy of the certification sub- istered Importer shall also certify, as mitted to the Administrator pursuant appropriate, that either: to paragraph (d) of this section. (i) The vehicle is not required to (6) The number that the issuer has comply with the parts marking re- assigned to the service insurance pol- quirements of the theft prevention icy that will accompany the vehicle standard (part 541 of this chapter); or and the full corporate or other business (ii) The vehicle complies with those name of the issuer of the policy, and parts marking requirements as manu- substantiation that the Registered Im- factured, or as modified prior to impor- porter has notified the issuer of the tation. policy that the policy has been pro- (2) If the Registered Importer cer- vided with the vehicle. tifies that the vehicle was originally (c) Take possession of the vehicle and manufactured to comply with a stand- perform all modifications necessary to ard that does not apply to the vehicle conform the vehicle to all Federal or that it has modified the vehicle to motor vehicle safety and bumper conform to such standard, or if the cer- standards that apply to the vehicle at tification is incomplete, the Adminis- a facility that it has identified to the trator may refuse to accept the certifi- Administrator pursuant to § 592.5(a)(5)(i), and permanently affix to cation. The Administrator shall refuse the vehicle at that facility, upon com- to accept a certification for a vehicle pletion of conformance modifications that has not been determined to be eli- and remedy of all noncompliances and gible for importation under part 593 of defects that are the subject of any this chapter. If the Administrator does pending safety recalls, a label that not accept a submission, (s)he shall re- identifies the Registered Importer and turn it to the Registered Importer. The states that the Registered Importer costs associated with such a return will certifies that the vehicle complies with be charged to the Registered Importer. all Federal motor vehicle safety and If the Administrator returns the sub- bumper standards that apply to the ve- mission as described above and the vehicle, and contains all additional infor- hicle is eligible for importation, the mation required by § 567.4 of this chap- 120-day period specified in paragraph ter. (d)(1) of this section continues to run, (d) For each motor vehicle, certify to but the 30-day period specified in para- the Administrator: graph (f) of this section does not begin (1) Within 120 days of the importation to run until the Administrator has ac- that it has brought the motor vehicle cepted the submission. If the vehicle is into conformity with all applicable not eligible for importation, the im- Federal motor vehicle safety and porter must export it from, or abandon bumper standards in effect at the time it to, the United States. If the Reg- the vehicle was manufactured by the istered Importer certifies that it has fabricating manufacturer. Such certifi- modified the vehicle to bring it into cation shall state verbatim either that compliance with a standard and has, in ‘‘I know that the vehicle that I am cer- fact, not performed all required modi- tifying conforms with all applicable fications, the Administrator will re- Federal motor vehicle safety and gard such certification as ‘‘knowingly bumper standards because I personally false’’ within the meaning of 49 U.S.C. witnessed each modification performed 30115 and 49 U.S.C. 30141(c)(4)(B). on the vehicle to effect compliance,’’ or (3) The certification must be signed that ‘‘I know that the vehicle I am cer- and submitted by a principal of the tifying conforms with all applicable Registered Importer designated in its Federal motor vehicle safety and registration application pursuant to bumper standards because the person § 592.5(a)(5)(iv), with an original hand-

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written signature and not with a signa- motor vehicle safety and bumper ture that is stamped or mechanically standards to which the vehicle was not applied. originally manufactured to conform, (4) The certification to the Adminis- (ix) The policy number of the service trator must specify the location of the insurance policy furnished with the ve- facility where the vehicle was con- hicle pursuant to paragraph (g) of this formed, and the location where the Ad- section, and the full corporate or other ministrator may inspect the motor ve- business name of the insurer that hicle. issued the policy, and (5) The certification to the Adminis- (x) A statement that the submission trator must state and contain substan- is the Registered Importer’s initial cer- tiation either that the vehicle is not tification submission for the make, subject to any safety recalls as of the model, and model year of the vehicle time of such certification, or, alter- covered by the certification. natively, that all noncompliances and (7) Except as specified in this para- defects that are the subject of those graph, a Registered Importer’s second safety recalls have been remedied. and subsequent certification submis- (6) When a Registered Importer cer- sions for a given make, model, and tifies a make, model, and model year of model year vehicle must contain the a motor vehicle for the first time, its information required by paragraph certification must include: (d)(6) of this section. If the Registered (i) The make, model, model year and Importer conformed such a vehicle in date of manufacture, odometer reading, the same manner as it stated in its ini- VIN that complies with § 565.4(b), (c), tial certification submission, it may and (g) of this chapter, and Customs say so in a subsequent submission and Entry Number, it need not provide the description re- (ii) A statement that it has brought quired by paragraph (d)(6)(ii) of this the vehicle into conformity with all section. Federal motor vehicle safety and (e) With respect to each motor vehi- bumper standards that apply to the ve- cle that it imports, not take any of the hicle, and a description, with respect to following actions until the bond re- each standard for which modifications ferred to in paragraph (a) of this sec- were needed, of the modifications per- tion has been released, unless 30 days formed, have elapsed from the date the Admin- (iii) A copy of the bond given at the istrator receives the Registered Im- time of entry to ensure conformance porter’s certification of compliance of with the safety and bumper standards, the motor vehicle in accordance with (iv) The vehicle’s vehicle eligibility paragraph (d) of this section (the 30- number, as stated in appendix A to day period will be extended if the Ad- part 593 of this chapter, ministrator has made written demand (v) A copy of the HS–7 Declaration to inspect the motor vehicle): form executed at the time of its impor- (1) Operate the motor vehicle on the tation if a Customs broker did not public streets, roads, and highways for make an electronic entry for the vehi- any purpose other than: cle with the Bureau of Customs and (i) Transportation to and from a fran- Border Protection, chised dealership of the vehicle’s origi- (vi) Unaltered front, side, and rear nal manufacturer for remedying a non- photographs of the vehicle, compliance or safety-related defect; or (vii) Unaltered photographs of the (ii) Mileage accumulation to stabilize original manufacturer’s certification the vehicle’s catalyst and emissions label and the certification label of the control systems in preparation for pre- Registered Importer affixed to the ve- certification testing to obtain an Envi- hicle (and, if the vehicle is a motor- ronmental Protection Agency (EPA) cycle, a photograph or photocopy of certificate of conformity, but only in- the Registered Importer certification sofar as the vehicle has been imported label before it has been affixed), by an Independent Commercial Im- (viii) Unaltered photographs and doc- porter (ICI) who holds a current certifi- umentation sufficient to demonstrate cate of conformity with the EPA, the conformity with all applicable Federal ICI has imported the vehicle under an

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EPA Declaration form 3520–1 on which cordance with part 577 of this chapter Code J is checked, and the EPA has and a remedy without charge to the ve- granted the ICI written permission to hicle owner, after any notification operate the vehicle on public roads for under part 573 of this chapter that a ve- that purpose. hicle to which such motor vehicle is (2) Sell the motor vehicle or offer it substantially similar contains a defect for sale; related to motor vehicle safety or fails (3) Store the motor vehicle on the to conform with an applicable Federal premises of a motor vehicle dealer; motor vehicle safety standard. How- (4) Title the motor vehicle in a name ever, this obligation does not exist if other than its own, or license or reg- the manufacturer of the vehicle or the ister it for use on public streets, roads, Registered Importer of such vehicle or highways; or demonstrates to the Administrator (5) Release custody of the motor ve- that the defect or noncompliance is not hicle to a person for sale, or for license present in such vehicle, or that the de- or registration for use on public fect or noncompliance was remedied streets, roads, and highways, or for ti- before the submission of the certificate tling in a name other than that of the or the information to the Adminis- Registered Importer who imported the trator, or that the original manufac- vehicle. turer of the vehicle will provide such (f) Furnish with each motor vehicle notification and remedy. for which it furnishes certification or (2) If a Registered Importer becomes information to the Administrator in aware (from whatever source) that the accordance with paragraph (d) of this manufacturer of a vehicle it has im- section, not later than the time it sells ported will not provide a remedy with- the vehicle, or releases custody of a ve- out charge for a defect or noncompli- hicle to an owner who has imported it ance that has been determined to exist for personal use, a service insurance in that vehicle, within 30 days there- policy written or underwritten by an after, the Registered Importer must in- independent insurance company, in the form NHTSA and submit a copy of the amount of $2,000. The Registered Im- notification letter that it intends to porter shall provide the insurance com- send to owners of the vehicle(s) in pany with a monthly list of the VINs of question. vehicles covered by the policies of the (3) Any notification to vehicle owners insurance company, and shall retain a sent by a Registered Importer must copy of each such list in its files. contain the information specified in (g) Comply with the requirements of § 577.5 of this chapter, and must include part 580 of this chapter, Odometer Dis- the statement that if the Registered closure Requirements, when the Reg- Importer’s repair facility is more than istered Importer is a transferor of a ve- 50 miles from the owner’s mailing ad- hicle as defined by § 580.3 of this chap- dress, remedial repairs may be per- ter. formed at no charge at a specific facil- (h) With respect to any motor vehicle ity designated by the Registered Im- it has imported and for which it has porter that is within 50 miles of the furnished a performance bond, deliver owner’s mailing address, or, if no such such vehicle to the Secretary of Home- facility is designated, that repairs may land Security for export, or abandon it be performed anywhere, with the cost to the United States, upon demand by of parts and labor to be reimbursed by the Administrator, if such vehicle has the Registered Importer. not been brought into conformity with (4) Defect and noncompliance notifi- all applicable Federal motor vehicle cations by a Registered Importer must safety and bumper standards within 120 conform to the requirements of §§ 577.7 days from entry. and 577.8 of this chapter, and are sub- (i)(1) With respect to any motor vehi- ject to §§ 577.9 and 577.10 of this chapter. cle that it has imported or for which it (5) Except as provided in this para- has furnished a certificate of con- graph, instead of the six quarterly re- formity or information to the Adminis- ports required by § 573.7(a) of this chap- trator as provided in paragraph (d) of ter, the Registered Importer must sub- this section, provide notification in ac- mit to the Administrator two reports

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containing the information specified in (l) Except as noted in this paragraph, § 573.7(b)(1) through (4) of this chapter. notify the Administrator in writing of The reports shall cover the periods end- any change that occurs in the informa- ing nine and 18 months after the com- tion which was submitted in its reg- mencement of the owner notification istration application, not later than campaign, and must be submitted with- the 30th calendar day after such in 30 days of the end of each period. change. If a Registered Importer in- However, the reporting requirements tends to use a facility that was not established by this paragraph shall not identified in its registration applica- apply to any safety recall that a vehi- tion, not later than 30 days before it cle manufacturer conducts that in- begins to use such facility, it must no- cludes vehicles for which the Reg- tify the Administrator of its intent to istered Importer has submitted the in- use such facility and provide a descrip- formation required by paragraph (d) of tion of the intended use, a copy of the this section. lease or deed evidencing the Registered (6) The requirement that the remedy Importer’s ownership or tenancy of the be provided without charge does not facility, and a copy of the license or apply if the motor vehicle was bought similar document issued by an appro- by its first purchaser from the Reg- priate state or municipal authority istered Importer (or, if imported for stating that the Registered Importer is personal use, conformed pursuant to a licensed to do business at that facility contract with the Registered Importer) as an importer and/or modifier and/or more than 10 calendar years before the seller of motor vehicles (or a statement date the Registered Importer or the that it has made a bona fide inquiry original manufacturer notifies the Ad- and is not required by state or local ministrator of the noncompliance or law to have such a license or permis- safety-related defect pursuant to part sion), and a sufficient number of 573 of this chapter. unaltered photographs of that facility (j) In order that the Administrator to fully depict the Registered Import- may determine whether the Registered er’s intended use. If a Registered Im- Importer is meeting its statutory reporter intends to change its street ad- sponsibilities, allow representatives of dress or telephone number or dis- NHTSA during operating hours, upon continue use of a facility that was demand, and upon presentation of cre- identified in its registration applica- dentials, to copy documents, or to in- tion, it shall notify the Administrator spect, monitor, or photograph any of not less than 10 days before such the following: change or discontinuance of such use, (1) Any facility identified by the Reg- and identify the facility, if any, that istered Importer where any vehicle for will be used instead. which a Registered Importer has the (m) Assure that at least one full-time responsibility of providing a certificate employee of the Registered Importer is of conformity to the Administrator is present at at least one of the Reg- being modified, repaired, tested, or istered Importer’s facilities in the stored, and any facility where any United States during normal business record or other document relating to hours. the modification, repair, testing, or (n) Not co-utilize the same employee, storage of these vehicles is kept; or any repair or conformance facility, (2) Any part or aspect of activities re- with any other Registered Importer. If lating to the modification, repair, test- a Registered Importer co-utilizes the ing, or storage of vehicles by the Reg- same storage facility with another istered Importer; and Registered Importer or another entity, (3) Any motor vehicle for which the the storage area of each Registered Im- Registered Importer has provided a cer- porter must be clearly delineated, and tification of conformity to the Admin- the vehicles being stored by each Reg- istrator before the Administrator re- istered Importer may not be mingled leases the conformance bond. with vehicles for which that Registered (k) Provide an annual statement and Importer is not responsible. pay an annual fee as required by (o) Make timely, complete, and accu- § 592.5(f). rate responses to any requests by the

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Administrator for information, wheth- (1) If the Administrator has not re- er by general or special order or other- ceived the annual fee from a Registered wise, to enable the Administrator to Importer by the close of business on decide whether the Registered Im- October 10 of a year, or, if October 10 porter has complied or is complying falls on a weekend or holiday, by the with 49 U.S.C. Chapters 301 and 325, and next business day thereafter, or has the regulations issued thereunder. not received any other fee owed by a (p) Pay all fees either by certified Registered Importer within 15 calendar check, cashier’s check, money order, days from the date of the Administra- credit card, or Electronic Funds Trans- tor’s invoice, the Registered Importer’s fer System made payable to the Treas- registration will be automatically sus- urer of the United States, in accord- pended at the beginning of the next ance with the invoice of fees incurred business day. The Administrator will by the Registered Importer in the pre- promptly notify the Registered Im- vious month that is provided by the porter in writing of the suspension. Administrator. All such fees are due Such suspension shall remain in effect and payable not later than 15 days until reinstated pursuant to paragraph from the date of the invoice. (c)(1) of this section. (q) Not later than November 1, 2004, (2) If the Administrator decides that file with the Administrator all infor- a Registered Importer has knowingly mation required by § 592.5(a), as amend- filed a false or misleading certification, ed. If a Registered Importer has pre- (s)he shall promptly notify the Reg- viously provided any item of informa- istered Importer in writing that its tion to the Administrator in its reg- registration is automatically sus- istration application, annual state- pended. The notification shall inform ment, or notification of change, it may the Registered Importer of the facts incorporate that item by reference in and conduct upon which the decision is the filing required under this sub- based, and the period of suspension section, provided that it clearly indi- (which begins as of the date indicated cates the date, page, and entry of the in the Administrator’s written notifi- previously-provided document. cation). The notification shall afford the Registered Importer an oppor- [69 FR 52095, Aug. 24, 2004, as amended at 70 tunity to seek reconsideration of the FR 57801, Oct. 4, 2005] decision by presenting data, views, and arguments in writing and/or in person, § 592.7 Suspension, revocation, and re- within 30 days. Not later than 30 days instatement of suspended registra- after the submission of data, views, and tions. arguments, the Administrator, after This section specifies the acts and considering all the information avail- omissions that may result in suspen- able, shall notify the Registered Im- sions and revocations of registrations porter in writing of his or her decision issued to Registered Importers by on reconsideration. Any suspension NHTSA, the process for such suspen- issued under this paragraph shall re- sions and revocations, and the provi- main in effect until reinstated pursu- sions applicable to the reinstatement ant to paragraph (c)(2) of this section. of suspended registrations. (3) If mail is undeliverable to the (a) Automatic suspension of a registra- Registered Importer at the official tion. 49 U.S.C. 30141(c)(4)(B) explicitly street address it has provided to the authorizes NHTSA to automatically Administrator, or if the telephone has suspend a registration when a Reg- been disconnected at the telephone istered Importer does not, in a timely number specified by the Registered Im- manner, pay a fee required by part 594 porter, the Administrator may auto- of this chapter or knowingly files a matically suspend the Registered Im- false or misleading certification under porter’s registration. Such suspension 49 U.S.C. 30146. NHTSA also may auto- shall remain in effect until the reg- matically suspend a registration under istration is reinstated pursuant to other circumstances, as specified in paragraph (c)(3) of this section. paragraphs (3), (4) and (5) of this sec- (4) If a Registered Importer, not later tion. than November 1, 2004, does not file

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with the Administrator all information statutes or regulations cited in para- required by § 592.5(a), as required by graph (b)(1) of this section and that § 592.6(q), the Administrator may auto- suspension or revocation would be an matically suspend the registration. appropriate sanction under the cir- The Administrator shall promptly no- cumstances, (s)he shall notify the Reg- tify the Registered Importer in writing istered Importer in writing of the facts of the suspension. Such a suspension giving rise to the allegation of a viola- shall remain in effect until the reg- tion and the proposed length of a sus- istration is reinstated pursuant to pension, if applicable, or revocation. paragraph (c)(4) of this section. The notice shall afford the Registered (5) If a Registered Importer releases Importer an opportunity to present one or more motor vehicles on the data, views, and arguments, in writing basis of a forged or falsified bond re- and/or in person, within 30 days of the lease letter, and the Administrator has date of the notice, as to whether the not in fact issued such a letter, the Ad- violation occurred, why the registra- ministrator may automatically sus- tion ought not to be suspended or re- pend the registration. The Adminis- voked, or whether the suspension trator shall promptly notify the Reg- should be shorter than proposed. If the istered Importer in writing of the sus- Administrator decides, on the basis of pension. the available information, that the (6) The Administrator, in his or her Registered Importer has violated a sole discretion, may provide notice of a statute or regulation, the Adminis- proposed automatic suspension or rev- trator may suspend or revoke the reg- ocation for reasons specified in para- istration. The Administrator shall no- graphs (a)(1) through (a)(5) of this sec- tify the Registered Importer in writing tion. of the decision, including the reasons (7) The notification shall afford the for it. A suspension or revocation is ef- Registered Importer an opportunity to fective as of the date of the Adminis- seek reconsideration of the decision by trator’s written notification unless an- presenting data, views, and arguments other date is specified therein. The Ad- in writing and/or in person, within 30 ministrator shall state the period of days of such notification, before a deci- any suspension in the notice to the sion, as provided in paragraph (b)(2) of Registered Importer. There shall be no this section. Not later than 30 days opportunity to seek reconsideration of after the submission of data, views, and a decision issued under this paragraph. arguments, the Administrator, after (c) Reinstatement of suspended registra- considering all the information avail- tions. (1) When a registration has been able, shall notify the Registered Im- suspended under paragraph (a)(1) of porter in writing of his or her decision this section, the Administrator will re- on reconsideration. Any automatic sus- instate the registration when all fees pension issued under this paragraph owing are paid by wire transfer or cer- shall remain in effect until reinstated tified check from a bank in the United pursuant to paragraph (c)(2) of this sec- States, together with a sum rep- tion. resenting 10 percent of the amount of (b) Non-automatic suspension or revoca- the fees that were not timely paid. tion of a registration. (1) 49 U.S.C. (2) When a registration has been sus- 30141(c)(4)(A) authorizes NHTSA to re- pended under paragraph (a)(2) or (a)(5) voke or suspend a registration if a Reg- of this section, the registration will be istered Importer does not comply with reinstated after the expiration of the a requirement of 49 U.S.C. 30141–30147, period of suspension specified by the or any of 49 U.S.C. 30112, 30115, 30117– Administrator, or such earlier date as 30122, 30125(c), 30127, or 30166, or any the Administrator may subsequently regulations issued under these sec- decide is appropriate. tions. These regulations include, but (3) When a registration has been sus- are not limited to, parts 567, 568, 573, pended under paragraph (a)(3) of this 577, 591, 593, and 594 of this chapter. section, the registration will be rein- (2) When the Administrator has rea- stated when the Administrator decides son to believe that a Registered Im- that the Registered Importer has pro- porter has violated one or more of the vided a street address to which mail to

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it is deliverable and a telephone num- (3) When a registration has been re- ber in its name that is in service. voked or suspended, the Registered Im- (4) When a registration has been sus- porter must export within 30 days of pended under paragraph (a)(4) of this the effective date of the suspension or section, the registration will be rein- revocation all vehicles that it imported stated when the Administrator decides to which it has not affixed a certifi- that the Registered Importer has pro- cation label and furnished a certificate vided all relevant documentation and of conformity to the Administrator information required by § 592.6(q). pursuant to § 592.6(d). (5) When a registration has been sus- (4) With respect to any vehicle im- pended under paragraph (b) of this sec- ported pursuant to § 591.5(f)(2)(ii) of this tion, the registration will be reinstated chapter that the Registered Importer after the expiration of the period of has agreed to bring into compliance suspension specified by the Adminis- with all applicable standards and for trator, or such earlier date as the Ad- which it has not certified and furnished ministrator may subsequently decide is a certificate of conformity to the Ad- appropriate. ministrator, the Registered Importer (6) When a suspended registration has must immediately notify the owner of been reinstated, NHTSA shall notify the vehicle in writing that its registra- the Bureau of Customs and Border Pro- tion has been suspended or revoked. tection promptly. (e) Continuing obligations. A Reg- (7) If a Registered Importer imports a istered Importer whose registration is motor vehicle on or after the date that suspended or revoked remains obli- its registration is suspended and before gated under § 592.6(i) to notify owners the date that the suspension ends, the and to remedy noncompliances or safe- Administrator may extend the suspen- ty related defects for each vehicle for sion period by one day for each day which it has furnished a certificate of that the Registered Importer has im- conformity to the Administrator. ported a motor vehicle during the time [69 FR 52098, Aug. 24, 2004] that its registration has been suspended. § 592.8 Inspection; release of vehicle (d) Effect of suspension or revocation. and bond. (1) If a Registered Importer’s registra- (a) With respect to any motor vehicle tion is suspended or revoked, as of the for which it must provide a certificate date of suspension or revocation the of conformity to the Administrator as entity will not be considered a Reg- required by § 592.6(d), a Registered Im- istered Importer, will not have the porter shall not obtain title, licensing, rights and authorities appertaining or registration of the motor vehicle for thereto, and must cease importing, and use on the public roads, or release cus- will not be allowed to import, vehicles tody of it for such titling, licensing, or for resale. The Registered Importer registration, except in accordance with will not be refunded any annual or the provisions of this section. other fees it has paid for the fiscal year (b) When conformance modifications in which its registration is revoked. to a motor vehicle have been com- The Administrator shall notify the Bu- pleted, a Registered Importer shall sub- reau of Customs and Border Protection mit the certification required by of any suspension or revocation of a § 592.6(d) to the Administrator. In certi- registration not later than the first fying a vehicle that the Administrator business day after such action is taken. has determined to be substantially (2) With respect to any vehicle for similar to one that has been certified which it has not affixed a certification by its original manufacturer for sale in label and submitted a certificate of the United States, the Registered Im- conformity to the Administrator under porter may rely on any certification by § 592.6(d) at the time it is notified that the original manufacturer with respect its registration has been suspended or to identical safety features if it also revoked, the Registered Importer must certifies that any modification that it affix a certification label and submit a undertook did not affect the compli- certificate of conformity within 120 ance of such safety features. Each sub- days from the date of entry. mission shall be mailed by certified

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mail, return receipt requested, or by bond involved shall not be released un- private carriers such as Federal Ex- less the Administrator is satisfied with press, to: Administrator, National the certification. Highway Traffic Safety Administra- (e) If the Registered Importer has re- tion, Room 6115, 400 7th Street SW., ceived no written notice from the Ad- Washington, DC, 20590, Attn: NEF–32, ministrator by the end of the 30th cal- or be submitted electronically by FAX endar day after it has furnished a com- (202–366–1024), or in person. Each sub- plete certification under section mission shall identify the location 592.6(d) of this chapter, the Registered where the vehicle will be stored and is Importer may release the vehicle from available for inspection, pending custody, sell or offer it for sale, or have NHTSA action upon the submission. it titled, licensed, or registered for use (c) Before the end of the 30th cal- on the public roads. endar day after receiving a complete (f) If the Administrator accepts a cer- certification under § 592.6(d), the Ad- tification without requiring an inspec- ministrator may notify the Registered tion, (s)he notifies the Registered Im- Importer in writing that an inspection porter in writing, and provides a copy of the vehicle is required to verify the to the importer of record. Such notifi- certification. Written notice includes a cation shall be provided not later than proposed inspection date, which is as the 25th calendar day after the Admin- soon as practicable. If inspection of the vehicle indicates that the vehicle has istrator has received such certification. been properly certified, at the conclu- (g) Release of the performance bond sion of the inspection the Registered shall constitute acceptance of certifi- Importer is provided an instrument of cation or completion of inspection of release. If inspection of the vehicle the vehicle concerned, but shall not shows that the vehicle has not been preclude a subsequent decision by the properly certified, the Registered Im- Administrator pursuant to 49 U.S.C. porter shall either make the modifica- 30118 that the vehicle fails to conform tions necessary to substantiate its cer- to any applicable Federal motor vehi- tification, and provide a new certifi- cle safety standard. cation for the standard(s) in the man- [54 FR 40090, Sept. 29, 1989, as amended at 55 ner provided for in paragraph (b) of this FR 37330, Sept. 11, 1990; 59 FR 52098, Oct. 14, section, or deliver the vehicle to the 1994; 69 FR 52100, Aug. 24, 2004] Secretary of the Treasury for export, or abandon it to the United States. Be- § 592.9 Forfeiture of bond. fore the end of the 30th calendar day A Registered Importer is required by after receipt of new certification, the § 591.6 of this chapter to furnish a bond Administrator may require a further with respect to each motor vehicle that inspection in accordance with the pro- it imports. The conditions of the bond visions of this subsection. (d) The Administrator may by writ- are set forth in § 591.8 of this chapter. ten notice request the Registered Im- Failure to fulfill any one of these con- porter to verify its certification of a ditions may result in forfeiture of the motor vehicle before the end of the bond. A bond may be forfeited if the 30th calendar day after the date the Registered Importer: Administrator receives a complete cer- (a) Fails to bring the motor vehicle tification under § 592.6(d). If the basis covered by the bond into compliance for such request is that the certifi- with all applicable standards issued cation is false or contains a misrepre- under part 571 and part 581 of this chap- sentation, the Registered Importer ter within 120 days from the date of shall be afforded an opportunity to entry; present written data, views, and argu- (b) Fails to file with the Adminis- ments as to why the certification is trator a certificate that the motor ve- not false or misleading or does not con- hicle complies with each Federal motor tain a misrepresentation. The Adminis- vehicle safety, bumper, and theft pre- trator may require an inspection pur- vention standard in effect at the time suant to paragraph (c) of this section. the vehicle was manufactured and The motor vehicle and performance which applies to the vehicle;

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(c) Fails to cause a motor vehicle to PART 593—DETERMINATIONS THAT be available for inspection if it has re- A VEHICLE NOT ORIGINALLY ceived written notice from the Admin- MANUFACTURED TO CONFORM istrator that an inspection is required; TO THE FEDERAL MOTOR VEHICLE (d) Releases the motor vehicle before SAFETY STANDARDS IS ELIGIBLE the Administrator accepts the certifi- FOR IMPORTATION cation and any modification thereof, if it has received written notice from the Sec. Administrator that there is reason to 593.1 Scope. believe that the certification is false or 593.2 Purpose. contains a misrepresentation; 593.3 Applicability. (e) Before the bond is released, re- 593.4 Definitions. leases custody of the motor vehicle to 593.5 Petitions for eligibility determinations. any person for license or registration 593.6 Basis for petition. for use on public roads, streets, and 593.7 Processing of petitions. highways, or licenses or registers the 593.8 Determinations on the agency’s initia- vehicle, including titling the vehicle in tive. the name of another person, unless 30 593.9 Effect of affirmative determinations; calendar days have elapsed after the lists. 593.10 Availability for public inspection. Registered Importer has filed a complete certification under § 592.6(d), and APPENDIX A TO PART 593—LIST OF VEHICLES DETERMINED TO BE ELIGIBLE FOR IMPOR- the Registered Importer has not re- TATION ceived written notice pursuant to paragraph (a)(3) or (a)(4) of this section. For AUTHORITY: 49 U.S.C. 322 and 30141(b); delegation of authority at 49 CFR 1.50. purposes of this part, a vehicle is deemed to be released from custody if SOURCE: 54 FR 40099, Sept. 29, 1989, unless it is not located at a duly identified fa- otherwise noted. cility of the Registered Importer and § 593.1 Scope. the Registered Importer has not noti- This part establishes procedures fied the Administrator in writing of under section 108(c) of the National the vehicle’s location or, if written no- Traffic and Motor Vehicle Safety Act, tice has been provided, if the Adminis- as amended (15 U.S.C. 1397(c)), for mak- trator is unable to inspect the vehicle, ing determinations whether a vehicle or if the Registered Importer has trans- that was not originally manufactured ferred title to any other person regard- to conform with all applicable Federal less of the vehicle’s location; or motor vehicle safety standards, and is (f) Fails to deliver the vehicle, or not otherwise eligible for importation cause it to be delivered, to the custody under part 591 of this chapter, may be of the Bureau of Customs and Border imported into the United States be- Protection at any port of entry, for ex- cause it can be modified to meet the port or abandonment to the United Federal standards. States, and to execute all documents necessary to accomplish such purposes, § 593.2 Purpose. if the Administrator has furnished it The purpose of this part is to provide written notice that the vehicle has content and format requirements for been found not to comply with all ap- any Registered Importer and manufac- plicable Federal motor vehicle safety turer who wishes to petition the Ad- standards along with a demand that ministrator for a determination that a the vehicle be delivered for export or vehicle not originally manufactured to abandoned to the United States. conform to all applicable Federal motor vehicle safety standards is eligi- [69 FR 52100, Aug. 24, 2004] ble to be imported into the United States because it can be modified to meet the standards. The purpose of this part is also to specify procedures under which the Administrator makes eligibility determinations pursuant to

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those petitions as well as eligibility de- (ii) Is capable of being readily modi- terminations on the agency’s initia- fied to conform to all applicable Fed- tive. eral motor vehicle safety standards; or (2) On the basis that the vehicle has § 593.3 Applicability. safety features that comply with or are This part applies to a motor vehicle capable of being modified to comply that was not originally manufactured with all applicable Federal motor vehi- and certified by its original manufac- cle safety standards. turer to conform with all applicable (b) Each petition filed under this part Federal motor vehicle safety standards must— and that is offered for importation into (1) Be written in the English lan- the United States. guage; (2) Be headed with the words ‘‘Peti- § 593.4 Definitions. tion for Import Eligibility Determina- All terms in this part that are de- tion’’ and submitted in three copies to: fined in section 102 of the National Administrator, National Highway Traf- Traffic and Motor Vehicle Safety Act fic Safety Administration, Room 6115, (15 U.S.C. 1391) are used as defined 400 7th Street SW., Washington, DC therein. 20590, Attn: NEF–32 Import Eligibility Administrator means the Adminis- Determinations; trator of the National Highway Traffic (3) State the full name and address of Safety Administration. the petitioner. Model year means the year used by a (4) If the petitioner is a Registered manufacturer to designate a discrete Importer, include the Registered Im- vehicle model irrespective of the cal- porter Number assigned by NHTSA endar year in which the vehicle was ac- pursuant to part 592 of this chapter. tually produced, or the model year as (5) Set forth the basis for the petition designated by the vehicle’s country of and the information required by § 593.6 origin, or, if neither the manufacturer (a) or (b), as appropriate; nor the country of origin has made (6) Specify any part of the informa- such a designation, the calendar year tion and data submitted which peti- that begins on September 1 and ends on tioner requests be withheld from public August 31 of the next calendar year. disclosure in accordance with part 512 NHTSA means the National Highway of this chapter; and Traffic Safety Administration. (7) Submit a certified check payable Registered Importer means any person to the Treasurer of the United States, who has been granted registered im- for the amount of the vehicle eligi- porter status by the Administrator bility petition fee established pursuant pursuant to paragraph 592.5(b) of this to part 594 of this chapter. chapter, and whose registration has (c) The knowing and willful submis- not been revoked. sion of false, fictitious or fraudulent information may subject the petitioner § 593.5 Petitions for eligibility deter- to the criminal penalties of 18 U.S.C. minations. 1001. (a) A manufacturer or Registered Im- [54 FR 40099, Sept. 29, 1989, as amended at 55 porter may petition the Administrator FR 37330, Sept. 11, 1990] for a determination that a vehicle that does not comply with all applicable § 593.6 Basis for petition. Federal motor vehicle safety standards (a) If the basis for the petition is that is eligible for importation, either the vehicle is substantially similar to a (1) On the basis that the vehicle: vehicle which was originally manufac- (i) Is substantially similar to a vehi- tured for importation into and sale in cle which was originally manufactured the United States, and which was cer- for importation into and sale in the tified by its manufacturer pursuant to United States and which bore a certifi- part 567 of this chapter, and that it is cation affixed by its manufacturer pur- capable of being readily modified to suant to part 567 of this chapter, and conform to all applicable Federal

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motor vehicle safety standards, the pe- with such standard. The latter dem- titioner shall provide the following in- onstration shall include a showing that formation: after such modifications, the features (1) Identification of the original man- will conform with such standard. ufacturer, model, and model year of the vehicle for which a determination is § 593.7 Processing of petitions. sought. (a) NHTSA will review each petition (2) Identification of the original man- for sufficiency under §§ 593.5 and 593.6. ufacturer, model, and model year of the If the petition does not contain all the vehicle which the petitioner believes to information required by this part, be substantially similar to that for NHTSA notifies the petitioner, point- which a determination is sought. ing out the areas of insufficiency, and (3) Substantiation that the manufac- stating that the petition will not re- turer of the vehicle identified by the ceive further consideration until the petitioner under paragraph (a)(2) of required information is provided. If the this section originally manufactured it additional information is not provided for importation into and sale in the within the time specified by NHTSA in United States, and affixed a label to it its notification, NHTSA may dismiss certifying that it complied with all ap- the petition as incomplete, and so no- plicable Federal motor vehicle safety tify the petitioner. When the petition standards. is complete, its processing continues. (4) Data, views and arguments dem- (b) NHTSA publishes in the FEDERAL onstrating that the vehicle identified REGISTER, affording opportunity for by the petitioner under paragraph comment, a notice of each petition (a)(1) of this section is substantially containing the information required by similar to the vehicle identified by the this part. petitioner under paragraph (a)(2) of (c) No public hearing, argument, or this section. other formal proceeding is held on a pe- (5) With respect to each Federal tition filed under this part. motor vehicle safety standard that ap- (d) If the Administrator is unable to plied to the vehicle identified by the determine that the vehicle in a peti- petitioner under paragraph (a)(2) of tion submitted under § 593.6(a) is one this section, data, views, and argu- that is substantially similar, or (if it is ments demonstrating that the vehicle substantially similar) is capable of identified by the petitioner under para- being readily modified to meet the graph (a)(1) of this section either was standards, (s)he notifies the petitioner, originally manufactured to conform to and offers the petitioner the oppor- such standard, or is capable of being tunity to supplement the petition by readily modified to conform to such providing the information required for standard. a petition submitted under paragraph (b) If the basis of the petition is that 593.6(b). the vehicle’s safety features comply (e) If the Administrator determines with or are capable of being modified that the petition does not clearly dem- to comply with all applicable Federal onstrate that the vehicle model is eli- motor vehicle safety standards, the pe- gible for importation, (s)he denies it titioner shall provide the following in- and notifies the petitioner in writing. formation: (S)he also publishes in the FEDERAL (1) Identification of the model and REGISTER a notice of denial and the model year of the vehicle for which a reasons for it. A notice of denial also determination is sought. states that the Administrator will not (2) With respect to each Federal consider a new petition covering the motor vehicle safety standard that model that is the subject of the denial would have applied to such vehicle had until at least 3 months from the date of it been originally manufactured for im- the notice of denial. There is no admin- portation into and sale in the United istrative reconsideration available for States, data, views, and arguments petition denials. demonstrating that the vehicle has (f) If the Administrator determines safety features that comply with or are that the petition clearly demonstrates capable of being modified to conform that the vehicle model is eligible for

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importation, (s)he grants it and noti- National Highway Traffic Safety Ad- fies the petitioner. (S)he also publishes ministration, 400 Seventh St., SW., in the FEDERAL REGISTER a notice of Washington, DC 20590. Copies of avail- grant and the reasons for it. able information may be obtained, as provided in part 7 of this chapter. [54 FR 40099, Sept. 29, 1989, as amended at 55 FR 37330, Sept. 11, 1990] (b) Except for release of confidential information authorized under part 512 § 593.8 Determinations on the agency’s of this chapter, information made initiative. available for inspection under para- (a) The Administrator may make a graph (a) of this section does not in- determination of eligibility on his or clude information for which confiden- her own initiative. The agency pub- tiality has been requested and granted lishes in the FEDERAL REGISTER, afford- in accordance with part 512 of this ing opportunity for comment, a notice chapter, and 5 U.S.C. 552(b). To the ex- containing the information available tent that a petition contains material to the agency (other than confidential relating to the methodology by which information) relevant to the basis upon the petitioner intends to achieve con- which eligibility may be determined. formance with a specific standard, the (b) No public hearing, argument, or petitioner may request confidential other formal proceeding is held upon a treatment of such material on the notice published under this section. grounds that it contains a trade secret (c) The Administrator publishes a or confidential information in accord- second notice in the FEDERAL REGISTER ance with part 512 of this chapter. in which (s)he announces his or her de- APPENDIX A TO PART 593—LIST OF VEHI- termination whether the vehicle is eli- CLES DETERMINED TO BE ELIGIBLE gible or ineligible for importation, and FOR IMPORTATION states the reasons for the determination. A notice of ineligibility also an- (a) Each vehicle on the following list is nounces that no further determination preceded by a vehicle eligibility number. The for the same model of motor vehicle importer of a vehicle admissible under any will be made for at least 3 months fol- eligibility decision must enter that number on the HS–7 Declaration Form accompanying lowing the date of publication of the entry to indicate that the vehicle is eligible notice. There is no administrative re- for importation. consideration available for a decision (1) ‘‘VSA’’ eligibility numbers are assigned of ineligibility. to all vehicles that are decided to be eligible for importation on the initiative of the Ad- § 593.9 Effect of affirmative determina- ministrator under § 593.8. tions; lists. (2) ‘‘VSP’’ eligibility numbers are assigned (a) A notice of grant is sufficient au- to vehicles that are decided to be eligible under § 593.7(f), based on a petition from a thority for the importation by persons manufacturer or registered importer sub- other than the petitioner of any vehi- mitted under § 593.5(a)(1), which establishes cle of the same model specified in the that a substantially similar U.S.-certified grant. vehicle exists. (b) The Administrator publishes an- (3) ‘‘VCP’’ eligibility numbers are assigned nually in the FEDERAL REGISTER a list to vehicles that are decided to be eligible of determinations made under Sec. under § 593.7(f), based on a petition from a 593.7, and Sec. 593.8. manufacturer or registered importer submitted under § 593.5(a)(2), which establishes § 593.10 Availability for public inspec- that the vehicle has safety features that tion. comply with, or are capable of being altered to comply with, all applicable FMVSS. (a) Except as specified in paragraph (b) Vehicles for which eligibility decisions (b) of this section, information rel- have been made are listed alphabetically, evant to a determination under this first by make and then by model. part, including a petition and sup- (c) All hyphens used in the Model Year col- porting data, and the grant or denial of umn mean ‘‘through’’ (for example, ‘‘1988– 1990’’ means ‘‘1988 through 1990’’). the petition or the making of a deter- (d) The initials ‘‘MC’’ used in the Make col- mination on the Administrator’s ini- umn mean ‘‘Motorcycle.’’ tiative, is available for public inspec- (e) The initials ‘‘SWB’’ used in the Model tion in the Docket Section, Room 5109, Type column mean ‘‘Short Wheel Base.’’

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(f) The initials ‘‘LWB’’ used in the Model (h) All vehicles are left-hand-drive (LHD) Type column mean ‘‘Long Wheel Base.’’ vehicles unless noted as RHD. The initials (g) For vehicles with a European country ‘‘RHD’’ used in the Model Type column mean of origin, the term ‘‘Model Year’’ ordinarily ‘‘Right-Hand-Drive.’’ means calendar year in which the vehicle was produced.

VEHICLES CERTIFIED BY THEIR ORIGINAL MANUFACTURER AS COMPLYING WITH ALL APPLICABLE CANADIAN MOTOR VEHICLE SAFETY STANDARDS

VSA–80 .... (a) All passenger cars less than 25 years old that were manufactured before Sep- tember 1, 1989; (b) All passenger cars manufactured on or after September 1, 1989, and before September 1, 1996, that, as originally manufactured, are equipped with an automatic restraint system that complies with Federal Motor Vehicle Safety Standard (FMVSS) No. 208; (c) All passenger cars manufactured on or after September 1, 1996, and before September 1, 2002, that, as originally manufactured, are equipped with an automatic restraint system that complies with FMVSS No. 208, and that comply with FMVSS No. 214; (d) All passenger cars manufactured on or after September 1, 2002, and before September 1, 2007, that, as originally manufactured, are equipped with an automatic restraint system that complies with FMVSS No. 208, and that comply with FMVSS Nos. 201, 214, 225, and 401; (e) All passenger cars manufactured on or after September 1, 2007, and before September 1, 2008, that, as originally manufactured, comply with FMVSS Nos. 110, 118, 138, 201, 208, 213, 214, 225, and 401; (f) All passenger cars manufactured on or after September 1, 2008 and before September 1, 2011 that, as originally manufactured, comply with FMVSS Nos. 110, 118, 138, 201, 202a, 206, 208, 213, 214, 225, and 401; (g) All passenger cars manufactured on or after September 1, 2011 and before September 1, 2012 that, as originally manufactured, comply with FMVSS Nos. 110, 118, 126, 138, 201, 202a, 206, 208, 213, 214, 225, and 401. VSA–81 .... (a) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less that are less than 25 years old and that were manufactured before September 1, 1991; (b) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less that were manufactured on and after September 1, 1991, and before September 1, 1993 and that, as originally manufactured, comply with FMVSS Nos. 202 and 208; VSA–81 .... (c) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less that were manufactured on or after September 1, 1993, and before September 1, 1998, and that, as originally manufactured, comply with FMVSS Nos. 202, 208, and 216; (d) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less that were manufactured on or after September 1, 1998, and before September 1, 2002, and that, as originally manufactured, comply with FMVSS Nos. 202, 208, 214, and 216; (e) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less that were manufactured on or after September 1, 2002, and before September 1, 2007, and that, as originally manufactured, comply with FMVSS Nos. 201, 202, 208, 214, and 216, and, insofar as it is applicable, with FMVSS No. 225; (f) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less manufactured on or after September 1, 2007 and before September 1, 2008, that, as originally manufactured, comply with FMVSS Nos. 110, 118, 201, 202, 208, 213, 214, and 216, and insofar as they are applicable, with FMVSS Nos. 138 and 225;

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VEHICLES CERTIFIED BY THEIR ORIGINAL MANUFACTURER AS COMPLYING WITH ALL APPLICABLE CANADIAN MOTOR VEHICLE SAFETY STANDARDS—Continued (g) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less manufactured on or after September 1, 2008 and before September 1, 2011, that, as originally manufactured, comply with FMVSS Nos. 110, 118, 201, 202a, 206, 208, 213, 214, and 216, and insofar as they are applicable, with FMVSS Nos. 138 and 225; (h) All multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 kg (10,000 lb) or less manufactured on or after September 1, 2011 and before September 1, 2012, that, as originally manufactured, comply with FMVSS Nos. 110, 118, 126, 201, 202a, 206, 208, 213, 214, and 216, and insofar as they are applicable, with FMVSS Nos. 138 and 225. VSA–82 .... All multipurpose passenger vehicles, trucks, and buses with a GVWR greater than 4,536 kg (10,000 lb) that are less than 25 years old. VSA–83 .... All trailers and motorcycles less than 25 years old.

VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET

Make Model type(s) Body Model year(s) VSP VSA VCP

Acura ...... Legend ...... 1988 51 ...... Acura ...... Legend ...... 1988 51 ...... Acura ...... Legend ...... 1989 77 ...... Acura ...... Legend ...... 1990–1992 305 ...... AL–Spaw ...... EMA Mobile Stage Trailer ...... 2009 ...... 42 Alfa Romeo ...... 164 ...... 1989 196 ...... Alfa Romeo ...... 164 ...... 1991 76 ...... Alfa Romeo ...... 164 ...... 1994 156 ...... Alfa Romeo ...... Spider ...... 1987 70 ...... Alfa Romeo ...... Spyder ...... 1992 503 ...... Alpina ...... B12 5.0 ...... Sedan ...... 1988–1994 ...... 41 Aston Martin ...... Vanquish ...... 2002–2004 430 ...... Audi ...... 80 ...... 1988–1989 223 ...... Audi ...... 100 ...... 1989 93 ...... Audi ...... 100 ...... 1993 244 ...... Audi ...... 100 ...... 1990–1992 317 ...... Audi ...... A4 ...... 1996–2000 352 ...... Audi ...... A4, RS4, S4 ...... 8D ...... 2000–2001 400 ...... Audi ...... A6 ...... 1998–1999 332 ...... Audi ...... A8 ...... 2000 424 ...... Audi ...... A8 ...... 1997–2000 337 ...... Audi ...... A8 Avant Quattro ...... 1996 238 ...... Audi ...... RS6 & RS6 Avant ...... 2003 443 ...... Audi ...... S6 ...... 1996 428 ...... Audi ...... S8 ...... 2000 424 ...... Audi ...... TT ...... 2000–2001 364 ...... Bentley ...... Arnage (manufactured 1/1/01–12/31/01) ...... 2001 473 ...... Bentley ...... Azure (LHD & RHD) ...... 1998 485 ...... Bimota (MC) ...... DB4 ...... 2000 397 ...... Bimota (MC) ...... SB8 ...... 1999–2000 397 ...... Bimota (MC) ...... SB6 ...... 1994–1999 523 ...... BMW ...... 316 ...... 1986 25 ...... BMW ...... 3 Series ...... 1998 462 ...... BMW ...... 3 Series ...... 1999 379 ...... BMW ...... 3 Series ...... 2000 356 ...... BMW ...... 3 Series ...... 2001 379 ...... BMW ...... 3 Series ...... 1995–1997 248 ...... BMW ...... 3 Series ...... 2003–2004 487 ...... BMW ...... 318i, 318iA ...... 1986 ...... 23 BMW ...... 318i, 318iA ...... 1987–1989 ...... 23 BMW ...... 320i ...... 1990–1991 283 ...... BMW ...... 325, 325i, 325iA, 325E ...... 1986 ...... 30 BMW ...... 325e, 325eA ...... 1986–1987 ...... 24 BMW ...... 325i ...... 1991 96 ...... BMW ...... 325i ...... 1992–1996 197 ...... BMW ...... 325i, 325iA ...... 1987–1989 ...... 30 BMW ...... 325iS, 325iSA ...... 1987–1989 ...... 31 BMW ...... 325iX ...... 1990 205 ...... BMW ...... 325iX, 325iXA ...... 1988–1989 ...... 33 BMW ...... 5 Series ...... 2000 345 ......

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

BMW ...... 5 Series ...... 1990–1995 194 ...... BMW ...... 5 Series ...... 1995–1997 249 ...... BMW ...... 5 Series ...... 1998–1999 314 ...... BMW ...... 5 Series ...... 2000–2002 414 ...... BMW ...... 5 Series ...... 2003–2004 450 ...... BMW ...... 518i ...... 1986 4 ...... BMW ...... 520iA ...... 1989 9 ...... BMW ...... 524tdA ...... 1986 ...... 26 BMW ...... 525i ...... 1989 5 ...... BMW ...... 528e, 528eA ...... 1986–1988 ...... 21 BMW ...... 535i, 535iA ...... 1986–1989 ...... 25 BMW ...... 635CSi, 635CSiA ...... 1986–1989 ...... 27 BMW ...... 7 Series ...... 1992 232 ...... BMW ...... 7 Series ...... 1990–1991 299 ...... BMW ...... 7 Series ...... 1993–1994 299 ...... BMW ...... 7 Series ...... 1995–1999 313 ...... BMW ...... 7 Series ...... 1999–2001 366 ...... BMW ...... 728i ...... 1986 14 ...... BMW ...... 730iA ...... 1988 6 ...... BMW ...... 735i, 735iA ...... 1986–1989 ...... 28 BMW ...... 745i ...... 1986 ...... 73 BMW ...... 8 Series ...... 1991–1995 361 ...... BMW ...... 850 Series ...... 1997 396 ...... BMW ...... 850i ...... 1990 10 ...... BMW ...... All other passenger car models except ...... 1986–1989 ...... 78 those in the M1 and Z1 series.. BMW ...... L7 ...... 1986–1987 ...... 29 BMW ...... M3 ...... 1988–1989 ...... 35 BMW ...... M3 (manufactured prior to 9/1/06) ...... 2006 520 ...... BMW ...... M5 ...... 1988 ...... 34 BMW ...... M6 ...... 1987–1988 ...... 32 BMW ...... X5 (manufactured 1/1/03–12/31/04) ...... 2003–2004 459 ...... BMW ...... Z3 ...... 1996–1998 260 ...... BMW ...... Z3 (European market) ...... 1999 483 ...... BMW ...... Z8 ...... 2002 406 ...... BMW ...... Z8 ...... 2000–2001 350 ...... BMW (MC) ...... C1 ...... 2000–2003 ...... 40 BMW (MC) ...... K1 ...... 1990–1993 228 ...... BMW (MC) ...... K100 ...... 1986–1992 285 ...... BMW (MC) ...... K1100, K1200 ...... 1993–1998 303 ...... BMW (MC) ...... K75 ...... 1996 ...... 36 BMW (MC) ...... K75S ...... 1987–1995 229 ...... BMW (MC) ...... R1100 ...... 1994–1997 231 ...... BMW (MC) ...... R1100 ...... 1998–2001 368 ...... BMW (MC) ...... R1100RS ...... 1994 177 ...... BMW (MC) ...... R1150GS ...... 2000 453 ...... BMW (MC) ...... R1200C ...... 1998–2001 359 ...... BMW (MC) ...... R80, R100 ...... 1986–1995 295 ...... Buell (MC) ...... All Models ...... 1995–2002 399 ...... Cadillac ...... DeVille ...... 1994–1999 300 ...... Cadillac ...... DeVille (manufactured 8/1/99–12/31/00) ...... 2000 448 ...... Cadillac ...... Seville ...... 1991 375 ...... Cagiva (MC) ...... Gran Canyon 900 ...... 1999 444 ...... Carrocerias ...... Cimarron trailer ...... 2006–2007 ...... 37 Chevrolet ...... 400SS ...... 1995 150 ...... Chevrolet ...... Astro Van ...... 1997 298 ...... Chevrolet ...... Blazer ...... 1986 405 ...... Chevrolet ...... Blazer (plant code of ‘‘K’’ or ‘‘2’’ in the ...... 1997 349 ...... 11th position of the VIN). Chevrolet ...... Blazer (plant code of ‘‘K’’ or ‘‘2’’ in the ...... 2001 461 ...... 11th position of the VIN). Chevrolet ...... Camaro ...... 1999 435 ...... Chevrolet ...... Cavalier ...... 1997 369 ...... Chevrolet ...... Corvette ...... 1992 365 ...... Chevrolet ...... Corvette ...... Coupe ...... 1999 419 ...... Chevrolet ...... Suburban ...... 1989–1991 242 ...... Chevrolet ...... Tahoe ...... 2000 504 ...... Chevrolet ...... Tahoe ...... 2001 501 ...... Chevrolet ...... Trailblazer (manufactured prior to 9/1/ ...... 2007 514 ...... 07) originally sold in the Kuwaiti market. Chrysler ...... Daytona ...... 1992 344 ......

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Chrysler ...... Grand Voyager ...... 1998 373 ...... Chrysler ...... LHS (Mexican market) ...... 1996 276 ...... Chrysler ...... Shadow (Middle Eastern market) ...... 1989 216 ...... Chrysler ...... Town and Country ...... 1993 273 ...... Citroen ...... XM ...... 1990–1992 ...... 1 Dodge ...... Ram ...... 1994–1995 135 ...... Ducati (MC) ...... 748 ...... 1999–2003 421 ...... Ducati (MC) ...... 851 ...... 1988 498 ...... Ducati (MC) ...... 888 ...... 1993 500 ...... Ducati (MC) ...... 900 ...... 2001 452 ...... Ducati (MC) ...... 916 ...... 1999–2003 421 ...... Ducati (MC) ...... 600SS ...... 1992–1996 241 ...... Ducati (MC) ...... 748 Biposto ...... 1996–1997 220 ...... Ducati (MC) ...... 900SS ...... 1991–1996 201 ...... Ducati (MC) ...... 996 Biposto ...... 1999–2001 475 ...... Ducati (MC) ...... 996R ...... 2001–2002 398 ...... Ducati (MC) ...... MH900E ...... 2001–2002 524 ...... Ducati (MC) ...... Monster 600 ...... 2001 407 ...... Ducati (MC) ...... ST4S ...... 1999–2005 474 ...... Eagle ...... Vision ...... 1994 323 ...... Ferrari ...... 360 ...... 2001 376 ...... Ferrari ...... 456 ...... 1995 256 ...... Ferrari ...... 550 ...... 2001 377 ...... Ferrari ...... 575 ...... 2002–2003 415 ...... Ferrari ...... 575 ...... 2004–2005 507 ...... Ferrari ...... 208, 208 Turbo ...... all models ...... 1986–1988 ...... 76 Ferrari ...... 328 ...... all models ...... 1988–1989 ...... 37 Ferrari ...... 328 GTS ...... 1986–1987 ...... 37 Ferrari ...... 348 TB ...... 1992 86 ...... Ferrari ...... 348 TS ...... 1992 161 ...... Ferrari ...... 360 (manufactured after 9/31/02) ...... 2002 433 ...... Ferrari ...... 360 (manufactured before 9/1/02) ...... 2002 402 ...... Ferrari ...... 360 Modena ...... 1999–2000 327 ...... Ferrari ...... 360 Series ...... 2004 446 ...... Ferrari ...... 360 ...... Spider & Coupe ..... 2003 410 ...... Ferrari ...... 456 GT & GTA ...... 1999 445 ...... Ferrari ...... 456 GT & GTA ...... 1997–1998 408 ...... Ferrari ...... 512 TR ...... 1993 173 ...... Ferrari ...... 550 Marinello ...... 1997–1999 292 ...... Ferrari ...... 599 (manufactured prior to 9/1/06) ...... 2006 518 ...... Ferrari ...... Enzo ...... 2003–2004 436 ...... Ferrari ...... F355 ...... 1995 259 ...... Ferrari ...... F355 ...... 1999 391 ...... Ferrari ...... F355 ...... 1996–1998 355 ...... Ferrari ...... F430 (manufactured prior to 9/1/06) ...... 2005–2006 479 ...... Ferrari ...... F50 ...... 1995 226 ...... Ferrari ...... Mondial (all models) ...... 1986–1989 ...... 74 Ferrari ...... Testarossa ...... 1989 ...... 39 Ferrari ...... Testarossa ...... 1987–1988 ...... 39 Ford ...... Bronco (manufactured in Venezuela) ...... 1995–1996 265 ...... Ford ...... Escort (Nicaraguan market) ...... 1996 322 ...... Ford ...... Escort RS Cosworth ...... 1994–1995 ...... 9 Ford ...... Explorer (manufactured in Venezuela) ...... 1991–1998 268 ...... Ford ...... F150 ...... 2000 425 ...... Ford ...... Mustang ...... 1993 367 ...... Ford ...... Mustang ...... 1997 471 ...... Ford ...... Windstar ...... 1995–1998 250 ...... Freightliner ...... FLD12064ST ...... 1991–1996 179 ...... Freightliner ...... FTLD112064SD ...... 1991–1996 178 ...... GMC ...... Suburban ...... 1992–1994 134 ...... Harley Davidson FX, FL, XL Series ...... 1998 253 ...... (MC). Harley Davidson FX, FL, XL Series ...... 1999 281 ...... (MC). Harley Davidson FX, FL, XL Series ...... 2000 321 ...... (MC). Harley Davidson FX, FL, XL Series ...... 2001 362 ...... (MC). Harley Davidson FX, FL, XL Series ...... 2002 372 ...... (MC). Harley Davidson FX, FL, XL Series ...... 2003 393 ...... (MC).

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Harley Davidson FX, FL, XL Series ...... 2004 422 ...... (MC). Harley Davidson FX, FL, XL Series ...... 2005 472 ...... (MC). Harley Davidson FX, FL, XL Series ...... 2006 491 ...... (MC). Harley Davidson FX, FL, XL Series ...... 1986–1997 202 ...... (MC). Harley Davidson FX, FL, XL & VR Series ...... 2007 506 ...... (MC). Harley Davidson FXSTC Soft Tail Custom ...... 2007 499 ...... (MC). Harley Davidson FX, FL, XL & VR Series ...... 2008 517 ...... (MC). Harley Davidson FX, FL, XL & VR Series ...... 2009 522 ...... (MC). Harley Davidson VRSCA ...... 2002 374 ...... (MC). Harley Davidson VRSCA ...... 2003 394 ...... (MC). Harley Davidson VRSCA ...... 2004 422 ...... (MC). Hatty ...... 45 ft double axle trailer ...... 1999–2000 ...... 38 Heku ...... 750 KG boat trailer ...... 2005 ...... 33 Hobby ...... Exclusive 650 KMFE Trailer ...... 2002–2003 ...... 29 Honda ...... Accord ...... 1991 280 ...... Honda ...... Accord ...... 1992–1999 319 ...... Honda ...... Accord (RHD) ...... Sedan & Wagon .... 1994–1997 451 ...... Honda ...... Civic DX ...... Hatchback ...... 1989 128 ...... Honda ...... CRV ...... 2002 447 ...... Honda ...... CR–V ...... 2005 489 ...... Honda ...... Prelude ...... 1989 191 ...... Honda ...... Prelude ...... 1994–1997 309 ...... Honda (MC) ...... CB 750 (CB750F2T) ...... 1996 440 ...... Honda (MC) ...... CB1000F ...... 1988 106 ...... Honda (MC) ...... CBR250 ...... 1989–1994 ...... 22 Honda (MC) ...... CMX250C ...... 1986–1987 348 ...... Honda (MC) ...... CP450SC ...... 1986 174 ...... Honda (MC) ...... RVF 400 ...... 1994–2000 358 ...... Honda (MC) ...... VF750 ...... 1994–1998 290 ...... Honda (MC) ...... VFR 400 ...... 1994–2000 358 ...... Honda (MC) ...... VFR 400, RVF 400 ...... 1989–1993 ...... 24 Honda (MC) ...... VFR750 ...... 1990 34 ...... Honda (MC) ...... VFR750 ...... 1991–1997 315 ...... Honda (MC) ...... VFR800 ...... 1998–1999 315 ...... Honda (MC) ...... VT600 ...... 1991–1998 294 ...... Hyundai ...... Elantra ...... 1992–1995 269 ...... Hyundai ...... XG350 ...... 2004 494 ...... Jaguar ...... Sovereign ...... 1993 78 ...... Jaguar ...... S–Type ...... 2000–2002 411 ...... Jaguar ...... XJ6 ...... 1987 47 ...... Jaguar ...... XJ6 ...... 1986 ...... 41 Jaguar ...... XJ6 Sovereign ...... 1988 215 ...... Jaguar ...... XJS ...... 1991 175 ...... Jaguar ...... XJS ...... 1992 129 ...... Jaguar ...... XJS ...... 1986–1987 ...... 40 Jaguar ...... XJS ...... 1994–1996 195 ...... Jaguar ...... XJS, XJ6 ...... 1988–1990 336 ...... Jaguar ...... XK–8 ...... 1998 330 ...... Jeep ...... Cherokee ...... 1993 254 ...... Jeep ...... Cherokee (European market) ...... 1991 211 ...... Jeep ...... Cherokee (LHD & RHD) ...... 1994 493 ...... Jeep ...... Cherokee (LHD & RHD) ...... 1995 180 ...... Jeep ...... Cherokee (LHD & RHD) ...... 1996 493 ...... Jeep ...... Cherokee (LHD & RHD) ...... 1997–1998 516 ...... Jeep ...... Cherokee (LHD & RHD) ...... 1997–2001 515 ...... Jeep ...... Cherokee (Venezuelan market) ...... 1992 164 ...... Jeep ...... Grand Cherokee ...... 1994 404 ...... Jeep ...... Grand Cherokee ...... 1997 431 ...... Jeep ...... Grand Cherokee ...... 2001 382 ...... Jeep ...... Grand Cherokee (LHD—Japanese mar- ...... 1997 389 ...... ket).

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Jeep ...... Liberty ...... 2002 466 ...... Jeep ...... Liberty ...... 2005 505 ...... Jeep ...... Liberty (Mexican market) ...... 2004 457 ...... Jeep ...... Wrangler ...... 1993 217 ...... Jeep ...... Wrangler ...... 1995 255 ...... Jeep ...... Wrangler ...... 1998 341 ...... Kawasaki (MC) ...... EL250 ...... 1992–1994 233 ...... Kawasaki (MC) ...... VN1500–P1/P2 series ...... 2003 492 ...... Kawasaki (MC) ...... ZX1000–B1 ...... 1988 182 ...... Kawasaki (MC) ...... ZX400 ...... 1987–1997 222 ...... Kawasaki (MC) ...... ZX6, ZX7, ZX9, ZX10, ZX11 ...... 1987–1999 312 ...... Kawasaki (MC) ...... ZX600 ...... 1986–1998 288 ...... Kawasaki (MC) ...... ZZR1100 ...... 1993–1998 247 ...... Ken-Mex ...... T800 ...... 1990–1996 187 ...... Kenworth ...... T800 ...... 1992 115 ...... Komet ...... Standard, Classic & Eurolite trailer ...... 2000–2005 477 ...... KTM (MC) ...... Duke II ...... 1995–2000 363 ...... Lamborghini ...... Diablo (except 1997 Coupe) ...... 1996–1997 416 ...... Lamborghini ...... Diablo ...... Coupe ...... 1997 ...... 26 Lamborghini ...... Gallardo (manufactured 1/1/04–12/31/ ...... 2004 458 ...... 04). Lamborghini ...... Gallardo (manufactured 1/1/06–8/31/06) ...... 2006 508 ...... Lamborghini ...... Murcielago ...... Roadster ...... 2005 476 ...... Land Rover ...... Defender 110 ...... 1993 212 ...... Land Rover ...... Defender 90 ...... VIN & Body Limited 1994–1995 512 ...... Land Rover ...... Defender 90 (manufactured before 9/1/ ...... 1997 432 ...... 97) and VIN ‘‘SALDV224*VA’’ or ‘‘SALDV324*VA‘‘. Land Rover ...... Discovery ...... 1994–1998 338 ...... Land Rover ...... Discovery (II) ...... 2000 437 ...... Land Rover ...... Range Rover ...... 2004 509 ...... Lexus ...... GS300 ...... 1998 460 ...... Lexus ...... GS300 ...... 1993–1996 293 ...... Lexus ...... RX300 ...... 1998–1999 307 ...... Lexus ...... SC300 ...... 1991–1996 225 ...... Lexus ...... SC400 ...... 1991–1996 225 ...... Lincoln ...... Mark VII ...... 1992 144 ...... Magni (MC) ...... Australia, Sfida ...... 1996–1999 264 ...... Mazda ...... MPV ...... 2000 413 ...... Mazda ...... MX–5 Miata ...... 1990–1993 184 ...... Mazda ...... RX–7 ...... 1986 199 ...... Mazda ...... RX–7 ...... 1987–1995 279 ...... Mazda ...... Xedos 9 ...... 1995–2000 351 ...... Mercedes Benz ...... 190 D ...... 201.126 ...... 1986–1989 ...... 54 Mercedes Benz ...... 190 D (2.2) ...... 201.122 ...... 1986–1989 ...... 54 Mercedes Benz ...... 190 E ...... 201.029 ...... 1986 ...... 54 Mercedes Benz ...... 190 E ...... 201.028 ...... 1990 22 ...... Mercedes Benz ...... 190 E ...... 201.036 ...... 1990 104 ...... Mercedes Benz ...... 190 E ...... 201.024 ...... 1991 45 ...... Mercedes Benz ...... 190 E ...... 201.028 ...... 1992 71 ...... Mercedes Benz ...... 190 E ...... 201.018 ...... 1992 126 ...... Mercedes Benz ...... 190 E ...... 1993 454 ...... Mercedes Benz ...... 190 E ...... 201.028 ...... 1986–1989 ...... 54 Mercedes Benz ...... 190 E (2.3) ...... 201.024 ...... 1986–1989 ...... 54 Mercedes Benz ...... 190 E (2.6) ...... 201.029 ...... 1987–1989 ...... 54 Mercedes Benz ...... 190 E (2.6) 16 ...... 201.034 ...... 1986–1989 ...... 54 Mercedes Benz ...... 200 D ...... 124.120 ...... 1986 17 ...... Mercedes Benz ...... 200 E ...... 124.021 ...... 1989 11 ...... Mercedes Benz ...... 200 E ...... 124.012 ...... 1991 109 ...... Mercedes Benz ...... 200 E ...... 124.019 ...... 1993 75 ...... Mercedes Benz ...... 200 TE ...... 124.081 ...... 1989 3 ...... Mercedes Benz ...... 220 E ...... 1993 168 ...... Mercedes Benz ...... 220 TE ...... Station Wagon ...... 1993–1996 167 ...... Mercedes Benz ...... 230 CE ...... 124.043 ...... 1991 84 ...... Mercedes Benz ...... 230 CE ...... 123.043 ...... 1992 203 ...... Mercedes Benz ...... 230 E ...... 124.023 ...... 1988 1 ...... Mercedes Benz ...... 230 E ...... 124.023 ...... 1989 20 ...... Mercedes Benz ...... 230 E ...... 124.023 ...... 1990 19 ...... Mercedes Benz ...... 230 E ...... 124.023 ...... 1991 74 ...... Mercedes Benz ...... 230 E ...... 124.023 ...... 1993 127 ...... Mercedes Benz ...... 230 E ...... 124.023 ...... 1986–1987 ...... 55 Mercedes Benz ...... 230 TE ...... 124.083 ...... 1989 2 ......

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Mercedes Benz ...... 250 D ...... 1992 172 ...... Mercedes Benz ...... 250 E ...... 1990–1993 245 ...... Mercedes Benz ...... 260 E ...... 124.026 ...... 1986 ...... 55 Mercedes Benz ...... 260 E ...... 124.026 ...... 1992 105 ...... Mercedes Benz ...... 260 E ...... 124.026 ...... 1987–1989 ...... 55 Mercedes Benz ...... 260 SE ...... 126.020 ...... 1986 18 ...... Mercedes Benz ...... 260 SE ...... 126.020 ...... 1989 28 ...... Mercedes Benz ...... 280 E ...... 1993 166 ...... Mercedes Benz ...... 280 SE ...... 116.024 ...... 1986–1988 ...... 51 Mercedes Benz ...... 300 CE ...... 124.051 ...... 1990 64 ...... Mercedes Benz ...... 300 CE ...... 124.051 ...... 1991 83 ...... Mercedes Benz ...... 300 CE ...... 124.050 ...... 1992 117 ...... Mercedes Benz ...... 300 CE ...... 124.061 ...... 1993 94 ...... Mercedes Benz ...... 300 CE ...... 124.050 ...... 1988–1989 ...... 55 Mercedes Benz ...... 300 D ...... 124.130 ...... 1986 ...... 55 Mercedes Benz ...... 300 D Turbo ...... 124.193 ...... 1986 ...... 55 Mercedes Benz ...... 300 D Turbo ...... 124.193 ...... 1987–1989 ...... 55 Mercedes Benz ...... 300 DT ...... 124.133 ...... 1986–1989 ...... 55 Mercedes Benz ...... 300 E ...... 124.031 ...... 1992 114 ...... Mercedes Benz ...... 300 E ...... 124.030 ...... 1986–1989 ...... 55 Mercedes Benz ...... 300 E 4–Matic ...... 1990–1993 192 ...... Mercedes Benz ...... 300 SD ...... 126.120 ...... 1986–1989 ...... 53 Mercedes Benz ...... 300 SE ...... 126.024 ...... 1990 68 ...... Mercedes Benz ...... 300 SE ...... 126.024 ...... 1986–1987 ...... 53 Mercedes Benz ...... 300 SE ...... 126.024 ...... 1988–1989 ...... 53 Mercedes Benz ...... 300 SEL ...... 126.025 ...... 1986 ...... 53 Mercedes Benz ...... 300 SEL ...... 126.025 ...... 1987 ...... 53 Mercedes Benz ...... 300 SEL ...... 126.025 ...... 1990 21 ...... Mercedes Benz ...... 300 SEL ...... 126.025 ...... 1988–1989 ...... 53 Mercedes Benz ...... 300 SL ...... 107.041 ...... 1989 7 ...... Mercedes Benz ...... 300 SL ...... 129.006 ...... 1992 54 ...... Mercedes Benz ...... 300 SL ...... 107.041 ...... 1986–1988 ...... 44 Mercedes Benz ...... 300 TE ...... 124.090 ...... 1990 40 ...... Mercedes Benz ...... 300 TE ...... 1992 193 ...... Mercedes Benz ...... 300 TE ...... 124.090 ...... 1986–1989 ...... 55 Mercedes Benz ...... 320 CE ...... 1993 310 ...... Mercedes Benz ...... 320 SL ...... 1992–1993 142 ...... Mercedes Benz ...... 380 SE ...... 126.043 ...... 1986–1989 ...... 53 Mercedes Benz ...... 380 SE ...... 126.032 ...... 1986–1989 ...... 53 Mercedes Benz ...... 380 SEL ...... 126.033 ...... 1986–1989 ...... 53 Mercedes Benz ...... 380 SL ...... 107.045 ...... 1986–1989 ...... 44 Mercedes Benz ...... 380 SLC ...... 107.025 ...... 1986–1989 ...... 44 Mercedes Benz ...... 400 SE ...... 1992–1994 296 ...... Mercedes Benz ...... 420 E ...... 1993 169 ...... Mercedes Benz ...... 420 SE ...... 126.034 ...... 1986 ...... 53 Mercedes Benz ...... 420 SE ...... 126.034 ...... 1987–1989 ...... 53 Mercedes Benz ...... 420 SE ...... 1990–1991 230 ...... Mercedes Benz ...... 420 SEC ...... 1990 209 ...... Mercedes Benz ...... 420 SEL ...... 126.035 ...... 1990 48 ...... Mercedes Benz ...... 420 SEL ...... 126.035 ...... 1986–1989 ...... 53 Mercedes Benz ...... 420 SL ...... 107.047 ...... 1986 ...... 44 Mercedes Benz ...... 450 SEL ...... 116.033 ...... 1986–1988 ...... 51 Mercedes Benz ...... 450 SEL (6.9) ...... 116.036 ...... 1986–1988 ...... 51 Mercedes Benz ...... 450 SL ...... 107.044 ...... 1986–1989 ...... 44 Mercedes Benz ...... 450 SLC ...... 107.024 ...... 1986–1989 ...... 44 Mercedes Benz ...... 500 E ...... 124.036 ...... 1991 56 ...... Mercedes Benz ...... 500 SE ...... 126.036 ...... 1988 35 ...... Mercedes Benz ...... 500 SE ...... 1990 154 ...... Mercedes Benz ...... 500 SE ...... 140.050 ...... 1991 26 ...... Mercedes Benz ...... 500 SE ...... 126.036 ...... 1986 ...... 53 Mercedes Benz ...... 500 SEC ...... 126.044 ...... 1990 66 ...... Mercedes Benz ...... 500 SEC ...... 126.044 ...... 1986–1989 ...... 53 Mercedes Benz ...... 500 SEL ...... 1990 153 ...... Mercedes Benz ...... 500 SEL ...... 126.037 ...... 1991 63 ...... Mercedes Benz ...... 500 SEL ...... 126.037 ...... 1986–1989 ...... 53 Mercedes Benz ...... 500 SL ...... 129.066 ...... 1989 23 ...... Mercedes Benz ...... 500 SL ...... 126.066 ...... 1991 33 ...... Mercedes Benz ...... 500 SL ...... 129.006 ...... 1992 60 ...... Mercedes Benz ...... 500 SL ...... 107.046 ...... 1986–1989 ...... 44 Mercedes Benz ...... 560 SEC ...... 126.045 ...... 1990 141 ...... Mercedes Benz ...... 560 SEC ...... 1991 333 ...... Mercedes Benz ...... 560 SEC ...... 126.045 ...... 1986–1989 ...... 53

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Mercedes Benz ...... 560 SEL ...... 126.039 ...... 1990 89 ...... Mercedes Benz ...... 560 SEL ...... 140 ...... 1991 469 ...... Mercedes Benz ...... 560 SEL ...... 126.039 ...... 1986–1989 ...... 53 Mercedes Benz ...... 560 SL ...... 107.048 ...... 1986–1989 ...... 44 Mercedes Benz ...... 600 SEC ...... Coupe ...... 1993 185 ...... Mercedes Benz ...... 600 SEL ...... 140.057 ...... 1993–1998 271 ...... Mercedes Benz ...... 600 SL ...... 129.076 ...... 1992 121 ...... Mercedes Benz ...... All other passenger car models except ...... 1986–1989 ...... 77 Model ID 114 and 115 with sales designations ‘‘long,’’ ‘‘station wagon,’’ or ‘‘ambulance’’. Mercedes Benz ...... C 320 ...... 203 ...... 2001–2002 441 ...... Mercedes Benz ...... C Class ...... 1994–1999 331 ...... Mercedes Benz ...... C Class ...... 203 ...... 2000–2001 456 ...... Mercedes Benz ...... C Class ...... 221 ...... 2003–2006 521 ...... Mercedes Benz ...... CL 500 ...... 1998 277 ...... Mercedes Benz ...... CL 500 ...... 1999–2001 370 ...... Mercedes Benz ...... CL 600 ...... 1999–2001 370 ...... Mercedes Benz ...... CLK 320 ...... 1998 357 ...... Mercedes Benz ...... CLK Class ...... 1999–2001 380 ...... Mercedes Benz ...... CLK–Class ...... 209 ...... 2002–2005 478 ...... Mercedes Benz ...... E 200 ...... 1994 207 ...... Mercedes Benz ...... E 200 ...... 1995–1998 278 ...... Mercedes Benz ...... E 220 ...... 1994–1996 168 ...... Mercedes Benz ...... E 250 ...... 1994–1995 245 ...... Mercedes Benz ...... E 280 ...... 1994–1996 166 ...... Mercedes Benz ...... E 320 ...... 1994–1998 240 ...... Mercedes Benz ...... E 320 ...... 211 ...... 2002–2003 418 ...... Mercedes Benz ...... E 320 ...... Station Wagon ...... 1994–1999 318 ...... Mercedes Benz ...... E 420 ...... 1994–1996 169 ...... Mercedes Benz ...... E 500 ...... 1994 163 ...... Mercedes Benz ...... E 500 ...... 1995–1997 304 ...... Mercedes Benz ...... E Class ...... W210 ...... 1996–2002 401 ...... Mercedes Benz ...... E Class ...... 211 ...... 2003–2004 429 ...... Mercedes Benz ...... E Series ...... 1991–1995 354 ...... Mercedes Benz ...... G-Wagon ...... 463 ...... 1996 ...... 11 Mercedes Benz ...... G-Wagon ...... 463 ...... 1997 ...... 15 Mercedes Benz ...... G-Wagon ...... 463 ...... 1998 ...... 16 Mercedes Benz ...... G-Wagon ...... 463 ...... 1999–2000 ...... 18 Mercedes Benz ...... G-Wagon 300 ...... 463.228 ...... 1993 ...... 3 Mercedes Benz ...... G-Wagon 300 ...... 463.228 ...... 1994 ...... 5 Mercedes Benz ...... G-Wagon 300 ...... 463.228 ...... 1990–1992 ...... 5 Mercedes Benz ...... G-Wagon 320 LWB ...... 463 ...... 1995 ...... 6 Mercedes Benz ...... G-Wagon 5 DR LWB ...... 463 ...... 2001 ...... 21 Mercedes Benz ...... G-Wagon 5 DR LWB ...... 463 ...... 2002 392 ...... Mercedes Benz ...... G-Wagon 5 DR LWB ...... 2006–2007 527 ...... Mercedes Benz ...... G-Wagon LWB V–8 ...... 463 ...... 1992–1996 ...... 13 Mercedes Benz ...... G-Wagon SWB ...... 463 ...... 2005 ...... 31 Mercedes Benz ...... G-Wagon SWB ...... 463 ...... 1990–1996 ...... 14 Mercedes Benz ...... G-Wagon SWB Cabriolet & 3DR ...... 463 ...... 2004 ...... 28 Mercedes Benz ...... G-Wagon SWB Cabriolet & 3DR ...... 463 ...... 2001–2003 ...... 25 Mercedes Benz ...... G-Wagon SWB Cabriolet & 3DR (manu- 463 ...... 2006 ...... 35 factured before 9/1/06). Mercedes Benz ...... Maybach ...... 2004 486 ...... Mercedes Benz ...... S 280 ...... 140.028 ...... 1994 85 ...... Mercedes Benz ...... S 320 ...... 1994–1998 236 ...... Mercedes Benz ...... S 420 ...... 1994–1997 267 ...... Mercedes Benz ...... S 500 ...... 1994–1997 235 ...... Mercedes Benz ...... S 500 ...... 2000–2001 371 ...... Mercedes Benz ...... S 600 ...... 1995–1999 297 ...... Mercedes Benz ...... S 600 ...... 2000–2001 371 ...... Mercedes Benz ...... S 600 ...... Coupe ...... 1994 185 ...... Mercedes Benz ...... S 600L ...... 1994 214 ...... Mercedes Benz ...... S Class ...... 1993 395 ...... Mercedes Benz ...... S Class ...... 140 ...... 1991–1994 423 ...... Mercedes Benz ...... S Class ...... 1995–1998 342 ...... Mercedes Benz ...... S Class ...... 1998–1999 325 ...... Mercedes Benz ...... S Class ...... W220 ...... 1999–2002 387 ...... Mercedes Benz ...... S Class ...... 220 ...... 2002–2004 442 ...... Mercedes Benz ...... S Class (manufactured before 9/1/06) ...... 2005–2006 525 ...... Mercedes Benz ...... SE Class ...... 1992–1994 343 ...... Mercedes Benz ...... SEL Class ...... 140 ...... 1992–1994 343 ......

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Mercedes Benz ...... SL Class ...... 1993–1996 329 ...... Mercedes Benz ...... SL Class ...... W129 ...... 1997–2000 386 ...... Mercedes Benz ...... SL Class ...... R230 ...... 2001–2002 ...... 19 Mercedes Benz ...... SL-Class (European market) ...... 230 ...... 2003–2005 470 ...... Mercedes Benz ...... SLK ...... 1997–1998 257 ...... Mercedes Benz ...... SLK ...... 2000–2001 381 ...... Mercedes Benz ...... SLK Class (manufactured between 8/ 171 ...... 2005–2006 511 ...... 31/04 and 8/31/06). Mercedes Benz Sprinter ...... 2001–2005 468 ...... (truck). Mini ...... Cooper (European market) ...... Convertible ...... 2005 482 ...... Mitsubishi ...... Galant Super Salon ...... 1989 13 ...... Mitsubishi ...... Galant VX ...... 1988 8 ...... Moto Guzzi (MC) ...... California ...... 2000–2001 495 ...... Moto Guzzi (MC) ...... California EV ...... 2002 403 ...... Moto Guzzi (MC) ...... Daytona ...... 1993 118 ...... Moto Guzzi (MC) ...... Daytona RS ...... 1996–1999 264 ...... MV Agusta (MC) ...... F4 ...... 2000 420 ...... Nissan ...... 240SX ...... 1988 162 ...... Nissan ...... GTS & GTR(RHD) a.k.a. ‘‘Skyline’’ R33 ...... 1996–1998 ...... 32 manufactured 1/96–6/98. Nissan ...... Maxima ...... 1989 138 ...... Nissan ...... Pathfinder ...... 2002 412 ...... Nissan ...... Pathfinder ...... 1987–1995 316 ...... Nissan ...... Stanza ...... 1987 139 ...... Peugeot ...... 405 ...... 1989 65 ...... Plymouth ...... Voyager ...... 1996 353 ...... Pontiac ...... Firebird Trans Am ...... 1995 481 ...... Pontiac (MPV) ...... Trans Sport ...... 1993 189 ...... Porsche ...... 911 Series ...... 1991 526 ...... Porsche ...... 911 ...... 1997–2000 346 ...... Porsche ...... 928 ...... 1991–1996 266 ...... Porsche ...... 928 ...... 1993–1998 272 ...... Porsche ...... 911 Carrera ...... 996 ...... 2002–2004 439 ...... Porsche ...... 911 (996) GT3 ...... 2004 438 ...... Porsche ...... 911 C4 ...... 1990 29 ...... Porsche ...... 911 Cabriolet ...... 1986–1989 ...... 56 Porsche ...... 911 Carrera ...... 1993 165 ...... Porsche ...... 911 Carrera ...... 1994 103 ...... Porsche ...... 911 Carrera ...... 1986–1989 ...... 56 Porsche ...... 911 Carrera ...... 1995–1996 165 ...... Porsche ...... 911 Carrera 2 & Carrera 4 ...... 1992 52 ...... Porsche ...... 911 Carrera Cabriolet (manufactured ...... 2005–2006 513 ...... prior to 9/1/06). Porsche ...... 911 ...... Coupe ...... 1986–1989 ...... 56 Porsche ...... 911 Targa ...... 1986–1989 ...... 56 Porsche ...... 911 Turbo ...... 1992 125 ...... Porsche ...... 911 Turbo ...... 2001 347 ...... Porsche ...... 911 Turbo ...... 1986–1989 ...... 56 Porsche ...... 924 ...... Coupe ...... 1986–1989 ...... 59 Porsche ...... 924 S ...... 1987–1989 ...... 59 Porsche ...... 924 Turbo ...... Coupe ...... 1986–1989 ...... 59 Porsche ...... 928 ...... Coupe ...... 1986–1989 ...... 60 Porsche ...... 928 GT ...... 1986–1989 ...... 60 Porsche ...... 928 S ...... Coupe ...... 1986–1989 ...... 60 Porsche ...... 928 S4 ...... 1990 210 ...... Porsche ...... 928 S4 ...... 1986–1989 ...... 60 Porsche ...... 944 ...... Coupe ...... 1986–1989 ...... 61 Porsche ...... 944 S ...... Cabriolet ...... 1990 97 ...... Porsche ...... 944 S ...... Coupe ...... 1987–1989 ...... 61 Porsche ...... 944 S2 (2-door Hatchback) ...... 1990 152 ...... Porsche ...... 944 Turbo ...... Coupe ...... 1986–1989 ...... 61 Porsche ...... 946 Turbo ...... 1994 116 ...... Porsche ...... All other passenger car models except ...... 1986–1989 ...... 79 Model 959. Porsche ...... Boxster ...... 1997–2001 390 ...... Porsche ...... Boxster (manufactured before 9/1/02) ...... 2002 390 ...... Porsche ...... Carrera GT ...... 2004–2005 463 ...... Porsche ...... Cayenne ...... 2003–2004 464 ...... Porsche ...... Cayenne (manufactured prior to 9/1/06) ...... 2006 519 ...... Porsche ...... GT2 ...... 2001 ...... 20 Porsche ...... GT2 ...... 2002 388 ......

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Rolls Royce ...... Bentley ...... 1987–1989 340 ...... Rolls Royce ...... Bentley Brooklands ...... 1993 186 ...... Rolls Royce ...... Bentley Continental R ...... 1990–1993 258 ...... Rolls Royce ...... Bentley Turbo ...... 1986 53 ...... Rolls Royce ...... Bentley Turbo R ...... 1995 243 ...... Rolls Royce ...... Bentley Turbo R ...... 1992–1993 291 ...... Rolls Royce ...... Phantom ...... 2004 455 ...... Saab ...... 9.3 ...... 2003 426 ...... Saab ...... 9000 ...... 1988 59 ...... Saab ...... 9000 ...... 1994 334 ...... Saab ...... 900 S ...... 1987–1989 270 ...... Saab ...... 900 SE ...... 1995 213 ...... Saab ...... 900 SE ...... 1990–1994 219 ...... Saab ...... 900 SE ...... 1996–1997 219 ...... Smart Car ...... Fortwo (incl. trim levels passion, pulse, Coupe & Cabriolet 2005 ...... 30 & pure). Smart Car ...... Fortwo (incl. trim levels passion, pulse, Coupe & Cabriolet 2002–2004 ...... 27 & pure). Smart Car ...... Fortwo (incl. trim levels passion, pulse, Coupe & Cabriolet 2006 ...... 34 & pure) manufactured before 9/1/06. Smart Car ...... Fortwo (incl. trim levels passion, pulse, Coupe & Cabriolet 2007 ...... 39 & pure) manufactured before 9/1/06. Subaru ...... Forester ...... 2006–2007 510 ...... Suzuki (MC) ...... GSF 750 ...... 1996–1998 287 ...... Suzuki (MC) ...... GSX1300R a.k.a. ‘‘Hayabusa‘‘ ...... 1999–2006 484 ...... Suzuki (MC) ...... GSX–R 1100 ...... 1986–1997 227 ...... Suzuki (MC) ...... GSX–R 750 ...... 1986–1998 275 ...... Suzuki (MC) ...... GSX–R 750 ...... 1999–2003 417 ...... Toyota ...... 4-Runner ...... 1998 449 ...... Toyota ...... Avalon ...... 1995–1998 308 ...... Toyota ...... Camry ...... 1989 39 ...... Toyota ...... Camry ...... 1987–1988 ...... 63 Toyota ...... Celica ...... 1987–1988 ...... 64 Toyota ...... Corolla ...... 1987–1988 ...... 65 Toyota ...... Land Cruiser ...... 1989 101 ...... Toyota ...... Land Cruiser ...... 1986–1988 252 ...... Toyota ...... Land Cruiser ...... 1990–1996 218 ...... Toyota ...... MR2 ...... 1990–1991 324 ...... Toyota ...... Previa ...... 1991–1992 326 ...... Toyota ...... Previa ...... 1993–1997 302 ...... Toyota ...... RAV4 ...... 1996 328 ...... Toyota ...... RAV4 ...... 2005 480 ...... Toyota ...... Van ...... 1987–1988 200 ...... Triumph (MC) ...... Thunderbird ...... 1995–1999 311 ...... Vespa (MC) ...... ET2, ET4 ...... 2001–2002 378 ...... Vespa (MC) ...... LX and PX ...... 2004–2005 496 ...... Volkswagen ...... Eurovan ...... 1993–1994 306 ...... Volkswagen ...... Golf ...... 1987 159 ...... Volkswagen ...... Golf ...... 1988 80 ...... Volkswagen ...... Golf ...... 2005 502 ...... Volkswagen ...... Golf III ...... 1993 92 ...... Volkswagen ...... Golf Rallye ...... 1988 73 ...... Volkswagen ...... Golf Rallye ...... 1989 467 ...... Volkswagen ...... GTI (Canadian market) ...... 1991 149 ...... Volkswagen ...... Jetta ...... 1994–1996 274 ...... Volkswagen ...... Passat ...... Wagon & Sedan .... 2004 488 ...... Volkswagen ...... Passat 4-door ...... Sedan ...... 1992 148 ...... Volkswagen ...... Scirocco ...... 1986 42 ...... Volkswagen ...... Transporter ...... 1990 251 ...... Volkswagen ...... Transporter ...... 1986–1987 490 ...... Volkswagen ...... Transporter ...... 1988–1989 284 ...... Volvo ...... 740 GL ...... 1992 137 ...... Volvo ...... 740 ...... Sedan ...... 1988 87 ...... Volvo ...... 850 Turbo ...... 1995–1998 286 ...... Volvo ...... 940 GL ...... 1992 137 ...... Volvo ...... 940 GL ...... 1993 95 ...... Volvo ...... 945 GL ...... Wagon ...... 1994 132 ...... Volvo ...... 960 ...... Sedan & Wagon .... 1994 176 ...... Volvo ...... C70 ...... 2000 434 ...... Volvo ...... S70 ...... 1998–2000 335 ...... Yamaha (MC) ...... Drag Star 1100 ...... 1999–2007 497 ...... Yamaha (MC) ...... FJ1200 (4 CR) ...... 1991 113 ......

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VEHICLES MANUFACTURED FOR OTHER THAN THE CANADIAN MARKET—Continued

Make Model type(s) Body Model year(s) VSP VSA VCP

Yamaha (MC) ...... FJR1300 ...... 2002 ...... 23 Yamaha (MC) ...... R1 ...... 2000 360 ...... Yamaha (MC) ...... Virago ...... 1990–1998 301 ......

[75 FR 57398, Sept. 21, 2010] § 594.3 Applicability. This part applies to any person who PART 594—SCHEDULE OF FEES applies to NHTSA to be granted the AUTHORIZED BY 49 U.S.C. 30141 status of Registered Importer under part 592 of this chapter, to any person Sec. who has been granted such status, to 594.1 Scope. any manufacturer not a Registered Im- 594.2 Purpose. porter who petitions the Administrator 594.3 Applicability. for a determination pursuant to part 594.4 Definitions. 593 of this chapter, and to any person 594.5 Establishment and payment of fees. who imports a motor vehicle into the 594.6 Annual fee for administration of the United States pursuant to such deter- registration program. 594.7 Fee for filing petitions for a determination. mination whether a vehicle is eligible for [55 FR 40667, Oct. 4, 1990] importation. 594.8 Fee for importing a vehicle pursuant § 594.4 Definitions. to a determination by the Administrator. All terms used in this part that are 594.9 Fee for reimbursement of bond processing costs and costs for processing of- defined in 49 U.S.C. 30102 are used as fers of cash deposits or obligations of the defined in that section. United States in lieu of sureties on Administrator means the Adminis- bonds. trator of the National Highway Traffic 594.10 Fee for review and processing of con- Safety Administration. formity certificate. NHTSA means the National Highway AUTHORITY: 49 U.S.C. 30141, 31 U.S.C. 9701; Traffic Safety Administration. delegation of authority at 49 CFR 1.50. Registered Importer means any person who has been granted the status of reg- SOURCE: 54 FR 40107, Sept. 29, 1989, unless otherwise noted. istered importer under part 592 of this chapter, and whose registration has § 594.1 Scope. not been revoked. This part establishes the fees author- [54 FR 40107, Sept. 29, 1989, as amended at 61 ized by 49 U.S.C. 30141. FR 51045, Sept. 30, 1996] [61 FR 51045, Sept. 30, 1996] § 594.5 Establishment and payment of fees. § 594.2 Purpose. (a) The fees established by this part The purposes of this part is to ensure continue in effect until adjusted by the that NHTSA is reimbursed for costs in- Administrator. The Administrator re- curred in administering the importer views the amount or rate of fees estab- registration program, in making deter- lished under this part and, if appro- minations whether a nonconforming priate, adjusts them by rule at least vehicle is eligible for importation into every 2 years. the United States, and in processing (b) The fees applicable in any fiscal the bond furnished to the Secretary of year are established before the begin- the Treasury given to ensure that an ning of such year. Each fee is cal- imported vehicle not originally manu- culated in accordance with this part, factured to conform to all applicable and is published in the FEDERAL REG- Federal motor vehicle safety standards ISTER not later than September 30 of is brought into compliance with the each year. safety standards, or will be exported, (c) An applicant for status as Reg- or abandoned to the United States. istered Importer shall submit an initial

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annual fee with the application. A Reg- (3) The estimated remaining activi- istered Importer shall pay an annual ties of administering the registration fee not later than October 31 of each program in the fiscal year in which year. The fee is that specified in such application is intended to become § 594.6(i). effective. (d) A person who petitions the Ad- (b) That portion of the initial annual ministrator for a determination that a fee attributable to the processing of vehicle is eligible for importation shall the application for applications filed file with the petition the fee specified on and after October 1, 2010, is $320. The in § 594.7(e). sum of $320, representing this portion, (e) No application or petition will be shall not be refundable if the applica- accepted for filing or processed before tion is denied or withdrawn. payment of the full amount specified. (c) If, in order to make a determina- Except as provided in § 594.6(d), a fee tion upon an application, NHTSA must shall be paid irrespective of NHTSA’s make an inspection of the applicant’s disposition of the application, or of a facilities, NHTSA notifies the appli- withdrawal of an application. cant in writing after the conclusion of (f) The Administrator will furnish any such inspection, that a supplement each Registered Importer with a to the initial annual fee in a stated monthly invoice of the fees owed by amount is due upon receipt of such no- the Registered Importer for reimburse- tice to recover the direct and indirect ment for bond processing costs and for costs associated with such inspection the review and processing of conformity certificates and information and notification, and that no deter- regarding importation of motor vehi- mination will be made upon the appli- cles as provided in Section 592.4 of this cation until such sum is received. Such chapter. A person who for personal use sum is not refundable if the application imports a vehicle covered by a deter- is denied or withdrawn. mination of the Administrator must (d) That portion of the initial annual pay the fee specified in either § 594.8(b) fee attributable to the remaining ac- or (c), as appropriate, to the Registered tivities of administering the registra- Importer, and the invoice will also in- tion program on and after October 1, clude these fees. The Registered Im- 2010, is set forth in paragraph (i) of this porter must pay the fees within 15 days section. This portion shall be refund- of the date of the invoice. able if the application is denied, or (g) Fee payments must be by cer- withdrawn before final action upon it. tified check, cashier’s check, money (e) Each Registered Importer who order, credit card, or Electronic Funds wishes to maintain the status of Reg- Transfer System, made payable to the istered Importer shall pay a regular an- Treasurer of the United States. nual fee based upon the direct and indirect costs of administering the reg- [54 FR 40107, Sept. 29, 1989, as amended at 55 FR 40667, Oct. 4, 1990; 62 FR 50882, Sept. 29, istration program, including the sus- 1997; 69 FR 52100, Aug. 24, 2004] pension and reinstatement, and revocation of such registration. § 594.6 Annual fee for administration (f) The elements of administering the of the registration program. registration program that are included (a) Each person filing an application in the regular annual fee are: to be granted the status of a Registered (1) Calculating, revising, and pub- Importer pursuant to part 592 of this lishing the fees to apply in the next fis- chapter on or after October 1, 2010, cal year, including such coordination must pay an annual fee of $795, as cal- as may be required with the U.S. Cus- culated below, based upon the direct toms Service. and indirect costs attributable to: (2) Processing and reviewing the an- (1) Processing and acting upon such nual statement attesting to the fact application; that no material change has occurred (2) Any inspection deemed required in the Registered Importer’s status for a determination upon such applica- since filing its original application. tion; (3) Processing the annual fee.

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(4) Processing and reviewing any period beginning October 1, 2010, is amendments to an annual statement $670. received in the course of a fiscal year. [54 FR 40107, Sept. 29, 1989; 55 FR 78, Jan. 2, (5) Verifying through inspection or 1990, as amended at 55 FR 40667, Oct. 4, 1990; otherwise that a Registered Importer is 56 FR 49429, Sept. 30, 1991; 58 FR 51023, Sept. complying with the requirements of 30, 1993; 61 FR 51045, Sept. 30, 1996; 63 FR Sec. 592.6(b)(3) of this chapter for rec- 45185, Aug. 25, 1998; 65 FR 56500, Sept. 19, 2000; ordkeeping. 67 FR 60599, Sept. 26, 2002; 67 FR 62897, Oct. 9, (6) Verifying through inspection or 2002; 69 FR 57873, Sept. 28, 2004; 71 FR 43989, otherwise that a Registered Importer is Aug. 3, 2006; 73 FR 54986, Sept. 24, 2008; 75 FR 48612, Aug. 11, 2010] able technically and financially to carry out its responsibilities pursuant § 594.7 Fee for filing petitions for a de- to 49 U.S.C. 30118 et seq. termination whether a vehicle is el- (7) Invoking procedures for suspen- igible for importation. sion of registration and its reinstate- (a) Each manufacturer or registered ment, and for revocation of registra- importer who petitions NHTSA for a tion pursuant to Sec. 592.7 of this chap- determination that— ter. (1) A nonconforming vehicle is sub- (g) The direct costs included in estab- stantially similar to a vehicle origi- lishing the annual fee for maintaining nally manufactured for importation registered importer status are the esti- into and sale in the United States and mated costs of professional and clerical of the same model year as the model staff time, computer and computer op- for which petition is made, and is capa- erator time, and postage, per Reg- ble of being readily modified to con- istered Importer. The direct costs inform to all applicable Federal motor cluded in establishing the annual fee vehicle safety standards, or for a specific Registered Importer are (2) A nonconforming vehicle has safe- costs of transportation and per diem at- ty features that comply with or are ca- tributable to inspections conducted pable of being modified to comply with with respect to that Registered Im- all applicable Federal motor vehicle porter in administering the registra- safety standards, tion program, which have not been in- shall pay a fee based upon the direct cluded in a previous annual fee. and indirect costs of processing and (h) The indirect costs included in es- acting upon such petition. tablishing the annual fee for maintain- (b) The direct costs attributable to ing Registered Importer status are a processing a petition filed pursuant to pro rata allocation of the average sal- paragraph (a) of this section include ary and benefits of persons employed in the average cost per professional staff- processing annual statements, or hour, computer and computer operator changes thereto, in recommending con- time, and postage. The direct costs also tinuation of Registered Importer sta- include those attributable to any in- tus, and a pro rata allocation of the spection of a vehicle requested by a pe- costs attributable to maintaining the titioner in substantiation of its peti- office space, and the computer or word tion. processor. This cost is $20.67 per man- (c) The indirect costs attributable to hour for the period beginning October processing and acting upon a petition 1, 2010. filed pursuant to paragraph (a) of this (i) Based upon the elements and indi- section include a pro rata allocation of rect costs of paragraphs (f), (g), and (h) the average salary and benefits of per- of this section, the component of the sons employed in processing the peti- initial annual fee attributable to ad- tions and recommending decisions on ministration of the registration pro- them, and a pro rata allocation of the gram, covering the period beginning costs attributable to maintaining the October 1, 2010, is $475. When added to office space, and the computer or word the costs of registration of $320, as set processor. forth in paragraph (b) of this section, (d) The direct costs attributable to the costs per applicant to be recovered acting upon a petition filed pursuant to through the annual fee are $795. The paragraph (a) of this section, also in- annual renewal registration fee for the clude the cost of publishing a notice in

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the FEDERAL REGISTER seeking public tiating determinations on its own ini- comment, the cost of publishing a sec- tiative. ond notice with the agency’s deter- [55 FR 40667, Oct. 4, 1990, as amended at 58 FR mination, and a pro rata share of the 51023, Sept. 30, 1993; 61 FR 51045, Sept. 30, cost of publishing an annual list of 1996; 63 FR 45186, Aug. 25, 1998; 65 FR 56500, nonconforming vehicles determined to Sept. 19, 2000; 67 FR 60599, Sept. 26, 2002; 69 be eligible for importation. FR 57874, Sept. 28, 2004; 71 FR 43990, Aug. 3, (e) For petitions filed on and after 2006; 73 FR 54986, Sept. 24, 2008; 75 FR 48613, Aug. 11, 2010] October 1, 2010, the fee payable for seeking a determination under para- § 594.9 Fee for reimbursement of bond graph (a)(1) of this section is $175. The processing costs and costs for proc- fee payable for a petition seeking a de- essing offers of cash deposits or ob- termination under paragraph (a)(2) of ligations of the United States in lieu of sureties on bonds. this section is $800. If the petitioner requests an inspection of a vehicle, the (a) Each Registered Importer must sum of $827 shall be added to such fee. pay a fee based upon the direct and in- No portion of this fee is refundable if direct costs of processing each bond the petition is withdrawn or denied. furnished to the Secretary of Homeland (f) In adopting a fee for the next fis- Security on behalf of the Adminis- cal year, the Administrator employs trator with respect to each vehicle for which it furnishes a certificate of con- data based upon the cost of determina- formity pursuant to § 592.6(d) of this tions and the amount of fees received chapter. for the 12-month period ending June 30 (b) The direct and indirect costs at- of the fiscal year preceding that fiscal tributable to processing a bond are pro- year. vided to NHTSA by the U.S. Customs [54 FR 40107, Sept. 29, 1989, as amended at 55 Service. FR 40667, Oct. 4, 1990; 56 FR 49429, Sept. 30, (c) The bond processing fee for each 1991; 58 FR 51023, Sept. 30, 1993; 61 FR 51045, vehicle imported on and after October Sept. 30, 1996; 65 FR 56500, Sept. 19, 2000; 67 1, 2010, for which a certificate of con- FR 60599, Sept. 26, 2002; 69 FR 57873, Sept. 28, formity is furnished, is $9.93. 2004; 71 FR 43990, Aug. 3, 2006; 73 FR 54986, (d) Each importer must pay a fee Sept. 24, 2008; 75 FR 48613, Aug. 11, 2010] based upon the direct and indirect costs the agency incurs for receipt, § 594.8 Fee for importing a vehicle processing, handling, and disbursement pursuant to a determination by the of cash deposits or obligations of the Administrator. United States in lieu of sureties on (a) A fee as specified in paragraphs bonds that the importer submits as au- (b) and (c) of this section shall be paid thorized by § 591.10 of this chapter in by each importer of a vehicle covered lieu of a conformance bond required by a determination made under part under § 591.6(c) of this chapter. 593 of this chapter to cover the direct (e) The fee for each vehicle imported and indirect costs incurred by NHTSA on and after October 1, 2010, for which in making such determinations. cash deposits or obligations of the (b) If a determination has been made United States are furnished in lieu of a pursuant to a petition, the fee for each conformance bond, is $514. vehicle is $158. The direct and indirect [54 FR 40107, Sept. 29, 1989, as amended at 56 costs that determine the fee are those FR 49429, Sept. 30, 1991; 58 FR 51023, Sept. 30, set forth in § 594.7(b), (c), and (d). 1993; 61 FR 51045, Sept. 30, 1996; 63 FR 45186, (c) If a determination has been made Aug. 25, 1998; 65 FR 56500, Sept. 19, 2000; 67 FR on or after October 1, 2010, pursuant to 60599, Sept. 26, 2002; 69 FR 52100, Aug. 24, 2004; 69 FR 57874, Sept. 28, 2004; 71 FR 43990, Aug. the Administrator’s initiative, the fee 3, 2006; 73 FR 39896, July 11, 2008; 75 FR 48613, for each vehicle is $125. The direct and Aug. 11, 2010] indirect costs that determine the fee are those set forth in §§ 594.7(b), (c), and § 594.10 Fee for review and processing (d), and references to ‘‘petition’’ shall of conformity certificate. be understood as relating to NHTSA’s (a) Each registered importer shall documents that serve as a basis for ini- pay a fee based on the agency’s direct

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and indirect costs for the review and Subpart C—Vehicle Modifications To processing of each certificate of con- Accommodate People With Disabilities formity furnished to the Administrator 595.6 Modifier identification. pursuant to § 591.7(e) of this chapter. 595.7 Requirements for vehicle modifica- (b) The direct costs attributable to tions to accommodate people with dis- the review and processing of a certifi- abilities. cate of conformity include the esti- APPENDIX A TO PART 595—INFORMATION BRO- mated cost of contract and professional CHURE. staff time, computer usage, and record APPENDIX B TO PART 595—REQUEST FORM. assembly, marking, shipment and stor- APPENDIX C TO PART 595—INSTALLATION OF age costs. AIR BAG ON-OFF SWITCHES. (c) The indirect costs attributable to AUTHORITY: 49 U.S.C. 322, 30111, 30115, 30117, the review and processing of a certifi- 30122 and 30166; delegation of authority at 49 cate of conformity include a pro rata CFR 1.50. allocation of the average benefits of SOURCE: 62 FR 62442, Nov. 21, 1997, unless persons employed in reviewing and otherwise noted. processing the certificates, and a pro rata allocation of the costs attrib- Subpart A—General utable to the rental and maintenance of office space and equipment, the use § 595.1 Scope. of office supplies, and other overhead This part establishes conditions items. under which the compliance of motor (d) The review and processing fee for vehicles and motor vehicle equipment each certificate of conformity sub- with the Federal motor vehicle safety mitted on and after October 1, 2010 is standards may be made inoperative. $17. However, if the vehicle covered by the certificate has been entered elec- [66 FR 12655, Feb. 27, 2001] tronically with the U.S. Department of § 595.2 Purpose. Homeland Security through the Auto- mated Broker Interface and the reg- The purpose of this part is to provide istered importer submitting the certifi- an exemption from the ‘‘make inoper- cate has an e-mail address, the fee for ative’’ provision of 49 U.S.C. 30122 that the certificate is $6, provided that the permits motor vehicle dealers and fee is paid by a credit card issued to motor vehicle repair businesses to in- the registered importer. If NHTSA stall retrofit air bag on-off switches finds that the information in the entry and to otherwise modify motor vehicles to enable people with disabilities to op- or the certificate is incorrect, requir- erate or ride as a passenger in a motor ing further processing, the processing vehicle. fee shall be $57. [66 FR 12655, Feb. 27, 2001] [62 FR 50882, Sept. 29, 1997, as amended at 63 FR 45186, Aug. 25, 1998; 65 FR 56500, Sept. 19, § 595.3 Applicability. 2000; 67 FR 60599, Sept. 26, 2002; 69 FR 57874, Sept. 28, 2004; 71 FR 43990, Aug. 3, 2006; 73 FR This part applies to dealers and 54986, Sept. 24, 2008; 75 FR 48613, Aug. 11, 2010] motor vehicle repair businesses.

PART 595—MAKE INOPERATIVE § 595.4 Definitions. EXEMPTIONS The term dealer, defined in 49 U.S.C. 30102(a), is used in accordance with its Subpart A—General statutory meaning. The term motor vehicle repair business Sec. is defined in 49 U.S.C. 30122(a) as ‘‘a 595.1 Scope. person holding itself out to the public 595.2 Purpose. to repair for compensation a motor ve- 595.3 Applicability. hicle or motor vehicle equipment.’’ 595.4 Definitions. This term includes businesses that re- Subpart B—Retrofit On-Off Switches for Air ceive compensation for servicing vehi- Bags cles without malfunctioning or broken parts or systems by adding or removing 595.5 Requirements. features or components to or from

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those vehicles or otherwise custom- ever the driver or passenger air bag is izing those vehicles. turned off by means of the on-off switch. The telltale for a driver air bag Subpart B—Retrofit On-Off shall be clearly visible to an occupant Switches for Air Bags of the driver’s seating position. The telltale for a passenger air bag shall be § 595.5 Requirements. clearly visible to occupants of all front (a) Beginning January 19, 1998, a seating positions. The telltale for an dealer or motor vehicle repair business air bag: may modify a motor vehicle manufac- (A) Shall be yellow; tured before September 1, 2012 by in- (B) Shall have the identifying words stalling an on-off switch that allows an ‘‘DRIVER AIR BAG OFF’’, ‘‘PAS- occupant of the vehicle to turn off an SENGER AIR BAG OFF’’, or ‘‘PASS air bag in that vehicle, subject to the AIR BAG OFF’’, as appropriate, on the conditions in paragraphs (b)(1) through telltale or within 25 millimeters of the (5) of this section. telltale; (b)(1) The dealer or motor vehicle re- (C) Shall remain illuminated for the pair business receives from the owner entire time that the air bag is ‘‘off;’’ or lessee of the motor vehicle a letter (D) Shall not be illuminated at any from the National Highway Traffic time when the air bag is ‘‘on;’’ and, Safety Administration that authorizes (E) Shall not be combined with the the installation of an on-off switch in readiness indicator required by S4.5.2 that vehicle for that air bag and in- of § 571.208 of this chapter. cludes a form to be filled in by the (4) The dealer or motor vehicle repair dealer or motor vehicle repair business business provides the owner or lessee with information identifying itself and with an insert for the vehicle owner’s describing the installation it makes. manual that— (2) The dealer or motor vehicle repair (i) Describes the operation of the on- business installs the on-off switch in off switch, accordance with the instructions of the (ii) Lists the risk groups on the re- manufacturer of the switch. quest form set forth in appendix B of (3) The on-off switch meets all of the this Part, conditions specified in paragraphs (iii) States that an on-off switch (b)(3)(i) and (ii) of this section. should only be used to turn off an air (i) The on-off switch is operable sole- bag for a member of one of those risk ly by a key or a key-like object. The groups, and on-off switch shall be separate from the (iv) States the safety consequences ignition switch for the vehicle, so that for using the on-off switch to turn off the driver must take some action other an air bag for persons who are not than inserting the ignition key or members of any of those risk groups. turning the ignition key in the ignition The description of those consequences switch to turn off the air bag. Once includes information, specific to the turned off, the air bag shall remain off make, model and model year of the until it is turned back on by means of owner’s or lessee’s vehicle, about any the device. If a single on-off switch is seat belt energy managing features, installed for both air bags, the on-off e.g., load limiters, that will affect seat switch shall allow each air bag to be belt performance when the air bag is turned off without turning off the turned off. other air bag. The readiness indicator (5) In the form included in the agency required by S4.5.2 of § 571.208 of this authorization letter specified in para- chapter shall continue to monitor the graph (b)(1) of this section, the dealer readiness of the air bags even when one or motor vehicle repair business fills in or both air bags has been turned off. information describing itself and the The readiness indicator light shall not on-off switch installation(s) it makes be illuminated solely because an air in the motor vehicle. The dealer or bag has been deactivated by means of motor vehicle repair business then an on-off switch. sends the form to the address below (ii) A telltale light in the interior of within 7 working days after the com- the vehicle shall be illuminated when- pletion of the described installations:

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National Highway Traffic Safety Ad- senger in, the motor vehicle. Each ministration, Attention: Air Bag motor vehicle repair business who has Switch Request Forms, 400 Seventh submitted required information shall Street, S.W., Washington, D.C. 20590– keep its entry current, accurate and 1000. complete by submitting revised information not later than 30 days after the [62 FR 62442, Nov. 21, 1997; 62 FR 67754, Dec. 30, 1997, as amended at 65 FR 30770, May 12, relevant changes in the business occur. 2000; 69 FR 31034, June 2, 2004] [66 FR 12655, Feb. 27, 2001, as amended at 75 FR 47489, Aug. 6, 2010] Subpart C—Vehicle Modifications To Accommodate People § 595.7 Requirements for vehicle modifications to accommodate people With Disabilities with disabilities.

SOURCE: 66 FR 12655, Feb. 27, 2001, unless (a) Any motor vehicle repair business otherwise noted. that modifies a motor vehicle to enable a person with a disability to operate, § 595.6 Modifier identification. or ride as a passenger in, the motor ve- (a) Any motor vehicle repair business hicle is exempted from the ‘‘make in- that modifies a motor vehicle to enable operative’’ prohibition of 49 U.S.C. a person with a disability to operate, 30122 to the extent that those modifica- or ride as a passenger in, the motor ve- tions affect the motor vehicle’s compli- hicle and intends to avail itself of the ance with the Federal motor vehicle exemption provided in 49 CFR 595.7 safety standards or portions thereof shall furnish the information specified specified in paragraph (c) of this sec- in paragraphs (a)(1) through (3) of this tion. Modifications that would take a section to: Administrator, National vehicle out of compliance with any Highway Traffic Safety Administra- other Federal motor vehicle safety tion, 1200 New Jersey Avenue, SE., standards, or portions thereof, are not Washington, DC 20590. covered by this exemption. (1) Full individual, partnership, or (b) Any motor vehicle repair business corporate name of the motor vehicle that modifies a motor vehicle to enable repair business. a person with a disability to operate, (2) Residence address of the motor ve- or ride as a passenger in, the motor vehicle repair business and State of in- hicle in such a manner as to make incorporation if applicable. operative any part of a device or ele- (3) A statement that the motor vehi- ment of design installed on or in the cle repair business modifies a motor motor vehicle in compliance with a vehicle to enable a person with a dis- Federal motor vehicle safety standard ability to operate, or ride as a pas- or portion thereof specified in para- senger in, the motor vehicle and in- graph (c) of this section must affix to tends to avail itself of the exemption the motor vehicle a permanent label of provided in 49 CFR 595.7. the type and in the manner described (b) Each motor business repair busi- in paragraph (d) of this section and ness required to submit information must provide and retain a document of under paragraph (a) of this section the type and in the manner described shall submit the information not later in paragraph (e) of this section. than August 27, 2001. After that date, (c)(1) 49 CFR 571.101, except for S5.2.1, each motor business repair business S5.3.1, S5.3.4, S5.4.1, and S5.4.3 of that that modifies a motor vehicle to enable section. a person with a disability to operate, (2) S5.1.1.5 of 49 CFR 571.108, in the or ride as a passenger in, the motor ve- case of a motor vehicle that is modified hicle and intends to avail itself of the to be driven without a steering wheel exemption provided in 49 CFR 595.7 or for which it is not feasible to retain shall submit the information required the turn signal canceling device in- under paragraph (a) not later than 30 stalled by the vehicle manufacturer. days after it first modifies a motor ve- (3) S5.1.2 and S5.1.3 of 49 CFR 571.114, hicle to enable a person with a dis- in any case in which the original key ability to operate, or ride as a pas- locking system must be modified.

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(4) S4(a) of 49 CFR 571.118, in any case ment must be mounted on the steering in which the medical condition of the wheel. person for whom the vehicle is modi- (12) 49 CFR 571.204, in any case in fied necessitates the installation of a which the modification necessitates a remote ignition switch to start the ve- structural change to, or removal of, hicle. the original equipment manufacturer (5) S5.1 and S5.2.1 of 49 CFR 571.123, in steering shaft. any case in which the modification ne- (13) S4.1 of 49 CFR 571.207, in any case cessitates the relocation of original in which a vehicle is modified to be equipment manufacturer’s controls. driven by a person seated in a wheel- (6) S5.3.1 of 49 CFR 571.135, in any chair and no other driver’s seat is sup- case in which the modification neces- plied with the vehicle, provided that a sitates the removal of the original wheelchair securement device is in- equipment manufacturer foot pedal. stalled at the driver’s position. (7) 49 CFR 571.201 with respect to: (14) S4.1.5.1(a)(1), S4.1.5.1(a)(3), (i) Targets located on the right side S4.2.6.2, S5, S7.1, S7.2, S7.4, S14, S15, rail, the right B-pillar and the first S16, S17, S18, S19, S20, S21, S22, S23, right side ‘‘other’’ pillar adjacent to S24, S25, S26 and S27 of 49 CFR 571.208 the stowed platform of a lift or ramp for the designated seating position that stows vertically, inside the vehi- modified, provided Type 2 or Type 2A cle. seat belts meeting the requirements of (ii) Targets located on the left side 49 CFR 571.209 and 571.210 are installed rail, the left B-pillar and the first left at that position. side ‘‘other’’ pillar adjacent to the stowed platform of a lift or ramp that (15) S5 of 49 CFR 571.214 for the des- stows vertically, inside the vehicle. ignated seating position modified, in (iii) Targets located on the rear head- any cases in which the restraint sys- er and the rearmost pillars adjacent to tem and/or seat at that position must the stowed platform of a lift or ramp be changed to accommodate a person that stows vertically, inside the vehi- with a disability. cle. (16) 49 CFR 571.225 in any case in (iv) Targets located on any hand grip which an existing child restraint an- or vertical stanchion bar. chorage system, or built-in child re- (v) All of S6 of 571.201 in any case in straint system relied upon for compli- which the disability necessitates rais- ance with 571.225 must be removed to ing the roof or door, or lowering the accommodate a person with a dis- floor of the vehicle. ability, provided the vehicle contains (8) 49 CFR 571.202, in any case in at least one tether anchorage which which: complies with 49 CFR 571.225 S6, S7 and (i) A motor vehicle is modified to be S8 in one of the rear passenger des- operated by a driver seated in a wheel- ignated seating positions. If no rear chair and no other seat is supplied with designated seating position exists after the vehicle for the driver; the vehicle modification, a tether an- (ii) A motor vehicle is modified to chorage complying with the require- transport a right front passenger seat- ments described above must be located ed in a wheelchair and no other right at a front passenger seat. Any tether front passenger seat is supplied with anchorage attached to a seat that is re- the vehicle; or located shall continue to comply with (9) S4.3(b)(1) and (2) of 49 CFR 571.202, the requirements of 49 CFR 571.225 S6, in any case in which the driver’s head S7 and S8. restraint must be modified to accom- (d) The label required by paragraph modate a driver with a disability. (b) of this section shall: (10) S5.1 of 49 CFR 571.203, in any case (1) Be permanently affixed to the ve- in which the modification necessitates hicle, a structural change to, or removal of, (2) Be located adjacent to the origi- the original equipment manufacturer nal certification label or the alterer’s steering shaft. certification label, if applicable, (11) S5.2 of 49 CFR 571.203, in any case (3) Give the modifier’s name and in which an item of adaptive equip- physical address,

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(4) Contain the statement ‘‘This vehi- (3) Be clearly identifiable as to the cle has been modified in accordance vehicle that has been modified, with 49 CFR 595.6 and may no longer (4) Contain a list of the Federal comply with all Federal Motor Vehicle motor vehicle safety standards or por- Safety Standards in effect at the time tions thereof specified in paragraph (c) of its original manufacture.’’ of this section with which the vehicle (e) The document required by para- may no longer be in compliance. graph (b) of this section shall: (5) Indicate any reduction in the load (1) Be provided, in original or carrying capacity of the vehicle of photocopied form, to the owner of the vehicle at the time the vehicle is deliv- more than 100 kg (220 lb) after the ered to the owner, modifications are completed. In pro- (2) Be kept, in original or viding this information, the modifier photocopied form, at the same address must state whether the weight of a provided on the label described in para- user’s wheelchair is included in the graph (c) of this section for a period available load capacity. not less than five years after the vehi- [66 FR 12655, Feb. 27, 2001, as amended at 69 cle, as modified, is delivered to the in- FR 21069, Apr. 20, 2004; 70 FR 51678, Aug. 31, dividual for whom the modifications 2005; 75 FR 47489, Aug. 6, 2010] were performed,

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APPENDIX A TO PART 595—INFORMATION BROCHURE

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APPENDIX B TO PART 595—REQUEST FORM

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APPENDIX C TO PART 595—INSTALLATION OF AIR BAG ON-OFF SWITCHES

PARTS 596–598 [RESERVED] Subpart C—Qualifying Transactions and Reimbursement PART 599—REQUIREMENTS AND 599.300 Requirements for qualifying trans- PROCEDURES FOR CONSUMER actions. ASSISTANCE TO RECYCLE AND 599.301 Limitations and restrictions on qualifying transactions. SAVE ACT PROGRAM 599.302 Dealer application for reimbursement—submission, contents. Subpart A—General 599.303 Agency disposition of dealer application for reimbursement. Sec. 599.304 Payment to dealer. 599.100 Purpose. 599.101 Scope. Subpart D—Disposal of Trade-in Vehicle 599.102 Definitions. 599.400 Transfer or consignment by dealer of Subpart B—Participating Dealers, Salvage trade-in vehicle. Auctions and Disposal Facilities 599.401 Requirements and limitations for disposal Facilities that receive trade-in 599.200 Registration of participating deal- vehicles under the CARS program. ers. 599.402 Requirements and limitations for 599.201 Identification of salvage auctions salvage auctions that are consigned and disposal facilities. trade-in vehicles under the CARS program. 599.403 Requirements and limitations for dealers.

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Subpart E—Enforcement § 599.101 Scope. 599.500 Definitions. The requirements of this part apply 599.501 Generally. to new vehicle purchase or lease trans- 599.502 Record retention. actions, in combination with trade-in 599.503 Access to records. vehicle transactions that occur on or 599.504 Suspension, revocation, and rein- after July 1, 2009 up to and including statement of registration and participa- November 1, 2009, and to the disposal of tion eligibility. trade-in vehicles under the CARS Act. 599.505 Reports and investigations. 599.506 Notice of violation. § 599.102 Definitions. 599.507 Disclosure of evidence. 599.508 Statements of matters in dispute As used in this part— and submission of supporting informa- Agency or NHTSA means the National tion. Highway Traffic Safety Administra- 599.509 Hearing officer. tion. 599.510 Initiation of action before the hear- CARS Act means the Consumer As- ing officer. 599.511 Counsel. sistance to Recycle and Save Act of 599.512 Hearing location and costs. 2009, Public Law 111–32, 123 Stat. 1859 599.513 Hearing procedures. (June 24, 2009). 599.514 Assessment of civil penalties. CARS Program means the program au- 599.515 Appeals of civil penalties in excess of thorized under the Consumer Assist- $100,000.00. ance to Recycle and Save Act of 2009, 599.516 Collection of assessed or com- which NHTSA refers to as the Car Al- promised civil penalties. lowance Rebate System. 599.517 Other sanctions. Category 1 truck means a non-pas- Subpart F—Requirements and Procedures senger automobile, as defined in sec- for Exceptions tion 49 U.S.C. 32901(a)(17) and 49 CFR 523.3, except that such term does not 599.600 Exceptions—Applicability and re- include a category 2 truck. quirements. Category 2 truck means a large van 599.601 Procedures for requesting exception. with a wheelbase of 124 inches or more, 599.603 Disposition of requests for excep- or a large pickup with a wheelbase of tion. 115 inches or more. APPENDIX A TO PART 599—SUMMARY OF SALE/ Category 3 truck means a work truck, LEASE AND CERTIFICATIONS APPENDIX B TO PART 599—ENGINE DISABLE- as defined in 49 U.S.C. 32901(a)(19). MENT PROCEDURES FOR THE CARS PRO- Clear title means title to a vehicle GRAM that is free from all liens and encum- APPENDIX C TO PART 599—ELECTRONIC TRANS- brances. ACTION SCREEN Combined Fuel Economy means— APPENDIX D TO PART 599—CARS PURCHASER (1) With respect to an eligible new ve- SURVEY hicle, the number, expressed in miles APPENDIX E TO PART 599—DISPOSAL FACILITY CERTIFICATION FORM per gallon, centered below the words APPENDIX F TO PART 599—SALVAGE AUCTION ‘‘Combined Fuel Economy’’ on the CERTIFICATION FORM label required to be affixed or caused to be affixed on a new automobile pursu- AUTHORITY: 49 U.S.C. 32901, Notes; delegation of authority at 49 CFR 1.50. ant to subpart D of 40 CFR part 600. (2) With respect to an eligible trade- SOURCE: 74 FR 37897, July 29, 2009, unless in vehicle of model year 1985 or later, otherwise noted. the number posted under the words ‘‘Estimated New EPA MPG’’ or ‘‘New Subpart A—General EPA MPG’’ and above the word ‘‘Com- bined,’’ except that for a bi-fuel, dual § 599.100 Purpose. fuel, or flexible fueled vehicle, that This part establishes requirements number must also be below the word and procedures implementing the pro- ‘‘Gasoline,’’ on the fueleconomy.gov gram authorized under the Consumer Web site of the Environmental Protec- Assistance to Recycle and Save Act of tion Agency for the make, model, and 2009. year of such vehicle.

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Credit means an electronic payment Passenger automobile means a pas- to a dealer for a qualifying transaction senger automobile, as defined in sec- under the program. tion 49 U.S.C. 32901(a)(18) and 49 CFR Dealer means a person licensed by a 523.4. State who engages in the sale of a new Person means an individual, corpora- automobile to a person who in good tion, company, association, firm, part- faith purchases such automobile for nership, society, or joint stock com- purposes other than resale. pany. Disposal facility means a facility list- Purchaser means a person purchasing ed on http://www.cars.gov/disposal as eli- or leasing a new vehicle under the gible to receive a trade-in vehicle for CARS Program. crushing or shredding under the CARS Salvage auction means an entity that program, except in the case of a U.S. receives a CARS trade-in vehicle from territory. a dealer and is authorized to sell it End-of-Life Vehicle Solutions or ELVS only to a disposal facility on the Dis- means an entity established under the posal Facility List and that will make National Vehicle Mercury Switch Re- all the necessary certifications for sal- covery Program for the collection, re- vage auctions under the CARS pro- cycling and disposal of elemental mer- gram. cury from automotive switches. State means any one of the 50 United Engine block means the part of the engine containing the cylinders and States, the District of Columbia, Puer- typically incorporating water cooling to Rico, the Virgin Islands, Guam, jackets and also including the crank American Samoa, or the Common- shaft, connecting rods, pistons, bear- wealth of the Northern Mariana Is- ings, cam(s), and cylinder head(s). In a lands. rotary engine, the block includes the rotor housing and rotor. Subpart B—Participating Dealers, GVWR means gross vehicle weight Salvage Auctions and Dis- rating. posal Facilities Lease means a lease of a new vehicle for a period of not less than 5 years, ex- § 599.200 Registration of participating cluding any lease with a balloon pay- dealers. ment due prior to the elapsing of 5 (a) In general. A dealer may apply for years. a credit under the CARS Program only Manufacturer’s Suggested Retail Price if it meets the Required Dealer Quali- or MSRP means the base Manufactur- fications for Registration under this er’s Suggested Retail Price, excluding subpart, is registered in accordance any dealer accessories, optional equip- with this subpart, and is currently reg- ment, taxes and destination charges. istered at the time it submits an appli- National Motor Vehicle Title Informa- cation for reimbursement. tion System or NMVTIS means the on- (b) Required dealer qualifications for line system established under the over- registration. A dealer seeking to reg- sight of the Department of Justice that ister must have: enables consumers and others to access vehicle history information, including (1) A currently operating new auto- salvage history, total loss information, mobile dealership and business address and title branding and odometer infor- within a State in the United States; mation, and to which insurance compa- (2) A currently active business li- nies and salvage yards must report ve- cense under the law of the State where hicle status information. (http://www. the new automobile dealership is lo- nmvtis.gov.) cated to operate that dealership; New Vehicle means an automobile or (3) A currently active franchise work truck, the equitable or legal title agreement to sell new automobiles of which has not been transferred to with an original equipment manufac- any person other than the purchaser. turer of automobiles; Non-titling Jurisdiction means a State (4) A bank account in a U.S. bank in that does not issue a title for certain a State and a bank account routing typically older vehicles. number for electronic transfer of funds;

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(5) The ability to submit application user identification and password that materials and perform transactions will allow the submission of trans- electronically using the Internet; and actions; and (6) Not been convicted of a crime in- (ii) By listing the ‘‘doing business as’’ volving motor vehicles or any fraud or name, physical address, and general financial crime under State or Federal telephone number of the dealer on the law. agency Web site at http://www.cars.gov. (c) Registration procedures. (2) For a disapproved registration, by (1) Using comprehensive lists of fran- withholding the dealer identification chised dealers provided by original information from the agency’s Web site equipment manufacturers, as updated and providing e-mail notification to by these manufacturers, the agency the authorized dealer representative of will mail a letter to each listed dealer the reasons for rejecting the applica- describing a secure electronic process tion. and providing an authorization code by (e) Revocation of Dealer Registration. which the dealer, following the process (1) Termination or Discontinuance of in paragraph (c)(2) of this section, can Franchise. effect registration. (i) A dealer whose franchise agree- (2) A dealer contacted in accordance ment with an original equipment man- with paragraph (c)(1) of this section ufacturer (OEM) has expired without may register electronically as a par- renewal, has been terminated, or other- ticipating dealer under the CARS Pro- wise is no longer in effect shall be gram by using the authorization code automatically removed as a matter of and following the instructions provided course, subject to paragraph (e)(1)(iii), in the letter mailed under paragraph from the agency’s list of registered (c)(1) of this section, and submitting dealers and may no longer receive a the following information electroni- credit for new transactions under the cally or validating the information, CARS Program submitted for repay- where it exists already on an electronic ment on or after the date that the fran- form: chise expired or no longer is in effect. (i) Dealer’s Federal Tax Identifica- (ii) Paragraph (e)(1)(i) of this section tion Number (TIN) and OEM assigned does not preclude a dealer registered dealer franchise number; under other franchise agreements from (ii) Legal business name, doing busi- receiving a credit for transactions ness as name (if applicable), dealership under those agreements that have not physical and mailing address, tele- expired or been discontinued. phone number, and fax number; (iii) A dealer whose name is removed (iii) Name and title of dealer rep- from the agency’s list of registered resentative authorized to submit trans- dealers under paragraph (e)(1)(i) shall actions under this program, and phone be reinstated to the list of registered number and e-mail address of rep- dealers upon a showing to NHTSA of resentative; and proper and adequate license to sell new (iv) Name of U.S. bank used by deal- vehicles to ultimate purchasers. ership, bank account number, and bank (2) Other suspension or revocations ac- account routing number. tions. The agency may also suspend or (3) A dealer must register separately, revoke the registration of a dealer as following the process under paragraph provided in § 599.504. (c)(2) of this section, for each make of (f) Notification of changes. A reg- vehicle it sells, using the authorization istered dealer shall immediately notify code associated with that vehicle the agency of any change to the infor- make. mation submitted under this section (d) Disposition of registration applica- and any change to the status of its tion. The agency will review the reg- State license or franchise. istration application for compliance (g) Pre-registration transactions. An with this part, including completeness, otherwise qualifying transaction that and notify the dealer as follows: occurs during the time period pre- (1) For an approved registration: scribed under § 599.301(a) is not a non- (i) By e-mail notification to the au- complying transaction solely because a thorized dealer representative, with a dealer is not registered at the time of

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the transaction, except that the dealer Subpart C—Qualifying must be eligible to register and must Transactions and Reimbursement register under § 599.200 in order to be entitled to reimbursement for a credit § 599.300 Requirements for qualifying extended under the CARS program. transactions. (a) In general. To qualify for a credit § 599.201 Identification of salvage auc- under the CARS Program, a dealer tions and disposal facilities. must sell or lease a new vehicle that (a) Participating entities. Subject to meets eligibility requirements to a the conditions and requirements of purchaser, obtain a trade-in vehicle paragraph (b), participation in the that meets eligibility requirements transfer and disposal of a trade-in vehi- from the purchaser, satisfy combined cle under the CARS program is limited fuel economy requirements for both to the following entities: the new and trade-in vehicles, store the (1) A salvage auction that will trans- trade-in vehicle at the dealership or fer trade-in vehicles received under property owned by or under the control this program only to a disposal facility of the dealership until the engine is identified in paragraph (a)(2) or (a)(3) disabled, disable the engine of the of this section. trade-in vehicle at the dealership or property owned by or under the control (2) A disposal facility listed on the of the dealership, satisfy the limita- Web site at http://www.cars.gov/disposal; tions and restrictions of the program, or arrange for disposal of the trade-in ve- (3) A facility that disposes of vehicles hicle at a qualifying disposal facility in Puerto Rico, the Virgin Islands, or through a qualifying salvage auc- Guam, American Samoa, or the Com- tion, and register and submit a commonwealth of the Northern Mariana Is- plete application for reimbursement to lands. NHTSA, demonstrating that it meets (b) Conditions of Participation. A par- all the requirements of this part. ticipating entity identified in para- (b) Threshold eligibility requirements graph (a) of this section must: that apply to all trade-in vehicles. The (1) Comply with all the provisions trade-in vehicle must be: and restrictions and make all the re- (1) In drivable condition, as dem- quired certifications contained in sub- onstrated by actual operation of the part D of this part. motor vehicle on public roads by the (2) In the case of a disposal facility dealer and by certification by the deal- identified in paragraph (a)(2) of this er and by the purchaser, as provided in section, be currently listed on the Web Appendix A to this part, certifications site at http://www.cars.gov/disposal, as of section, that the vehicle was in driv- the date of its participation in the disable condition on the date of the quali- posal of the trade-in vehicle. fying transaction; (c) Removal of authority to participate. (2) Continuously insured consistent (1) A disposal facility that qualifies with the applicable State law for a pe- as such by active membership in ELVS riod of not less than 1 year imme- and that fails to maintain active ELVS diately prior to the trade-in, as dem- membership may be automatically re- onstrated by: moved as a matter of course from the (i) One or more current insurance agency’s list of disposal facilities cards specifying the make, model, maintained at http://www.cars.gov/dis- model year, and vehicle identification posal authorized to participate in the number (VIN) of the insured vehicle CARS program. and displaying a continuous one-year period of insurance coverage; or a copy (2) The agency may also suspend or of an insurance policy document (e.g., a remove a salvage auction’s or disposal declarations page or pages) showing a facility’s authority to participate in continuous one-year period of insur- the CARS program in accordance with ance coverage for the vehicle; or a the procedures of § 599.504. signed letter, on insurance company [74 FR 37897, July 29, 2009, as amended at 74 letterhead, specifying the same vehicle FR 38976, Aug. 5, 2009] identification information (i.e., make,

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model, model year, and VIN) of the in- (2) Have a manufacturer’s suggested sured vehicle and identifying the pe- retail price of $45,000 or less. riod of continuous coverage, which (d) Trade-in Vehicle—Disclosure of must be for at least one year prior to Scrap Value, Engine Disablement, and the date of the trade-in; and Title Marking. As part of a qualifying (ii) By certification by the purchaser, transaction under this part, the dealer as provided in Appendix A to this part, shall: certifications section, that the vehicle (1) During the transaction, disclose was so insured; to the person purchasing or leasing an (3) Continuously registered in a State eligible new vehicle and trading in an to the purchaser for a period of not less eligible trade-in vehicle, the best esti- than one year immediately prior to the mate of the scrap value of the trade-in trade-in, as demonstrated by: vehicle, inform that person that the (i) A current State registration docu- dealer is authorized to retain $50 of ment or series of registration docu- this amount as payment for its admin- ments in the name of the purchaser ev- istrative costs of participation in the idencing registration for a period of program, and certify, as provided in not less than one year immediately Appendix A to this part, certifications prior to the trade-in; or a current State section, that it has made such disclo- registration document showing reg- sure; (2) Except as provided in paragraph istration in the name of the purchaser (e) of this section, store the trade-in and a title that confers title on the vehicle at the dealership or property purchaser not less than one year imme- owned by or under the control of the diately prior to the trade-in; or a cur- dealership until its engine is disabled rent State registration document following the procedures set forth in showing registration in the name of Appendix B to this part, disable the en- the purchaser and a document from a gine of the trade-in vehicle at the deal- commercially available vehicle history ership or property owned by or under provider evidencing registration for a the control of the dealership following period of not less than one year imme- the procedures set forth in Appendix B diately prior to the trade-in; and to this part, and certify, as provided in (ii) By certification by the purchaser, Appendix A to this part, dealer certifi- as provided in Appendix A to this part, cations section, that either the engine certifications section, that the vehicle of the trade-in vehicle has been dis- was so registered; abled at the dealership or property (4) Manufactured less than 25 years owned by or under the control of the before the date of the trade-in, as dem- dealership, or that the trade-in vehicle onstrated by model year information will be stored at the dealership or prop- on the title or, where that information erty owned by or under the control of is inconclusive, by direct observation the dealership until the engine is dis- by the dealer of the month and year of abled and the engine of the trade-in ve- the vehicle’s manufacture, which ap- hicle will be disabled by the dealer at pears on the safety standard certifi- the dealership or property owned by or cation label of the vehicle, provided under the control of the dealership not that on the 25th year, the 25-year re- more than seven calendar days after quirement is satisfied if the manufac- the dealer’s receipt of payment for the ture date falls anytime within the transaction; and month 25 years before the date of (3) Prior to submitting an application trade-in, and by certification by the for reimbursement under § 599.302, leg- dealer, as provided in Appendix A to ibly mark the front and back of the this part, certifications section, that trade-in vehicle’s title in prominent the manufacture date is less than 25 letters that do not obscure the owner’s years before the date of trade-in. name, VIN, or other writing as follows: (c) Threshold eligibility requirements ‘‘Junk Automobile, CARS.gov.’’ that apply to all new vehicles. The new (e) Dealer transfers prior to July 24, vehicle must: 2009. (1) Be either purchased or leased for a (1) Subject to the provisions of para- lease period of not less than 5 years; graph (e)(2) of this section, if the dealer

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transferred the vehicle prior to July 24, truck, and the combined fuel economy 2009, the dealer may either: of the new vehicle is 1 mpg higher than (i) Locate the vehicle, disable its en- the combined fuel economy of the eligi- gine following the procedures set for ble trade-in vehicle. the in Appendix B to this part, and pro- (4) The new vehicle is a category 2 vide the certification in Appendix A to truck with a combined fuel economy of this part, certifications section, that it at least 15 mpg and the eligible trade- has disabled the engine; or in vehicle is a category 3 truck of (ii) Obtain a sworn affidavit from a model year 2001 or earlier. disposal facility that it has crushed or (5) The new vehicle is a category 3 shredded the vehicle, including the en- truck, the eligible trade-in vehicle is a gine block, and provide supporting doc- category 3 truck of model year 2001 or uments sufficient to establish that earlier, and the new fuel efficient vehi- fact. cle has a GVWR less than or equal to (2) The dealer and disposal facility the GVWR of the eligible trade-in vehi- must comply with all other require- cle. ments of this part, including the re- (g) Qualifying transactions ($4,500 quirement that the trade-in vehicle be Credit). Subject to the requirements of crushed or shredded, except that the af- paragraphs (b), (c), and (d), and, if ap- fidavit and supporting documents pro- plicable, paragraph (e) of this section vided for under paragraph (e)(1)(ii) of and the additional requirements of this section may substitute for the dis- §§ 599.301, 599.302, and 599.303 of this sub- posal facility certification form. part, each of the following transactions (f) Qualifying transactions ($3,500 Cred- qualifies for a credit of $4,500 under it). Subject to the requirements of this program: paragraphs (b), (c), and (d), and, if applicable, paragraph (e) of this section (1) The new vehicle is a passenger and the additional requirements of automobile with a combined fuel econ- §§ 599.301, 599.302, and 599.303 of this sub- omy of at least 22 mpg, the eligible part, each of the following transactions trade-in vehicle has a combined fuel qualifies for a credit of $3,500 under economy of 18 mpg or less and is a pas- this program: senger automobile, category 1 truck, or (1) The new vehicle is a passenger category 2 truck, and the combined automobile with a combined fuel econ- fuel economy of the new vehicle is at omy of at least 22 mpg, the eligible least 10 mpg higher than the combined trade-in vehicle has a combined fuel fuel economy of the eligible trade-in economy of 18 mpg or less and is a pas- vehicle. senger automobile, category 1 truck, or (2) The new vehicle is a category 1 category 2 truck, and the combined truck with a combined fuel economy of fuel economy of the new vehicle is at at least 18 mpg, the eligible trade-in least 4 mpg, but less than 10 mpg high- vehicle has a combined fuel economy of er than the combined fuel economy of 18 mpg or less and is a passenger auto- the eligible trade-in vehicle. mobile, category 1 truck, or category 2 (2) The new vehicle is a category 1 truck, and the combined fuel economy truck with a combined fuel economy of of the new vehicle is at least 5 mpg at least 18 mpg, the eligible trade-in higher than the combined fuel economy vehicle has a combined fuel economy of of the eligible trade-in vehicle. 18 mpg or less and is a passenger auto- (3) The new vehicle is a category 2 mobile, category 1 truck, or category 2 truck with a combined fuel economy of truck, and the combined fuel economy at least 15 mpg, the eligible trade-in of the new vehicle is at least 2 mpg, but vehicle has a combined fuel economy of less than 5 mpg higher than the com- 18 mpg or less and is a category 2 bined fuel economy of the eligible truck, and the combined fuel economy trade-in vehicle. of the new vehicle is at least 2 mpg (3) The new vehicle is a category 2 higher than the combined fuel economy truck with a combined fuel economy of of the eligible trade-in vehicle. at least 15 mpg, the eligible trade-in (h) No other qualifying transactions. vehicle has a combined fuel economy of Transactions described under para- 18 mpg or less and is a category 2 graphs (f) and (g) of this section are the

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only transactions that qualify for pay- the submission and contents requirement of a credit to a dealer under the ments of this section. CARS Program. (b) Electronic submission. The application for reimbursement must be sub- [74 FR 37897, July 29, 2009, as amended at 74 FR 38976, Aug. 5, 2009] mitted by using the login and password provided under § 599.200(d)(1) and fol- § 599.301 Limitations and restrictions lowing the procedures provided in the on qualifying transactions. letter mailed under § 599.200(c)(1) of this part. (a) Date of transaction. A qualifying transaction may not occur on a date (c) Application contents. An applica- before July 1, 2009 or after November 1, tion shall consist of an electronic 2009, and is subject to available agency transaction form (portion reproduced funds for the CARS Program. in Appendix C to this part) requiring input of information into relevant (b) One credit per transaction. Only fields, electronic copies of supporting one credit may be applied towards the documents, and applicable certifi- purchase or lease price of each new ve- cations, as provided in Appendix A to hicle. this part, certifications section. As its (c) A person One credit per person. application for each transaction, the that participates in a transaction for dealer shall: which a credit is issued under the (1) Input the following information CARS Program, whether as a single into relevant fields on the transaction owner or a joint-registered owner of ei- form: ther an eligible trade-in vehicle, a new vehicle, or both, may not participate or (i) Purchaser information. be named in another transaction for (A) Name. The first name, middle ini- which a credit is issued under the tial and last name of each purchaser, if CARS program, either as a registered an individual, or the full legal name of owner of the trade-in vehicle or as a the company, association or other or- purchaser of the new vehicle. ganization that is the purchaser. (d) Transfer of title. (B) Residence address (or, for an organization, business address). The full ad- (1) Except as provided in paragraph dress of each purchaser. (d)(2) of this section, a dealer may not apply for or receive reimbursement for (C) Driver’s license or State identifica- a credit extended to a purchaser under tion number. The State driver’s license a CARS program transaction unless it or State identification number of each has been conveyed clear title and phys- purchaser or, for an organization, its ically possesses the title to the trade- tax identification number. in vehicle. (ii) Trade-in vehicle information. (2) In the case of a trade-in vehicle (A) Make. The make of the vehicle. registered in a State that is a non-ti- (B) Model. The model of the vehicle. tling jurisdiction and that, in accord- (C) Model year. The model year of the ance with State law, has no title, the vehicle. requirement in paragraph (d)(1) of this (D) Vehicle identification number section that clear title be conveyed is (VIN). The 17 digit VIN of the vehicle. satisfied if the purchaser shows proof (E) CARS Act vehicle category. The of registration in the purchaser’s name category of vehicle as defined under and provides a bill of sale conferring the CARS Act. (Enter, as applicable, ownership of the trade-in vehicle to the passenger automobile, category 1 dealer. truck, category 2 truck or category 3 truck.) § 599.302 Dealer application for reim- (F) State of title. bursement—submission, contents. (G) State of registration. (a) In general. A dealer’s application (H) Start date of registration. for reimbursement must demonstrate (I) Start date of insurance. that the requirements and limitations (J) End date of registration. governing qualifying transactions in (K) Odometer reading. The odometer § 599.300 and § 599.301 of this subpart reading of the vehicle at the time of have been met, and must comply with the trade-in.

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(L) EPA combined fuel economy. The (ii) Proof of insurance. A copy of in- listed EPA combined fuel economy of surance policy cards or documents for the vehicle. the trade-in vehicle to confirm that the (M) Vehicle description. The exact trade-in vehicle insurance was contin- ‘‘vehicle description’’ for the vehicle uous for a period of not less than one found on http://www.fueleconomy.gov. year prior to trade in. (iii) New vehicle information. (iii) Proof of registration. A copy of (A) Make. The make of the vehicle. the registration card or documents for (B) Model. The model of the vehicle. the trade-in vehicle identifying the (C) Model year. The model year of the owner, the vehicle, and dates of reg- vehicle. istration to confirm that the vehicle (D) Vehicle identification number was registered to the purchaser for a (VIN). The 17 digit VIN of the vehicle. period of not less than one year prior (E) EPA combined fuel economy. The to trade in. listed EPA combined fuel economy of (iv) Purchaser identification. the vehicle. (v) Summary of sale/lease and certifi- (F) CARS Act vehicle category. The cations form (Appendix A to this part, category of vehicle as defined under summary section). the CARS Act. (Enter, as applicable, (vi) Manufacturer certificate of origin passenger automobile, category 1 or manufacturer statement of origin of the truck, category 2 truck or category 3 new vehicle. truck.) (vii) CARS purchaser survey. (G) Base manufacturer’s suggested re- (viii) Fueleconomy.gov side-by-side tail price (MSRP). The price of the new comparison of the trade-in vehicle and the vehicle affixed to the Monroney label new vehicle. prior to the addition of any options, (ix) Certification from salvage auction features, taxes or destination charges. or disposal facility. (H) Vehicle description. The exact ‘‘vehicle description’’ for the vehicle (x) Copy of vehicle sales or lease con- found on http://www.fueleconomy.gov. tract. (iv) Trade-in vehicle disposition infor- (3) Make the certifications provided mation. in Appendix A to this part, certifi- (A) Identification of entity. The name, cations section. address and telephone number of the disposal facility or salvage auction to § 599.303 Agency disposition of dealer application for reimbursement. which the vehicle will be or has been transferred or consigned. (a) Application review. Upon receipt of (B) Disposal facility number. The an application for reimbursement, the unique identifier assigned to the dis- agency shall review the application to posal facility identified on the CARS determine whether it is complete and Web site, and to which the vehicle is satisfies all the requirements of this being transferred or consigned. subpart. (v) Transaction information. (b) Complying application. An applica- (A) Date of sale or lease. The date on tion that is determined to meet all the which the vehicle transaction with the requirements of this subpart shall be purchaser occurred. approved for payment, in accordance (B) Transaction request amount. The with the provisions of § 599.304. amount of the credit for which the (c) Non-complying application. An ap- dealer is applying. plication that is incomplete or that (2) Attach the following supporting otherwise fails to meet all the require- documentation in electronic format ments of this subpart shall be rejected, (pdf, tif, jpeg) in the following order: and the submitter shall be informed (i) Proof of title. A copy of the front electronically of the reason for rejec- and back of the title of the trade-in ve- tion. NHTSA shall have no obligation hicle, showing assignment to the dealer to correct a non-conforming submis- free and clear of any lien or encum- sion. brance on the vehicle’s title, with the (d) Electronic rejection. An application ‘‘Junk Automobile, CARS.gov’’ mark- is automatically rejected, with system ing on both sides. notification to the tendering dealer, if

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the transaction falls outside of the per- (c) Consignment by dealer to a salvage missible time period, exceeds the per- auction. If the trade-in vehicle is con- missible MSRP, identifies a purchaser signed by the dealer to a salvage auc- that has participated in a previous tion, the salvage auction must, as a transaction, or identifies the vehicle condition of the consignment: identification number of a new or (1) Make the certifications contained trade-in vehicle that was involved in a in the Salvage Auction Certification previous transaction. Form in Appendix F to this part, (e) Correction and resubmission. A signed by an official with authority to dealer may correct and resubmit a re- bind the salvage auction; jected application for reimbursement, (2) At the time of the consignment, without penalty. deliver the signed Salvage Auction Cer- tification Form to the dealer that au- § 599.304 Payment to dealer. thorized the salvage auction to sell the Upon completion of review of an ap- trade-in vehicle. plication for reimbursement from a (1) Make the certifications contained registered dealer that satisfies all the in the Salvage Auction Certification requirements of this part, the agency Form to the dealer that authorized the shall reimburse the dealer, by elec- salvage auction to sell the trade-in ve- tronic transfer to the account identi- hicle; and fied under the process in § 599.200(c) of (3) Comply with the requirements this part. and limitations of § 599.402. EDITORIAL NOTE: At 74 FR 37902, July 29, Subpart D—Disposal of Trade-in 2009, § 599.400 was added, however, there was a Vehicle codification error in the original document resulting in two paragraphs (c)(1). § 599.400 Transfer or consignment by dealer of trade-in vehicle. § 599.401 Requirements and limitations for disposal facilities that re- (a) In general. ceive trade-in vehicles under the (1) A trade-in vehicle accepted as CARS program. part of an eligible transaction may be (a) The disposal facility must: provided for disposal by a dealer either (1) Not more than 7 days after receiv- to a disposal facility or to a salvage ing the vehicle, report the vehicle to auction, as described in and subject to NMVTIS as a scrap vehicle. the conditions of § 599.201 of this part. (2) Remove and dispose of all refrig- (2) Dealers, disposal facilities, and erants, antifreeze, lead products, mer- salvage auctions involved in the dis- cury switches, and such other toxic or posal of the trade-in vehicle must each hazardous vehicle components prior to comply with the applicable provisions crushing or shredding in accordance of this subpart. with applicable Federal and State re- (b) Transfer by dealer or salvage auc- quirements; tion to a disposal facility. If the trade-in (3) Crush or shred the trade-in vehi- vehicle is transferred by the dealer or cle onsite, including the engine block salvage auction to a disposal facility, and the drive train (unless with respect the disposal facility must, as a condi- to the drive train, the transmission, tion of the transfer: drive shaft, and rear end are sold sepa- (1) Make the certifications contained rately), using its own machinery or a in the Disposal Facility Certification mobile crusher, within 270 days after Form in Appendix E to this part, receipt of the vehicle from the dealer signed by an official with authority to or salvage auction; bind the disposal facility; (4) Not more than 7 days after the ve- (2) At the time of the transfer, de- hicle is crushed or shredded, report the liver the signed Disposal Facility Cer- vehicle to NMVTIS as crushed or tification Form to the dealer or sal- shredded. vage auction that transferred the (b) The disposal facility may not sell trade-in vehicle; and or transfer the engine block of the ve- (3) Comply with the requirements hicle or, except as allowed under para- and limitations of § 599.401. graph (c)(2) of this section, the drive

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train before they are crushed or shred- § 599.403 Requirements and limita- ded or otherwise allow the vehicle to tions for dealers. leave the disposal facility before it is A dealer receiving a Disposal Facil- crushed or shredded. ity Certification Form or Salvage Auc- (c) The disposal facility may: tion Certification Form under (1) Sell any part of the vehicle other § 599.400(b)(2) or (c)(2) shall insert on than the engine block or drive train; the top of the form the appropriate (2) Notwithstanding paragraph (c)(1) CARS invoice number, if known, and of this section, sell the drive train pro- within 7 days of receipt, submit such vided the transmission, drive shaft, and certification form to NHTSA at rear end are sold as separate parts; (3) Retain the proceeds from parts [email protected]. sold under this paragraph. (d) A completed Disposal Facility Subpart E—Enforcement Certification Form (Appendix E to this part) for an individual transaction, § 599.500 Definitions. which includes a certification by the As used in this subpart— disposal facility that the trade-in vehi- Administrator means the Adminis- cle will be crushed or shredded within trator of the National Highway Traffic 180 days of receipt by the disposal facil- Safety Administration, or his or her ity, is deemed to be amended to include designee. an extension of time such that the Chief Counsel means the NHTSA trade-in vehicle will be crushed or Chief Counsel, or his or her designee. shredded within 270 days of receipt by Hearing Officer means a NHTSA em- the disposal facility. ployee who has been delegated the au- [74 FR 37897, July 29, 2009, as amended at 75 thority to assess civil penalties. FR 5251, Feb. 2, 2010] NHTSA Enforcement means the NHTSA Associate Administrator for § 599.402 Requirements and limitations for salvage auctions that are Enforcement, or his or her designee. consigned trade-in vehicles under Notice of violation means a notifica- the CARS program. tion of violation and preliminary as- (a) The salvage auction must: sessment of penalty issued by the Chief (1) Within 3 days after the date the Counsel to a party. dealer consigns the vehicle or prior to Party means the person alleged to auctioning the vehicle, whichever is have committed a violation of the earlier, report the status of the vehicle CARS Act, regulations thereunder, or to NMVTIS; other applicable law, and includes an (2) Limit participation in the auction individual, a public or private corpora- to disposal facilities that, when the tion, and a partnership or other asso- auction is held: ciation. (i) Appear on the list identified in Violation means any non-conformance § 599.201(a)(2) or are described in with the CARS Act or the regulations § 599.201(a)(3); and in this part except § 599.200(e)(1)(i) and (ii) Agree to make the certifications § 599.201(c)(1), the submission of incom- in the Salvage Auction Certification plete or inaccurate information to Form (Appendix F to this part). NHTSA or an entity identified under (3) As a condition of transferring this part, or the failure to maintain title to the disposal facility, obtain records, to permit access to records or from that facility the signed Disposal to update information that has been Facility Certification Form (Appendix submitted to NHTSA under this part, E to this part), insert on the top of the but does not include a clerical error. In form the appropriate CARS invoice the context of dealer registration and number received from the dealer, if disposal facility or salvage auction known, and provide the form to participation eligibility, violation also NHTSA at [email protected], and in- includes any conviction of a crime include that invoice number in the e- volving motor vehicles or any fraud or mail subject line. financial crime under State or Federal (b) [Reserved] law.

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§ 599.501 Generally. or transferred from one storage me- The provisions of 5 U.S.C. 554, 556 and dium to another (e.g., from electronic 557 do not apply to any proceedings format to CD–ROM) as long as no infor- conducted pursuant to this subpart. mation is lost in the reproduction or transfer, and when so reproduced or § 599.502 Record retention. transferred the original form may be treated as a duplicate. (a) Manufacturers, dealers, salvage auctions, and disposal facilities shall § 599.503 Access to records. keep records of all transactions under the CARS Act and regulations there- The Administrator shall have the under for a period of five calendar right to enter onto the premises of years from the date on which they were manufacturers, dealers, salvage auc- generated or acquired by the manufac- tions and disposal facilities during nor- turer, salvage auction, dealer, or dis- mal business hours in order to: access, posal facility, and shall promptly make inspect and audit records and other those records available to NHTSA En- sources of information maintained by forcement or DOT’s Office of the In- any of these entities under this Pro- spector General upon request. gram; to inspect vehicles traded in or (b) Records to be retained under this sold under this program, including tak- subpart include all documentary mate- ing all actions necessary to determine rials and other information-storing whether trade-in vehicles have opera- media that contain information con- tive engines; and/or to interview per- cerning transactions under the CARS sons who may have relevant knowl- Program, including any material gen- edge. erated or communicated by computer, electronic mail, or other electronic § 599.504 Suspension, revocation, and means. Such records include, but are reinstatement of registration and participation eligibility. not limited to, lists, compilations, certifications, dealer application informa- (a) Suspension or revocation of dealer tion, salvage auction or disposal facil- registration, or salvage auction or dis- ity information, owner eligibility in- posal facility participation eligibility. formation, vehicle eligibility informa- (1) When the NHTSA Chief Counsel tion (including vehicle fuel economy), determines that a violation has likely dealer applications for reimbursement occurred, the Administrator may no- under the program, vehicle identifica- tify the dealer, salvage auction or dis- tion number data, vehicle ownership posal facility in writing of the facts information, vehicle title, registration giving rise to the allegation of a viola- and insurance information, sales agree- tion and the proposed length of a sus- ments, bills of sale, lease agreements, pension, if applicable, or revocation of manufacturer’s certificate or state- registration, in the case of a dealer, or ment of origin, other rebate and/or in- participation eligibility in the case of a centive programs used in conjunction salvage auction or disposal facility. with transactions under the program, (2) The notice shall afford the dealer, bank account and routing number in- salvage auction or disposal facility an formation, electronic funds transfer opportunity to present data, views, and and payment information, reports arguments, in writing and/or in person, made to the National Motor Vehicle within 30 days of the date of the notice, Title Information System (NMVTIS), as to whether the violation occurred, reports regarding vehicle scrappage why its registration or participation values and payment, reports in connec- eligibility ought not to be suspended or tion with the transfer of vehicles to revoked, or whether the suspension salvage auctions and disposal facilities; should be shorter than proposed. The reports from disposal facilities in con- Administrator may, for good cause, re- nection with the crushing or shredding duce the time allowed for response. of vehicles under the program, and any (3) If the Administrator decides, on other documents that are related to the basis of the available information, transactions. that the dealer, salvage auction or dis- (c) Duplicate copies need not be re- posal facility has committed a viola- tained. Information may be reproduced tion, the Administrator may suspend

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or revoke the dealer registration or the facility’s participation eligibility has participation eligibility of the salvage been suspended or revoked. auction or disposal facility. (4) The Administrator shall notify § 599.505 Reports and investigations. the dealer, salvage auction or disposal (a) Any person may report an appar- facility in writing of the decision, in- ent violation of the CARS Act or regu- cluding the reasons for it. The decision lations issued thereunder to NHTSA. shall reflect the gravity of the offense. (b) NHTSA may independently mon- (5) A suspension or revocation is ef- itor for violations of the CARS Act or fective as of the date of the Adminis- regulations issued thereunder. trator’s written notification, unless an- (c) When a report of an apparent vio- other date is specified therein. lation has been received by NHTSA, or (6) The Administrator shall state the when an apparent violation has been period of any suspension in the notice detected by any person working for to the dealer, salvage auction or dis- NHTSA, the matter may be inves- posal facility. tigated or evaluated by NHTSA En- (7) There shall be no opportunity to forcement. If NHTSA Enforcement be- seek reconsideration of the Adminis- lieves that a violation may have oc- trator’s decision issued under this curred, NHTSA Enforcement may pre- paragraph (a). pare a report and send the report to the (b) Reinstatement of suspended registra- NHTSA Chief Counsel. tion or participation eligibility. (d) The NHTSA Chief Counsel will re- (1) When a registration or participa- view the reports prepared by NHTSA tion eligibility has been suspended Enforcement to determine if there is under this subpart, the registration or sufficient information to establish a participation eligibility will be rein- likely violation. stated after the expiration of the pe- (1) The matter may be returned to riod of suspension specified by the Ad- NHTSA Enforcement for further inves- ministrator, or such earlier date as the tigation, if warranted. Administrator may subsequently de- (2) The Chief Counsel may close a cide is appropriate. matter. A matter may be closed if, for (2) Reinstatement is automatically example, the investigation has estab- effective as of the date previously set lished that a violation did not occur, forth in the Administrator’s written the alleged violator is unknown, there notification of suspension, unless an- is insufficient information to support other date is specified by the Adminis- the existence of a violation and little trator in writing. likelihood of discovering additional (c) Effect of suspension or revocation of relevant facts, or the magnitude of the registration or participation eligibility. matter is, under the circumstances, in- (1) If a dealer’s registration or a sal- cluding availability of resources, insuf- vage auction or disposal facility’s par- ficient to be pursued further. ticipation eligibility is suspended or (3) If the Chief Counsel determines revoked, as of the date of suspension or that a violation has likely occurred, revocation, the dealer, salvage auction the Chief Counsel may: or disposal facility will not be consid- (i) Issue a Notice of Violation to the ered registered or eligible to partici- party, and/or pate in the CARS Program, and must (ii) In the case of a dealer recommend cease participating in the program. that the Administrator suspend or re- (2) A dealer whose registration has voke registration in the program or in been suspended will not be entitled to the case of a salvage auction or dis- any rights or reimbursement of funds posal facility, recommend that the Ad- for new transactions submitted as of ministrator suspend or revoke partici- the effective date of the suspension or pation eligibility in the program. revocation. (4) In the case of either paragraphs (3) NHTSA may take such action as (d)(3)(i) or (ii) of this section, the appropriate, including publication, to NHTSA Chief Counsel will prepare a provide notice that a dealer’s registra- case file with recommended actions. A tion, or salvage auction’s or disposal record of any prior violations by the

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same person or entity, shall be for- Notice of Violation within 30 days of warded with the case file. the date shown on the Notice of Viola- tion, the case file will be sent to the § 599.506 Notice of Violation. Hearing Officer for processing under (a) The agency has the authority to the hearing procedures set forth in this assess a civil penalty for any violation subpart. of the CARS Act or this part. The pen- (e) If a party pays the proposed penalty may not be more than $15,000 for alty on the Notice of Violation or an each violation. amount agreed on in compromise with- (b) The Chief Counsel may issue a No- in 30 days of the date shown on the No- tice of Violation to a party. Notice of tice of Violation, a finding of ‘‘resolved Violation will contain the following in- with payment’’ will be entered into the formation: case file. Such payment shall not be an (1) The name and address of the admission of liability. party; (2) The alleged violation and the ap- (f) If the party agrees to pay the pro- plicable law or regulations violated; posed penalty, but has not made pay- (3) The amount of the maximum pen- ment within 30 days of the date shown alty that may be assessed for each vio- on the Notice of Violation, NHTSA will lation; enter a finding of violation by default (4) The amount of proposed penalty; in the matter and NHTSA will proceed (5) A statement that payment of the with the civil penalty in the amount proposed penalty within 30 days will proposed on the Notice of Violation settle the case without admission of li- without processing the violation under ability; the hearing procedures set forth in this (6) The place to which, and the man- subpart. ner in which, payment is to be made; (g) If within 30 days of the date (7) A statement that the party may shown on the Notice of Violation a decline the Notice of Violation and party fails to pay the proposed penalty that if the Notice of Violation is de- on the Notice of Violation; and fails to clined, the party has the right to a request a hearing, then NHTSA will hearing prior to a final assessment of a enter a finding of violation by default penalty by a Hearing Officer. in the case file, and will assess the civil (8) A statement that failure to either penalty in the amount set forth on the pay the proposed penalty on the Notice of Violation or to decline the Notice of Notice of Violation without processing Violation and request a hearing within the violation under the hearing proce- 30 days of the date shown on the Notice dures set forth in this subpart. of Violation will result in a finding of (h) NHTSA’s order assessing the civil violation by default and that NHTSA penalty following a party’s default is will proceed with the civil penalty in final agency action. the amount proposed on the Notice of Violation without processing the viola- § 599.507 Disclosure of evidence. tion under the hearing procedures set The alleged violator may, upon re- forth in this subpart. quest, receive a free copy of all the (c) The Notice of Violation may be written evidence in the case file, ex- delivered to the party by: cept material that would disclose or (1) Hand-delivery to the party or an could lead to the disclosure of the iden- employee of the party; tity of a confidential source. Following (2) Mailing to the party (certified a timely request for a hearing, other mail is not required); evidence or material, if any, of what- (3) Use of an overnight or express ever source or nature, may be exam- courier service; or ined at the Hearing Officer’s offices or (4) Facsimile transmission or electronic mail (with or without attach- such other places and locations that ments) to the party or an employee of the Hearing Officer may, in writing, di- the party. rect, if there are adequate safeguards (d) If a party submits a written re- to prevent loss or tampering. quest for a hearing as provided in the

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§ 599.508 Statements of matters in dis- if at any time it appears that such con- pute and submission of supporting solidation is necessary or desirable. information. (a) Within 30 days of the date shown § 599.511 Counsel. on the Notice of Violation, the party, A party has the right to be rep- or counsel for the party, shall submit resented at all stages of the proceeding to NHTSA at the person or office listed by counsel. A party electing to be rep- in the Notice of Violation two com- resented by counsel must notify the plete copies via hand delivery, use of Hearing Officer of this election in writ- an overnight or express courier service, ing, after which point the Hearing Offi- facsimile or electronic mail of: cer will direct all further communica- (1) A detailed statement of factual tions to that counsel. A party rep- and legal issues in dispute; and, resented by counsel bears all of its own (2) All statements and documents attorneys’ fees and costs. supporting the party’s case. (b) One copy of the party’s submis- § 599.512 Hearing location and costs. sion set forth above shall be labeled ‘‘For Hearing Officer.’’ (a) Unless the party requests a hear- (c) Failure to specify any non-juris- ing at which the party appears before dictional issue in the party’s submis- the Hearing Officer in Washington, DC, sion will preclude its consideration. the hearing shall be held telephonically. The hearing is held at the § 599.509 Hearing Officer. headquarters of the U.S. Department of (a) If a party timely requests a hear- Transportation in Washington, DC. ing after receiving a Notice of Viola- (b) The Hearing Officer may transfer tion, the Hearing Officer shall hear the a case to another Hearing Officer at a case. party’s request or at the Hearing Offi- (b) The Hearing Officer is solely re- cer’s direction. sponsible for the case referred to him (c) A party is responsible for all fees or her. The Hearing Officer has no and costs (including attorneys’ fees and other responsibility, direct or super- costs, and costs that may be associated visory, for the investigation of cases with travel or accommodations) associ- referred for the assessment of civil pen- ated with attending a hearing. alties. (c) The Hearing Officer decides each § 599.513 Hearing procedures. case on the basis of the information be- (a) There is no right to discovery in fore him or her, and must have no prior any proceedings conducted pursuant to connection with the case. this subpart. § 599.510 Initiation of action before the (b) The material in the case file per- Hearing Officer. tinent to the issues to be determined by the Hearing Officer is presented by (a) After the Hearing Officer receives the Chief Counsel or his or her des- a case file from the Chief Counsel, the ignee. Hearing Officer notifies the party in writing of: (c) The Chief Counsel may supple- (1) The date, time and location of the ment the case file with information hearing and whether the hearing will prior to the hearing. A copy of such in- be conducted telephonically or at the formation will be provided to the party DOT Headquarters building in Wash- no later than 3 days before the hearing. ington, D.C.; (d) At the close of the Chief Counsel’s (2) The right to be represented at all presentation of evidence, the party has stages of the proceeding by counsel as the right to examine, respond to and set forth in § 599.511; and, rebut material in the case file and (3) The right to a free copy of all other information presented by the written evidence in the case file as set Chief Counsel. forth in § 599.507. (e) In receiving evidence, the Hearing (b) On the request of a party, or at Officer is not bound by strict rules of the Hearing Officer’s direction, mul- evidence. In evaluating the evidence tiple proceedings may be consolidated presented, the Hearing Officer must

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give due consideration to the reli- made. If a verbatim transcript is made, ability and relevance of each item of the party shall submit two copies to evidence. the Hearing Officer not later than 15 (f) A party may present the testi- days of the hearing. The Hearing Offi- mony of any witness either through a cer shall include such transcript in the written statement or a personal ap- record. pearance. If a party wishes to present testimony through a personal appear- § 599.514 Assessment of civil penalties. ance, the party is responsible for ob- (a) Not later than 30 days following taining that personal appearance, in- the close of the hearing, the Hearing cluding any costs associated with such Officer shall issue a written decision on appearance. The Hearing Officer may, the Notice of Violation, based on the at his or her discretion, accept a stipu- hearing record. The decision shall set lation in lieu of testimony. forth the basis for the Hearing Officer’s (g) At the close of the party’s presen- assessment of a civil penalty, or deci- tation of evidence, the Hearing Officer sion not to assess a civil penalty. In de- may allow the introduction of rebuttal termining the amount of the civil pen- evidence that may be presented by the alty, the severity of the violation and Chief Counsel. The Hearing Officer may the intent and history of the party allow the party to respond to any such committing the violation shall be evidence submitted. taken into account. The assessment of (h) The Hearing Officer may take no- a civil penalty by the Hearing Officer tice of matters which are subject to a shall be set forth in an accompanying high degree of indisputability and are final order. commonly known in the community or (b) If the Hearing Officer assesses are ascertainable from readily avail- civil penalties in excess of $100,000.00, able sources of known accuracy. Prior the Hearing Officer’s decision contains to taking notice of a matter, the Hear- a statement advising the party of the ing Officer shall give the party an op- right to an administrative appeal to portunity to show why notice should the Administrator. The party is ad- not be taken. In any case in which no- vised that failure to submit an appeal tice is taken, the Hearing Officer within the prescribed time will bar its places a written statement of the mat- consideration and that failure to ap- ters as to which notice was taken in peal on the basis of a particular issue the record, with the basis for such no- will constitute a waiver of that issue in tice, including a statement that the its appeal before the Administrator. party consented to notice being taken (c) The filing of a timely and com- or a summary of the party’s objections. plete appeal to the Administrator of a (i) After the evidence in the case has Hearing Officer’s order assessing a civil been presented, the Chief Counsel and penalty shall suspend the operation of the party may present argument on the the Hearing Officer’s penalty. issues in the case. The party may also (d) There shall be no administrative request an opportunity to submit a appeals of civil penalties of $100,000.00 written statement for consideration by or less. the Hearing Officer and for further review. If granted, the Hearing Officer § 599.515 Appeals of civil penalties in shall allow a reasonable time for sub- excess of $100,000.00. mission of the statement and shall (a) A party may appeal the Hearing specify the date by which it must be re- Officer’s order assessing civil penalties ceived. If the statement is not received over $100,000.00 to the Administrator within the time prescribed, or within within 21 days of the date of the the limits of any extension of time issuance of the Hearing Officer’s order. granted by the Hearing Officer, the (b) The Administrator will affirm the Hearing Officer prepares the decision decision of the Hearing Officer unless in the case. the Administrator finds that the Hear- (j) A verbatim transcript of the hearing Officer’s decision was unsupported ing will not normally be prepared. A by the record as a whole. party may, solely at its own expense, (c) If the Administrator finds that cause a verbatim transcript to be the decision of the Hearing Officer was

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unsupported, in whole or in part, then CARS Act or submits a false certifi- the Administrator may: cation required by this rule. Anyone (1) Assess or modify a civil penalty; who submits false information on these (2) Rescind the Notice of Violation; forms or otherwise violates the CARS or Act or this part may not only be sub- (3) Remand the case back to the ject to the procedures and penalties de- Hearing Officer for new or additional scribed in this subpart, but also civil proceedings. and criminal penalties. Such civil and (d) In the absence of a remand, the criminal penalties may include pen- decision of the Administrator in an ap- alties three times any amount falsely peal is a final agency action. claimed to be due from the United States pursuant to the False Claims § 599.516 Collection of assessed or Act (31 U.S.C. 3729), or imprisonment of compromised civil penalties. up to 5 years and fines of up to $250,000 (a) Payment of a civil penalty, (18 U.S.C. 1001). In addition, NHTSA whether assessed or compromised, shall may request that the Attorney General be made by check, postal money order, seek appropriate injunctive relief to or electronic transfer of funds, as pro- address violations of the CARS Act or vided in instructions by the agency. A this part. payment of civil penalties shall not be considered a request for a hearing. Subpart F—Requirements and (b) The party must remit payment of Procedures for Exceptions any assessed civil penalty to NHTSA within 30 days after receipt of the Hearing Officer’s order assessing civil SOURCE: 74 FR 49340, Sept. 28, 2009, unless penalties or, in the case of an appeal to otherwise noted. the Administrator, within 30 days after § 599.600 Exceptions—applicability receipt of the Administrator’s decision and requirements. on the appeal. Failure to make timely payment may result in the institution (a) Applicability. (1) Eligible Requesters. of appropriate action under the Federal To qualify for an exception under this Claims Collection Act, as amended, the subpart, a requester must be a dealer regulations issued thereunder, and registered in accordance with the re- other applicable law. quirements of § 599.200. (c) The party must remit payment of (2) Filing deadline. A request for an any compromised civil penalty to exception must be postmarked no later NHTSA on the date and under such than October 13, 2009. terms and conditions as agreed to by (3) Availability of funds. An exception the party and NHTSA. Failure to pay a shall be approved under this subpart compromised civil penalty to NHTSA only if Federal funds are available for on the date and under such terms and payment. conditions as agreed to by the party (4) Exclusion. No exception may be and NHTSA may either result in the approved for an application for reim- institution of appropriate action under bursement that was successfully sub- the Federal Claims Collection Act, as mitted to the CARS system. amended, the regulations issued there- (b) Threshold requirements. Subject to under, and other applicable law, or the requirements of § 599.600(a), a reg- NHTSA entering a finding of violation istered dealer may submit a request for by default and assessing a civil penalty exception and seek reimbursement of a in the amount proposed in the Notice CARS credit under this subpart if the of Violation without processing the dealer: violation under the hearing procedures (1) Prior to August 24, 2009, 8 pm set forth in this part. EDT, completed a qualifying deal meeting the requirements of § 599.300 § 599.517 Other sanctions. and § 599.301; The procedures and penalties de- (2) Took ownership and possession of scribed in this subpart are not the only a trade-in vehicle and transferred own- procedures and penalties that may ership and possession of a new vehicle apply to someone who violates the to the purchaser; and

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(3) Prior to August 25, 2009, 8 pm (3) Documentation of qualifying trans- EDT, attempted to submit an applica- action. Paper copies of all supporting tion for reimbursement meeting the re- attachments required by § 599.302(c)(2) quirements of § 599.302, but was pre- which reveal that a qualifying CARS vented from submitting the application transaction, including the transfer of for any of the reasons identified in ownership and possession of the trade- § 599.600(c). in vehicle to the dealer and the deliv- (c) Exception cases. A dealer is eligible ery of ownership and possession of the for an exception if: new vehicle to the purchaser, was made (1) Password rejection. The dealer’s ac- prior to August 24, 2009, 8 p.m. EDT; count password was locked out and not and reset by NHTSA; (4) Certifications. Paper copies of all (2) Transaction rejection. The applica- certifications provided in Appendix A tion was rejected at submission be- to this part, signed by both the dealer cause the dealer entered a State identi- and the purchaser. fication number, a trade-in vehicle (5) Evidence of prior notice to NHTSA. VIN, or a new vehicle VIN that was al- Evidence, if any, that the dealer at- ready entered into the CARS program tempted to contact NHTSA prior to system, but that State identification August 25, 2009, 8 p.m. EDT, to request number, trade-in vehicle VIN, or new assistance with a problem described in vehicle VIN was never used for a CARS § 599.600(c). deal; or (3) Other hardship. The dealer experi- § 599.603 Disposition of requests for enced any other hardship attributable exception. to NHTSA action or inaction that the (a) In general. Upon receipt of the re- Administrator determines in his or her quest for exception, the agency will re- discretion should be redressed, con- view the request to determine whether sistent with the purposes of the CARS the exception should be granted and Act. approved for payment. § 599.601 Procedures for requesting ex- (b) Deciding official. The NHTSA Ad- ception. ministrator or his or her designee shall (a) Submission. A request for excep- serve as the Deciding Official for all de- tion must be made in writing and terminations under this subpart. mailed by United States mail to the (c) Incomplete requests. A request for NHTSA Administrator, 1200 New Jersey exception that fails to include all of Ave SE., Washington, DC 20590. the documents required under this sub- (b) Contents. The request must in- part may be rejected without further clude paper copies of the following ma- review. terials: (d) Denied requests. If the Deciding Of- (1) Explanation of hardship. A written ficial denies the request, the requester explanation of a hardship identified in will be informed in writing of the rea- § 599.600(c) that prevented the dealer sons for the denial of the request. from submitting its transaction, and (e) Granted requests. If the Deciding the steps the dealer took to contact Official grants the request, the re- the agency and timely resolve the quester will be notified by electronic issue; mail, at the e-mail address identified (2) Proof of hardship. Documents evi- in § 599.200(c)(2)(iii), and the requester’s dencing that the dealer was unable to application for reimbursement will be complete and submit an application for processed for payment by the agency as reimbursement prior to the deadline a qualifying transaction in accordance because of hardship caused by NHTSA. with § 599.304. Documents may include copies of cor- (f) No appeals. There are no appeals respondence with the agency; from the Deciding Official’s decision.

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APPENDIX A TO PART 599—SUMMARY OF SALE/LEASE AND CERTIFICATIONS

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[74 FR 38976, Aug. 5, 2009]

APPENDIX B TO PART 599—ENGINE DISABLEMENT PROCEDURES FOR THE CARS PROGRAM

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APPENDIX C TO PART 599—ELECTRONIC TRANSACTION SCREEN

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APPENDIX D TO PART 599—CARS PURCHASER SURVEY

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APPENDIX E TO PART 599—DISPOSAL FACILITY CERTIFICATION FORM

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[74 FR 38976, Aug. 5, 2009]

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APPENDIX F TO PART 599—SALVAGE AUCTION CERTIFICATION FORM

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APPENDIX F TO PART 599—SALVAGE AUCTION CERIFICATION FORM

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Part Page 600 [Reserved] 601 Organization, functions, and procedures ...... 403 604 Charter service...... 411 605 School bus operations ...... 439 609 Transportation for elderly and handicapped persons ...... 447 611 Major capital investment projects ...... 449 613 Planning assistance and standards ...... 457 614 Transportation infrastructure management ...... 457 622 Environmental impact and related procedures ...... 458 624 Clean Fuels Grant Program ...... 459 630 National Transit Database ...... 461 633 Project management oversight ...... 463 639 Capital leases...... 466 640 Credit assistance for surface transportation projects ...... 470 655 Prevention of alcohol misuse and prohibited drug use in transit operations ...... 470 659 Rail fixed guideway systems; State safety oversight ...... 483 661 Buy America requirements ...... 493 663 Pre-award and post-delivery audits of rolling stock purchases ...... 503 665 Bus testing...... 507

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Region/States Office/address Telephone No.

I. Connecticut, Maine, Massachusetts, New Hamp- FTA Regional Administrator, Kendall Square, 55 (617) 494–2055 shire, Rhode Island, and Vermont. Broadway, Suite 920, Cambridge, MA 02142– 1093. II. New York, New Jersey, and U.S. Virgin Islands .. FTA Regional Administrator, One Bowling Green, (212) 668–2170 Room 429, New York, NY 10014–1415. III. Delaware, District of Columbia, Maryland, Penn- FTA Regional Administrator, 1760 Market Street, (215) 656–7100 sylvania, Virginia, and West Virginia. Suite 500, Philadelphia, PA 19103–4124.

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Region/States Office/address Telephone No.

IV. Alabama, Florida, Georgia, Kentucky, Mis- FTA Regional Administrator, Atlanta Federal Cen- (404) 562–3500 sissippi, North Carolina, Puerto Rico, South Caro- ter, Suite 17T50, 61 Forsyth Street, SW., Atlanta, lina, and Tennessee. GA 30303. V. Illinois, Indiana, Minnesota, Michigan, Ohio, and FTA Regional Administrator, 200 West Adams (312) 353–2789 Wisconsin. Street, Suite 320, Chicago, IL 60606. VI. Arkansas, Louisiana, New Mexico, Oklahoma, FTA Regional Administrator, 819 Taylor Street, (817) 978–0550 and Texas. Room 8A36, Fort Worth, TX 76102. VII. Iowa, Kansas, Missouri, and Nebraska ...... FTA Regional Administrator, 901 Locust Street, (816) 329–3920 Suite 404, Kansas City, MO 64106. VIII. Colorado, Montana, North Dakota, South Da- FTA Regional Administrator, Dept. of Transpor- (720) 963–3300 kota, Utah, and Wyoming. tation, FTA, 12300 W. Dakota Ave., Suite 310, Lakewood, CO 80228–2583. IX. Arizona, California, Hawaii, Nevada, Guam, FTA Regional Administrator, 201 Mission Street, (415) 744–3133 American Samoa, and Northern Mariana Islands. Suite 310, San Francisco, CA 94105. X. Alaska, Idaho, Oregon, and Washington ...... FTA Regional Administrator, Jackson Federal Build- (206) 220–7954 ing, 915 Second Avenue, Suite 3142, Seattle, WA 98174–1002. Lower Manhattan Recovery Office ...... FTA LMRO Director, One Bowling Green, Room (212) 668–1770 436, New York, NY 10004.

§ 601.3 General responsibilities. fice also serves as the audit liaison in The general responsibilities of each responding to the Office of the Inspec- of the offices which comprise the head- tor General and the Government Ac- quarters organization of FTA are: countability Office. (a) Office of Administration. Directed (c) Office of Chief Counsel. Directed by by an Associate Administrator for Ad- a Chief Counsel, this office provides ministration, this office develops and legal advice and support to the Admin- administers comprehensive programs istrator and FTA management. The of- to meet FTA’s resource management fice is responsible for reviewing devel- and administrative support require- opment and management of FTA-spon- ments in the following areas: Organiza- sored projects; representing the Admin- tion and management planning, infor- istration before civil courts and admin- mation resources management, human istrative agencies; drafting and review- resources, contracting and procure- ing legislation and regulations to im- ment, and administrative services. plement the Administration’s pro- (b) Office of Budget and Policy. Di- grams; and working to ensure that the rected by an Associate Administrator agency upholds the highest ethical for Budget and Policy, this office is re- standards. The office coordinates with sponsible for policy development and and supports the U.S. Department of performance measurement, strategic Transportation’s General Counsel on and program planning, program evalua- FTA legal matters. tion, budgeting, and accounting. The (d) The Office of Civil Rights. Directed office provides policy direction on leg- by a Director for Civil Rights, this of- islative proposals and coordinates the fice ensures full implementation of development of regulations. The office civil rights and equal opportunity ini- formulates and justifies FTA budgets tiatives by all recipients of FTA assist- within the Department of Transpor- ance, and ensures nondiscrimination in tation, to the Office of Management the receipt of FTA benefits, employ- and Budget, and Congress. The office ment, and business opportunities. The establishes apportionments and allot- office advises and assists the Adminis- ments for program and administrative trator and other FTA officials in ensur- funds, ensures that all funds are ex- ing compliance with applicable civil pended in accordance with Administra- rights regulations, statutes and direction and congressional intent, and pre- tives, including but not limited to the pares and coordinates statutory re- Americans with Disabilities Act of 1990 ports to Congress. The office coordi- (ADA), the Civil Rights Act of 1964, nates with and supports the Depart- Disadvantaged Business Enterprise ment of Transportation Chief Financial (DBE) participation, and Equal Em- Officer on all FTA accounting and fi- ployment Opportunity, within FTA and nancial management matters. This of- in the conduct of Federally-assisted

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public transportation projects and pro- for proposed major transit capital fixed grams. The office monitors the imple- guideway projects, commonly referred mentation of and compliance with civil to as the New Starts program. In addi- rights requirements, investigates com- tion, this office is responsible for the plaints, conducts compliance reviews, evaluation and rating of proposed and provides technical assistance to re- projects based on a set of statutory cri- cipients of FTA assistance and mem- teria, and applies these ratings as bers of the public. input to the Annual New Starts Report (e) Office of Communications and Con- and funding recommendations sub- gressional Affairs. Directed by an Asso- mitted to Congress, as well as for FTA ciate Administrator for Communica- approval required for projects to ad- tions and Congressional Affairs, this vance into preliminary engineering, office is the agency’s lead office for final design, and full funding grant media relations, public affairs, and agreements. Congressional relations, providing (g) Office of Program Management. Di- quick response support to the agency, rected by an Associate Administrator the public, and Members of Congress on for Program Management, this office a daily basis. The office distributes in- administers a national program of cap- formation about FTA programs and ital and operating assistance by man- policies to the public, the transit in- aging financial and technical resources dustry, and other interested parties and by directing program implementa- through a variety of media. This office tion. The office coordinates all grantee also coordinates the Administrator’s directed guidance, in the form of circu- public appearances and is responsible lars and other communications, devel- for managing correspondence and other ops and distributes procedures and pro- information directed to and issued by gram guidance to assist the field staff the Administrator and Deputy Admin- in grant program administration and istrator. fosters responsible stewardship of Fed- (f) Office of Planning and Environment. eral transit resources by facilitating Directed by an Associate Adminis- and assuring consistent grant develop- trator for Planning and Development, ment and implementation nationwide this office administers a national pro- (Statutory, Formula, Discretionary gram of planning assistance that pro- and Earmarks). This office manages vides funding, guidance, and technical the oversight program for agency for- support to State and local transpor- mula grant programs and provides na- tation agencies. In partnership with tional expertise and direction in the the Federal Highway Administration areas of capital construction, rolling (FHWA), this office oversees a national stock, and risk assessment techniques. program of planning assistance and It also assists the transit industry and certification of metropolitan and state- State and local authorities in pro- wide planning organizations, imple- viding high levels of safety and secu- mented by FTA Regional Offices and rity for transit passengers and employ- FHWA Divisional Offices. The office ees through technical assistance, train- provides national guidance and tech- ing, public awareness, drug and alcohol nical support in emphasis areas includ- testing and state safety oversight. ing planning capacity building, finan- (h) Office of Research, Demonstration, cial planning, transit oriented develop- and Innovation. Directed by an Asso- ment, joint development, project cost ciate Administrator for Research, estimation, travel demand forecasting, Demonstration and Innovation, this of- and other technical areas. This office fice provides transit industry leader- also oversees the Federal environ- ship in delivery of solutions that im- mental review process as it applies to prove public transportation. The office transit projects throughout the coun- undertakes research, development, and try, including implementation of the demonstration projects that help to in- National Environmental Policy Act crease ridership; improve capital and (NEPA), the Clean Air Act, and related operating efficiencies; enhance safety laws and regulations. The office pro- and emergency preparedness; and bet- vides national guidance and oversight ter protect the environment and proof planning and project development mote energy independence. The office

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leads FTA programmatic efforts under (1) Advance notices of proposed rule- the National Research Programs (49 making; U.S.C. 5314). (2) Notices of proposed rulemaking; (3) Comments received in response to § 601.4 Responsibilities of the Adminis- notices; trator. (4) Petitions for rulemaking and re- The Administrator is responsible for consideration; the planning, direction and control of (5) Denials of petitions for rule- the activities of FTA and has authority making and reconsideration; and to approve Federal transit grants, (6) Final rules. loans, and contracts. The Deputy Ad- (c) Any person may examine dock- ministrator is the ‘‘first assistant’’ for eted material, at any time during reg- purposes of the Federal Vacancies Re- ular business hours after the docket is form Act of 1998 (Pub. L. 105–277) and established, and may obtain a copy of shall, in the event of the absence or such material upon payment of a fee, disability of the Administrator, serve except material ordered withheld from as the Acting Administrator, subject to the public under section 552(b) of Title the limitations in that Act. In the 5 of the United States Code. event of the absence or disability of (d) Any person seeking documents both the Administrator and the Deputy not described above may submit a re- Administrator, officials designated by quest under the Freedom of Informa- the agency’s internal order on succes- tion Act (FOIA) by following the proce- sion shall serve as Acting Deputy Ad- dures outlined in 49 CFR Part 7. ministrator and shall perform the duties of the Administrator, except for Subpart C—Rulemaking any non-delegable statutory and/or reg- Procedures ulatory duties. § 601.20 Applicability. Subpart B—Public Availability of This part prescribes rulemaking pro- Information cedures that apply to the issuance, amendment and revocation of rules § 601.10 Sources of information. under an Act. (a) FTA guidance documents. (1) Circu- lars and other guidance/policy informa- § 601.21 Definitions. tion are available on FTA’s Web site: Act means statutes granting the Sec- http://www.fta.dot.gov. retary authority to regulate public (2) Single copies of any guidance doc- transportation. ument may be obtained without charge Administrator means the Federal by calling FTA’s Administrative Serv- Transit Administrator, the Deputy Ad- ices Help Desk, at (202) 366–4865. ministrator or the delegate of either of (3) Single copies of any guidance doc- them. ument may also be obtained without charge upon written request to the As- § 601.22 General. sociate Administrator for Administra- (a) Unless the Administrator, for tion, Federal Transit Administration, good cause, finds a notice is imprac- 400 7th Street SW., Room 9107, Wash- tical, unnecessary, or contrary to the ington, DC, 20590, or to any FTA re- public interest, and incorporates such a gional office listed in § 601.2. finding and a brief statement of the (b) DOT Docket Management System. reasons for it in the rule, a notice of Unless a particular document says oth- proposed rulemaking must be issued, erwise, the following rulemaking docu- and interested persons are invited to ments in proceedings started after Feb- participate in the rulemaking pro- ruary 1, 1997, are available for public ceedings involving rules under an Act. review and copying at the Department (b) For rules for which the Adminis- of Transportation’s Docket Manage- trator determines that notice is unnec- ment System, Room PL 401, 400 7th essary because no adverse public com- Street SW., Washington, DC 20590, or ment is anticipated, the direct final for review and downloading through rulemaking procedure described in the Internet at http://dms.dot.gov: § 601.36 of this subpart may be followed.

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§ 601.23 Initiation of rulemaking. is granted to all persons, and it is pub- The Administrator initiates rule- lished in the FEDERAL REGISTER. making on his/her own motion. How- § 601.27 Contents of written comments. ever, in so doing, he/she may, in his/her discretion, consider the recommenda- All written comments must be in tions of his/her staff or other agencies English and submitted in five (5) leg- of the United States or of other inter- ible copies, unless the number of copies ested persons. is specified in the notice. Any interested person must submit as part of § 601.24 Contents of notices of pro- his/her written comments all material posed rulemaking. that he/she considers relevant to any (a) Each notice of proposed rule- statement of fact made by him/her. In- making is published in the FEDERAL corporation of material by reference is REGISTER, unless all persons subject to to be avoided. However, if such incor- it are named and are personally served poration is necessary, the incorporated with a copy of it. material shall be identified with re- (b) Each notice, whether published in spect to document and page. the FEDERAL REGISTER or personally served, includes: § 601.28 Consideration of comments received. (1) A statement of the time, place, and nature of the proposed rulemaking All timely comments are considered proceeding; before final action is taken on a rule- (2) A reference to the authority under making proposal. Late filed comments which it is issued; may be considered so far as prac- (3) A description of the subjects and ticable. issues involved or the substance and terms of the proposed rule; § 601.29 Additional rulemaking pro- (4) A statement of the time within ceedings. which written comments must be sub- The Administrator may initiate any mitted; and further rulemaking proceedings that (5) A statement of how and to what he/she finds necessary or desirable. For extent interested persons may partici- example, interested persons may be in- pate in the proceeding. vited to make oral arguments, to participate in conferences between the Ad- § 601.25 Participation by interested ministrator or his/her representative at persons. which minutes of the conference are (a) Any interested person may par- kept, to appear at informal hearings ticipate in rulemaking proceedings by presided over by officials designated by submitting comments in writing con- the Administrator at which a tran- taining information, views, or argu- script or minutes are kept, or partici- ments. pate in any other proceeding to assure (b) In his/her discretion, the Adminis- informed administrative action and to trator may invite any interested per- protect the public interest. son to participate in the rulemaking procedures described in § 601.29. § 601.30 Hearings. (a) Sections 556 and 557 of Title 5, § 601.26 Petitions for extension of time United States Code, do not apply to to comment. hearings held under this part. Unless A petition for extension of the time otherwise specified, hearings held to submit comments must be received under this part are informal, non-ad- not later than three (3) days before ex- versary, fact-finding procedures at piration of the time stated in the no- which there are no formal pleadings or tice. The filing of the petition does not adverse parties. Any rule issued in a automatically extend the time for peti- case in which an informal hearing is tioner’s comments. Such a petition is held is not necessarily based exclu- granted only if the petitioner shows sively on the record of the hearing. good cause for the extension, and if the (b) The Administrator designates a extension is consistent with the public representative to conduct any hearing interest. If an extension is granted, it held under this part. The Chief Counsel

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of the Federal Transit Administration § 601.33 Processing of petitions. designates a member of his/her staff to (a) Each petition received under serve as legal officer at the hearing. § 601.32 of this part is referred to the § 601.31 Adoption of final rules. head of the office responsible for the subject matter of that petition. Unless Final rules are prepared by rep- the Administrator otherwise specifies, resentatives of the office concerned no public hearing, argument or other and the Office of Chief Counsel. The proceeding is held directly on a peti- rule is then submitted to the Adminis- tion before its disposition under this trator for his/her consideration. If the section. Administrator adopts the rule, it is (b) Grants. If the Administrator de- published in the FEDERAL REGISTER, termines the petition contains ade- unless all persons subject to it are quate justification, he/she initiates named and are personally served a copy rulemaking action under this Subpart of it. C or grants the exemption, as the case § 601.32 Petitions for rulemaking or may be. exemptions. (c) Denials. If the Administrator determines the petition does not justify (a) Any interested person may peti- rulemaking or granting the exemption, tion the Administrator to establish, he/she denies the petition. amend, or repeal a rule, or for a permanent or temporary exemption from (d) Notification. Whenever the Admin- FTA rules as allowed by law. istrator determines that a petition (b) Each petition filed under this sec- should be granted or denied, the office tion must: concerned and the Office of Chief Coun- (1) Be submitted in duplicate to the sel prepare a notice of that grant or de- Administrator, Federal Transit Admin- nial for issuance to the petitioner, and istration, 400 Seventh Street, SW., the Administrator issues it to the peti- Washington, DC 20590; tioner. (2) State the name, street and mail- § 601.34 Petitions for reconsideration. ing addresses, and telephone number of the petitioner; if the petitioner is not (a) Any interested person may peti- an individual, state the name, street tion the Administrator for reconsider- and mailing addresses and telephone ation of a final rule issued under this number of an individual designated as part. The petition must be in English an agent of the petitioner for all pur- and submitted in duplicate to the Ad- poses related to the petition; ministrator, Federal Transit Adminis- (3) Set forth the text or substance of tration, 400 Seventh Street, SW., Wash- the rule or amendment proposed, or of ington, DC, 20590, and received not the rule from which the exemption is later than thirty (30) days after publi- sought, or specify the rule that the pe- cation of the final rule in the FEDERAL titioner seeks to have repealed, as the REGISTER. Petitions filed after that case may be; time will be considered as petitions (4) Explain the interest of the peti- filed under § 601.32. The petition must tioner in the action requested, includ- contain a brief statement of the coming, in the case of a petition for an ex- plaint and an explanation as to why emption, the nature and extent of the compliance with the final rule is not relief sought and a description of the practicable, is unreasonable, or is not persons to be covered by the exemp- in the public interest. tion; (b) If the petitioner requests the con- (5) Contain any information and ar- sideration of additional facts, he/she guments available to the petitioner to must state the reason the facts were support the action sought; and not presented to the Administrator (6) In the case of a petition for ex- within the prescribed comment period emption, except in cases in which good of the rulemaking. cause is shown, the petition must be (c) The Administrator does not con- submitted at least 120 days before the sider repetitious petitions. requested effective date of the exemp- (d) Unless the Administrator other- tion. wise provides, the filing of a petition

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under this section does not stay the ef- within the specified time of publication fectiveness of the final rule. in the FEDERAL REGISTER, FTA will publish a notice in the FEDERAL REG- § 601.35 Proceedings on petitions for ISTER indicating that no adverse com- reconsideration. ment was received and confirming that The Administrator may grant or the rule will become effective on the deny, in whole or in part, any petition date that was indicated in the direct for reconsideration without further final rule. proceedings. In the event he/she deter- (d) If FTA receives any written ad- mines to reconsider any rule, he/she verse comment or written notice of in- may issue a final decision on reconsid- tent to submit adverse comment with- eration without further proceedings, or in the specified time of publication in he/she may provide such opportunity to the FEDERAL REGISTER, a notice with- submit comment or information and drawing the direct final rule will be data as he/she deems appropriate. published in the final rule section of Whenever the Administrator deter- the FEDERAL REGISTER and, if FTA de- mines that a petition should be granted cides a rulemaking is warranted, a no- or denied, he/she prepares a notice of tice of proposed rulemaking will be the grant or denial of a petition for re- published in the proposed rule section consideration and issues it to the peti- of the FEDERAL REGISTER. tioner. The Administrator may consoli- (e) An ‘‘adverse’’ comment for the date petitions relating to the same purpose of this subpart means any rule. comment that FTA determines is crit- ical of the rule, suggests that the rule § 601.36 Procedures for direct final should not be adopted, or suggests a rulemaking. change that should be made in the rule. (a) Rules the Administrator judges to A comment suggesting that the policy be non-controversial and unlikely to or requirements of the rule should or result in adverse public comment may should not also be extended to other be published as direct final rules. These Departmental programs outside the include non-controversial rules that: scope of the rule is not adverse. (1) Affect internal procedures of FTA, such as filing requirements and rules Subpart D—Emergency Proce- governing inspection and copying of dures for Public Transportation documents; Systems (2) Are non-substantive clarifications or corrections to existing rules; (3) Update existing forms; AUTHORITY: 49 U.S.C. 5141 and 5334; 49 CFR (4) Make minor changes in the sub- 1.51. stantive rule regarding statistics and SOURCE: 72 FR 912, Jan. 9, 2007, unless oth- reporting requirements; erwise noted. (5) Make changes to the rule implementing the Privacy Act; and § 601.40 Applicability. (6) Adopt technical standards set by This part prescribes procedures that outside organizations. apply to FTA grantees and subgrantees (b) The FEDERAL REGISTER document when the President has declared a na- will state that any adverse comment or tional or regional emergency, when a notice of intent to submit adverse com- State Governor has declared a state of ment must be received in writing by emergency, when the Mayor of the Dis- FTA within the specified time after the trict of Columbia has declared a state date of publication and that, if no writ- of emergency, or in anticipation of ten adverse comment or written notice such declarations. of intent to submit adverse comment is received, the rule will become effective § 601.41 Petitions for relief. a specified number of days after the In the case of a national or regional date of publication. emergency or disaster, or in anticipa- (c) If no written adverse comment or tion of such a disaster, any FTA grant- written notice of intent to submit ad- ee or subgrantee may petition the Ad- verse comment is received by FTA ministrator for temporary relief from

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the provisions of any policy statement, (b) The docket is publicly accessible circular, guidance document or rule. and can be accessed 24 hours a day, seven days a week, via the Internet at § 601.42 Emergency relief docket. the docket facility’s Web site at http:// (a) By January 31st of each year, dms.dot.gov. Petitions may also be sub- FTA shall establish an Emergency Re- mitted by U.S. mail or by hand deliv- lief Docket in the publicly accessible ery to the DOT Docket Management DOT Docket Management System Facility, Room PL–401 (Plaza Level), (DMS) (http://dms.dot.gov). 400 7th Street, SW, Washington, DC (b) FTA shall publish a notice in the 20590. FEDERAL REGISTER identifying, by (c) In the event a grantee or sub- docket number, the Emergency Relief grantee needs to request immediate re- Docket for that calendar year. A notice lief and does not have access to elec- shall also be published in the previous tronic means to request that relief, the year’s Emergency Relief Docket identi- grantee or subgrantee may contact any fying the new docket number. FTA regional office or FTA head- (c) If the Administrator, or his/her quarters and request that FTA staff designee, determines that an emer- submit the petition on their behalf. gency event has occurred, or in antici- (d) Any grantee or subgrantee sub- pation of such an event, FTA shall mitting petitions for relief or com- place a message on its web page (http:// ments to the docket must include the www.fta.dot.gov) indicating the Emer- agency name (Federal Transit Admin- gency Relief Docket has been opened istration) and that calendar year’s and including the docket number. docket number. Grantees and subgrantees making submissions by mail § 601.43 Opening the docket. or hand delivery should submit two copies. (a) The Emergency Relief Docket shall be opened within two business § 601.45 Required information. days of an emergency or disaster declaration in which it appears FTA A petition for relief under this sec- grantees or subgrantees are or will be tion shall: impacted. (a) Identify the grantee or subgrantee (b) In cases in which emergencies can and its geographic location; be anticipated, such as hurricanes, (b) Specifically address how an FTA FTA shall open the docket and place requirement in a policy statement, cir- the message on the FTA web page in cular, or agency guidance will limit a advance of the event. grantee’s or subgrantee’s ability to re- (c) In the event a grantee or sub- spond to an emergency or disaster; grantee believes the Emergency Relief (c) Identify the policy statement, cir- Docket should be opened and it has not cular, guidance document and/or rule been opened, that grantee or sub- from which the grantee or subgrantee grantee may submit a petition in dupli- seeks relief; and cate to the Administrator, via U.S. (d) Specify if the petition for relief is mail, to: Federal Transit Administra- one-time or ongoing, and if ongoing tion, 400 Seventh Street, SW., Wash- identify the time period for which the ington, DC 20590; via telephone, at: relief is requested. The time period (202) 366–4043; or via fax, at (202) 366– may not exceed three months; however, 3472, requesting opening of the Docket additional time may be requested for that emergency and including the through a second petition for relief. information in § 601.45. The Adminis- trator in his/her sole discretion shall § 601.46 Processing of petitions. determine the need for opening the (a) A petition for relief will be condi- Emergency Relief Docket. tionally granted for a period of three (3) business days from the date it is § 601.44 Posting to the docket. submitted to the Emergency Relief (a) All petitions for relief must be Docket. posted in the docket in order to receive (b) FTA will review the petition after consideration by FTA. the expiration of the three business

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days and review any comments sub- 604.10 Agreement with registered charter mitted thereto. FTA may contact the providers. grantee or subgrantee that submitted 604.11 Petitions to the administrator. the request for relief, or any party that 604.12 Reporting requirements for all exceptions. submits comments to the docket, to obtain more information prior to mak- Subpart C—Procedures for Registration ing a decision. and Notification (c) FTA shall then post a decision to the Emergency Relief Docket. FTA’s 604.13 Registration of private charter opera- decision will be based on whether the tors. petition meets the criteria for use of 604.14 Recipient’s notification to registered charter providers. these emergency procedures, the substance of the request, and the com- Subpart D—Registration of Qualified ments submitted regarding the peti- Human Service Organizations and Du- tion. ties for Recipients With Respect to (d) If FTA fails to post a response to Charter Registration Web Site the request for relief to the docket within three business days, the grantee 604.15 Registration of qualified human serv- or subgrantee may assume its petition ices organizations. is granted until and unless FTA states 604.16 Duties for recipients with respect to otherwise. Charter Registration Web site. Subpart E—Advisor Opinions and Cease § 601.47 Review Procedures. and Desist Orders (a) FTA reserves the right to reopen any docket and reconsider any decision 604.17 Purpose. made pursuant to these emergency pro- 604.18 Request for an advisory opinion. cedures based upon its own initiative, 604.19 Processing of advisory opinions. 604.20 Effect of an advisory opinion. based upon information or comments 604.21 Special considerations for advisory received subsequent to the three busi- opinions. ness day comment period, or at the re- 604.22 Request for a cease and desist order. quest of a grantee or subgrantee upon 604.23 Effect of a cease and desist order. denial of a request for relief. FTA shall 604.24 Decisions by the Chief Counsel re- notify the grantee or subgrantee if it garding cease and desist orders. plans to reconsider a decision. (b) FTA decision letters, either Subpart F—Complaints granting or denying a petition, shall be 604.25 Purpose. posted in the appropriate Emergency 604.26 Complaints and decisions regarding Relief Docket and shall reference the removal of private charter operators or document number of the petition to qualified human service organizations which it relates. from registration list. 604.27 Complaints, answers, replies, and other documents. PART 604—CHARTER SERVICE 604.28 Dismissals. 604.29 Incomplete complaints. Subpart A—General Provisions 604.30 Filing complaints. 604.31 Service. Sec. 604.1 Purpose. Subpart G—Investigations 604.2 Applicability. 604.3 Definitions. 604.32 Investigation of complaint. 604.4 Charter service agreement. 604.33 Agency initiation of investigation.

Subpart B—Exceptions Subpart H—Decisions by FTA and Appointment of a Presiding Official (PO) 604.5 Purpose. 604.6 Government officials on official gov- 604.34 Chief Counsel decisions and appoint- ernment business. ment of a PO. 604.7 Qualified human service organizations. 604.35 Separation of functions. 604.8 Leasing FTA funded equipment and drivers. Subpart I—Hearings 604.9 When no registered charter provider responds to notice from a recipient. 604.36 Powers of a PO.

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604.37 Appearances, parties, and rights of (b) The requirements of this part parties. shall not apply to a recipient trans- 604.38 Discovery. porting its employees, other transit 604.39 Deposition. system employees, transit manage- 604.40 Public disclosure of evidence. 604.41 Standard of proof. ment officials, transit contractors and 604.42 Burden of proof. bidders, government officials and their 604.43 Offer of proof. contractors and official guests, to or 604.44 Record. from transit facilities or projects with- 604.45 Waiver of procedures. in its geographic service area or pro- 604.46 Recommended decision by a PO. posed geographic service area for the 604.47 Remedies. purpose of conducting oversight func- Subpart J—Appeal to Administrator and tions such as inspection, evaluation, or Final Agency Orders review. (c) The requirements of this part 604.48 Appeal from Chief Counsel decision. shall not apply to private charter oper- 604.49 Administrator’s discretionary review ators that receive, directly or indi- of the Chief Counsel’s decision. rectly, Federal financial assistance under section 3038 of the Transpor- Subpart K—Judicial Review tation Equity Act for the 21st Century, 604.50 Judicial review of a final decision and as amended, or to the non-FTA funded order. activities of private charter operators APPENDIX A TO PART 604 —LISTING OF HUMAN that receive, directly or indirectly, SERVICE FEDERAL FINANCIAL ASSISTANCE FTA financial assistance under any of PROGRAMS the following programs: 49 U.S.C. 5307, APPENDIX B TO PART 604—REASONS FOR RE- 49 U.S.C. 5309, 49 U.S.C. 5310, 49 U.S.C. MOVAL 5311, 49 U.S.C. 5316, or 49 U.S.C. 5317. APPENDIX C TO PART 604—FREQUENTLY ASKED QUESTIONS (d) The requirements of this part APPENDIX D TO PART 604—TABLE OF POTEN- shall not apply to a recipient trans- TIAL REMEDIES porting its employees, other transit system employees, transit manage- AUTHORITY: 49 U.S.C. 5323(d): 3023(d), Pub. L. 109–59; 49 CFR 1.51. ment officials, transit contractors and bidders, government officials and their SOURCE: 73 FR 2345, Jan. 14, 2008, unless contractors and official guests, for otherwise noted. emergency preparedness planning and operations. Subpart A—General provisions. (e) The requirements of this part shall not apply to a recipient that uses § 604.1 Purpose. Federal financial assistance from FTA, (a) The purpose of this part is to im- for program purposes only, under 49 plement 49 U.S.C. 5323(d), which pro- U.S.C. 5310, 49 U.S.C. 5311, 49 U.S.C. tects private charter operators from 5316, or 49 U.S.C. 5317. unauthorized competition from recipi- (f) The requirements of this part ents of Federal financial assistance shall not apply to a recipient, for ac- under the Federal Transit Laws. tions directly responding to an emer- (b) This subpart specifies which enti- gency declared by the President, gov- ties shall comply with the charter serv- ernor, or mayor or in an emergency re- ice regulations; defines terms used in quiring immediate action prior to a this part; explains procedures for an formal declaration. If the emergency exemption from this part; and sets out lasts more than 45 days, the recipient the contents of a charter service agree- shall follow the procedures set out in ment. subpart D of 49 CFR 601. (g) The requirements of this part § 604.2 Applicability. shall not apply to a recipient in a non- (a) The requirements of this part urbanized area transporting its em- shall apply to recipients of Federal fi- ployees, other transit system employ- nancial assistance under the Federal ees, transit management officials, and Transit Laws, except as otherwise pro- transit contractors and bidders to or vided in paragraphs (b) through (g) of from transit training outside its geo- this section. graphic service area.

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§ 604.3 Definitions. is not a Saturday, Sunday, or legal hol- All terms defined in 49 U.S.C. 5301 et iday. seq. are used in their statutory mean- (g) ‘‘Demand response’’ means any ing in this part. Other terms used in non-fixed route system of transporting this part are defined as follows: individuals that requires advanced (a) ‘‘Federal Transit Laws’’ means 49 scheduling by the customer, including U.S.C. 5301 et seq., and includes 23 services provided by public entities, U.S.C. 103(e)(4), 142(a), and 142(c), when nonprofits, and private providers. used to provide assistance to public (h) ‘‘Exclusive’’ means service that a transit agencies for purchasing buses reasonable person would conclude is in- and vans. tended to exclude members of the pub- (b) ‘‘Administrator’’ means the Admin- lic. istrator of the Federal Transit Admin- (i) ‘‘FTA’’ means the Federal Transit istration or his or her designee. Administration. (c) ‘‘Charter service’’ means, but does (j) ‘‘Geographic service area’’ means not include demand response service to the entire area in which a recipient is individuals: authorized to provide public transpor- (1) Transportation provided by a re- tation service under appropriate local, cipient at the request of a third party state, and Federal law. for the exclusive use of a bus or van for (k) ‘‘Government official’’ means an in- a negotiated price. The following fea- dividual elected or appointed at the tures may be characteristic of charter local, state, or Federal level. service: (l) ‘‘Interested party’’ means an indi- (i) A third party pays the transit pro- vidual, partnership, corporation, asso- vider a negotiated price for the group; ciation, or other organization that has (ii) Any fares charged to individual a financial interest that is affected by members of the group are collected by the actions of a recipient providing a third party; charter service under the Federal Tran- (iii) The service is not part of the sit Laws. This term includes states, transit provider’s regularly scheduled counties, cities, and their subdivisions, service, or is offered for a limited pe- and tribal nations. riod of time; or (m) ‘‘Pattern of violations’’ means (iv) A third party determines the ori- more than one finding of unauthorized gin and destination of the trip as well charter service under this part by FTA as scheduling; or beginning with the most recent finding (2) Transportation provided by a re- of unauthorized charter service and cipient to the public for events or func- looking back over a period not to ex- tions that occur on an irregular basis ceed 72 months. or for a limited duration and: (n) ‘‘Presiding Official’’ means an offi- (i) A premium fare is charged that is cial or agency representative who con- greater than the usual or customary ducts a hearing at the request of the fixed route fare; or Chief Counsel and who has had no pre- (ii) The service is paid for in whole or vious contact with the parties con- in part by a third party. cerning the issue in the proceeding. (d) ‘‘Charter service hours’’ means (o) ‘‘Program purposes’’ means trans- total hours operated by buses or vans portation that serves the needs of ei- while in charter service including: ther human service agencies or tar- (1) Hours operated while carrying geted populations (elderly, individuals passengers for hire, plus with disabilities, and or low income in- (2) Associated deadhead hours. dividuals); this does not include exclu- (e) ‘‘Chief Counsel’’ means the Chief sive service for other groups formed for Counsel of FTA and his or her des- purposes unrelated to the special needs ignated employees. of the targeted populations identified (f) ‘‘Days’’ means calendar days. The herein. last day of a time period is included in (p) ‘‘Public transportation’’ has the the computation of time unless the last meaning set forth in 49 U.S.C. day is a Saturday, Sunday, or legal 5302(a)(10). holiday, in which case, the time period (q) ‘‘Qualified human service organiza- runs until the end of the next day that tion’’ means an organization that

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serves persons who qualify for human (c) The Charter Service Agreement is service or transportation-related pro- contained in the Certifications and As- grams or services due to disability, in- surances published annually by FTA come, or advanced age. This term is for applicants for Federal financial as- used consistent with the President’s sistance. Once a recipient receives Fed- Executive Order on Human Service eral funds, the Certifications and As- Transportation Coordination (February surances become part of its Grant 24, 2004). Agreement or Cooperative Agreement (r) ‘‘Recipient’’ means an agency or for Federal financial assistance. entity that receives Federal financial assistance, either directly or indi- Subpart B—Exceptions rectly, including subrecipients, under the Federal Transit Laws. This term § 604.5 Purpose. does not include third-party contrac- The purpose of this subpart is to tors who use non-FTA funded vehicles. identify the limited exceptions under (s) ‘‘Registered charter provider’’ which recipients may provide commu- means a private charter operator that nity-based charter services. wants to receive notice of charter service requests directed to recipients and § 604.6 Government officials on official has registered on FTA’s charter reg- government business. istration Web site. (t) ‘‘Registration list’’ means the cur- (a) A recipient may provide charter rent list of registered charter providers service to government officials (Fed- and qualified human service organiza- eral, State, and local) for official gov- tions maintained on FTA’s charter reg- ernment business, which can include istration Web site. non-transit related purposes, if the re- (u) ‘‘Special transportation’’ means de- cipient: mand response or paratransit service (1) Provides the service in its geo- that is regular and continuous and is a graphic service area; type of ‘‘public transportation.’’ (2) Does not generate revenue from (v) ‘‘Violation’’ means a finding by the charter service, except as required FTA of a failure to comply with one of by law; and the requirements of this Part. (3) After providing such service, records the following: § 604.4 Charter service agreement. (i) The government organization’s (a) A recipient seeking Federal as- name, address, phone number, and e- sistance under the Federal Transit mail address; Laws to acquire or operate any public (ii) The date and time of service; transportation equipment or facilities (iii) The number of passengers (spe- shall enter into a ‘‘Charter Service cifically noting the number of govern- Agreement’’ as set out in paragraph (b) ment officials on the trip); of this section. (iv) The origin, destination, and trip (b) A recipient shall enter into a length (miles and hours); Charter Service Agreement if it re- (v) The fee collected, if any; and ceives Federal funds for equipment or (vi) The vehicle number for the vehi- facilities under the Federal Transit cle used to provide the service. Laws. The terms of the Charter Service (b) A recipient that provides charter Agreement are as follows: ‘‘The recipi- service under this section shall be lim- ent agrees that it, and each of its sub- ited annually to 80 charter service recipients, and third party contractors hours for providing trips to govern- at any level who use FTA-funded vehi- ment officials for official government cles, may provide charter service using business. equipment or facilities acquired with (c) A recipient may petition the Ad- Federal assistance authorized under ministrator for additional charter serv- the Federal Transit Laws only in com- ice hours only if the petition contains pliance with the regulations set out in the following information: 49 CFR 604, the terms and conditions of (1) Date and description of the offi- which are incorporated herein by ref- cial government event and the number erence.’’ of charter service hours requested;

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(2) Explanation of why registered (4) The origin, destination, and trip charter providers in the geographic length (miles and hours); service area cannot perform the service (5) The fee collected, if any; and (e.g., equipment, time constraints, or (6) The vehicle number for the vehi- other extenuating circumstances); and cle used to provide the service. (3) Evidence that the recipient has sent the request for additional hours to § 604.8 Leasing FTA funded equipment registered charter providers in its geo- and drivers. graphic service area. (a) A recipient may lease its FTA- (d) FTA shall post the request for ad- funded equipment and drivers to reg- ditional charter service hours under istered charter providers for charter this exception in the Government Offi- service only if the following conditions cials Exception docket, docket number exist: FTA–2007–0020 at http:// www.regulations.gov. Interested parties (1) The private charter operator is may review the contents of this docket registered on the FTA charter registra- and bring questions or concerns to the tion Web site; attention of the Ombudsman for Char- (2) The registered charter provider ter Services. The written decision of owns and operates buses or vans in a the Administrator regarding the re- charter service business; quest for additional charter service (3) The registered charter provider hours shall be posted in the Govern- received a request for charter service ment Officials Exception docket and that exceeds its available capacity ei- sent to the recipient. ther of the number of vehicles operated by the registered charter provider or § 604.7 Qualified human service orga- the number of accessible vehicles oper- nizations. ated by the registered charter provider; (a) A recipient may provide charter and service to a qualified human service or- (4) The registered charter provider ganization (QHSO) for the purpose of has exhausted all of the available vehi- serving persons: cles of all registered charter providers (1) With mobility limitations related in the recipient’s geographic service to advanced age; area. (2) With disabilities; or (b) A recipient leasing vehicles and (3) With low income. drivers to a registered charter provider (b) If an organization serving persons under this provision shall record: described in paragraph (a) of this sec- (1) The registered charter provider’s tion receives funding, directly or indi- name, address, telephone number, and rectly, from the programs listed in Ap- e-mail address; pendix A of this part, the QHSO shall (2) The number of vehicles leased, not be required to register on the FTA charter registration Web site. types of vehicles leased, and vehicle (c) If a QHSO serving persons de- identification numbers; and scribed in paragraph (a) of this section (3) The documentation presented by does not receive funding from any of the registered charter provider in sup- the programs listed in Appendix A of port of paragraphs (a)(1) through (4) of this part, the QHSO shall register on this section. the FTA charter registration Web site (c) In accordance with § 604.26, if a in accordance with § 604.15. registered charter provider seeking to (d) A recipient providing charter lease vehicles has filed a complaint re- service under this exception, whether questing that another registered char- or not the QHSO receives funding from ter provider be removed from the FTA Appendix A programs, and after pro- charter registration Web site, then the viding such charter service, shall registered charter provider seeking to record: lease vehicles is not required to ex- (1) The QHSO’s name, address, phone haust the vehicles from that registered number, and e-mail address; charter provider while the complaint is (2) The date and time of service; pending before leasing vehicles from a (3) The number of passengers; recipient.

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§ 604.9 When no registered charter charter service directly to a customer provider responds to notice from a for: recipient. (1) Events of regional or national sig- (a) A recipient may provide charter nificance; service, on its own initiative or at the (2) Hardship (only for non-urbanized request of a third party, if no reg- areas under 50,000 in population or istered charter provider responds to small urbanized areas under 200,000 in the notice issued in § 604.14: population); or (1) Within 72 hours for charter service (3) Unique and time sensitive events requested to be provided in less than 30 (e.g., funerals of local, regional, or na- days; or tional significance) that are in the (2) Within 14 calendar days for char- public’s interest. ter service requested to be provided in (b) The petition to the Administrator 30 days or more. shall include the following informa- (b) A recipient shall not provide char- tion: ter service under this section if a reg- (1) The date and description of the istered charter provider indicates an event; interest in providing the charter serv- (2) The type of service requested and ice set out in the notice issued pursu- the type of equipment; ant to § 604.14 and the registered char- (3) The anticipated number of charter ter provider has informed the recipient service hours needed for the event; of its interest in providing the service. (4) The anticipated number of vehi- (c) After providing the service, a re- cles and duration of the event; and cipient shall record: (i) For an event of regional or na- (1) The group’s name, address, phone tional significance, the petition shall number, and e-mail address; include a description of how registered (2) The date and time of service; charter providers were consulted, how (3) The number of passengers; registered charter providers will be uti- (4) The origin, destination, and trip lized in providing the charter service, a length (miles and hours); certification that the recipient has ex- (5) The fee collected, if any; and hausted all of the registered charter (6) The vehicle number for the vehi- providers in its geographic service cle used to provide the service. area, and submit the petition at least 90 days before the first day of the event § 604.10 Agreement with registered described in paragraph (b)(1) of this charter providers. section; (a) A recipient may provide charter (ii) For a hardship request, a petition service directly to a customer con- is only available if the registered char- sistent with an agreement entered into ter provider has deadhead time that ex- with all registered charter providers in ceeds total trip time from initial pick- the recipient’s geographic service area. up to final drop-off, including wait (b) If a new charter provider registers time. The petition shall describe how in the geographic service area subse- the registered charter provider’s min- quent to the initial agreement, the re- imum duration would create a hardship cipient may continue to provide char- on the group requesting the charter ter service under the previous agree- service; or ment with the other charter providers (iii) For unique and time sensitive up to 90 days without an agreement events, the petition shall describe why with the newly registered charter pro- the event is unique or time sensitive vider. and how providing the charter service (c) Any of the parties to an agree- would be in the public’s interest. ment may cancel the agreement at any (c) Upon receipt of a petition that time after providing the recipient a 90- meets the requirements set forth in day notice. paragraph (b) of this section, the Ad- ministrator shall review the materials § 604.11 Petitions to the Administrator. and issue a written decision denying or (a) A recipient may petition the Ad- granting the request in whole or in ministrator for an exception to the part. In making this decision, the Ad- charter service regulations to provide ministrator may seek such additional

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information as the Administrator mation instead of providing specific or- deems necessary. The Administrator’s igin and destination information. decision shall be filed in the Petitions to the Administrator docket, number Subpart C—Procedures for FTA–2007–0022 at http:// Registration and Notification www.regulations.gov and sent to the recipient. § 604.13 Registration of private charter (d) Any exception granted by the Ad- operators. ministrator under this section shall be (a) Private charter operators shall effective only for the event identified provide the following information at in paragraph (b)(1) of this section. http://www.fta.dot.gov/laws/ (e) A recipient shall send its petition leglregl179.html to be considered a to the Administrator by facsimile to registered charter provider: (202) 366–3809 or by e-mail to ombuds- (1) Company name, address, phone [email protected]. (f) A recipient shall retain a copy of number, e-mail address, and facsimile the Administrator’s approval for a pe- number; riod of at least three years and shall (2) Federal and, if available, state include it in the recipient’s quarterly motor carrier identifying number; report posted on the charter registra- (3) The geographic service areas of tion Web site. public transit agencies, as identified by the transit agency’s zip code, in which § 604.12 Reporting requirements for all the private charter operator intends to exceptions. provide charter service; (a) A recipient that provides charter (4) The number of buses or vans the service in accordance with one or more private charter operator owns; of the exceptions contained in this sub- (5) A certification that the private part shall maintain the required notice charter operator has valid insurance; and records in an electronic format for and a period of at least three years from (6) Whether willing to provide free or the date of the service or lease. A re- reduced rate charter services to reg- cipient may maintain the required istered qualified human service organi- records in other formats in addition to zations. the electronic format. (b) A private charter operator that (b) In addition to the requirements provides valid information in this sub- identified in paragraph (a) of this sec- part is a ‘‘registered charter provider’’ tion, the records required under this for purposes of this part and shall have subpart shall include a clear statement standing to file a complaint consistent identifying which exception the recipi- with subpart F. ent relied upon when it provided the (c) A recipient, a registered charter charter service. provider, or their duly authorized rep- (c) Beginning on July 30, 2008, a re- resentative, may challenge a registered cipient providing charter service under charter provider’s registration and re- these exceptions shall post the records quest removal of the private charter required under this subpart on the FTA operator from FTA’s charter registra- charter registration Web site 30 days tion Web site by filing a complaint after the end of each calendar quarter consistent with subpart F. (i.e., January 30th, April 30th, July (d) FTA may refuse to post a private 30th, and October 30th). A single docu- charter operator’s information if the ment or charter log may include all private charter operator fails to pro- charter service trips provided during vide all of the required information as the quarter. indicated on the FTA charter registra- (d) A recipient may exclude specific tion Web site. origin and destination information for (e) A registered charter provider safety and security reasons. If a recipi- shall provide current and accurate in- ent excludes such information, the formation on FTA’s charter registra- record of the service shall describe the tion Web site, and shall update that in- reason why such information was ex- formation no less frequently than cluded and provide generalized infor- every two years.

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§ 604.14 Recipient’s notification to reg- mail notice, the recipient shall send istered charter providers. the notice via facsimile. The recipient (a) Upon receiving a request for char- shall maintain the record of the un- ter service, a recipient may: deliverable e-mail notice and the fac- (1) Decline to provide the service, simile sent confirmation for a period of with or without referring the requestor three years. to FTA’s charter registration Web site (http://www.fta.dot.gov/laws/ Subpart D—Registration of Quali- leglregl179.html); fied Human Service Organiza- (2) Provide the service under an ex- tions and Duties for Recipients ception provided in subpart B of this With Respect to Charter Reg- part; or istration Web site (3) Provide notice to registered charter providers as provided in this sec- § 604.15 Registration of qualified tion and provide the service pursuant human service organizations. to § 604.9. (a) Qualified human service organiza- (b) If a recipient is interested in pro- tions (QHSO) that seek free or reduced viding charter service under the excep- rate services from recipients, and do tion contained in § 604.9, then upon re- not receive funds from Federal pro- ceipt of a request for charter service, grams listed in Appendix A, but serve the recipient shall provide e-mail no- individuals described in § 604.7 (i.e., in- tice to registered charter providers in dividuals with low income, advanced the recipient’s geographic service area age, or with disabilities), shall register in the following manner: (1) E-mail notice of the request shall on FTA’s charter registration Web site be sent by the close of business on the by submitting the following informa- day the recipient receives the request tion: unless the recipient received the re- (1) Name of organization, address, quest after 2 p.m., in which case the re- phone number, e-mail address, and fac- cipient shall send the notice by the simile number; close of business the next business day; (2) The geographic service area of the (2) E-mail notice sent to the list of recipient in which the qualified human registered charter providers shall in- service organization resides; clude: (3) Basic financial information re- (i) Customer name, address, phone garding the qualified human service or- number, and e-mail address (if avail- ganization and whether the qualified able); human service organization is exempt (ii) Requested date of service; from taxation under sections 501(c) (1), (iii) Approximate number of pas- (3), (4), or (19) of the Internal Revenue sengers; Code, and whether it is a unit of Fed- (iv) Whether the type of equipment eral, State or local government; requested is (are) bus(es) or van(s); and (4) Whether the qualified human serv- (v) Trip itinerary and approximate ice organization receives funds directly duration; and or indirectly from a State or local pro- (3) If the recipient intends to provide gram, and if so, which program(s); and service that meets the definition of (5) A narrative statement describing charter service under § 604.3(c)(2), the e- the types of charter service trips the mail notice must include the fare the qualified human service organization recipient intends to charge for the may request from a recipient and how service. that service is consistent with the mis- (c) A recipient shall retain an elec- sion of the qualified human service or- tronic copy of the e-mail notice and ganization. the list of registered charter providers (b) A qualified human service organi- that were sent e-mail notice of the re- zation is eligible to receive charter quested charter service for a period of services from a recipient if it: at least three years from the date the (1) Registers on the FTA Web site in e-mail notice was sent. accordance with paragraph (a) of this (d) If a recipient receives an ‘‘un- section at least 60 days before the date deliverable’’ notice in response to its e- of the requested charter service; and

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(2) Verifies FTA’s receipt of its reg- A. A full statement of all facts and legal istration by viewing its information on points relevant to the request the FTA charter registration Web site B. An affirmation that the undersigned swears, to the best of his/her knowledge (http://www.fta.dot.gov/laws/ and belief, this request includes all data, leglregl179.html). information, and views relevant to the (c) A registered charter provider may matter, whether favorable or unfavorable challenge a QHSO’s status to receive to the position of the undersigned, which is charter services from a recipient by re- the subject of the request. questing removal of the QHSO from C. The following certification: ‘‘I hereby cer- FTA’s charter registration Web site by tify that I have this day served the foregoing [name of document] on the following filing a complaint consistent with sub- interested party(ies) at the following ad- part F. dresses and e-mail or facsimile numbers (if (d) A QHSO shall provide current and also served by e-mail or facsimile) by accurate information on FTA’s charter [specify method of service]: registration Web site, and shall update [list persons, addresses, and e-mail or fac- that information no less frequently simile numbers]’’ than every two years. Dated this llll day of ll , 20ll. [Signature] [Printed name] § 604.16 Duties for recipients with re- [Title of person making request] spect to charter registration Web [Mailing address] site. [Telephone number] Each recipient shall ensure that its [e-mail address] affected employees and contractors (c) The Chief Counsel may request have the necessary competency to ef- additional information, as necessary, fectively use the FTA charter registra- from the party submitting the request tion Web site. for an advisory opinion. (d) A request for an advisory opinion Subpart E—Advisory Opinions and may be denied if: Cease and Desist Orders (1) The request contains incomplete information on which to base an in- § 604.17 Purpose. formed advisory opinion; The purpose of this subpart is to set (2) The Chief Counsel concludes that out the requirements for requesting an an advisory opinion cannot reasonably advisory opinion from the Chief Coun- be given on the matter involved; sel’s Office. An advisory opinion may (3) The matter is adequately covered also request that the Chief Counsel by a prior advisory opinion or a regula- issue a cease and desist order, which tion; would be an order to refrain from doing (4) The Chief Counsel otherwise con- an act which, if done, would be a viola- cludes that an advisory opinion would tion of this part. not be in the public interest.

§ 604.18 Request for an advisory opin- § 604.19 Processing of advisory opinion. ions. (a) An interested party may request (a) A request for an advisory opinion an advisory opinion from the Chief shall be sent to the Chief Counsel at Counsel on a matter regarding specific [email protected], and factual events only. filed electronically in the Charter (b) A request for an advisory opinion Service Advisory Opinion/Cease and shall be submitted in the following Desist Order docket number FTA–2007– form: 0023 at http://www.regulations.gov or sent to the dockets office located at [Date] 1200 New Jersey Ave., SE., West Build- Chief Counsel, Federal Transit Administra- ing Ground Floor, Room W12–140, tion, 1200 New Jersey Ave. SE., Room E55– Washington, DC 20590, for submission 302, Washington, DC 20590 to that docket. Re: Request for Advisory Opinion The undersigned submits this request for an (b) The Chief Counsel shall make advisory opinion from the FTA Chief Coun- every effort to respond to a request for sel with respect to [the general nature of an advisory opinion within ten days of the matter involved]. receipt of a request that complies with

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§ 604.18(b). The Chief Counsel shall send (1) A description of the need for the his or her decision to the interested cease and desist order, a detailed de- party, the docket, and the recipient, if scription of the lost business oppor- appropriate. tunity the interested party is likely to suffer if the recipient performs the § 604.20 Effect of an advisory opinion. charter service in question, and how (a) An advisory opinion represents the public interest will be served by the formal position of FTA on a mat- avoiding or ameliorating the lost busi- ter, and except as provided in § 604.25 of ness opportunity. A registered charter this subpart, obligates the agency to provider must distinguish its loss from follow it until it is amended or re- that of other registered charter pro- voked. viders in the geographic service area. (b) An advisory opinion may be used (2) A detailed description of the ef- in administrative or court proceedings forts made to notify the recipient of to illustrate acceptable and unaccept- the potential violation of the charter able procedures or standards, but not service regulations. Include names, ti- as a legal requirement and is limited to tles, phone numbers or e-mail address- the factual circumstances described in es of persons contacted, date and times the request for an advisory opinion. contact was made, and the response re- The Chief Counsel’s advisory opinion ceived, if any. shall not be binding upon a Presiding (b) A request for a cease and desist Official conducting a proceeding under order may be denied if: subpart I of this part. (1) The request contains incomplete (c) A statement made or advice pro- information on which to base an in- vided by an FTA employee constitutes formed a cease and desist order; an advisory opinion only if it is issued (2) The Chief Counsel concludes that in writing under this section. A state- a cease and desist order cannot reason- ment or advice given by an FTA em- ably be given on the matter involved; ployee orally, or given in writing, but (3) The matter is adequately covered not under this section, is an informal by a prior a cease and desist order; or communication that represents the best judgment of that employee at the (4) The Chief Counsel otherwise con- time but does not constitute an advi- cludes that a cease and desist order sory opinion, does not necessarily rep- would not be in the public interest. resent the formal position of FTA, and (c) A recipient who is the subject of a does not bind or otherwise obligate or request for a cease and desist order commit the agency to the views ex- shall have three business days to re- pressed. spond to the request. The response shall include a point-by-point rebuttal § 604.21 Special considerations for ad- to the information included in the re- visory opinions. quest for a cease and desist order. Based on new facts involving signifi- (d) The time period for a response by cant financial considerations, the Chief the recipient begins once a registered Counsel may take appropriate enforce- charter provider files a request in the ment action contrary to an advisory Advisory Opinion/Cease and Desist opinion before amending or revoking Order docket (FTA–2007–0023 at http:// the opinion. This action shall be taken www.regulations.gov) or with the FTA only with the approval of the Adminis- Chief Counsel’s Office, whichever date trator. is sooner.

§ 604.22 Request for a cease and desist § 604.23 Effect of a cease and desist order. order. (a) An interested party may also re- (a) Issuance of a cease and desist quest a cease and desist order as part order against a recipient shall be con- of its request for an advisory opinion. sidered as an aggravating factor in de- A request for a cease and desist order termining the remedy to impose shall contain the following information against the recipient in future findings in addition to the information required of noncompliance with this part, if the for an advisory opinion: recipient provides the service described

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in the cease and desist order issued by (1) States the name and address of the Chief Counsel. each entity who is the subject of the (b) In determining whether to grant complaint; the request for a cease and desist order, (2) Provides a concise but complete the Chief Counsel shall consider the statement of the facts relied upon to specific facts shown in the signed, substantiate the reason why the pri- sworn request for a cease and desist vate charter operator or qualified order, applicable statutes and regula- human service organization should not tions, and any other information that be listed on the FTA charter registra- is relevant to the request. tion Web site; (3) Files electronically by submitting § 604.24 Decisions by the Chief Coun- it to the Charter Service Removal sel regarding cease and desist orders. Complaint docket number FTA–2007– 0024 at http://www.regulations.gov; (a) The Chief Counsel may grant a re- (4) Serves by e-mail or facsimile if no quest for a cease and desist order if the e-mail address is available, or by over- interested party demonstrates, by a night mail service with receipt con- preponderance of the evidence, that the firmation, and attaches documents of- planned provision of charter service by fered in support of the complaint upon a recipient would violate this part. all entities named in the complaint; (b) In determining whether to grant (5) Files within 90 days of discovering the request for a cease and desist order, facts that merit removal of the reg- the Chief Counsel shall consider the istered charter provider or qualified specific facts shown in the signed, human service organization from the sworn request for a cease and desist FTA Charter Registration Web site; order, applicable statutes, regulations, and agreements, and any other information (6) Contains the following certifi- that is relevant to the request. cation: Subpart F—Complaints I hereby certify that I have this day served the foregoing [name of document] on the § 604.25 Purpose. following persons at the following addresses and e-mail or facsimile numbers (if also This subpart describes the require- served by e-mail or facsimile) by [specify ments for filing a complaint chal- method of service]: lenging the registration of a private [list persons, addresses, and e-mail or fac- charter operator or qualified human simile numbers] service organization on the FTA char- Dated this llll day of llll, 20ll. ter registration Web site and filing a [signature], for [party]. complaint regarding the provision of (b) The registered charter provider or charter service by a recipient. Note: To qualified human service organization save time and expense for all con- shall have 15 days to answer the com- cerned, FTA expects all parties to at- plaint and shall file such answer, and tempt to resolve matters informally all supporting documentation, in the before beginning the official complaint Charter Service Removal Complaint process. docket number FTA–2007–0024 at http:// § 604.26 Complaints and decisions re- www.regulations.gov and e-mail such garding removal of private charter answer to ombuds- operators or qualified human serv- [email protected]. ice organizations from registration (c) A recipient, qualified human serv- list. ice organization, or a registered char- (a) A recipient, a registered charter ter provider, or its duly authorized rep- provider, or its duly authorized representative, shall not file a reply to the resentative, may challenge the listing answer. of a registered charter provider or (d) FTA shall determine whether to qualified human service organization remove the registered charter provider on FTA’s charter registration Web site or qualified human service organiza- by filing a complaint that meets the tion from the FTA charter registration following: Web site based on a preponderance of

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the evidence of one or more of the fol- for the alleged action(s) or omission(s) lowing: upon which the complaint is based; (1) Bad faith; (3) Provide a concise but complete (2) Fraud; statement of the facts relied upon to (3) Lapse of insurance; substantiate each allegation (com- (4) Lapse of other documentation; or plainant must show by a preponderance (5) The filing of more than one com- of the evidence that the recipient pro- plaint, which on its face, does not state vided charter service and that such a claim that warrants an investigation service did not fall within one of the or further action by FTA. exemptions or exceptions set out in (e) FTA’s determination whether or this part); not to remove a registered charter pro- (4) Describe how the complainant was vider or qualified human service orga- directly and substantially affected by nization from the registration list shall the things done or omitted by the re- be sent to the parties within 30 days of cipients; the date of the response required in (5) Identify each registered charter paragraph (b) of this section and shall provider associated with the com- state: plaint; and (1) Reasons for allowing the contin- (6) Be filed within 90 days after the ued listing or removal of the registered alleged event giving rise to the com- charter provider or qualified human plaint occurred. service organization from the registra- (c) Unless the complaint is dismissed tion list; pursuant to § 604.28 or § 604.29, FTA (2) If removal is ordered, the length shall notify the complainant, respond- of time (not to exceed three years) the ent, and state recipient, if applicable, private charter operator or qualified within 30 days after the date FTA re- human service organization shall be ceives the complaint that the com- barred from the registration list; and plaint has been docketed. Respondent (3) The date by which the private shall have 30 days from the date of charter operator or qualified human service of the FTA notification to file service organization may re-apply for an answer. registration on the FTA charter reg- (d) The complainant may file a reply istration Web site. within 20 days of the date of service of the respondent’s answer. § 604.27 Complaints, answers, replies, (e) The respondent may file a rebut- and other documents. tal within 10 days of the date of service (a) A registered charter provider, or of the reply. its duly authorized representative (f) The answer, reply, and rebuttal (‘‘complainant’’), affected by an alleged shall, like the complaint, be accom- noncompliance of this part may file a panied by the supporting documenta- complaint with the Office of the Chief tion upon which the submitter relies. Counsel. (g) The answer shall deny or admit (b) Complaints filed under this sub- the allegations made in the complaint part shall: or state that the entity filing the docu- (1) Be titled ‘‘Notice of Charter Serv- ment is without sufficient knowledge ice Complaint’’; or information to admit or deny an al- (2) State the name and address of legation, and shall assert any affirma- each recipient that is the subject of the tive defense. complaint and, with respect to each re- (h) The answer, reply, and rebuttal cipient, the specific provisions of this shall each contain a concise but com- part that the complainant believes plete statement of the facts relied upon were violated; to substantiate the answers, admis- (2) Be served in accordance with sions, denials, or averments made. § 604.31, along with all documents then (i) The respondent’s answer may in- available in the exercise of reasonable clude a motion to dismiss the com- diligence, offered in support of the plaint, or any portion thereof, with a complaint, upon all recipients named supporting memorandum of points and in the complaint as being responsible authorities.

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(j) The complainant may withdraw a (2) The mailing date shown on the complaint at any time after filing by certificate of service; serving a ‘‘Notification of Withdrawal’’ (3) The date shown on the postmark on the Chief Counsel and the respond- if there is no certificate of service; or ent. (4) The mailing date shown by other evidence if there is no certificate of § 604.28 Dismissals. service and no postmark. (a) Within 20 days after the receipt of (c) E-mail or fax. A document sent by a complaint described in § 604.27, the facsimile or e-mail shall not constitute Office of the Chief Counsel shall pro- service as described in § 604.31. vide reasons for dismissing a com- (d) Number of copies. Unless otherwise plaint, or any claim in the complaint, specified, an executed original shall be with prejudice, under this section if: (1) It appears on its face to be outside filed with FTA. the jurisdiction of FTA under the Fed- (e) Form. Documents filed with FTA eral Transit Laws; shall be typewritten or legibly printed. (2) On its face it does not state a In the case of docketed proceedings, claim that warrants an investigation the document shall include a title and or further action by FTA; or the docket number, as established by (3) The complainant lacks standing the Chief Counsel or Presiding Official, to file a complaint under subparts B, C, of the proceeding on the front page. or D of this part. (f) Signing of documents and other pa- (b) [Reserved] pers. The original of every document filed shall be signed by the person fil- § 604.29 Incomplete complaints. ing it or the person’s duly authorized If a complaint is not dismissed under representative. Subject to the enforce- § 604.28, but is deficient as to one or ment provisions contained in this sub- more of the requirements set forth in part, the signature shall serve as a cer- § 604.27, the Office of the Chief Counsel tification that the signer has read the may dismiss the complaint within 20 document and, based on reasonable in- days after receiving it. Dismissal shall quiry, to the best of the signer’s knowl- be without prejudice and the complain- edge, information, and belief, the docu- ant may re-file after amendment to ment is: correct the deficiency. The Chief Coun- (1) Consistent with this part; sel’s dismissal shall include the reasons (2) Warranted by existing law or that for the dismissal without prejudice. a good faith argument exists for extension, modification, or reversal of exist- § 604.30 Filing complaints. ing law; and (a) Filing address. Unless provided (3) Not interposed for any improper otherwise, the complainant shall file purpose, such as to harass or to cause the complaint with the Office of the unnecessary delay or needless increase Chief Counsel, 1200 New Jersey Ave., in the cost of the administrative proc- SE., Room E55–302, Washington, DC ess. 20590 and file it electronically in the Charter Service Complaint docket § 604.31 Service. number FTA–2007–0025 at http:// (a) Designation of person to receive www.regulations.gov or mail it to the service. The initial document filed by docket by sending the complaint to the complainant shall state on the first 1200 New Jersey Ave., SE., West Build- page of the document for all parties to ing Ground Floor, Room W12–140, Washington, DC 20590. be served: (b) Date and method of filing. Filing of (1) The title of the document; any document shall be by personal de- (2) The name, post office address, livery, U.S. mail, or overnight delivery telephone number; and with receipt confirmation. Unless the (3) The facsimile number, if any, and date is shown to be inaccurate, docu- e-mail address(es), if any. ments to be filed with FTA shall be If any of the above items change dur- deemed filed, on the earliest of: ing the proceeding, the person shall (1) The date of personal delivery; promptly file notice of the change with

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FTA and the Presiding Official, if ap- FTA request. Each party shall file doc- propriate, and shall serve the notice on uments that it considers sufficient to all other parties to the proceeding. present all relevant facts and argument (b) Docket numbers. Each submission necessary for FTA to determine wheth- identified as a complaint under this er the recipient is in compliance. part by the submitting party shall be (c) The Chief Counsel shall send a no- filed in the Charter Service Complaint tice to complainant(s) and respond- docket FTA–2007–0025. ent(s) once an investigation is com- (c) Who must be served. Copies of all plete, but not later than 90 days after documents filed with FTA shall be receipt of the last pleading specified in served by the entity filing them on all § 604.27 was due to FTA. parties to the proceeding. A certificate of service shall accompany all docu- § 604.33 Agency initiation of investiga- ments when they are tendered for filing tion. and shall certify concurrent service on (a) Notwithstanding any other provi- FTA and all parties. Certificates of sion under these regulations, FTA may service shall be in substantially the initiate its own investigation of any following form: matter within the applicability of this I hereby certify that I have this day served Part without having received a com- the foregoing [name of document] on the plaint. The investigation may include, following persons at the following address- without limitation, any of the actions es and e-mail or facsimile numbers (if also described in § 604.32. served by e-mail or facsimile) by [specify (b) Following the initiation of an in- method of service]: [list persons, addresses, and e-mail or fac- vestigation under this section, FTA simile numbers] sends a notice to the entities subject to Dated this llll day of llll, 20ll. investigation. The notice will set forth [signature], for [party] the areas of FTA’s concern and the reasons; request a response to the notice (d) Method of service. Except as other- within 30 days of the date of service; wise provided in § 604.26, or agreed by and inform the respondent that FTA the parties and the Presiding Official, will, in its discretion, invite good faith as appropriate, the method of service is efforts to resolve the matter. personal delivery or U.S. mail. (c) If the matters addressed in the (e) Presumption of service. There shall FTA notice are not resolved infor- be a presumption of lawful service: mally, the Chief Counsel may refer the (1) When acknowledgment of receipt matter to a Presiding Official. is by a person who customarily or in the ordinary course of business receives mail at the address of the party Subpart H—Decisions by FTA and or of the person designated under this Appointment of a Presiding section; or Official (PO) (2) When a properly addressed envelope, sent to the last known address § 604.34 Chief Counsel decisions and has been returned as undeliverable, un- appointment of a PO. claimed, or refused. (a) After receiving a complaint consistent with § 604.27, and conducting an Subpart G—Investigations investigation, the Chief Counsel may: (1) Issue a decision based on the § 604.32 Investigation of complaint. pleadings filed to date; (a) If, based on the pleadings, there (2) Appoint a PO to review the mat- appears to be a reasonable basis for inter; or vestigation, FTA shall investigate the (3) Dismiss the complaint pursuant subject matter of the complaint. to § 604.28. (b) The investigation may include a (b) If the Chief Counsel appoints a PO review of written submissions or plead- to review the matter, the Chief Counsel ings of the parties, as supplemented by shall send out a hearing order that sets any informal investigation FTA con- forth the following: siders necessary and by additional in- (1) The allegations in the complaint, formation furnished by the parties at or notice of investigation, and the

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chronology and results of the inves- (h) Hold conferences to settle or to tigation preliminary to the hearing; simplify the issues by consent of the (2) The relevant statutory, judicial, parties; regulatory, and other authorities; (i) Dispose of procedural motions and (3) The issues to be decided; requests; (4) Such rules of procedure as may be (j) Examine witnesses; and necessary to supplement the provisions (k) Make findings of fact and conclu- of this Part; sions of law and issue a recommended (5) The name and address of the PO, decision. and the assignment of authority to the PO to conduct the hearing in accord- § 604.37 Appearances, parties, and ance with the procedures set forth in rights of parties. this Part; and (a) Any party to the hearing may ap- (6) The date by which the PO is di- pear and be heard in person and any rected to issue a recommended deci- party to the hearing may be accom- sion. panied, represented, or advised by an § 604.35 Separation of functions. attorney licensed by a State, the Dis- trict of Columbia, or a territory of the (a) Proceedings under this part shall United States to practice law or appear be handled by an FTA attorney, except before the courts of that State or terri- that the Chief Counsel may appoint a tory, or by another duly authorized PO, who may not be an FTA attorney. representative. An attorney, or other (b) After issuance of an initial deci- duly authorized representative, who sion by the Chief Counsel, the FTA em- represents a party shall file according ployee or contractor engaged in the to the filing and service procedures performance of investigative or pros- contained in § 604.30 and § 604.31. ecutorial functions in a proceeding under this part shall not, in that case (b) The parties to the hearing are the or a factually related case, participate respondent(s) named in the hearing or give advice in a final decision by the order, the complainant(s), and FTA, as Administrator or his or her designee on represented by the PO. written appeal, and shall not, except as (c) The parties to the hearing may counsel or as witness in the public pro- agree to extend for a reasonable period ceedings, engage in any substantive of time the time for filing a document communication regarding that case or under this part. If the parties agree, a related case with the Administrator the PO shall grant one extension of on written appeal. time to each party. The party seeking the extension of time shall submit a draft order to the PO to be signed by Subpart I—Hearings. the PO and filed with the hearing dock- § 604.36 Powers of a PO. et. The PO may grant additional oral requests for an extension of time where A PO may: the parties agree to the extension. (a) Give notice of, and hold, pre-hear- (d) An extension of time granted by ing conferences and hearings; the PO for any reason extends the due (b) Administer oaths and affirma- date for the PO’s recommended deci- tions; sion and for the final agency decision (c) Issue notices of deposition re- by the length of time in the PO’s ex- quested by the parties; tension. (d) Limit the frequency and extent of discovery; § 604.38 Discovery. (e) Rule on offers of proof; (f) Receive relevant and material evi- (a) Permissible forms of discovery dence; shall be within the discretion of the (g) Regulate the course of the hear- PO. ing in accordance with the rules of this (b) The PO shall limit the frequency part to avoid unnecessary and duplica- and extent of discovery permitted by tive proceedings in the interest of this section if a party shows that: prompt and fair resolution of the mat- (1) The information requested is cu- ters at issue; mulative or repetitious;

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(2) The information requested may be put to them. Each question propounded obtained from another less burdensome shall be recorded and the answers of and more convenient source; the witness transcribed verbatim. The (3) The party requesting the informa- written transcript shall be subscribed tion has had ample opportunity to ob- by the witness, unless the parties by tain the information through other dis- stipulation waive the signing, or the covery methods permitted under this witness is ill, cannot be found, or re- section; or fuses to sign. The reporter shall note (4) The method or scope of discovery the reason for failure to sign. requested by the party is unduly burdensome or expensive. § 604.40 Public disclosure of evidence. § 604.39 Depositions. (a) Except as provided in this section, (a) For good cause shown, the PO the hearing shall be open to the public. may order that the testimony of a wit- (b) The PO may order that any infor- ness may be taken by deposition and mation contained in the record be that the witness produce documentary withheld from public disclosure. Any evidence in connection with such testi- person may object to disclosure of in- mony. Generally, an order to take the formation in the record by filing a deposition of a witness is entered only written motion to withhold specific in- if: formation with the PO. The person (1) The person whose deposition is to shall state specific grounds for non- be taken would be unavailable at the disclosure in the motion. hearing; (c) The PO shall grant the motion to (2) The deposition is deemed nec- withhold information from public dis- essary to perpetuate the testimony of closure if the PO determines that dis- the witness; or closure would be in violation of the (3) The taking of the deposition is Privacy Act, would reveal trade secrets necessary to prevent undue and exces- or privileged or confidential commer- sive expense to a party and will not re- cial or financial information, or is oth- sult in undue burden to other parties or erwise prohibited by law. in undue delay. (b) Any party to the hearing desiring § 604.41 Standard of proof. to take the deposition of a witness according to the terms set out in this The PO shall issue a recommended subpart, shall file a motion with the decision or shall rule in a party’s favor PO, with a copy of the motion served only if the decision or ruling is sup- on each party. The motion shall in- ported by a preponderance of the evi- clude: dence. (1) The name and residence of the witness; § 604.42 Burden of proof. (2) The time and place for the taking (a) The burden of proof of noncompli- of the proposed deposition; ance with this part, determination, or (3) The reasons why such deposition agreement issued under the authority should be taken; and of the Federal Transit Laws is on the (4) A general description of the mat- registered charter provider. ters concerning which the witness will (b) Except as otherwise provided by be asked to testify. statute or rule, the proponent of a mo- (c) If good cause is shown in the motion, request, or order has the burden tion, the PO in his or her discretion, of proof. issues an order authorizing the deposition and specifying the name of the § 604.43 Offer of proof. witness to be deposed, the location and time of the deposition and the general A party whose evidence has been ex- scope and subject matter of the testi- cluded by a ruling of the PO, during a mony to be taken. hearing in which the respondent had an (d) Witnesses whose testimony is opportunity to respond to the offer of taken by deposition shall be sworn or proof, may offer the evidence on the shall affirm before any questions are record when filing an appeal.

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§ 604.44 Record. (3) Pursue suspension and debarment of the recipient, its employees, or its (a) The transcript of all testimony in contractors. the hearing, all exhibits received into (b) In determining the type and evidence, all motions, applications re- amount of remedy, the Chief Counsel quests and rulings, and all documents shall consider the following factors: included in the hearing record shall (1) The nature and circumstances of constitute the exclusive record for de- the violation; cision in the proceedings and the basis (2) The extent and gravity of the vio- for the issuance of any orders. lation (‘‘extent of deviation from regu- (b) Any interested person may exam- latory requirements’’); ine the record by entering the docket (3) The revenue earned (‘‘economic number at http://www.regulations.gov or benefit’’) by providing the charter serv- after payment of reasonable costs for ice; search and reproduction of the record. (4) The operating budget of the recipient; § 604.45 Waiver of procedures. (5) Such other matters as justice may (a) The PO shall waive such proce- require; and dural steps as all parties to the hearing (6) Whether a recipient provided serv- agree to waive before issuance of an ice described in a cease and desist order initial decision. after issuance of such order by the Chief Counsel. (b) Consent to a waiver of any proce- (c) The Chief Counsel office may dural step bars the raising of this issue mitigate the remedy when the recipi- on appeal. ent can document corrective action of (c) The parties may not by consent alleged violation. The Chief Counsel’s waive the obligation of the PO to enter decision to mitigate a remedy shall be a recommended decision on the record. determined on the basis of how much corrective action was taken by the re- § 604.46 Recommended decision by a PO. cipient and when it was taken. Sys- temic action to prevent future viola- (a) The PO shall issue a rections will be given greater consider- ommended decision based on the record ation than action simply to remedy developed during the proceeding and violations identified during FTA’s in- shall send the recommended decision spection or identified in a complaint. to the Chief Counsel for ratification or (d) In the event the Chief Counsel modification not later than 110 days finds a pattern of violations, the rem- after the referral from the Chief Coun- edy ordered shall bar a recipient from sel. receiving Federal transit assistance in (b) The Chief Counsel shall ratify or an amount that the Chief Counsel con- modify the PO’s recommended decision siders appropriate. within 30 days of receiving the rec- (e) The Chief Counsel may make a de- ommended decision. The Chief Counsel cision to withhold Federal financial as- shall serve his or her decision, which is sistance in a lump sum or over a period capable of being appealed to the Ad- of time not to exceed five years. ministrator, on all parties to the proceeding. Subpart J—Appeal to Adminis- § 604.47 Remedies. trator and Final Agency Or- ders (a) If the Chief Counsel determines that a violation of this part occurred, § 604.48 Appeal from Chief Counsel de- he or she may take one or more of the cision. following actions: (a) Each party adversely affected by (1) Bar the recipient from receiving the Chief Counsel’s office decision may future Federal financial assistance file an appeal with the Administrator from FTA; within 21 days of the date of the Chief (2) Order the withholding of a reason- Counsel’s issued his or her decision. able percentage of available Federal fi- Each party may file a reply to an ap- nancial assistance; or peal within 21 days after it is served on

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the party. Filing and service of appeals their post-hearing briefs to the Chief and replies shall be by personal deliv- Counsel’s office. Briefs on review shall ery consistent with §§ 604.30 and 604.31. be filed not later than 10 days after (b) If an appeal is filed, the Adminis- service of the notice of review. Filing trator reviews the entire record and and service of briefs on review shall be issues a final agency decision based on by personal delivery consistent with the record that either accepts, rejects, § 604.30 and § 604.31. or modifies the Chief Counsel’s deci- (3) The Administrator issues a final sion within 30 days of the due date of agency decision and order within 30 the reply. If no appeal is filed, the Ad- days of the due date of the briefs on re- ministrator may take review of the view. If the Administrator finds that case on his or her own motion. If the the respondent is not in compliance Administrator finds that the respond- with this part, the final agency order ent is not in compliance with this part, shall include a statement of corrective the final agency order shall include a action, if appropriate, and identify statement of corrective action, if ap- remedies. propriate, and identify remedies. (b) If the Administrator takes review (c) If no appeal is filed, and the Ad- ministrator does not take review of the on the Administrator’s own motion, decision by the office on the Adminis- the decision of the Chief Counsel is trator’s own motion, the Chief Coun- stayed pending a final decision by the sel’s decision shall take effect as the Administrator. final agency decision and order on the twenty-first day after the actual date Subpart K—Judicial Review the Chief Counsel’s decision was issued. (d) The failure to file an appeal is § 604.50 Judicial review of a final deci- deemed a waiver of any rights to seek sion and order. judicial review of the Chief Counsel’s (a) A person may seek judicial review decision that becomes a final agency in an appropriate United States Dis- decision by operation of paragraph (c) trict Court of a final decision and order of this section. of the Administrator as provided in 5 U.S.C. 701–706. A party seeking judicial § 604.49 Administrator’s discretionary review of the Chief Counsel’s deci- review of a final decision and order sion. shall file a petition for review with the Court not later than 60 days after a (a) If the Administrator takes review final decision and order is effective. on the Administrator’s own motion, the Administrator shall issue a notice (b) The following do not constitute of review by the twenty-first day after final decisions and orders subject to ju- the actual date of the Chief Counsel’s dicial review: decision that contains the following in- (1) FTA’s decision to dismiss a com- formation: plaint as set forth in § 604.29; (1) The notice sets forth the specific (2) A recommended decision issued by findings of fact and conclusions of law a PO at the conclusion of a hearing; or in the decision subject to review by the (3) A Chief Counsel decision that be- Administrator. comes the final decision of the Admin- (2) Parties may file one brief on re- istrator because it was not appealed view to the Administrator or rely on within the stated timeframes.

APPENDIX A TO PART 604—LISTING OF HUMAN SERVICE FEDERAL FINANCIAL ASSISTANCE PROGRAMS

FEDERAL PROGRAMS PROVIDING TRANSPORTATION ASSISTANCE

1 ..... Food Stamp, Employment Food and Nutrition Service Department of Agriculture. and Training Program. 2 ..... Voluntary Public School Office of Innovation and Im- Department of Education. Choice. provement.

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FEDERAL PROGRAMS PROVIDING TRANSPORTATION ASSISTANCE—Continued 3 ..... Assistance for Education of Office of Special Education Department of Education. All Children with Disabil- and Rehabilitative Serv- ities—IDEA. ices. 4 ..... Centers for Independent Office of Special Education Department of Education. Living. and Rehabilitative Serv- ices. 5 ..... Independent Living for Office of Special Education Department of Education. Older Individuals Who and Rehabilitative Serv- Are Blind. ices. 6 ..... Independent Living State Office of Special Education Department of Education. Grants. and Rehabilitative Serv- ices. 7 ..... Supported Employment Office of Special Education Department of Education. Services for Individuals and Rehabilitative Serv- with Most Significant Dis- ices. abilities. 8 ..... Vocational Rehabilitative Office of Special Education Department of Education. Grants. and Rehabilitative Serv- ices. 9 ..... Social Service Block Grant Administration for Children Department of Health and and Families. Human Services. 10 ... Child Care and Develop- Administration for Children Department of Health and ment Fund. and Families. Human Services. 11 ... Head Start ...... Administration for Children Department of Health and and Families. Human Services. 12 ... Refugee and Entrant Assist- Administration for Children Department of Health and ance Discretionary Grants. and Families. Human Services. 13 ... Refugee and Entrant Assist- Administration for Children Department of Health and ance State Administered and Families. Human Services. Programs. 14 ... Refugee and Entrant Tar- Administration for Children Department of Health and geted Assistance. and Families. Human Services. 15 ... Refugee and Entrant Assist- Administration for Children Department of Health and ance Voluntary Agency and Families. Human Services. Programs. 16 ... State Development Disabil- Administration for Children Department of Health and ities Council and Protec- and Families. Human Services. tion & Advocacy. 17 ... Temporary Assistance to Administration for Children Department of Health and Needy Families. and Families. Human Services. 18 ... Community Services Block Administration for Children Department of Health and Grant. and Families. Human Services. 19 ... Promoting Safe and Stable Administration for Children Department of Health and Families. and Families. Human Services. 20 ... Developmental Disabilities Administration for Children Department of Health and Projects of National Sig- and Families. Human Services. nificance. 21 ... Grants for Supportive Serv- Administration on Aging ...... Department of Health and ices and Senior Centers. Human Services. 22 ... Programs for American In- Administration on Aging ...... Department of Health and dian, Alaskan Native and Human Services. Native Hawaii Elders. 23 ... Medicaid ...... Centers for Medicaid and Department of Health and Medicare. Human Services. 24 ... State Health Insurance Pro- Centers for Medicaid and Department of Health and gram. Medicare. Human Services.

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FEDERAL PROGRAMS PROVIDING TRANSPORTATION ASSISTANCE—Continued 25 ... Home and Community Base Centers for Medicaid and Department of Health and Waiver. Medicare. Human Services. 26 ... Community Health Centers Health Resources and Department of Health and Services Administration. Human Services. 27 ... Healthy Communities ...... Health Resources and Department of Health and Services Administration. Human Services. 28 ... HIV Care Formula Program Health Resources and Department of Health and Services Administration. Human Services. 29 ... Maternal and Child Health Health Resources and Department of Health and Block Grant. Services Administration. Human Services. 30 ... Rural Health Care Network Health Resources and Department of Health and Services Administration. Human Services. 31 ... Rural Health Care Outreach Health Resources and Department of Health and Program. Services Administration. Human Services. 32 ... Health Start Initiative ...... Health Resources and Department of Health and Services Administration. Human Services. 33 ... Ryan White Care Act Pro- Health Resources and Department of Health and grams. Services Administration. Human Services. 34 ... Substance Abuse Preven- Substance Abuse and Men- Department of Health and tion and Treatment Block tal Health Services Ad- Human Services. Grant. ministration. 35 ... Prevention and Texas Block Substance Abuse and Men- Department of Health and Grant. tal Health Services Ad- Human Services. ministration. 36 ... Community Development Community Planning and Department of Housing and Block Grant. Development. Urban Development. 37 ... Housing Opportunities for Community Planning and Department of Housing and Persons with AIDS. Development. Urban Development. 38 ... Supportive Housing Pro- Community Planning and Department of Housing and gram. Development. Urban Development. 39 ... Revitalization of Severely Public and Indian Housing .. Department of Housing and Distressed Public Hous- Urban Development. ing. 40 ... Indian Employment Assist- Bureau of Indian Affairs ...... Department of the Interior. ance. 41 ... Indian Employment, Train- Bureau of Indian Affairs ...... Department of the Interior. ing, and Related Services. 42 ... Black Lung Benefits ...... Employment Standards Ad- Department of Labor. ministration. 43 ... Senior Community Services Employment Standards Ad- Department of Labor. Employment Program. ministration. 44 ... Job Corps ...... Employment and Training Department of Labor. Administration. 45 ... Migrant and Seasonal Farm Employment and Training Department of Labor. Worker. Administration. 46 ... Native American Employ- Employment and Training Department of Labor. ment and Training. Administration. 47 ... Welfare to Work Grants for Employment and Training Department of Labor. Tribes. Administration. 48 ... Welfare to Work for States Employment and Training Department of Labor. and Locals. Administration. 49 ... Work Incentive Grants ...... Employment and Training Department of Labor. Administration. 50 ... Workforce Investment Act Employment and Training Department of Labor. Adult Services Program. Administration.

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FEDERAL PROGRAMS PROVIDING TRANSPORTATION ASSISTANCE—Continued 51 ... Workforce Investment Act Employment and Training Department of Labor. Adult Dislocated Worker Administration. Program. 52 ... Workforce Investment Act Employment and Training Department of Labor. Youth Activities Program. Administration. 53 ... Homeless Veterans Re- Veterans Employment & Department of Labor. integration Program. Training Service. 54 ... Veterans Employment Pro- Veterans Employment & Department of Labor. gram. Training Service. 55 ... Elderly and Persons with Federal Transit Administra- Department of Transpor- Disability. tion. tation. 56 ... New Freedom Program ...... Federal Transit Administra- Department of Transpor- tion. tation. 57 ... Job Access and Reverse Federal Transit Administra- Department of Transpor- Commute Program. tion. tation. 58 ... Non-Urbanized Area Pro- Federal Transit Administra- Department of Transpor- gram. tion. tation. 59 ... Capital Discretionary Pro- Federal Transit Administra- Department of Transpor- gram. tion. tation. 60 ... Urbanized Area Formula Federal Transit Administra- Department of Transpor- Program. tion. tation. 61 ... Automobiles and Adaptive Veterans Benefits Adminis- Department of Veterans Af- Equipment. tration. fairs. 62 ... Homeless Provider Grants Veterans Health Administra- Department of Veterans Af- tion. fairs. 63 ... Veterans Medical Care Veterans Health Administra- Department of Veterans Af- Benefits. tion. fairs. 64 ... Ticket to Work Program ...... Social Security Administra- Department of Veterans Af- tion. fairs.

APPENDIX B TO PART 604—REASONS FOR customer or fails to provide a price quote to REMOVAL the customer at least 14 business days before an event, then FTA may remove the reg- The following is guidance on the terms istered charter provider from the registra- contained in section 604.26(d) concerning rea- tion Web site, which would allow a transit sons for which FTA may remove a registered agency to step back in to provide the service charter provider or a qualified human serv- because the registered charter provider’s re- ice organization from the FTA charter reg- sponse to the email would no longer be effec- istration Web site. tive because it is not registered. Further, it would be bad faith for a reg- What is bad faith? istered charter provider to submit a quote Bad faith is the actual or constructive for charter services knowing that the price is fraud or a design to mislead or deceive an- three to four times higher because of the dis- other or a neglect or refusal to fulfill a duty tance the registered charter provider must or contractual obligation. It is not an honest travel (deadhead time). In those situations, mistake. Black’s Law Dictionary, Revised FTA may interpret such quotes as bad faith Fourth Edition, West Publishing Company, because they appear to be designed to pre- St. Paul, Minn., 1968. vent the local transit agency from providing For example, it would be bad faith for a the service. registered charter provider to respond to a On the other hand, FTA would not inter- recipient’s notification to registered charter pret an honest mistake of fact as bad faith. providers of a charter service opportunity For example, if a registered charter provider stating that it would provide the service fails to provide charter service in response to with no actual intent to perform the charter a recipient’s notification when it honestly service. It would also be bad faith if the reg- mistook the date, place or time the service istered charter provider fails to contact the was to be provided. It would not be bad faith customer or provide a quote for charter serv- if the registered charter provider responded ice within a reasonable time. Typically, if a affirmatively to the email notification sent registered charter provider fails to contact a by the public transit agency, but then later

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learned it could not perform the service and material question of fact, and based on the provided the transit agency reasonable no- undisputed facts stated in the complaint, tice of its changed circumstances. there is no violation of the charter service statute or regulation as a matter of law. What is fraud? Based on Federal Rules of Civil Procedure, Fraud is the suggestion or assertion of a Rule 56(c). fact that is not true, by one who has no rea- Examples of complaints that would not sonable ground for believing it to be true; warrant an investigation or further action the suppression of a fact by one who is bound by FTA include but are not limited to: (1) A to disclose it; one who gives information of complaint against a public transit agency other facts which are likely to mislead; or a that does not receive FTA funding; (2) a compromise made without any intention of per- plaint brought against a public transit agen- forming it. Black’s Law Dictionary, Revised cy by a private charter operator that is nei- Fourth Edition, West Publishing Company, ther a registered charter provider nor its St. Paul, Minn., 1968. duly authorized representative; (3) a com- Examples of fraud include but are not lim- plaint that gives no information as to when ited to: (1) A registered charter provider in- or where the alleged prohibited charter serv- dicates that it has a current state or Federal ice took place; or (4) a complaint filed solely safety certification when it knows that it for the purpose of harassing the public tran- does not in fact have one; (2) a broker that sit agency. owns no charter vehicles registers as a reg- [73 FR 44931, Aug. 1, 2008] istered charter provider; or (3) a qualified human service organization represents that APPENDIX C TO PART 604—FREQUENTLY its serves the needs of the elderly, persons ASKED QUESTIONS with disabilities, or lower-income individuals, but, in fact, only serves those popu- (a) Applicability (49 CFR Section 604.2) lations tangentially. (1) Q: If the requirements of the charter What is a lapse of insurance? rule are not applicable to me for a particular service I provide, do I have to report that A lapse of insurance occurs when there is service in my quarterly report? no policy of insurance is in place. This may A: No. If the service you propose to provide occur when there has been default in pay- meets one of the exemptions contained in ment of premiums on an insurance policy this section, you do not have to report the and the policy is no longer in force. In addi- service in your quarterly report. tion, no other policy of insurance has taken (2) Q: If I receive funds under 49 U.S.C. Sec- its place. Black’s Law Dictionary, Revised tions 5310, 5311, 5316, or 5317, may I provide Fourth Edition, West Publishing Company, charter service for any purpose? St. Paul, Minn., 1968. A: No. You may only provide charter serv- What is a lapse of other documentation? ice for ‘‘program purposes,’’ which is defined in this regulation as ‘‘transportation that A lapse of other documentation means for serves the needs of either human service example, but is not limited to, failure to agencies or targeted populations (elderly, in- have or loss or revocation of business li- dividuals with disabilities, and/or low in- cense, operating authority, failure to notify come individuals) * * *’’ 49 CFR Section of current company name, address, phone 604.2(e). Thus, your service only qualifies for number, email address and facsimile number, the exemption contained in this section if failure to have a current state or Federal the service is designed to serve the needs of safety certification, or failure to provide ac- targeted populations. Charter service pro- curate Federal or state motor carrier identi- vided to a group, however, that includes indi- fying number. Black’s Law Dictionary, Re- viduals who are only incidentally members vised Fourth Edition, West Publishing Com- of those targeted populations, is not ‘‘for pany, St. Paul, Minn., 1968. program purposes’’ and must meet the requirements of the rule (for example, an indi- What is a complaint that does not state a claim vidual chartering a vehicle to take his rel- that warrants an investigation or further ac- atives including elderly aunts and a cousin tion by FTA? who is a disabled veteran to a family re- A complaint is a document describing a union). specific instance that allegedly constitutes a (3) Q: If I am providing service for program violation of the charter service regulations purposes under one of the FTA programs set forth in 49 CFR 604.28. More than one listed in 604.2.(e), do the human service orga- complaint may be contained in the same nizations have to register on the FTA Char- document. A complaint does not state a ter Registration Web site? claim that warrants investigation when the A: No. Because the service is exempt from allegations made in the complaint, without the charter regulations, the organization considering any extraneous material or mat- does not have to register on the FTA Charter ter, do not raise a genuine issue as to any Registration Web site.

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(4) Q: What if there is an emergency such cannot use its privately owned equipment to as an apartment fire or tanker truck spill provide charter service? that requires an immediate evacuation, but A: No. A private provider may still provide the President, Governor, or Mayor never de- charter services even though it receives Fed- clares it as an emergency? Can a transit eral funds under one of the programs listed agency still assist in the evacuation efforts? in this section. The charter regulations only A: Yes. One part of the emergency exemp- apply to a private provider during the time tion is designed to allow transit agencies to period when it is providing public transpor- participate in emergency situations without tation services under contract with a public worrying about complying with the charter transit agency. regulations. Since transit agencies are often (9) Q: What does FTA mean by the phrase uniquely positioned to respond to such emer- ‘‘non-FTA funded activities’’? gencies, the charter regulations do not A: Non-FTA funded activities are those ac- apply. This is true whether or not the emer- tivities that are not provided under contract gency is officially declared. or other arrangement with a public transit (5) Q: Do emergency situations involve re- agency using FTA funds. quests from the Secret Service or the police (10) Q: How does a private provider know department to transport its employees? whether an activity is FTA-funded or not? A. Generally no. Transporting the Secret A: The private provider should refer to the Service or police officers for non-emergency contract with the public transit agency to preparedness or planning exercises does not understand the services that are funded with qualify for the exemption under this section. Federal dollars. In addition, if the Secret Service or the po- (11) Q: What if the service is being provided lice department requests that a transit agen- under a capital cost of contracting scenario? cy provide service when there is no imme- A: When a private operator receives FTA diate emergency, then the transit agency funds through capital cost of contracting, must comply with the charter service regula- the only expenses attributed to FTA are tions. those related to the transit service provided. (6) Q: Can a transit agency provide trans- The principle of capital cost of contracting portation to transit employees for an event is to pay for the capital portion of the pri- such as the funeral of a transit employee or vately owned assets used in public transpor- the transit agency’s annual picnic? tation (including a share of preventive main- A: Yes. These events do not fall within the tenance costs attributable to the use of the definition of charter, because while the serv- vehicle in the contracted transit service). ice is exclusive, it is not provided at the re- When a private operator uses that same pri- quest of a third party and it is not at a nego- vately owed vehicle in non-FTA funded serv- tiated price. Furthermore, a transit agency ice, such as charter service, the preventive transporting its own employees to events maintenance and capital depreciation are sponsored by the transit agency for em- not paid by FTA, so the charter rule does not ployee morale purposes or to events directly apply. related to internal employee relations such (12) Q: What if the service is provided under as a funeral of an employee, or to the transit a turn-key scenario? agency’s picnic, is paying for these services A: To the extent the private charter pro- as part of the transit agency’s own adminis- vider is standing in the shoes of the public trative overhead. transit agency, the charter rules apply. (7) Q: Is sightseeing service considered to Under a turn-key contract, where the private be charter? operator provides and operates a dedicated A: ‘‘Sightseeing’’ is a different type of transit fleet, then the private provider must service than charter service. ‘‘Sightseeing’’ abide by the charter regulations for the tran- service is regularly scheduled round trip sit part of its business. The charter rule service to see the sights, which is often ac- would not apply, however, to other aspects of companied by a narrative guide and is open that private provider’s business. FTA also to the public for a set price. Public transit recognizes that a private operator may use agencies may not provide sightseeing service vehicles in its fleet interchangeably. So long with federally funded assets or assistance be- as the operator is providing the number, cause it falls outside the definition of ‘‘pub- type, and quality of vehicles contractually lic transportation’’ under 49 U.S.C. Section required to be provided exclusively for tran- 5302(a) (10), unless FTA provides written con- sit use and is not using FTA funds to cross- currence for that service as an approved inci- subsidize private charter service, the private dental use. While, in general, ‘‘sightseeing’’ operator may manage its fleet according to service does not constitute charter service, best business practice. ‘‘sightseeing’’ service that also meets the (13) Q: Does FTA’s rule prohibit a private definition of charter service would be prohib- provider from providing charter service when ited, even as an incidental use. its privately owned vehicles are not engaged (8) Q: If a private provider receives Federal in providing public transportation? funds from one of the listed programs in this A: No. The charter rule is only applicable section, does that mean the private provider to the actual public transit service provided

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by the private operator. As stated in 49 CFR group as a whole. For example, demand re- 604.2(c), the rule does not apply to the non- sponse service that takes all of the members FTA funded activities of private charter op- of a group home on an annual excursion to a erators. The intent of this provision was to baseball game. Some sponsored trips carried isolate the impacts of the charter rule on out as part of a Coordinated Human Services private operators to those instances where Transportation Plan, such as trips for Head they stood in the shoes of a transit agency. Start, assisted living centers, or sheltered (14) Q: May a private provider use vehicles workshops may even be provided on an ex- whose acquisition was federally funded to clusive basis where clients of a particular provide private charter services? agency cannot be mixed with members of the A: It depends. A private provider, who is a general public or clients of other agencies sub-recipient or sub-grantee, when not en- for safety or other reasons specific to the gaged in providing public transit using feder- needs of the human service clients. ally funded vehicles, may provide charter (17) Q: Is it charter if a demand response services using federally funded vehicles only transit service carries a group of individuals in conformance with the charter regulations. with disabilities from a single origin to a Vehicles, whose only federal funding was for single destination on a regular basis? accessibility equipment, are not considered A: No. Daily subscription trips between a to be federally funded vehicles in this con- group living facility for persons with devel- text. In other words, vehicles, whose lifts are opmental disabilities to a sheltered work- only funded under FTA programs, may be shop where the individuals work, or weekly used in charter service. trips from the group home to a recreation (15) Q: May a public transit agency provide center is ‘‘special transportation’’ and not ‘‘seasonal service’’ (e.g., service May through considered charter service. These trips are September for the summer beach season)? regular and continuous and do not meet the A: ‘‘Seasonal service’’ that is regular and definition of charter. continuing, available to the public, and con- (18) Q: If a third party requests charter trolled by the public transit agency meets service for the exclusive use of a bus or van, the definition of public transportation and is not charter service. The service should have but the transit agency provides the service a regular schedule and be planned in the free of charge, is it charter? same manner as all the other routes, except A: No. The definition of charter service that it is run only during the periods when under 49 CFR Section 604.3(c) (1), requires a there is sufficient demand to justify public negotiated price, which implies an exchange transit service; for example, the winter ski of money. Thus, free service does not meet season or summer beach season. ‘‘Seasonal the negotiated price requirement. Transit service’’ is distinguishable from charter agencies should note, however, that a nego- service provided for a special event or func- tiated price could be the regular fixed route tion that occurs on an irregular basis or for fare or when a third party indirectly pays for a limited duration, because the seasonal the regular fare. transit service is regular and continuing and (19) Q: If a transit agency accepts a subsidy the demand for service is not triggered by an for providing shuttle service for an entire event or function. In addition, ‘‘seasonal baseball season, is that charter? service’’ is generally more than a month or A: Yes. Even though there are many base- two, and the schedule is consistent from year ball games over several months, the service to year, based on calendar or climate, rather is still to an event or function on an irreg- than being scheduled around a specific event. ular basis or for a limited duration for which a third party pays in whole or in part. In (b) Definitions (49 CFR Section 604.3) order to provide the service, a transit agency (16) Q: The definition of charter service must first provide notice to registered char- does not include demand response services, ter providers. but what happens if a group of individuals (20) Q: If a transit agency contracts with a request demand response service? third party to provide free shuttle service A: Demand response trips provide service during football games for persons with dis- from multiple origins to a single destination, abilities, is that charter? a single origin to multiple destinations, or A: Yes. Even though the service is for per- even multiple origins to multiple destina- sons with disabilities, the transit agency re- tions. These types of trips are considered de- ceives payment from a third party for an mand response transit service, not charter event or function that occurs on an irregular service, because even though a human serv- basis or for a limited duration. In order for ice agency pays for the transportation of its a transit agency to provide the service, it clients, trips are scheduled and routed for must provide notice to the list of registered the individuals in the group. Service to indi- charter providers first. viduals can be identified by vehicle routing (21) Q: What if a business park pays the that includes multiple origins, multiple des- transit agency to add an additional stop on tinations, or both, based on the needs of indi- its fixed route to include the business park, vidual members of the group, rather than the is that charter?

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A: No. The service is not to an event or tion that allows a customer to ride the tran- function and it does not occur on an irreg- sit system several times for the duration of ular basis or for a limited duration. the event, is that charter? (22) Q: What if a university pays the transit A: It depends. If the special pass costs agency to expand its regular fixed route to more than the fare for a reasonable number include stops on the campus, is that charter? of expected individual trips during the event, A: No. The service is not to an event or then the special pass represents a premium function and it does not occur on an irreg- fare. FTA will also consider whether a third ular basis or for a limited duration. party provides a subsidy for the service. (23) Q: What if a university pays the transit (29) Q: Is it a third party subsidy if a third agency to provide shuttle service that does party collects the regular fixed route fare for not connect to the transit agency’s regular the transit agency? routes, is that charter? A. Generally no. If the service provided is A: Yes. The service is provided at the re- not at the request of a third party for the ex- quest of a third party, the university, for the clusive use of a bus or van, then a third exclusive use of a bus or van by the univer- party collecting the fare would not qualify sity students and faculty for a negotiated the service as charter. But, a transit agency price. has to consider carefully whether the service (24) Q: What if the university pays the is at the request of an event planner. For ex- transit agency to provide shuttle service to ample, a group offers to make ‘‘passes’’ for football games and graduation, is that char- its organization and then later work out the ter? payment to the transit agency. The transit A: Yes. The service is to an event or func- agency can only collect the regular fare for tion that occurs on an irregular basis or for each passenger. a limited duration. As such, in order to pro- (30) Q: If the transit agency is part of the vide the service, a transit agency must pro- local government and an agency within the vide notice to the list of registered charter local government pays for service to an providers. event or function of limited duration or that (25) Q: What happens if a transit agency occurs on an irregular basis, is that charter? does not have fixed route service to deter- A: Yes. Since the agency pays for the char- mine whether the fare charged is a premium ter service, whether by direct payment or fare? transfer of funds through internal local gov- A: A transit agency should compare the ernment accounts, it represents a third proposed fare to what it might charge for a party payment for charter service. Thus, the similar trip under a demand response sce- service would meet the definition of charter nario. service under 49 CFR Section 604.3(c) (1). (26) Q: How can a transit agency tell if the (31) Q: What if an organization requests fare is ‘‘premium’’? and pays for service through an in-kind pay- A: The transit agency should analyze its ment such as paying for a new bus shelter or regular fares to determine whether the fare providing advertising, is that charter? charged is higher than its regular fare for A: Yes. The service is provided at the re- comparable services. For example, if the quest of a third party for a negotiated price, transit agency proposes to provide an ex- which would be the cost of a new bus shelter press shuttle service to football games, it or advertising. The key here is the direct should look at the regular fares charged for payment for service to an event or function. express shuttles of similar distance else- For instance, advertising that appears on where in the transit system. In addition, the buses for regular service does not make it service may be charter if the transit agency charter. charges a lower fare or no fare because of a (32) Q: Under the definition of ‘‘Govern- third party subsidy. ment Officials,’’ does the government official (27) Q: What if a transit agency charges a have to currently hold an office in govern- customer an up front special event fare that ment? includes the outbound and inbound trips, is A: Yes. In order to take advantage of the that a premium fare? Government Official exception, the indi- A: It depends. If the transit agency charges vidual must hold currently a government po- the outbound and inbound fares up front, but sition that is elected or appointed through a many customers don’t travel both directions, political process. then the fare may be premium. This would (33) Q: Does a university qualify as a not be true generally for park and ride lots, QHSO? where the customer parks his or her car, and, A: No. Most universities do not have a mis- would most likely use transit to return to sion of serving the needs of the elderly, per- the same lot. Under that scenario, the tran- sons with disabilities, or low income individ- sit agency may collect the regular outbound uals. and inbound fare up front. (34) Q: Do the Boy Scouts of America qual- (28) Q: What if a transit agency wishes to ify as a QHSO? create a special pass for an event or function A: No. The Boy Scouts of America’s mis- on an irregular basis or for a limited dura- sion is not to serve the needs of the elderly,

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persons with disabilities, or low income indi- (41) Q: Is there any particular format for viduals. quarterly reports for exceptions? (35) Q: What qualifies as indirect financial A: No. The report must contain the infor- assistance? mation required by the regulations and A: The inclusion of ‘‘indirect’’ financial as- clearly identify the exception under which sistance as part of the definition of ‘‘recipi- the transit agency performed the service. ent’’ covers ‘‘subrecipients.’’ In other words, (42) Q: May a transit agency lease its vehi- ‘‘subrecipients’’ are subject to the charter cles to one registered charter provider if regulation. FTA modified the definition of there is another registered charter provider recipient in the final rule to clarify this that can perform all of the requested service point. with private charter vehicles? A: No. A transit agency may not lease its (c) Exceptions (49 CFR Subpart B) vehicles to one registered charter provider when there is another registered charter pro- (36) Q: In order to take advantage of the vider that can perform all of the requested Government Officials exception, does a tran- service. In that case, the transit vehicles sit agency have to transport only elected or would enable the first registered charter pro- appointed government officials? vider to charge less for the service than the A: No, but there has to be at least one second registered charter provider that uses elected or appointed government official on all private charter vehicles. the trip. (43) Q: Where do I submit my reports? (37) Q: If a transit agency provides notice A: FTA has adapted its electronic grants regarding a season’s worth of service and making system, TEAM, to include charter some of the service will occur in less than 30 rule reporting. Grantees should file the re- days, does a registered charter provider have quired reports through TEAM. These reports to respond within 72 hours or 14 days? will be available to the public through FTA’s A: A transit agency should provide as charter bus service Web page at: http:// much notice as possible for service that oc- ftateamweb.fta.dot.gov/Teamweb/ curs over several months. Thus, a transit CharterRegistration/QueryCharterReport.aspx. agency should provide notice to registered State Departments of Transportation are re- charter providers more than 30 days in ad- sponsible for filing charter reports on behalf vance of the service, which would give reg- of its subrecipients that do not have access istered charter provider 14 days to respond to to TEAM. the notice. Under pressure to begin the service sooner, the transit agency could provide (d) Registration and Notification (49 CFR a separate notice for only that portion of the Subpart C) service occurring in less than 30 days. (44) Q: May a private provider register to (38) Q: Does a transit agency have to con- receive notice of charter service requests tact registered charter providers in order to from all 50 States? petition the Administrator for an event of A: Yes. A private provider may register to regional or national significance? receive notice from all 50 States; however, a A: Yes. A petition for an event of regional private provider should only register for or national significance must demonstrate those states for which it can realistically that not only has the public transit agency originate service. contacted registered charter providers, but (45) Q: May a registered charter provider also demonstrate how the transit agency will select which portions of the service it would include registered charter providers in pro- like to provide? viding the service to the event of regional or A: No. A registered charter provider may national significance. not ‘‘cherry pick’’ the service described in (39) Q: Where does a transit agency have to the notice. In other words, if the e-mail noti- file its petition? fication describes service for an entire foot- A: A transit agency must file the petition ball season, then a registered charter pro- with the ombudsman at ombuds- vider that responds to the notice indicating [email protected]. FTA will file all it can provide only a couple of weekends of petitions in the Petitions to the Adminis- service would be non-responsive to the e- trator docket (FTA–2007–0022) at http:// mail notice. Public transit agencies may, www.regulations.gov. however, include several individual charter (40) Q: What qualifies as a unique and time events in the e-mail notification. Under sensitive event? those circumstances, a registered charter A: In order to petition the Administrator provider may select from those individual for a discretionary exception, a public tran- events to provide service. sit agency must demonstrate that the event (46) Q: May a transit agency include infor- is unique or that circumstances are such mation on ‘‘special requests’’ from the cus- that there is not enough time to check with tomer in the notice to registered charter registered charter providers. Events that providers? occur on an annual basis are generally not A: No. A transit agency must strictly fol- considered unique or time sensitive. low the requirements of 49 CFR Section

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604.14, otherwise the notice is void. A transit A: If the transit agency received Federal agency may, however, provide a generalized funds for those park and ride lots, then the statement such as ‘‘Please do not respond to transit agency should allow a registered this notice if you are not interested or can- charter provider to use those lots upon a not perform the service in its entirety.’’ showing of an acceptable incidental use (the (47) Q: What happens if a transit agency transit agency retains satisfactory con- sends out a notice regarding charter service, tinuing control over the park and ride lot but later decides to perform the service free and the use does not interfere with the provi- of charge and without a third party subsidy? sion of public transportation) and if the reg- A: If a transit agency believes it may re- istered charter provider signs an appropriate ceive the authority to provide the service use and indemnification agreement. free of charge, with no third party subsidy, (53) Q: What if the registered charter pro- then it should send out a new e-mail notice vider does not provide quality charter serv- stating that it intends to provide the service ice to the customer? free of charge. A: If a registered charter provider does not (48) Q: What happens if a registered charter provide service to the satisfaction of the cus- provider initially indicates interest in pro- tomer, the customer may pursue a civil ac- viding the service described in a notice, but tion against the registered charter provider then later is unable to perform the service? in a court of law. If the registered charter A: If the registered charter provider acts in provider also demonstrated bad faith or good faith by providing reasonable notice to fraud, it can be removed from the FTA Char- the transit agency of its changed cir- ter Registration Web site. cumstances, and that registered charter pro- (e) Complaint & Investigation Process vider was the only one to respond to the notice, then the transit agency may step back (54) Q: May a trade association or other opin and provide the service. erators that are unable to provide requested (49) Q: What happens if a registered charter charter service have the right to file a com- provider indicates interest in providing the plaint against the transit agency? service, but then does not contact the cus- A: Yes. A registered charter operator or its tomer? duly authorized representative, which can A: A transit agency may step back in and include a trade association, may file a com- provide the service if the registered charter plaint under section 604.26(a). Under the new provider was the only one to respond affirm- rule, a private charter operator that is not atively to the notice. registered with FTA’s charter registration Web site may not file a complaint. (50) Q: What happens if a registered charter (55) Q: Is there a time limit for making provider indicates interest in providing the complaints? service, contacts the customer, and then A: Yes. Complaints must be filed within 90 fails to provide a price quote to the cus- days of the alleged unauthorized charter tomer? service. A: If the requested service is 14 days or less (56) Q: Are there examples of the likely away, a transit agency may step back in and remedies FTA may impose for a violation of provide the service if the registered charter the charter service regulations? provider was the only one to respond affirm- A: Yes. Appendix D contains a matrix of atively to the notice upon filing a complaint likely remedies that FTA may impose for a with FTA to remove the registered charter violation of the charter service regulations. provider from the FTA Charter Registration (57) Q: When a complaint is filed, who is re- Web site. If the complaint of ‘‘bad faith’’ ne- sponsible for arbitration or litigation costs? gotiations is not sustained by FTA, the tran- A: FTA will pay for the presiding official sit agency may face a penalty, as determined and the facility for the hearing, if necessary. by FTA. If the requested service is more Each party involved in the litigation is re- than 14 days away, and the transit agency sponsible for its own litigation costs. desires to step back in, then upon filing a (58) Q: What affirmative defenses might be complaint alleging ‘‘bad faith’’ negotiations available in the complaint process? that is sustained by FTA, the transit agency A: An affirmative defense to a complaint may step back in. could state the applicability of one of the ex- (51) Q: What happens if a transit agency en- ceptions such as 49 CFR Section 604.6, which tered into a contract to perform charter states that the service that was provided was service before the effective date of the final within the allowable 80 hours of government rule? official service. A: If the service described in the contract (59) Q: What can a transit agency do if it occurs after the effective date of the final believes that a registered charter provider is rule, the service must be in conformance not bargaining in good faith with a cus- with the new charter regulation. tomer? (52) Q: What if the service described in the A: If a transit agency believes that a reg- notice requires the use of park and ride lots istered charter provider is not bargaining in owned by the transit agency? good faith with the customer, the transit

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agency may file a complaint to remove the A: It depends. If a recipient receives FTA registered charter provider from FTA’s Char- funds for operating assistance or stores its ter Registration Web site. vehicles in a FTA-funded facility or receives (60) Q: Does a registered charter provider indirect FTA assistance, then the charter have to charge the same fare or rate as a regulations apply. The fact that the vehicle public transit agency? was locally funded does not make the recipi- A: No. A registered charter provider is not ent exempt from the charter regulations. If under an obligation to charge the same fare both operating and capital funds are locally or rate as public transit agency. A registered supplied, then the vehicle is not subject to charter provider, however, must charge com- the charter service regulations. mercially reasonable rates. (66) Q: What can a public transit agency do (61) Q: What actions can a private charter if there is a time sensitive event, such as a operator take when it becomes aware of a presidential inauguration, for which the transit agency’s plan to engage in charter transit agency does not have time to consult service just before the date of the charter? with all the private charter operators in its A: As soon as a registered charter provider area? becomes aware of an upcoming charter event A: 49 Section 604.11 provides a process to that it was not contacted about, then it petition the FTA Administrator for permis- should request an advisory opinion and cease sion to provide service for a unique and time and desist order. If the service has already sensitive event. A presidential inauguration, occurred, then the registered charter pro- however, is not a good example of a unique vider may file a complaint. and time sensitive event. A presidential in- (62) Q: When a registered charter provider auguration is an event with substantial ad- indicates that there are no privately owned vance planning and a transit agency should vehicles available for lease, must the public have time to contact private operators. If transit agency investigate independently the inauguration also includes ancillary whether the representation by the registered events, the public transit agency should charter provider is accurate? refer the customer to the registration list. A: No. The public transit agency is not re- (67) Q: Are body-on-van-chassis vehicles quired to investigate independently whether classified as buses or vans under the charter the registered charter provider’s representa- regulation? tion is accurate unless there is reason to sus- A: Body-on-van-chassis vehicles are treat- pect that the registered charter provider is ed as vans under the charter regulation. committing fraud. Rather, the public transit (68) Q: When a new operator registers, may agency need only confirm that the number of recipients continue under existing contrac- vehicles owned by all registered charter pro- tual agreements for charter service? viders in the geographic service area is con- A: Yes. If the contract was signed before sistent with the registered charter provider’s the new private operator registered, the ar- representation. rangement can continue for up to 90 days. (63) Q: How will FTA determine the remedy During that 90 day period, however, the pub- for a violation of the charter regulations? lic transit agency must enter into an agree- A: Remedies will be based upon the facts of ment with the new registrant. If not, the the situation, including but not limited to, transit agency must terminate the existing the extent of deviation from the regulations agreement for all registered charter pro- and the economic benefit from providing the viders. charter service. See section 604.47 and Appen- (69) Q: Must a public transit agency con- dix D for more details. tinue to serve as the lead for events of re- (64) Q: Can multiple violations in a single gional or national significance, if after con- finding stemming from a single complaint sultation with all registered charter pro- constitute a pattern of violations? viders, registered charter providers have A: Yes. A pattern of violations is defined as enough vehicles to provide all of the service more than one finding of unauthorized char- to the event? ter service under this part by FTA beginning A. No. If after consultation with registered with the most recent finding of unauthorized charter providers, there is no need for the charter service and looking back over a pe- public transit vehicles, then the public tran- riod not to exceed 72 months. While a single sit agency may decline to serve as the lead complaint may contain several allegations, and allow the registered charter providers to the complaint must allege more than a sin- work directly with event organizers. Alter- gle event that included unauthorized charter natively, the public transit entity may re- service in order to establish a pattern of vio- tain the lead and continue to coordinate lations. with event organizers and registered charter providers. (f) Miscellaneous (70) Q: What happens if a customer specifi- (65) Q: If a grantee operates assets that are cally requests a trolley from a transit agen- locally funded are such assets subject to the cy and there are no registered charter pro- charter regulations? viders that have a trolley?

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A: FTA views trolleys as buses. Thus, all vider may notify the customer and the tran- the privately owned buses must be engaged sit agency that it is no longer interested in in service and unavailable before a transit providing the requested charter service. At agency may lease its trolley. Alternatively, that point, the transit agency may make the the transit agency could enter into an agree- decision to step back in to provide the serv- ment with all registered charter providers in ice. its geographic service area to allow it to pro- (73) Q: What happens after a registered vide trolley charter services. charter provider submits a quote for charter (71) Q: How does a transit agency enter services to a customer? Does the transit into an agreement with all registered char- agency have to review the quote? ter providers in its geographic service area? A: Once a registered charter provider re- A: A public transit agency should send an sponds affirmatively to an email notification email notice to all registered charter pro- and provides the customer a commercially viders of its intent to provide charter serv- reasonable quote, then the transit agency ice. A registered charter provider must re- may not step back in to perform the service. spond to the email notice either affirma- A transit agency is not responsible for re- tively or negatively. The transit agency viewing the quote submitted by a registered should also indicate in the email notification charter provider. FTA recommends that a that failure to respond to the email notice registered charter provider include in the results in concurrence with the notification. quote an expiration date for the offer. (72) Q: Can a registered charter provider re- [73 FR 44931, Aug. 1, 2008] scind its affirmative response to an email notification? APPENDIX D TO PART 604—TABLE OF A: Yes. If after further consideration or a POTENTIAL REMEDIES change in circumstances for the registered charter provider, a registered charter pro- Remedy Assessment Matrix:

FTA’s Remedy Policy (6) Whether a recipient provided service described in a cease and desist order after — This remedy policy applies to decisions by issuance of such order by the Chief Counsel. the Chief Counsel, Presiding Officials, and final determinations by the Administrator. [73 FR 44935, Aug. 1, 2008; 73 FR 46554, Aug. 11, — Remedy calculation is based on the fol- 2008] lowing elements: (1) The nature and circumstances of the PART 605—SCHOOL BUS violation; (2) The extent and gravity of the violation OPERATIONS (‘‘extent of deviation from regulatory requirements’’); Subpart A—General (3) The revenue earned (‘‘economic benefit’’) by providing the charter service; Sec. (4) The operating budget of the recipient; 605.1 Purpose. (5) Such other matters as justice may re- 605.2 Scope. quire; and 605.3 Definitions.

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605.4 Public hearing requirement. the Federal Mass Transit Act, and is not limited to grants for the purchase Subpart B—School Bus Agreements of buses as is section 164(b). 605.10 Purpose. (b) By the terms of section 3(g) no 605.11 Exemptions. Federal financial assistance may be 605.12 Use of project equipment. provided for the construction or oper- 605.13 Tripper service. ation of facilities and equipment for 605.14 Agreement. 605.15 Content of agreement. use in providing public mass transpor- 605.16 Notice. tation service to an applicant unless 605.17 Certification in lieu of notice. the applicant and the Administrator 605.18 Comments by private school bus oper- enter into an agreement that the appli- ators. cant will not engage in school bus oper- 605.19 Approval of school bus operations. ations exclusively for the transpor- Subpart C—Modification of Prior Agree- tation of students and school per- ments and Amendment of Application sonnel, in competition with private for Assistance school bus operators. 605.20 Modification of prior agreements. § 605.2 Scope. 605.21 Amendment of applications for assistance. These regulations apply to all recipients of financial assistance for the con- Subpart D—Complaint Procedures and struction or operation of facilities and Remedies equipment for use in providing mass 605.30 Filing a complaint. transportation under: (a) The Federal 605.31 Notification to the respondent. Mass Transit Act of 1964, as amended 605.32 Accumulation of evidentiary mate- (49 U.S.C. 1601 et seq.); (b) 23 U.S.C. 142 rial. (a) and (c); and 23 U.S.C. 103 (e)(4). 605.33 Adjudication. 605.34 Remedy where there has been a viola- § 605.3 Definitions. tion of the agreement. 605.35 Judicial review. (a) Except as otherwise provided, terms defined in the Federal Mass Subpart E—Reporting and Records Transit Act of 1964, as amended (49 605.40 Reports and information. U.S.C. 1604, 1608) are used in this part as so defined. APPENDIX A TO PART 605 (b) For purposes of this part— AUTHORITY: Federal Mass Transit Act of The Acts means the Federal Mass 1964, as amended (49 U.S.C. 1601 et seq.); 23 U.S.C. 103(e)(4); 23 U.S.C. 142 (a) and (c); and Transit Act of 1964, as amended (49 49 CFR 1.51. U.S.C. 1601 et seq.); 23 U.S.C. 142 (a) and (c); and 23 U.S.C. 103(e)(4). SOURCE: 41 FR 14128, Apr. 1, 1976, unless otherwise noted. Administrator means the Federal Mass Transit Administrator or his designee. Subpart A—General Adequate transportation means transportation for students and school per- § 605.1 Purpose. sonnel which the Administrator deter- (a) The purpose of this part is to pre- mines conforms to applicable safety scribe policies and procedures to imple- laws; is on time; poses a minimum of ment section 109(a) of the National discipline problems; is not subject to Mass Transportation Assistance Act of fluctuating rates; and is operated effi- 1974 (Pub. L. 93–503; November 26, 1974; ciently and in harmony with state edu- 88 Stat. 1565). Section 109(a) adds a new cational goals and programs. section 3(g) to the Federal Mass Tran- Agreement means a contractual agree- sit Act of 1964, as amended (49 U.S.C. ment required under section 3(g) of the 1602(g)) and differs from section 164(b) Federal Mass Transit Act of 1964, as of the Federal-Aid Highway Act of 1973 amended (49 U.S.C. 1602(g)). (49 U.S.C. 1602a(b)) in that section 3(g) Applicant means applicant for assist- applies to all grants for the construc- ance under the Acts. tion or operation of mass transpor- Assistance means Federal financial tation facilities and equipment under assistance for the purchase of buses

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and the construction or operation of fa- Urban area means the entire area in cilities and equipment for use in pro- which a local public body is authorized viding mass transportation services by appropriate local, State and Federal under the Acts, but does not include re- law to provide regularly scheduled search, development and demonstra- mass transportation service. This in- tion projects funded under the Acts. cludes all areas which are either: (a) Grant contract means the contract be- Within an ‘‘urbanized area’’ as defined tween the Government and the grantee and fixed in accordance with 23 CFR which states the terms and conditions part 470, subpart B; or (b) within an for assistance under the Acts. ‘‘urban area’’ or other built-up place as Government means the Government of determined by the Secretary under sec- the United States of America. tion 12(c)(4) of the Federal Mass Tran- Grantee means a recipient of assist- sit Act of 1964, as amended (49 U.S.C. ance under the Acts. 1608(c)(4)). Incidental means the transportation of school students, personnel and § 605.4 Public hearing requirement. equipment in charter bus operations Each applicant who engages or wish- during off peak hours which does not es to engage in school bus operations interfere with regularly scheduled shall afford an adequate opportunity service to the public (as defined in the for the public to consider such oper- Opinion of the Comptroller General of ations at the time the applicant con- the United States, B160204, December 7, ducts public hearings to consider the 1966, which is attached as appendix A of economic, social or environmental ef- this part). fects of its requested Federal financial Interested party means an individual, assistance under section 3(d) of the partnership, corporation, association Federal Mass Transit Act of 1964, as or public or private organization that amended (49 U.S.C. 1602(d)). has a financial interest which is adversely affected by the act or acts of a Subpart B—School Bus grantee with respect to school bus op- Agreements erations. Reasonable Rates means rates found § 605.10 Purpose. by the Administration to be fair and The purpose of this subpart is to for- equitable taking into consideration the mulate procedures for the development local conditions which surround the of an agreement concerning school bus area where the rate is in question. operations. School bus operations means transportation by bus exclusively for school § 605.11 Exemptions. students, personnel and equipment in A grantee or applicant may not en- Type I and Type II school vehicles as gage in school bus operations in com- defined in Highway Safety Program petition with private school bus opera- Standard No. 17. tors unless it demonstrates to the sat- Tripper service means regularly sched- isfaction of the Administrator as fol- uled mass transportation service which lows: is open to the public, and which is de- (a) That it operates a school system signed or modified to accommodate the in its urban area and also operates a needs of school students and personnel, separate and exclusive school bus pro- using various fare collections or sub- gram for that school system; or sidy systems. Buses used in tripper (b) That private school bus operators service must be clearly marked as open in the urban area are unable to provide to the public and may not carry des- adequate transportation, at a reason- ignations such as ‘‘school bus’’ or able rate, and in conformance with ap- ‘‘school special’’. These buses may stop plicable safety standards; or only at a grantee or operator’s regular (c) That it is a state or local public service stop. All routes traveled by body or agency thereof (or a direct tripper buses must be within a grant- predecessor in interest which has ac- ee’s or operator’s regular route service quired the function of so transporting as indicated in their published route schoolchildren and personnel along schedules. with facilities to be used therefor) who

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was so engaged in school bus oper- (2) The grantee agrees that it will not ations: engage in any practice which con- (1) In the case of a grant involving stitutes a means of avoiding the re- the purchase of buses—anytime during quirements of this agreement, part 605 the 12-month period immediately prior of the Federal Mass Transit Regula- to August 13, 1973. tions, or section 164(b) of the Federal- (2) In the case of a grant for con- Aid Highway Act of 1973 (49 U.S.C. struction or operating of facilities and 1602a(b)). equipment made pursuant to the FT (b) Every grantee who obtains au- Act as amended (49 U.S.C. 1601 et seq.), thorization from the Administrator to anytime during the 12-month period engage in school bus operations under immediately prior to November 26, § 605.11 of this part shall, as a condition 1974. of assistance, enter into a written agreement required by § 605.14 of this § 605.12 Use of project equipment. part which contains the following pro- No grantee or operator of project visions: equipment shall engage in school bus (1) The grantee agrees that neither it operations using buses, facilities or nor any operator of project equipment equipment funded under the Acts. A will engage in school bus operations in grantee or operator may, however, use competition with private school bus such buses, facilities and equipment for operators except as provided herein. the transportation of school students, (2) The grantee, or any operator of personnel and equipment in incidental project equipment, agrees to promptly charter bus operations. Such use of notify the Administrator of any project equipment is subject to part 604 changes in its operations which might of Federal Mass Transit Regulations. jeopardize the continuation of an exemption under § 605.11. § 605.13 Tripper service. (3) The grantee agrees that it will not engage in any practice which con- The prohibition against the use of stitutes a means of avoiding the re- buses, facilities and equipment funded quirements of this agreement, part 605 under the Acts shall not apply to trip- of the Federal Transit Administration per service. regulations or section 164(b) of the Fed- eral-Aid Highway Act of 1973 (49 U.S.C. § 605.14 Agreement. 1602a(b)). Except as provided in § 605.11 no as- (4) The grantee agrees that the sistance shall be provided under the project facilities and equipment shall Acts unless the applicant and the Ad- be used for the provision of mass trans- ministrator shall have first entered portation services within its urban into a written agreement that the ap- area and that any other use of project plicant will not engage in school bus facilities and equipment will be inci- operations exclusively for the transpor- dental to and shall not interfere with tation of students and school personnel the use of such facilities and equip- in competition with private school bus ment in mass transportation service to operators. the public.

§ 605.15 Content of agreement. § 605.16 Notice. (a) Every grantee who is not author- (a) Each applicant who engages or ized by the Administrator under § 605.11 wishes to engage in school bus oper- of this part to engage in school bus op- ations shall include the following in its erations shall, as a condition of assist- application: ance, enter into a written agreement (1) A statement that it has provided required by § 605.14 which shall contain written notice to all private school bus the following provisions: operators operating in the urban area (1) The grantee and any operator of of its application for assistance and its project equipment agrees that it will proposed or existing school bus oper- not engage in school bus operations in ations; competition with private school bus (2) A statement that it has published operators. in a newspaper of general circulation in

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its urban area a notice of its applica- the Administrator together with the tion and its proposed or existing school transcript of this public hearing. bus operations; (b) The notice required by paragraphs § 605.19 Approval of school bus oper- (a) (1) and (2) of this section shall in- ations. clude the following information: (a) The Administrator will consider (1) A description of the area to be the comments filed by private school served by the applicant. bus operators prior to making any find- (2) An estimation of the number of ings regarding the applicant’s proposed each type of bus which will be em- or existing school bus operations. ployed on the proposed school bus oper- (b) After a showing by the applicant ations, and the number of weekdays that it has complied with the require- those buses will be available for school ments of 49 U.S.C. 1602(d) and this sub- bus operations. part, the Administrator may approve its school bus operations. (3) A statement of the time, date, and (c) If the Administrator finds that place of public hearings required under the applicant has not complied with section 3(d) of the Federal Mass Tran- the notice requirement of this part or sit Act of 1964, as amended (49 U.S.C. otherwise finds that the applicant’s 1602(d)), to be held on the application proposed or existing school bus oper- for assistance. ations are unacceptable, he will so no- (4) A statement setting forth reasons tify the applicant in writing, stating the applicant feels it should be allowed the reasons for his findings. to engage in school bus operations (d) Within 20 days after receiving no- under § 605.11 of this part. tice of adverse findings from the Ad- (c) Copies of the application for as- ministrator, an applicant may file sistance and notice required by para- written objections to the Administra- graph (a) of this shall be available for tor’s findings or submit a revised pro- inspection during the regular business posal for its school bus operations. If hours at the office of the applicant. an applicant revises its proposed or existing school bus operations, it shall § 605.17 Certification in lieu of notice. mail a copy of these revisions along If there are no private school bus op- with the findings of the administrator erators operating in the applicant’s to private school bus operators re- urban area, the applicant may so cer- quired to be notified under § 605.16. tify in its application in lieu of meet- (e) Private school bus operators who ing the requirements of § 605.16. This receive notice under paragraph (d) of certification shall be accompanied by a this section may within 20 days after statement that the applicant has pub- receipt of notice file written comments lished, in a newspaper of general cir- on the proposed revisions with the Ad- culation in its urban area, a notice ministrator. The Administrator will stating that it has applied for assist- consider these comments prior to his ance as provided under § 605.16(b) and approval of a proposed revision by the that it has certified that there are no applicant. private school bus operators operating (f) Upon receipt of notice of approval in its urban area. A copy of the notice of its school bus operations, the appli- as published shall be included. cant may enter into an agreement with the Administrator under § 605.14. § 605.18 Comments by private school bus operators. Subpart C—Modification of Prior Private school bus operators may file Agreements and Amendment written comments on an applicant’s of Application for Assistance proposed or existing school bus operations at the time of the public hearing § 605.20 Modification of prior agree- held pursuant to section 3(d) of the ments. Federal Mass Transit Act of 1964, as (a) Any grantee which, prior to the amended (49 U.S.C. 1602(d)). The com- adoption of this part, entered into an ments of private school bus operators agreement required by section 164(b) of must be submitted by the applicant to the Federal-Aid Highway Act of 1973 (49

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U.S.C. 1602(a)(b)), or section 3(g) of the § 605.31 Notification to the respondent. Federal Mass Transit Act of 1964, as On receipt of any complaint under amended (49 U.S.C. 1602(g)), who engages or wishes to engage in school bus § 605.30, or on his own motion if at any operations in competition with private time he shall have reason to believe school bus operators, shall seek modi- that a violation may have occurred, fication of that agreement in accord- the Administrator will provide written ance with paragraphs (b) through (d) of notification to the grantee concerned this section. (hereinafter called ‘‘the respondent’’) (b) The grantee shall develop a state- that a violation has probably occurred. ment setting forth in detail the reasons The Administrator will inform the re- it feels it should be allowed to engage spondent of the conduct which con- in school bus operations under § 605.11 stitutes a probable violation of the of this part. A copy of the statement agreement. should be provided private school bus operators who provide service in the § 605.32 Accumulation of evidentiary grantee’s urban area. material. (c) The grantee shall allow 30 days The Administrator will allow the re- for persons receiving notice under this spondent not more than 30 days to section to respond with written com- show cause, by submission of evidence, ments concerning its proposed or exist- why no violation should be deemed to ing school bus operations. have occurred. A like period shall be (d) After receiving written com- allowed to the complainant, if any, ments, the grantee shall send his pro- during which he may submit evidence posal with written comments thereon to rebut the evidence offered by the re- to the Administrator for his review spondent. The Administrator may un- under § 605.17. dertake such further investigation, as § 605.21 Amendment of applications he may deem necessary, including, in for assistance. his discretion, the holding of an evidentiary hearing or hearings. Pending applications for assistance upon which public hearings have been § 605.33 Adjudication. held pursuant to section 3(d) of the Federal Mass Transit Act of 1964, as (a) After reviewing the results of amended (49 U.S.C. 1602(d)), and appli- such investigation, including hearing cations which have been approved by transcripts, if any, and all evidence the Administrator but for which no submitted by the parties, the Adminis- grant contract has been executed, shall trator will make a written determina- be amended by the applicant to con- tion as to whether the respondent has form to this part by following the pro- engaged in school bus operations in cedures of § 605.20(b) through (d). violation of the terms of the agreement. Subpart D—Complaint Procedures (b) If the Administrator determines and Remedies that there has been a violation of the agreement, he will order such remedial § 605.30 Filing a complaint. measures as he may deem appropriate. Any interested party may file a com- (c) The determination by the Admin- plaint with the Administrator alleging istrator will include an analysis and a violation or violations of terms of an explanation of his findings. agreement entered into pursuant to § 605.14. A complaint must be in writ- § 605.34 Remedy where there has been ing, must specify in detail the action a violation of the agreement. claimed to violate the agreement, and If the Administrator determines, pur- must be accompanied by evidence suffi- suant to this subpart, that there has cient to enable the Administrator to been a violation of the terms of the make a preliminary determination as agreement, he may bar a grantee or op- to whether probable cause exists to be- erator from the receipt of further fi- lieve that a violation of the agreement nancial assistance for mass transpor- has taken place. tation facilities and equipment.

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§ 605.35 Judicial review. other real or personal property needed for an efficient and coordinated mass transpor- The determination of the Adminis- tation system.’’ In turn, ‘‘mass transpor- trator pursuant to this subpart shall be tation’’ is defined, in section 9(d)(5) of the final and conclusive on all parties, but Act, specifically to exclude charter service. shall be subject to judicial review pur- We are advised by the Department of Hous- suant to title 5 U.S.C. 701–706. ing and Urban Development (HUD) that under these provisions, the Department has limited its grants to the purchase of buses of Subpart E—Reporting and Records types suitable to meet the needs of the particular kind of urban mass transportation § 605.40 Reports and information. proposed to be furnished by the applicant.’’ The Administrator may order any HUD further advises that: grantee or operator for the grantee, to ‘‘One of the basic facts of urban mass transportation operations is that the need file special or separate reports setting for rolling stock is far greater during the forth information relating to any morning and evening rush hours on week- transportation service rendered by days than at any other time. For that rea- such grantee or operator, in addition to son, any system which has sufficient rolling any other reports required by this part. stock to meet the weekday rush-hour needs of its customers must have a substantial APPENDIX A TO PART 605 amount of equipment standing idle at other times, as well as drivers and other personnel COMPTROLLER GENERAL OF THE being paid when there is little for them to UNITED STATES, do. To relieve this inefficient and uneco- Washington, DC, December 7, 1966. nomical situation, quite a number of cities DEAR MR. WILSON: The enclosure with your have offered incidental charter service using letter of October 4, 1966, concerns the legal- this idle equipment and personnel during the ity of providing a grant under the Federal hours when the same are not needed for reg- Mass Transit Act of 1964 to the City of San ularly scheduled runs. Among the cities so Diego, (City), California. The problem in- doing are Cleveland, Pittsburgh, Alameda, volved arises in connection with the defini- Tacoma, Detroit and Dallas. tion in subsection 9(d)(5) of the Act, 49 U.S.C. ‘‘Such service contributes to the success of 1608(d)(5), excluding charter or sightseeing urban mass transportation operations by service from the term ‘‘mass transpor- bringing in additional revenues and pro- tation.’’ viding full employment to drivers and other It appears from the enclosure with your employees. It may in some cases even reduce letter that the City originally included in its the need for Federal capital grant assistance. grant application a request for funds to pur- ‘‘We do not consider that there is any vio- chase 8 buses designed for charter service. lation of either the letter or the spirit of the Subsequently the City amended its applica- Act as a result of such incidental use f buses tion by deleting a request for a portion of in charter service. To guard against abuses, the funds attributable to the charter bus every capital facilities grant contract made coaches. However, in addition to the 8 spe- by this Department contains the following cially designed charter buses initially ap- provisions: plied for, the City allegedly uses about 40 of ‘‘ ‘Sec. 4. Use of Project Facilities and Equip- its transit type buses to a substantial extent ment—The Public Body agrees that the for charter-type services. In light of these Project facilities and equipment will be used factors surrounding the application by the for the provision of mass transportation City, the enclosure requests our opinion with service within its urban area for the period regard to the legality of grants under the of the useful life of such facilities and equip- Act as it applies to certain matters (in effect ment.... The Public Body further agrees questions), which are numbered and quoted that during the useful life of the Project fa- below and answered in the order presented. cilities and equipment it will submit to HUD Number one: such financial statements and other data as ‘‘The grant of funds to a City to purchase may be deemed necessary to assure compli- buses and equipment which are intended for ance with this Section.’ ’’ substantial use in the general charter bus It is our view that grants may be made to business as well as in the Mass Transpor- a city under section 3(a) of the Act to pur- tation type business.’’ chase buses needed by the city for an effi- The Federal Mass Transit Act of 1964 does cient and coordinated mass transportation not authorize grants to assist in the pur- system, even though the city may intend to chase of buses or other equipment for any use such buses for charter use when the service other than urban mass transpor- buses are not needed on regularly scheduled tation service. Section 3(a) of the Act limits runs (i.e., for mass transportation purposes) the range of eligible facilities and equipment and would otherwise be idle. to ‘‘* * * buses and other rolling stock, and Number two:

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‘‘Whether a grant of such funds is proper if project cost shall be provided, in cash, from charter bus use is incidental to mass public sources other than Federal funds * * *.’’ transportation operations. If so, what is the It is clear from the legislative history of definition of incidental use.’’ the Act involved that the ‘‘revenues’’ to be We are advised by HUD that under its leg- considered are mass transportation system islative authority, it cannot and does not revenues including any revenues from inci- take charter service requirements into con- dental charter operations. There is nothing sideration in any way in evaluating the in the language of the Act which requires needs of a local mass transportation system HUD to take into account the status of the for buses or other equipment. general funds of an applicant city in deter- HUD further advises that: mining how much capital grant assistance to ‘‘However, as indicated above, we are of extend to that city. the opinion that any lawful use of project It should be noted that in a sense nearly equipment which does not detract from or every capital grant to a city constitutes a interfere with the urban mass transportation partial subsidy of every activity of the city service for which the equipment is needed which is supported by tax revenues, since it would be deemed an incidental use of such frees tax revenues for such other uses. equipment, and that such use of project Number four: equipment is entirely permissible under our ‘‘With specific reference to the application legislation. What uses are in fact incidental, of the City of San Diego for funds under its under this test, can be determined only on a application to the Department of Housing case-by-case basis.’’ and Urban Development dated June 2, 1966, In view of what we stated above in answer whether the Act permits a grant to purchase to the first question, the first part of ques- equipment wherein 25 percent of such equip- tion two is answered in the affirmative. ment will be used either exclusively or sub- As to the second part of the question, in stantially in the operation of charter bus Security National Insurance Co. v. Secuoyah services.’’ Marina, 246F.2d 830, ‘‘incident’’ is defined as As to the City of San Diego’s grant appli- meaning ‘‘that which appertains to some- cation, we have been advised by HUD as fol- thing else which is primary.’’ Thus, we can- lows: not say HUD’s definition of incidental use as ‘‘As explained above, the Act authorizes set forth above is unreasonable. Under the assistance only for facilities to be used in Act involved grants may be made to pur- mass transportation service. We could not, chase buses only if the buses are needed for therefore, assist San Diego in purchasing an efficient and coordinated mass transpor- any equipment to be used ‘exclusively’ in the tation system. It would appear that if buses operation of charter bus service. Further- are purchased in order to meet this need, and more, as also explained above, assisted mass are, in fact, used to meet such need, the use transportation equipment can be used only of such buses for charter service when not incidentally for such charter services. needed for mass transportation services ‘‘Whether equipment used ‘substantially’ would, in effect, be an ‘‘incidental use,’’ inso- in such service qualifies under this rule can far as pertinent here. In our opinion such in- be answered only in the light of the specifics cidental use would not violate the provisions of the San Diego situation. * * * we have al- of the 1964 Act. ready, during our preliminary review of the Number three: City’s application, disallowed about $150,000 ‘‘The grant of funds for mass public trans- of the proposed project cost which was allo- portation purposes to a City which has ex- cated to the purchase of eight charter-type pressed an intent to engage in the general buses. charter bus business when such funds would ‘‘The final application of the City of San in effect constitute a subsidy to the City of Diego is presently under active consideration its intended charter bus operations; i.e. free- by this Department. In particular, we have ing Municipal funds with which to purchase requested the City to furnish additional in- charter bus equipment.’’ formation as to the nature and extent of the Section 4(a) of the 1954 Act (49 U.S.C. proposed use, if any, of project facilities and 1603(a)) provides, in part, as follows: equipment in charter service, so that we can ‘‘* * * The Administrator (now Secretary), further evaluate the application under the on the basis of engineering studies, studies of criteria above set forth. We have also re- economic feasibility, and data showing the quested similar information from Mr. nature and extent of expected utilization of Fredrick J. Ruane, who has filed a tax- the facilities and equipment, shall estimate payers’ suit (Superior Court for San Diego what portion of the cost of a project to be as- County Civil #297329) against the City, con- sisted under section 1602 of this title cannot testing its authority to engage in charter be reasonably financed from revenues— bus operations.’’ which portion shall hereinafter be called ‘net As indicated above, it is clear that under project cost’. The Federal grant for such a the Act in question grants may not legally project shall not exceed two-thirds of the net be made to purchase buses to be used ‘‘ex- project cost. The remainder of the net clusively’’ in the operation of charter bus

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service. However, in view of the purposes of § 609.3 Definitions. the Act involved it is our opinion that a city which has purchased with grant funds buses As used herein: needed for an efficient mass transportation Elderly and handicapped persons system, is not precluded by the act from means those individuals who, by reason using such buses for charter service during of illness, injury, age, congenital mal- idle or off-peak periods when the buses are function, or other permanent or tem- not needed for regularly scheduled runs. As porary incapacity or disability, includ- indicated above, such a use would appear to ing those who are nonambulatory be an incidental use. The fourth question is answered accord- wheelchair-bound and those with semi- ingly. ambulatory capabilities, are unable As requested, the correspondence enclosed without special facilities or special with your letter is returned herewith. planning or design to utilize mass Sincerely yours, transportation facilities and services as effectively as persons who are not so FRANK H. WEITZEL, Assistant Comptroller General affected. of the United States. § 609.5 Applicability. Enclosures: The Honorable Bob Wilson, House of Rep- This part, which applies to projects resentatives. approved by the Federal Transit Ad- ministrator on or after May 31, 1976, MARCH 29, 1976. applies to all planning, capital, and op- INFLATIONARY IMPACT STATEMENT erating assistance projects receiving Federal financial assistance under sec- FINAL REGULATIONS ON SCHOOL BUS tions 5307 or 5308 of the Federal transit OPERATIONS laws (49 U.S.C. Chapter 53), and non- I certify that, in accordance with Execu- highway public mass transportation tive Order 11821, dated November 27, 1974, and projects receiving Federal financial as- Departmental implementing instructions, an sistance under: (1) Subsection (a) or (c) Inflationary Impact Statement is not required for final regulations on School Bus of section 142 of title 23, United States Operations. Code; and (2) paragraph (4) of subsection (e) of section 103, title 23, ROBERT E. PATRICELLI, United States Code. However, under Federal Mass Transit certain circumstances evident in Administrator. §§ 609.13 through 609.21, the latter sections apply to fixed facilities and vehi- PART 609—TRANSPORTATION FOR cles included in projects approved be- ELDERLY AND HANDICAPPED fore May 31, 1976. Sections in this part PERSONS on capital assistance applications, fixed facilities, and vehicles apply ex- Sec. pressly to capital assistance projects 609.1 Purpose. receiving Federal financial assistance 609.3 Definitions. under any of the above statutes. 609.5 Applicability. 609.23 Reduced fare. [41 FR 18239, Apr. 30, 1976, as amended at 61 FR 19562, May 2, 1996] APPENDIX A TO PART 609—ELDERLY AND HANDICAPPED § 609.23 Reduced fare. AUTHORITY: 49 U.S.C. 5307(d) and 5308(b); 23 Applicants for financial assistance U.S.C. 134, 135 and 142; 29 U.S.C. 794; 49 CFR under section 5307 of the Federal tran- 1.51. sit laws (49 U.S.C. Chapter 53), must, as SOURCE: 41 FR 18239, Apr. 30, 1976, unless a condition to receiving such assist- otherwise noted. ance, give satisfactory assurances, in such manner and form as may be re- § 609.1 Purpose. quired by the Federal Transit Adminis- The purpose of this part is to estab- trator and in accordance with such lish formally the requirements of the terms and conditions as the Federal Federal Transit Administration (FTA) Transit Administrator may prescribe, on transportation for elderly and that the rates charged elderly and handicapped persons. handicapped persons during non-peak

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hours for transportation utilizing or 2. Question: Can the eligibility of temporary involving the facilities and equipment handicaps be restricted on the basis of their of the project financed with assistance duration? Answer: Handicaps of less than 90 days du- under this section will not exceed one- ration may be excluded. Handicaps of more half of the rates generally applicable to than 90 days duration must be included. other persons at peak hours, whether 3. Question: Can the definition of handicap the operation of such facilities and be limited in any way? equipment is by the applicant or is by Answer: FTA has allowed applicants to ex- another entity under lease or other- clude some conditions which appear to meet the functional definition of handicap pro- wise. vided in section 5302(a)(5) of the Federal [41 FR 18239, Apr. 30, 1976, as amended at 61 transit laws (49 U.S.C. Chapter 53). These in- FR 19562, May 2, 1996] clude pregnancy, obesity, drug or alcohol addiction, and certain conditions which do not fall under the statutory definition (e.g., loss APPENDIX A TO PART 609—ELDERLY AND of a finger, some chronic heart or lung condi- HANDICAPPED tions, controlled epilepsy, etc.). Individuals may also be excluded whose handicap in- The definitions of the term elderly and volves a contagious disease or poses a danger handicapped as applied under FTA’s elderly to the individual or other passengers. Other and handicapped half-fare program (49 CFR exceptions should be reviewed on a case-by- part 609) shall apply to this rule. This per- case basis. mits a broader class of handicapped persons 4. Question: Is blindness considered a handi- to take advantage of the exception than cap under Section 5(m)? would be permitted under the more restric- Answer: Yes. tive definition applied to the non-discrimina- 5. Question: Is deafness considered a handi- tion provisions of the Department’s section cap under section 5(m)? 504 program (49 CFR 27.5), which includes Answer: As a rule, no, because deafness, es- only handicapped persons otherwise unable pecially on buses, is not considered a dis- to use the recipient’s bus service for the gen- ability which requires special planning, fa- eral public. cilities, or design. However, deafness is rec- Accordingly, for the purposes of this part, ognized as a handicap in the Department of the definition of elderly persons may be deter- Transportation’s ADA regulation, and appli- mined by the FTA recipient but must, at a cants for Section 5 assistance are encouraged minimum, include all persons 65 years of age to include the deaf as eligible for off-peak or over. half-fares. Similarly, the definition of handicapped 6. Question: Is mental illness considered a persons is derived from the existing regula- handicap under section 5(m)? tions at 49 CFR 609.3 which provide that Answer: As a rule, no, because of the dif- Handicapped persons means those individuals ficulty in establishing criteria or guidelines who, by reason of illness, injury, age, con- for defining eligibility. However, FTA en- genital malfunction, or other permanent or courages applicants to provide the broadest temporary incapacity or disability, includ- possible coverage in defining eligible handi- ing those who are nonambulatory wheel- caps, including mental illness. chair-bound and those with semi-ambulatory 7. Question: Can operators delegate the re- capabilities, are unable without special fa- sponsibility for certifying individuals as eli- cilities or special planning or design to uti- gible to other agencies? Answer: Yes, provided that such agencies lize mass transportation facilities and serv- administer the certification of individuals in ices as effectively as persons who are not so an acceptable manner and are reasonably ac- affected. cessible to the elderly and handicapped. To assist in understanding how the defini- Many operators currently make extensive tions might be applied to administration of use of social service agencies (both public the charter rule, the following questions and and private) to identify and certify eligible answers previously published by FTA for the individuals. half-fare program in FTA C 9060.1, April 20, 8. Question: Can operators require elderly 1978, are reproduced: and handicapped individuals to be recognized 1. Question: Can the definition of elderly or by any existing agency (e.g., require that handicapped be restricted on the basis of handicapped persons be receiving Social residency, citizenship, income, employment Service or Veterans’ Administration bene- status, or the ability to operate an auto- fits)? mobile? Answer: Recognition by such agencies is Answer: No. Section 5(m) is applicable to commonly used to certify eligible individ- elderly and handicapped persons. It is FTA’s uals. However, such recognition should not policy that such categorical exceptions are be a mandatory prerequisite for eligibility. not permitted under the Act. For example, many persons with eligible

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temporary handicaps may not be recognized way systems or extensions to existing as handicapped by social service agencies. systems (‘‘new starts’’). Also, this part 9. Question: Can the operator require that prescribes the procedures used by FTA elderly and handicapped persons come to a central office to register for an off-peak half- to evaluate proposed new starts fare program? projects as required by 49 U.S.C. Answer: FTA strongly encourages opera- 5309(e), and the scheduling of project tors to develop procedures which maximize reviews required by 49 U.S.C. 5328(a). the availability of off-peak half-fares to eli- (b) This part defines how the results gible individuals. Requiring individuals to travel to a single office which may be incon- of the evaluation described in para- veniently located is not consistent with this graph (a) of this section will be used to: policy, although it is not strictly prohibited. (1) Approve entry into preliminary FTA reserves the right to review such local engineering and final design, as re- requirements on a case-by-case basis. quired by 49 U.S.C. 309(e)(6); 10. Question: Must ID cards issued by one operator be transferable to another? (2) Rate projects as ‘‘highly rec- Answer: No. However, FTA encourages con- ommended,’’ ‘‘recommended,’’ or ‘‘not sistency among off-peak procedures and the recommended,’’ as required by 49 maximizing of availability to eligible indi- U.S.C. 5309(e)(6); viduals, especially among operators within a (3) Assign individual ratings for each single urban area. Nevertheless, each oper- of the project justification criteria ator is permitted to require its own certification of individuals using its service. specified in 49 U.S.C. 5309(e)(1)(B) and 11. Question: Can an operator require an el- (C); derly or handicapped person to submit to a (4) Determine project eligibility for procedure certifying their eligibility before Federal funding commitments, in the they can receive half-fare? For example, if form of Full Funding Grant Agree- an operator requires eligible individuals to have a special ID card, can the half-fare be ments; denied to an individual who can otherwise (5) Support funding recommendations give proof of age, etc, but does not have an for this program for the Administra- ID card? tion’s annual budget request; and Answer: Yes, although FTA does not en- (6) Fulfill the reporting requirements dorse this practice. under 49 U.S.C. 5309(o)(1), Funding Lev- [53 FR 53356, Dec. 30, 1988. Redesignated and els and Allocations of Funds, Annual amended at 61 FR 19562, May 2, 1996] Report, and 5309(o)(2), Supplemental Report on New Starts. PART 611—MAJOR CAPITAL (c) The information collected and INVESTMENT PROJECTS ratings developed under this part will form the basis for the annual reports to Sec. Congress, required by 49 U.S.C. 611.1 Purpose and contents. 611.3 Applicability. 5309(o)(1) and (2). 611.5 Definitions. 611.7 Relation to planning and project de- § 611.3 Applicability. velopment processes. (a) This part applies to all proposals 611.9 Project justification criteria for grants and loans for fixed guideway sys- for Federal capital investment funds tems. under 49 U.S.C. 5309 for new transit 611.11 Local financial commitment criteria. fixed guideway systems and extensions 611.13 Overall project ratings. to existing systems. APPENDIX A TO PART 611—DESCRIPTION OF (b) Projects described in paragraph MEASURES FOR PROJECT EVALUATION. (a) of this section are not subject to AUTHORITY: 49 U.S.C. 5309; 49 CFR 1.51 evaluation under this part if the total

SOURCE: 65 FR 76880, Dec. 7, 2000, unless amount of funding from 49 U.S.C. 5309 otherwise noted. will be less than $25 million, or if such projects are otherwise exempt from § 611.1 Purpose and contents. evaluation by statute. (a) This part prescribes the process (1) Exempt projects must still be that applicants must follow to be con- rated by FTA for purposes of entering sidered eligible for capital investment into a Federal funding commitment as grants and loans for new fixed guide-

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required by 49 U.S.C. 5309(e)(7). Spon- duce bus travel time, improve service sors who believe their projects to be ex- reliability, increase the convenience of empt are nonetheless strongly encour- users, and ultimately, increase bus rid- aged to submit data for project evalua- ership. tion as described in this part. Extension to existing fixed-guideway (2) Such projects are still subject to system means a project to extend an ex- the requirements of 23 CFR part 450 isting fixed guideway system. and 23 CFR part 771. FFGA means a Full Funding Grant (3) This part does not apply to Agreement. projects for which a Full Funding Final Design is the final phase of Grant Agreement (FFGA) has already project development, and includes (but been executed. is not limited to) the preparation of (c) Consistent with 49 U.S.C. final construction plans (including con- 5309(e)(8)(B), FTA will make project ap- struction management plans), detailed proval decisions on proposed projects specifications, construction cost esti- using expedited procedures as appro- mates, and bid documents. priate, for proposed projects that are: Fixed guideway system means a mass (1) Located in a nonattainment area; (2) Transportation control measures transportation facility which utilizes as defined by the Clean Air Act (42 and occupies a separate right-of-way, U.S.C. 7401 et seq.); and or rail line, for the exclusive use of (3) Required to carry out a State Im- mass transportation and other high oc- plementation Plan. cupancy vehicles, or uses a fixed cat- enary system and a right of way usable § 611.5 Definitions. by other forms of transportation. This includes, but is not limited to, rapid The definitions established by Titles rail, light rail, commuter rail, auto- 12 and 49 of the United States Code, the mated guideway transit, people mov- Council on Environmental Quality’s ers, ferry boat service, and fixed-guide- regulation at 40 CFR parts 1500–1508, way facilities for buses (such as bus and FHWA–FTA regulations at 23 CFR rapid transit) and other high occu- parts 450 and 771 are applicable. In ad- pancy vehicles. A new fixed guideway dition, the following definitions apply: system means a newly-constructed fixed Alternatives analysis is a corridor guideway system in a corridor or align- level analysis which evaluates all rea- ment where no such system exists. sonable mode and alignment alternatives for addressing a transportation FTA means the Federal Transit Ad- problem, and results in the adoption of ministration. a locally preferred alternative by the Full Funding Grant Agreement means appropriate State and local agencies an instrument that defines the scope of and official boards through a public a project, the Federal financial con- process. tribution, and other terms and condi- Baseline alternative is the alternative tions. against which the proposed new starts Major transit investment means any project is compared to develop project project that involves the construction justification measures. Relative to the of a new fixed guideway system or ex- no build alternative, it should include tension of an existing fixed guideway transit improvements lower in cost system for use by mass transit vehi- than the new start which result in a cles. better ratio of measures of transit mo- NEPA process means those procedures bility compared to cost than the no necessary to meet the requirements of build alternative. the National Environmental Policy Act BRT means bus rapid transit. of 1969, as amended (NEPA), at 23 CFR Bus Rapid Transit refers to coordi- part 771; the NEPA process is com- nated improvements in a transit sys- pleted when a Record of Decision tem’s infrastructure, equipment, oper- (ROD) or Finding of No Significant Im- ations, and technology that give pref- pact (FONSI) is issued. erential treatment to buses on fixed New start means a new fixed guideway guideways and urban roadways. The in- system, or an extension to an existing tention of Bus Rapid Transit is to re- fixed guideway system.

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Preliminary Engineering is the process receipt of a formal request from the by which the scope of the proposed project sponsor(s). project is finalized, estimates of (1) A proposed project can be consid- project costs, benefits and impacts are ered for advancement into preliminary refined, NEPA requirements are com- engineering only if: pleted, project management plans and (i) Alternatives analysis has been fleet management plans are further de- completed veloped, and local funding commit- (ii) The proposed project is adopted ments are put in place. as the locally preferred alternative by Secretary means the Secretary of the Metropolitan Planning Organiza- Transportation. tion into its financially constrained TEA–21 means the Transportation metropolitan transportation plan; Equity Act for the 21st Century. (iii) Project sponsors have demonstrated adequate technical capa- § 611.7 Relation to planning and bility to carry out preliminary engi- project development processes. neering for the proposed project; and All new start projects proposed for (iv) All other applicable Federal and funding assistance under 49 USC 5309 FTA program requirements have been must emerge from the metropolitan met. and Statewide planning process, con- (2) FTA’s approval will be based on sistent with 23 CFR part 450. To be eli- the results of its evaluation as de- gible for FTA capital investment fund- scribed in §§ 611.9–611.13. ing, a proposed project must be based (3) At a minimum, a proposed project on the results of alternatives analysis must receive an overall rating of ‘‘rec- and preliminary engineering. ommended’’ to be approved for entry (a) Alternatives Analysis. (1) To be eli- into preliminary engineering. gible for FTA capital investment fund- (4) This part does not in any way re- ing for a major fixed guideway transit voke prior FTA approvals to enter pre- project, local project sponsors must liminary engineering made prior to perform an alternatives analysis. February 5, 2001. (2) The alternatives analysis develops information on the benefits, costs, and (5) Projects approved to advance into impacts of alternative strategies to ad- preliminary engineering receive blan- dress a transportation problem in a ket pre-award authority to incur given corridor, leading to the adoption project costs for preliminary engineer- of a locally preferred alternative. ing activities prior to grant approval. (3) The alternative strategies evalu- (i) This pre-award authority does not ated in an alternatives analysis must constitute a commitment by FTA that include a no-build alternative, a base- future Federal funds will be approved line alternative, and an appropriate for this project. number of build alternatives. Where (ii) All Federal requirements must be project sponsors believe the no-build met prior to incurring costs in order to alternative fulfills the requirements retain eligibility of the costs for future for a baseline alternative, FTA will de- FTA grant assistance. termine whether to require a separate (c) Final Design. Consistent with 49 baseline alternative on a case-by-case USC 5309(e)(6) and 5328(a)(3), FTA will basis. approve/disapprove entry of a proposed (4) The locally preferred alternative project into final design within 120 must be selected from among the eval- days of receipt of a formal request from uated alternative strategies and for- the project sponsor(s). mally adopted and included in the met- (1) A proposed project can be consid- ropolitan planning organization’s fi- ered for advancement into final design nancially-constrained long-range re- only if: gional transportation plan. (i) The NEPA process has been com- (b) Preliminary Engineering. Con- pleted; sistent with 49 USC 5309(e)(6) and (ii) Project sponsors have dem- 5328(a)(2), FTA will approve/disapprove onstrated adequate technical capa- entry of a proposed project into pre- bility to carry out final design for the liminary engineering within 30 days of proposed project; and

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(iii) All other applicable Federal and new start. Collection of this data is an FTA program requirements have been eligible part of the proposed project for met. funding purposes. (2) FTA’s approval will be based on (6) This part does not in any way re- the results of its evaluation as de- voke prior FTA approvals to enter final scribed in Parts §§ 611.9–611.13 of this design that were made prior to Feb- Rule. ruary 5, 2001. (3) At a minimum, a proposed project (7) Projects approved to advance into must receive an overall rating of ‘‘rec- final design receive blanket pre-award ommended’’ to be approved for entry authority to incur project costs for into final design. final design activities prior to grant (4) Consistent with the Government approval. Performance and Results Act of 1993, (i) This pre-award authority does not project sponsors seeking FFGAs shall extend to right of way acquisition or submit a complete plan for collection construction, nor does it constitute a and analysis of information to identify commitment by FTA that future Fed- the impacts of the new start project eral funds will be approved for this and the accuracy of the forecasts prepared during development of the project. project. (ii) All Federal requirements must be (i) The plan shall provide for: Collec- met prior to incurring costs in order to tion of ‘‘before’’ data on the current retain eligibility of the costs for future transit system; documentation of the FTA grant assistance. ‘‘predicted’’ scope, service levels, cap- (d) Full funding grant agreements. (1) ital costs, operating costs, and rider- FTA will determine whether to execute ship of the project; collection of an FFGA based on: ‘‘after’’ data on the transit system two (i) The evaluations and ratings estab- years after opening of the new start lished by this rule; project; and analysis of the consistency (ii) The technical capability of of ‘‘predicted’’ project characteristics project sponsors to complete the pro- with the ‘‘after’’ data. posed new starts project; and (ii) The ‘‘before’’ data collection (iii) A determination by FTA that no shall obtain information on transit outstanding issues exist that could service levels and ridership patterns, interfere with successful implementa- including origins and destinations, action of the proposed new starts project. cess modes, trip purposes, and rider (2) An FFGA shall not be executed characteristics. The ‘‘after’’ data col- for a project that is not authorized for lection shall obtain analogous informa- final design and construction by Fed- tion on transit service levels and rider- eral law. ship patterns, plus information on the (3) FFGAs will be executed only for as-built scope and capital costs of the those projects which: new start project. (i) Are rated as ‘‘recommended’’ or (iii) The analysis of this information ‘‘highly recommended;’’ shall describe the impacts of the new start project on transit services and (ii) Have completed the appropriate transit ridership, evaluate the consist- steps in the project development proc- ency of ‘‘predicted’’ and actual project ess; characteristics and performance, and (iii) Meet all applicable Federal and identify sources of differences between FTA program requirements; and ‘‘predicted’’ and actual outcomes. (iv) Are ready to utilize Federal new (iv) For funding purposes, prepara- starts funds, consistent with available tion of the plan for collection and anal- program authorization. ysis of data is an eligible part of the (4) In any instance in which FTA de- proposed project. cides to provide financial assistance (5) Project sponsors shall collect data under section 5309 for construction of a on the current system, according to new start project, FTA will negotiate the plan required under § 611.7(c)(4) as an FFGA with the grantee during final approved by FTA, prior to the begin- design of that project. Pursuant to the ning of construction of the proposed terms and conditions of the FFGA:

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(i) A maximum level of Federal fi- of existing FFGAs that were issued nancial contribution under the section prior to February 5, 2001. 5309 new starts program will be fixed; (ii) The grantee will be required to § 611.9 Project justification criteria for complete construction of the project, grants and loans for fixed guideway systems. as defined, to the point of initiation of revenue operations, and to absorb any In order to approve a grant or loan additional costs incurred or neces- for a proposed new starts project under sitated; 49 U.S.C. 5309, and to approve entry (iii) FTA and the grantee will estab- into preliminary engineering and final lish a schedule for anticipating Federal design as required by section 5309(e)(6), contributions during the final design FTA must find that the proposed and construction period; and project is justified as described in sec- (iv) Specific annual contributions tion 5309(e)(1)(B). under the FFGA will be subject to the (a) To make the statutory evalua- availability of budget authority and tions and assign ratings for project jus- the ability of the grantee to use the tification, FTA will evaluate informa- funds effectively. tion developed locally through alter- (5) The total amount of Federal obli- natives analyses and refined through gations under Full Funding Grant preliminary engineering and final de- Agreements and potential obligations sign. under Letters of Intent will not exceed (1) The method used to make this de- the amount authorized for new starts termination will be a multiple measure under 49 U.S.C. § 5309. approach in which the merits of can- (6) FTA may also make a ‘‘contin- didate projects will be evaluated in gent commitment,’’ which is subject to terms of each of the criteria specified future congressional authorizations by this section. and appropriations, pursuant to 49 (2) The measures for these criteria U.S.C. 5309(g), 5338(b), and 5338(h). are specified in Appendix A to this (7) Consistent with the Government rule. Performance and Results Act of 1993 (3) The measures will be applied to (GPRA), the FFGA will require imple- the project as it has been proposed to mentation of the data collection plan FTA for new starts funding under 49 prepared in accordance with U.S.C. 5309. § 611.7(c)(4): (4) The ratings for each of the cri- (i) Prior to the beginning of construc- teria will be expressed in terms of de- tion activities the grantee shall collect scriptive indicators, as follows: ‘‘high,’’ the ‘‘before’’ data on the existing sys- ‘‘medium-high,’’ ‘‘medium,’’ ‘‘low-me- tem, if such data has not already been dium,’’ or ‘‘low.’’ collected as part of final design, and (b) The criteria are as follows: document the predicted characteristics (1) Mobility Improvements. and performance of the project. (2) Environmental Benefits. (ii) Two years after the project opens (3) Operating Efficiencies. for revenue service, the grantee shall (4) Transportation System User Ben- collect the ‘‘after’’ data on the transit efits (Cost-Effectiveness). system and the new start project, de- (5) Existing land use, transit sup- termine the impacts of the project, portive land use policies, and future analyze the consistency of the ‘‘pre- patterns. dicted’’ performance of the project (6) Other factors. Additional factors, with the ‘‘after’’ data, and report the including but not limited to: findings and supporting data to FTA. (i) The degree to which the programs (iii) For funding purposes, collection and policies (e.g., parking policies, of the ‘‘before’’ data, collection of the etc.) are in place as assumed in the ‘‘after’’ data, and the development and forecasts, reporting of findings are eligible parts (ii) Project management capability, of the proposed project. including the technical capability of (8) This part does not in any way the grant recipient to construct the alter, revoke, or require re-evaluation project, and

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(iii) Additional factors relevant to § 611.11 Local financial commitment local and national priorities and rel- criteria. evant to the success of the project. In order to approve a grant or loan (c) In evaluating proposed new starts under 49 U.S.C. 5309, FTA must find projects under these criteria: that the proposed project is supported (1) As a candidate project proceeds by an acceptable degree of local finan- through preliminary engineering and cial commitment, as required by sec- final design, a greater degree of cer- tion 5309(e)(1)(C). The local financial tainty is expected with respect to the commitment to a proposed project will scope of the project and a greater level be evaluated according to the following of commitment is expected with re- measures: spect to land use. (a) The proposed share of project cap- (2) For the criteria under § 611.9(b)(1)– ital costs to be met using funds from (4), the proposed new start will be com- sources other than the section 5309 new pared to the baseline alternative. starts program, including both the (d) In evaluating proposed new starts non-Federal match required by Federal projects under these criteria, the fol- law and any additional capital funding lowing factors shall be considered: (‘‘overmatch’’), and the degree to (1) The direct and indirect costs of which planning and preliminary engi- relevant alternatives; neering activities have been carried (2) Factors such as congestion relief, out without funding from the section improved mobility, air pollution, noise 5309 new starts program; pollution, energy consumption, and all (b) The stability and reliability of associated ancillary and mitigation the proposed capital financing plan for costs necessary to carry out each alter- the new starts project; and native analyzed, and recognize reduc- (c) The stability and reliability of tions in local infrastructure costs the proposed operating financing plan achieved through compact land use de- to fund operation of the entire transit velopment; system as planned over a 20-year plan- (3) Existing land use, mass transpor- ning horizon. tation supportive land use policies, and (d) For each proposed project, ratings future patterns; for paragraphs (b) and (c) of this section will be reported in terms of de- (4) The degree to which the project scriptive indicators, as follows: ‘‘high,’’ increases the mobility of the mass ‘‘medium-high,’’ ‘‘medium,’’ ‘‘low-me- transportation dependent population or dium,’’ or ‘‘low.’’ For paragraph (a) of promotes economic development; this section, the percentage of Federal (5) Population density and current funding sought from 49 U.S.C. § 5309 transit ridership in the corridor; will be reported. (6) The technical capability of the (e) The summary ratings for each grant recipient to construct the measure described in this section will project; be combined into a summary rating of (7) Differences in local land, con- ‘‘high,’’ ‘‘medium-high,’’ ‘‘medium,’’ struction, and operating costs; and ‘‘low-medium,’’ or ‘‘low’’ for local fi- (8) Other factors as appropriate. nancial commitment. (e) FTA may amend the measures for these criteria, pending the results of § 611.13 Overall project ratings. ongoing studies regarding transit ben- (a) The summary ratings developed efit evaluation methods. for project justification local financial (f) The individual ratings for each of commitment (§§ 611.9 and 611.11) will the criteria described in this section form the basis for the overall rating for will be combined into a summary rat- each project. ing of ‘‘high,’’ ‘‘medium-high,’’ ‘‘me- (b) FTA will assign overall ratings of dium,’’ ‘‘low-medium,’’ or ‘‘low’’ for ‘‘highly recommended,’’ ‘‘rec- project justification. ‘‘Other factors’’ ommended,’’ and ‘‘not recommended,’’ will be considered as appropriate. as required by 49 U.S.C. 5309(e)(6), to each proposed project.

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(1) These ratings will indicate the transit benefit evaluation methods. The first overall merit of a proposed new starts four criteria listed below assess the benefits project at the time of evaluation. of a proposed new start project by comparing (2) Ratings for individual projects the project to the baseline alternative. will be updated annually for purposes Therefore, the baseline alternative must be defined so that comparisons with the new of the annual report on funding levels start project isolate the costs and benefits of and allocations of funds required by the major transit investment. At a min- section 5309(o)(1), and as required for imum, the baseline alternative must include FTA approvals to enter into prelimi- in the project corridor all reasonable cost-ef- nary engineering, final design, or fective transit improvements short of invest- FFGAs. ment in the new start project. Depending on (c) These ratings will be used to: the circumstances and through prior agree- (1) approve advancement of a pro- ment with FTA, the baseline alternative can posed project into preliminary engi- be defined appropriately in one of three ways. First, where the adopted financially neering and final design; constrained regional transportation plan in- (2) Approve projects for FFGAs; cludes within the corridor all reasonable (3) Support annual funding rec- cost-effective transit improvements short of ommendations to Congress in the an- the new start project, a no-build alternative nual report on funding levels and allo- that includes those improvements may serve cations of funds required by 49 U.S.C. as the baseline. Second, where additional 5309(o)(1); and cost-effective transit improvements can be (4) For purposes of the supplemental made beyond those provided by the adopted report on new starts, as required under plan, the baseline will add those cost-effective transit improvements. Third, where the section 5309(o)(2). proposed new start project is part of a (d) FTA will assign overall ratings multimodal alternative that includes major for proposed new starts projects based highway components, the baseline alter- on the following conditions: native will be the preferred multimodal al- (1) Projects will be rated as ‘‘rec- ternative without the new start project and ommended’’ if they receive a summary associated transit services. Prior to sub- rating of at least ‘‘medium’’ for both mittal of a request to enter preliminary en- project justification (§ 611.9) and local gineering for the new start project, grantees must obtain FTA approval of the definition financial commitment (§ 611.11); of the baseline alternative. Consistent with (2) Projects will be rated as ‘‘highly the requirement that differences between the recommended’’ if they receive a sum- new start project and the baseline alter- mary rating higher than ‘‘medium’’ for native measure only the benefits and costs of both local financial commitment and the project itself, planning factors external project justification. to the new start project and its supporting (3) Projects will be rated as ‘‘not rec- bus service must be the same for both the ommended’’ if they do not receive a baseline and new start project alternatives. summary rating of at least ‘‘medium’’ Consequently, the highway and transit networks defined for the analysis must be the for both project justification and local same outside the corridor for which the new financial commitment. start project is proposed. Further, policies affecting travel demand and travel costs, APPENDIX A TO PART 611—DESCRIPTION such as land use, transit fares and parking OF MEASURES USED FOR PROJECT costs, must be applied consistently to both EVALUATION. the baseline alternative and the new start project alternative. The fifth criterion, ‘‘ex- PROJECT JUSTIFICATION isting land use, transit supportive land use FTA will use several measures to evaluate policies, and future patterns,’’ reflects the candidate new starts projects according to importance of transit-supportive local land the criteria established by 49 U.S.C. use and related conditions and policies as an 5309(e)(1)(B). These measures have been de- indicator of ultimate project success. veloped according to the considerations iden- (a) Mobility Improvements. tified at 49 U.S.C. 5309(e)(3) (‘‘Project Jus- (1) The aggregate travel time savings in tification’’), consistent with Executive Order the forecast year anticipated from the new 12893. From time to time, FTA has published start project compared to the baseline alter- technical guidance on the application of native. This measure sums the travel time these measures, and the agency expects it savings accruing to travelers projected to will continue to do so. Moreover, FTA may use transit in the baseline alternative, trav- well choose to amend these measures, pend- elers projected to shift to transit because of ing the results of ongoing studies regarding the new start project, and non-transit users

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in the new start project who would benefit policies, and future patterns shall be rated from reduced traffic congestion. by evaluating existing conditions in the cor- (i) After September 1, 2001, FTA will em- ridor and the degree to which local land use ploy a revised measure of travel benefits ac- policies are likely to foster transit sup- cruing to travelers. portive land use, measured in terms of the (ii) The revised measure will be based on a kinds of policies in place, and the commit- multi-modal measure of perceived travel ment to these policies. The following factors times faced by all users of the transportation will form the basis for this evaluation: system. (1) Existing land use; (2) The absolute number of existing low in- (2) Impact of proposed new starts project come households located within 1⁄2-mile of on land use; boarding points associated with the proposed (3) Growth-management policies; system increment. (4) Transit-supportive corridor policies; (3) The absolute number of existing jobs (5) Supportive zoning regulations near within 1⁄2-mile of boarding points associated transit stations; with the proposed system increment. (6) Tools to implement land use policies; (b) Environmental Benefits. (7) The performance of land use policies; (1) The forecast change in criteria pollut- and ant emissions and in greenhouse gas emis- (8) Existing and planned pedestrian facili- sions, ascribable to the proposed new invest- ties, including access for persons with dis- ment, calculated in terms of annual tons for abilities. each criteria pollutant or gas (forecast year), (f) Other factors. Other factors that will be compared to the baseline alternative; considered when evaluating projects for (2) The forecast net change per year (fore- funding commitments include, but are not cast year) in the regional consumption of en- limited to: ergy, ascribable to the proposed new invest- (1) Multimodal emphasis of the locally pre- ment, expressed in British Thermal Units ferred investment strategy, including the (BTU), compared to the baseline alternative; proposed new start as one element; and (3) Current Environmental Protection (2) Environmental justice considerations Agency designations for the region’s compli- and equity issues, ance with National Ambient Air Quality (3) Opportunities for increased access to Standards. employment for low income persons, and (c) Operating Efficiencies. The forecast Welfare-to-Work initiatives; change in operating cost per passenger-mile (4) Livable Communities initiatives and (forecast year), for the entire transit system. local economic activities; The new start will be compared to the base- (5) Consideration of alternative land use line alternative. development scenarios in local evaluation (d) Transportation System User Benefits and decision making for the locally preferred (Cost-Effectiveness). transit investment decision; (1) The cost effectiveness of a proposed (6) Consideration of innovative financing, project shall be evaluated according to a procurement, and construction techniques, measure of transportation system user bene- including design-build turnkey applications; fits, based on a multimodal measure of per- and ceived travel times faced by all users of the (7) Additional factors relevant to local and transportation system, for the forecast year, national priorities and to the success of the divided by the incremental cost of the pro- project, such as Empowerment Zones, posed project. Incremental costs and benefits Brownfields, and FTA’s Bus Rapid Transit will be calculated as the differences between Demonstration Program. the proposed new start and the baseline al- LOCAL FINANCIAL COMMITMENT ternative. (2) Until the effective date of the transpor- FTA will use the following measures to tation system user benefits measure of cost evaluate the local financial commitment to effectiveness, cost effectiveness will be com- a proposed project: puted as the incremental costs of the pro- (a) The proposed share of project capital posed project divided by its incremental costs to be met using funds from sources transit ridership, as compared to the base- other than the 49 U.S.C. 5309 new starts pro- line alternative. gram, including both the local match re- (i) Costs include the forecast annualized quired by Federal law and any additional capital and annual operating costs of the en- capital funding (‘‘overmatch’’). Consider- tire transit system. ation will be given to: (ii) Ridership includes forecast total an- (i) The use of innovative financing tech- nual ridership on the entire transit system, niques, as described in the May 9, 1995, FED- excluding transfers. ERAL REGISTER notice on FTA’s Innovative Fi- (e) Existing land use, transit supportive nancing Initiative (60 FR 24682); land use policies, and future patterns. Exist- (ii) The use of ‘‘flexible funds’’ as provided ing land use, transit-supportive land use under the CMAQ and STP programs;

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(iii) The degree to which alternatives anal- Subpart A—Metropolitan Transpor- ysis and preliminary engineering activities were carried out without funding from the tation Planning and Program- § 5309 new starts program; and ming (iv) The actual percentage of the cost of recently-completed or simultaneously under- § 613.100 Metropolitan transportation taken fixed guideway systems and extensions planning and programming. that are related to the proposed project The regulations in 23 CFR 450, sub- under review, from sources other than the part C, shall be followed in complying section 5309 new starts program (FTA’s in- with the requirements of this subpart. tent is to recognize that a region’s local fi- The definitions in 23 CFR 450, subpart nancial commitment to fixed guideway sys- A, shall apply. tems and extensions may not be limited to a single project). [72 FR 7285, Feb. 14, 2007] (b) The stability and reliability of the proposed capital financing plan, according to: Subpart B—Statewide Transpor- (i) The stability, reliability, and level of tation Planning and Program- commitment of each proposed source of local match, including inter-governmental grants, ming tax sources, and debt obligations, with an emphasis on availability within the project § 613.200 Statewide transportation development timetable; planning and programming. (ii) Whether adequate provisions have been The regulations in 23 CFR 450, sub- made to cover unanticipated cost overruns part B, shall be followed in complying and funding shortfalls; and with the requirements of this subpart. (iii) Whether adequate provisions have The definitions in 23 CFR 450, subpart been made to fund the capital needs of the A, shall apply. entire transit system as planned, including key station plans as required under 49 CFR [72 FR 7285, Feb. 14, 2007] 37.47 and 37.51, over a 20-year planning horizon period. Subpart C—Coordination of Fed- (c) The stability and reliability of the pro- eral and Federally Assisted posed operating financing plan to fund operation of the entire transit system as planned Programs and Projects over a 20-year planning horizon. § 613.300 Coordination of Federal and federally assisted programs and PART 613—PLANNING ASSISTANCE projects. AND STANDARDS The coordination of Federal and federally assisted programs and projects Subpart A—Metropolitan Transportation implementing OMB revised Circular Planning and Programming No. A–95, which are set forth in 23 CFR part 420, subpart C, are incorporated Sec. into this subpart. 613.100 Metropolitan transportation planning and programming. [41 FR 33443, Aug. 9, 1976]

Subpart B—Statewide Transportation PART 614—TRANSPORTATION Planning and Programming INFRASTRUCTURE MANAGEMENT 613.200 Statewide transportation planning and programming. AUTHORITY: 23 U.S.C. 303; 49 U.S.C. 5303– 5305; and 49 CFR 1.48 and 1.51. Subpart C—Coordination of Federal and Federally Assisted Programs and Projects SOURCE: 61 FR 67175, Dec. 19, 1996, unless otherwise noted. 613.300 Coordination of Federal and federally assisted programs and projects. § 614.101 Cross-reference to management systems. AUTHORITY: 23 U.S.C. 134, 135, and 217(g); 42 U.S.C. 3334, 4233, 4332, 7410 et seq; 49 U.S.C. The regulations in 23 CFR Part 500, 5303–5306, 5323(k); and 49 CFR 1.48(b), 1.51(f) subparts A and B shall be followed in and 21.7(a). complying with the requirements of this part. Part 500, subparts A and B

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implement 23 U.S.C. 303 for State de- § 622.301 Buildings. velopment, establishment, and imple- (a) FTA assistance for the construc- mentation of systems for managing traffic congestion (CMS), public trans- tion, reconstruction, or modification of portation facilities and equipment buildings for which applications are (PTMS), intermodal transportation fa- submitted to FTA after October 1, 1980, cilities and systems (IMS), and traffic will be approved only after the comple- monitoring for highways and public tion of an energy assessment. An en- transportation facilities and equip- ergy assessment shall consist of an ment. analysis of the total energy requirements of a building, within the scope of PART 622—ENVIRONMENTAL IM- the proposed construction activity and PACT AND RELATED PROCE- at a level of detail appropriate to that DURES scope, which considers: (1) Overall design of the facility or Subpart A—Environmental Procedures modification, and alternative designs; (2) Materials and techniques used in Sec. construction or rehabilitation; 622.101 Cross-reference to procedures. (3) Special or innovative conservation features that may be used; Subpart B [Reserved] (4) Fuel requirements for heating, Subpart C—Requirements for Energy cooling, and operations essential to the Assessments function of the structure, projected over the life of the facility and includ- 622.301 Buildings. ing projected costs of this fuel; and (5) Kind of energy to be used, includ- Subpart A—Environmental ing: Procedures (i) Consideration of opportunities for using fuels other than petroleum and AUTHORITY: 42 U.S.C. 4321 et seq.; 49 U.S.C. natural gas, and 303, 5301(a) and (e), 5323(b), and 5324; 23 U.S.C. (ii) Consideration of using alter- 139 and 326; Pub. L. 109–59, 119 Stat. 1144, sec- native, renewable energy sources. tions 6002 and 6010; 40 CFR parts 1500–1508; 49 CFR 1.51. (b) Compliance with the requirements of paragraph (a) of this section § 622.101 Cross-reference to proce- shall be documented as part of the En- dures. vironmental Assessment or Environ- The procedures for complying with mental Impact Statement for projects the National Environmental Policy Act which are subject to a requirement for of 1969, as amended (42 U.S.C. 4321 et one. Projects for which there is no en- seq.), and related statutes, regulations, vironmental assessment or EIS shall and orders are set forth in part 771 of document compliance by submission of title 23 of the Code of Federal Regula- appropriate material with the applications. The procedures for complying tion for FTA assistance for actual con- with 49 U.S.C. 303, commonly known as struction. ‘‘Section 4(f),’’ are set forth in part 774 (c) The cost of undertaking and docu- of title 23 of the Code of Federal Regu- menting an energy assessment may be lations. eligible for FTA participation if the re- [73 FR 13401, Mar. 12, 2008] quirements of Federal Management Circular 74–4 (A–87) are met. Subpart B [Reserved] (d) This requirement shall not apply to projects for which the final project application or environmental assess- Subpart C—Requirements for ment have been submitted to FTA Energy Assessments prior to October 1, 1980. [45 FR 58038, Aug. 29, 1980] AUTHORITY: Sec. 403(b), Pub. L. 95–620; E.O. 12185.

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PART 624—CLEAN FUELS GRANT (c) Eligible projects are the fol- PROGRAM lowing: (1) Purchasing or leasing clean fuel Sec. buses, including buses that employ a 624.1 Eligible applicant. lightweight composite primary struc- 624.3 Eligible activities. ture, and vans for use in revenue serv- 624.5 Application process. ice. The purchase or lease of non-rev- 624.7 Certification. enue vehicles is not an eligible project. 624.9 Grant requirements. (2) Constructing or leasing clean fuel 624.11 Reporting. bus facilities or electrical recharging AUTHORITY: 49 U.S.C. 5308; 49 U.S.C. 5334(a); facilities and related equipment. Fa- 49 CFR 1.51. cilities and related equipment for clean SOURCE: 67 FR 40104, June 11, 2002, unless diesel buses are not eligible. otherwise noted. (3) At the discretion of the Adminis- trator, projects relating to clean fuel, § 624.1 Eligible applicant. biodiesel, hybrid electric, or zero emis- (a) An eligible applicant is: sions technology buses that exhibit (1) A designated recipient (designated equivalent or superior emissions reduc- recipient has the same meaning as in 49 tions to existing clean fuel or hybrid U.S.C. 5307(a)(2)); or electric technologies. (2) A recipient for an urbanized area (4) The Federal share for eligible ac- with a population of less than 200,000 tivities undertaken for the purpose of (smaller urbanized area). The State in complying with or maintaining compli- which the smaller urbanized area is lo- ance with the Clean Air Act under this cated shall act as the recipient. program shall be limited to 90 percent (b) An eligible applicant, as defined of the net (incremental) cost of the ac- in paragraph (a) of this section, shall tivity. operate in an area that is either: (i) The Administrator may exercise (1) An ozone or carbon monoxide non- discretion and determine the percent- attainment area as specified under sec- age of the Federal share for eligible action 107(d) of the Clean Air Act (42 tivities to be less than 90 percent. U.S.C. 7407(d)); or (ii) An administrative determination (2) A maintenance area for ozone or per this subsection will be published in carbon monoxide. accordance with § 624.5(a). (5) Funding for clean diesel buses [72 FR 15052, Mar. 30, 2007] shall be limited to not more than 25 § 624.3 Eligible activities. percent of the amount made available each fiscal year to carry out the pro- (a) Eligible activities include pur- gram. chasing or leasing clean fuel buses and (6) Any amount made available for constructing new or improving existing this section shall remain available to public transportation facilities to ac- an eligible activity for two years after commodate clean fuel buses. the fiscal year for which the amount is (b) The term ‘‘clean fuel vehicle’’ provided. Any amount that remains means a vehicle that— unobligated at the end of the three- (1) Is powered by— year-period shall be added to the (i) Compressed natural gas; amount made available to carry out (ii) Liquefied natural gas; the program in the following fiscal (iii) Biodiesel fuels; year. (iv) Batteries; (v) Alcohol-based fuels; [67 FR 40104, June 11, 2002, as amended at 72 (vi) Hybrid electric; FR 15053, Mar. 30, 2007] (vii) Fuel cells; (viii) Clean diesel, to the extent al- § 624.5 Application process. lowed under this section; or (a) FTA shall publish a Notice of (ix) Other low or zero emissions tech- Funding Availability in the FEDERAL nology; and REGISTER each fiscal year that funding (2) The Administrator of the Environ- is made available for the Clean Fuels mental Protection Agency has certified program. The notice shall provide the sufficiently reduces harmful emissions. criteria by which the eligible projects

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will be evaluated for selection and the (c) Satisfactory continuing control. An Administrator’s determination of the FTA grantee shall: net Federal share for projects funded (1) Maintain control over federally under this Part. funded property; (b) The Administrator shall deter- (i) Ensure that it is used in transit mine the criteria for selecting proposed service; and projects for funding, which may in- (ii) Dispose of it in accordance with clude, but are not limited to the fol- Federal requirements. lowing factors: (2) Under this paragraph (c), if the (1) Whether the proposed project is a grantee leases federally funded prop- transportation control measure in an erty to another party, the lease must approved State Implementation Plan; provide the grantee satisfactory con- (2) The benefits of the proposed tinuing control over the use of that project in reducing transportation-re- property as determined in two areas: lated pollutants; real property (land) and facilities; and (3) Consistency with the recipient’s personal property (equipment and roll- fleet management plan; ing stock, both revenue and non-rev- (4) The applicant’s ability to imple- enue). ment the project and facilities to (d) Maintenance. The grant applicant maintain and fuel the proposed vehi- shall certify annually that pursuant to cles; 49 U.S.C. 5307(d)(1)(C), it will maintain (5) The applicant’s coordination of (federally funded) facilities and equip- the proposed project with other public ment. In addition, the grantee shall transportation entities or other related keep equipment and facilities acquired projects within the applicant’s Metro- with Federal assistance in good oper- politan Planning Organization or the ating order, which includes mainte- geographic region within which the nance of rolling stock (revenue and proposed project will operate. non-revenue), machinery and equip- (6) The proposed project’s ability to ment, and facilities. support emerging clean fuels tech- (e) Rates charged elderly and persons nologies or advanced technologies for with disabilities during nonpeak hours. In transit buses. accordance with 49 U.S.C. 5307(d)(1)(D), the grant applicant shall certify that [72 FR 15053, Mar. 30, 2007] the rates charged the elderly and persons with disabilities during nonpeak § 624.7 Certification. hours for fixed-route transportation The applicant must use the certifi- using facilities and equipment financed cation contained in the Annual Notice with Federal assistance from FTA will of Assurances and Certifications pub- not exceed one-half of the rates gen- lished in the FEDERAL REGISTER each erally applicable to other persons at October. peak hours, whether the operation is by the applicant or by another entity § 624.9 Grant requirements. under lease or otherwise. A grant under this section shall be (f) Use of competitive procurements. subject to the following requirements Pursuant to 49 U.S.C. 5307(d)(1)(E), the of 49 U.S.C. 5307(d): grant applicant shall certify that it (a) General. All recipients shall main- will use competitive procurements and tain and report financial and operating will not use procurements employing information on an annual basis, as pre- exclusionary or discriminatory speci- scribed in 49 CFR part 630, and the fications. most recent National Transit Database (g) Compliance with Buy America provi- Reporting Manual. sions. The grant applicant shall certify (b) Labor standards. As a condition of that in carrying out a procurement au- financial assistance under 49 U.S.C. thorized for this program, the appli- 5308, the interests of employees af- cant will comply with applicable Buy fected by the assistance shall be pro- America laws. tected under arrangements that the (h) Certification that local funds are Secretary of Labor concludes are fair available for the project. The grant ap- and equitable. plicant shall certify that the local

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funds are or will be available to carry PART 630—NATIONAL TRANSIT out the project. DATABASE (i) Compliance with national policy concerning elderly persons and individ- Subpart A—General uals with disabilities. The grant applicant shall certify that it will comply Sec. with the requirements of 49 U.S.C. 630.1 Purpose. 630.2 Scope. 5301(d) concerning the rights of elderly 630.3 Definitions. persons and persons with disabilities. 630.4 Requirements. (j) FTA Master Agreement. The grant 630.5 Failure to report data. applicant shall comply with applicable 630.6 Late and incomplete reports. provisions of the FTA Master Agree- 630.7 Failure to respond to questions. ment which is incorporated by ref- 630.8 Questionable data items. 630.9 Notice of FTA action. erence in the grant agreement. 630.10 Waiver of reporting requirements. [72 FR 15053, Mar. 30, 2007] 630.11 Data adjustments. AUTHORITY: 49 U.S.C. 5307, 5311, 5335, and 49 § 624.11 Reporting. CFR 1.51.

(a) Recipients of financial assistance SOURCE: 72 FR 68761, Dec. 6, 2007, unless under 49 U.S.C. 5308 who purchase or otherwise noted. lease hybrid electric, battery electric and fuel cell vehicles shall report semi- § 630.1 Purpose. annually the following information to The purpose of this part is to pre- the appropriate FTA Regional Office scribe requirements and procedures for the first three years of the useful necessary for compliance with the Na- life of the vehicle: tional Transit Database Reporting Sys- (1) Vehicle miles traveled; tem and Uniform System of Accounts, (2) Fuel/energy costs; as mandated by 49 U.S.C. 5335, and to set forth the procedures for addressing (3) Vehicle fuel/energy consumption a reporting entity’s failure to comply and oil consumption; with these requirements. (4) Number of road calls or breakdowns resulting from clean fuel and ad- § 630.2 Scope. vanced propulsion technology systems, This part applies to all applicants and for, and any person that receives bene- (5) Maintenance costs associated with fits directly from, a grant under 49 the clean fuels or advanced propulsion U.S.C. 5307 or 5311. system. (b) Recipients of financial assistance § 630.3 Definitions. under 49 U.S.C. 5308 who purchase or (a) Except as otherwise provided, lease compressed natural gas (CNG), terms defined in 49 U.S.C. 5302 et seq. liquefied natural gas (LNG), and lique- apply to this part. fied petroleum gas (LPG) vehicles may (b) Except as otherwise provided, report the information described in terms defined in the current editions of paragraph (a) of this section, but this the National Transit Database Report- reporting is voluntary. ing Manuals and the NTD Uniform Sys- (c) Recipients of financial assistance tem of Accounts are used in this part under 49 U.S.C. 5308 that purchase or as so defined. lease clean diesel vehicles are not re- (c) For purposes of this part: quired to report information beyond Administrator means the Federal FTA grant reporting requirements for Transit Administrator or the Adminis- capital projects. trator’s designee. Applicant means an applicant for as- [67 FR 40104, June 11, 2002, as amended at 72 sistance under 49 U.S.C. 5307 or 5311. FR 15053, Mar. 30, 2007] Assistance means Federal financial assistance for the planning, acquisition, construction, or operation of public transportation services.

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Beneficiary means any entity that re- that are required to file an individual ceives benefits from assistance under 49 report. U.S.C. 5307 or 5311. (b) Copies. Copies of reference docu- Current edition of the National Tran- ments are available from the National sit Database Reporting Manuals and Transit Database Web site located at Uniform System of Accounts means http://www.ntdprogram.gov. These ref- the most recently issued editions of the erence documents are subject to peri- reference documents. odic revision. Revisions of reference Days mean calendar days. documents will be posted on the Na- tional Transit Database Web site and a Reference Document(s) means the cur- notice of any significant changes to the rent editions of the National Transit reporting requirements specified in Database Reporting Manuals and Uni- these reference documents will be pub- form System of Accounts. These docu- lished in the FEDERAL REGISTER. ments are subject to periodic revision. Beneficiaries and applicants are re- § 630.5 Failure to report data. sponsible for using the current editions Failure to report data in accordance of the reference documents. with this part will result in the non- Reporting entity means a transit agen- compliant reporting entity being ineli- cy, a State Department of Transpor- gible to receive any Section 5307 or 5311 tation that is a recipient of grants grants directly or indirectly until such under 49 U.S.C. 5311, or a Federally-rec- time as a report is filed in accordance ognized Indian Tribe that is a direct re- with this part. cipient of grants under 49 U.S.C. 5311. State Department of Transportation § 630.6 Late and incomplete reports. means the Department of Transpor- (a) Late reports. Each reporting entity tation of a State of the United States, shall ensure that FTA receives its re- the District of Columbia, Puerto Rico, port by the due dates prescribed in the the Northern Mariana Islands, Guam, reference documents. A reporting enti- American Samoa, or the U.S. Virgin Is- ty may request a 30 day extension to lands. submit its report. FTA will treat a fail- Transit agency means an entity pro- ure to submit the required report by viding public transportation as defined the due date or the extension date as in 49 U.S.C. 5302. failure to report data under § 630.5. (b) Incomplete reports. FTA will treat § 630.4 Requirements. an NTD submission that does not con- (a) National Transit Database Report- tain all of the required data; or does ing System. Each applicant for and ben- not contain the required certifications, eficiary of Federal financial assistance where applicable; or that is not in sub- under 49 U.S.C. 5307 or 5311 must com- stantial conformance with the defini- ply with the applicable requirements of tions, procedures, and format require- 49 U.S.C. 5335, as set forth in the ref- ments set out in the reference docu- erence documents. State Departments ments as a failure to report data under of Transportation shall provide reports § 630.5, unless the reporting entity has on behalf of their subrecipients of exhausted all possibilities for obtain- grants under 49 U.S.C. 5311 as specified ing this information. in the reference documents. Transit agencies that are beneficiaries of § 630.7 Failure to respond to questions. grants under both 49 U.S.C. 5307 and FTA will review each NTD submis- 5311 must file an individual report as sion to verify the reasonableness of the an urbanized area transit agency. Fed- data submitted. If any of the data do erally-recognized Indian Tribes that not appear reasonable, FTA will notify are direct beneficiaries of grants under the reporting entity of this fact in 49 U.S.C. 5311 must file an individual writing, and request written justifica- report. State Departments of Transpor- tion from the reporting entity to either tation should not report on behalf of document the accuracy of the ques- transit agencies that have filed indi- tioned data, or to revise the questioned vidual reports as urbanized area transit data with a more accurate submission. agencies nor on behalf of Indian Tribes Failure of a reporting entity to make a

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good-faith written response to this re- Subpart B—Project Management Oversight quest will be treated as a failure to re- Services port data under § 630.5. 633.11 Covered projects. § 630.8 Questionable data items. 633.13 Initiation of PMO services. 633.15 Access to information. FTA may enter a zero, or adjust any 633.17 PMO contractor eligibility. questionable data item(s), in any re- 633.19 Financing the PMO program. porting entity’s NTD submission that is used in computing the Section 5307 Subpart C—Project Management Plans apportionment. These adjustments 633.21 Basic requirement. may be made if any data appears to be 633.23 FTA review of PMP. inaccurate, have not been collected and 633.25 Contents of a project management reported in accordance with FTA ref- plan. erence documents, or if there is not 633.27 Implementation of a project manage- adequate documentation and a reliable ment plan. recordkeeping system. 633.29 PMP waivers. AUTHORITY: 49 U.S.C. 1601 et. seq., 1619. § 630.9 Notice of FTA action. SOURCE: 54 FR 36711, Sept. 1, 1989, unless Before taking final action under otherwise noted. §§ 630.5 or 630.8, FTA will transmit a written request to the reporting entity Subpart A—General Provisions to provide the necessary information within a specified reasonable period of § 633.1 Purpose. time. FTA will advise the reporting en- This part implements section 324 of tity of its final decision. the Surface Transportation and Uni- form Relocation Assistance Act of 1987 § 630.10 Waiver of reporting require- (Pub. L. 100–17), which added section 23 ments. to the FT Act. The part provides for a Waivers of one or more sections of two-part program for major capital the reporting requirements may be projects receiving assistance from the granted at the discretion of the Admin- agency. First, subpart B discusses istrator on a written showing that the project management oversight, de- party seeking the waiver cannot fur- signed primarily to aid FTA in its role nish the required data without unrea- of ensuring successful implementation sonable expense and inconvenience. of federally-funded projects. Second, Each waiver will be for a specified pe- subpart C discusses the project management plan (PMP) required of all riod of time. major capital projects. The PMP is de- § 630.11 Data adjustments. signed to enhance the recipient’s planning and implementation efforts and to Errors in the data used in making assist FTA’s grant application analysis the Section 5307 apportionment may be efforts. discovered after any particular year’s apportionment is completed. If so, FTA § 633.3 Scope. shall make adjustments to correct This rule applies to a recipient of these errors in a subsequent year’s ap- Federal financial assistance under- portionment to the extent feasible. taking a major capital project using funds made available under: PART 633—PROJECT (a) Sections 3, 9, or 18 of the Federal MANAGEMENT OVERSIGHT Mass Transit Act of 1964, as amended; (b) 23 U.S.C. 103(e)(4); or Subpart A—General Provisions (c) Section 14(b) of the National Cap- ital Transportation Amendments of Sec. 1979 (93 Stat. 1320, Pub. L. 96–184). 633.1 Purpose. 633.3 Scope. § 633.5 Definitions. 633.5 Definitions. As used in this part:

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Administrator means the Adminis- specifications and is efficiently and ef- trator of the Federal Transit Adminis- fectively implemented. tration or the Administrator’s des- Project management plan means a ignee. written document prepared by a recipi- Days means calendar days. ent that explicitly defines all tasks Fixed guideway means any public necessary to implement a major cap- transportation facility which utilizes ital project. and occupies a separate right-of-way or Recipient means a direct recipient of rails. This includes, but is not limited Federal financial assistance from FTA. to, rapid rail, light rail, commuter rail, FT Act means the Federal Mass Tran- automated guideway transit, people sit Act of 1964, as amended. movers, and exclusive facilities for FTA means the Federal Transit Ad- buses and other high occupancy vehi- ministration. cles. Full funding agreement means a writ- Subpart B—Project Management ten agreement between FTA and a recipient that establishes a financial Oversight Services ceiling with respect to the Govern- § 633.11 Covered projects. ment’s participation in a project; sets forth the scope of a project; and sets The Administrator may contract for forth the mutual understanding, terms, project management oversight services and conditions relating to the con- when the following two conditions struction and management of a project. apply: Major capital project means a project (a) The recipient is using funds made that: available under section 3, 9, or 18 of the (1) Involves the construction of a new Federal Mass Transit Act of 1964, as fixed guideway or extension of an exist- amended; 23 U.S.C. 103(e)(4); or section ing fixed guideway; 14(b) of the National Capital Transpor- (2) Involves the rehabilitation or tation Amendments of 1979; and modernization of an existing fixed (b) The project is a ‘‘major capital guideway with a total project cost in project’’. excess of $100 million; or (3) The Administrator determines is a § 633.13 Initiation of PMO services. major capital project because the PMO services will be initiated as project management oversight pro- soon as it is practicable, once the agen- gram will benefit specifically the agency determines this part applies. In cy or the recipient. Typically, this most cases, this means that PMO will means a project that: begin during the preliminary engineer- (i) Generally is expected to have a ing phase of the project. However, con- total project cost in excess of $100 mil- sistent with other provisions in this lion or more to construct; part, the Administrator may determine (ii) Is not exclusively for the routine that a project is a ‘‘major capital acquisition, maintenance, or rehabili- project’’ at any point during its imple- tation of vehicles or other rolling mentation. Should this occur, PMO stock; will begin as soon as practicable after (iii) Involves new technology; this agency determination. (iv) Is of a unique nature for the re- § 633.15 Access to information. cipient; or (v) Involves a recipient whose past A recipient of FTA funds for a major experience indicates to the agency the capital project shall provide the Ad- appropriateness of the extension of this ministrator and the PMO contractor program. chosen under this part access to its Project management oversight means records and construction sites, as rea- the monitoring of a major capital sonably may be required. project’s progress to determine whether a project is on time, within budget, § 633.17 PMO contractor eligibility. in conformance with design criteria, (a) Any person or entity may provide constructed to approved plans and project management oversight services

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in connection with a major capital (b)(1) FTA will notify the recipient project, with the following exceptions: when it must submit the PMP. Nor- (1) An entity may not provide PMO mally, FTA will notify the recipient services for its own project; and sometime during the grant review (2) An entity may not provide PMO process. If FTA determines the project services for a project if there exists a is major under its discretionary au- conflict of interest. thority after the grant has been ap- (b) In choosing private sector persons proved, FTA will inform the recipient or entities to provide project manage- of its determination as soon as pos- ment oversight services, FTA uses the sible. procurement requirements in the gov- (2) Once FTA has notified the recipi- ernment-wide procurement regula- ent that it must submit a plan, the re- tions, found at 48 CFR CH I. cipient will have a minimum of 90 days to submit the plan. § 633.19 Financing the PMO program. (a) FTA is authorized to expend up to § 633.23 FTA review of PMP. 1⁄2 of 1 percent of the funds made avail- Within 60 days of receipt of a project able each fiscal year under sections 3, management plan, the Administrator 9, or 18 of the FT Act, 23 U.S.C. will notify the recipient that: 103(e)(4), or section 14(b) of the Na- (a) The plan is approved; tional Capital Transportation Amend- (b) The plan is disapproved, including ments of 1979 (93 Stat. 1320) to contract the reasons for the disapproval; with any person or entity to provide a (c) The plan will require modifica- project management oversight service tion, as specified, before approval; or in connection with a major capital (d) The Administrator has not yet project as defined in this part. completed review of the plan, and state (b) A contract entered into between when it will be reviewed. FTA and a person or entity for project management oversight services under § 633.25 Contents of a project manage- this part will provide for the payment ment plan. by FTA of 100 percent of the cost of At a minimum, a recipient’s project carrying out the contract. management plan shall include— (a) A description of adequate recipi- Subpart C—Project Management ent staff organization, complete with Plans well-defined reporting relationships, statements of functional responsibil- § 633.21 Basic requirement. ities, job descriptions, and job quali- (a) If a project meets the definition fications; of major capital project, the recipient (b) A budget covering the project shall submit a project management management organization, appropriate plan prepared in accordance with consultants, property acquisition, util- § 633.25 of this part, as a condition of ity relocation, systems demonstration Federal financial assistance. As a gen- staff, audits, and such miscellaneous eral rule, the PMP must be submitted costs as the recipient may be prepared during the grant review process and is to justify; part of FTA’s grant application review. (c) A construction schedule; This section applies if: (d) A document control procedure (1) The project fails under one of the and recordkeeping system; automatic major capital investment (e) A change order procedure which project categories (§ 633.5(1) or (2) of includes a documented, systematic ap- this part); or proach to the handling of construction (2) FTA makes a determination that change orders; a project is a major capital project, (f) A description of organizational consistent with the definition of major structures, management skills, and capital project in § 633.5. This deter- staffing levels required throughout the mination normally will be made during construction phase; the grant review process. However, (g) Quality control and quality assur- FTA may make such determination ance programs which define functions, after grant approval. procedures, and responsibilities for

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construction and for system installa- PART 639—CAPITAL LEASES tion and integration of system components; Subpart A—General (h) Material testing policies and procedures; Sec. (i) Plan for internal reporting re- 639.1 General overview of this part. quirements including cost and schedule 639.3 Purpose of this part. control procedures; and 639.5 Scope of this part. (j) Criteria and procedures to be used 639.7 Definitions. for testing the operational system or its major components; Subpart B—Requirements 639.11 Lease qualification requirements. § 633.27 Implementation of a project 639.13 Eligible types of leases. management plan. 639.15 Eligible forms of grant. (a) Upon approval of a project man- 639.17 Eligible lease costs. agement plan by the Administrator the 639.19 Other Federal requirements. recipient shall begin implementing the plan. Subpart C—Cost-Effectiveness (b) If a recipient must modify an ap- 639.21 Determination of cost-effectiveness. proved project management plan, the 639.23 Calculation of purchase or construc- recipient shall submit the proposed tion cost. changes to the Administrator along 639.25 Calculation of lease cost. with an explanation of the need for the 639.27 Minimum criteria. changes. (c) A recipient shall submit periodic Subpart D—Lease Management updates of the project management plan to the Administrator. Such up- 639.31 Early lease termination or modification. dates shall include, but not be limited 639.33 Management of leased assets. to: (1) Project budget; AUTHORITY: 49 U.S.C. 5302; 49 CFR 1.51. (2) Project schedule; SOURCE: 56 FR 51794, Oct. 15, 1991, unless (3) Financing, both capital and oper- otherwise noted. ating; (4) Ridership estimates, including op- Subpart A—General erating plan; and (5) Where applicable, the status of § 639.1 General overview of this part. local efforts to enhance ridership when estimates are contingent, in part, upon This part contains the requirements the success of such efforts. to qualify for capital assistance when (d) A recipient shall submit current leasing facilities or equipment under data on a major capital project’s budg- the Federal transit laws. This part is et and schedule to the Administrator set out in four subparts, with subpart A on a monthly basis. containing general information on scope and definitions. Subpart B con- § 633.29 PMP waivers. tains the principal requirements of this part, including eligibility require- A waiver will be considered upon ini- ments, the self-certification system tiation by the grantee or by the agency used, and identification of the various itself. The Administrator may, on a forms of leases and grants that are eli- case-by-case basis, waive: gible under the program. Subpart B (a) Any of the PMP elements in also contains a section on other Fed- § 633.25 of this part if the Administrator eral requirements that may apply. Sub- determines the element is not nec- part C includes the actual calculations essary for a particular plan; or that each recipient should undertake (b) The requirement of having a new before certifying that a lease is cost-ef- project management plan submitted fective. Finally, subpart D contains re- for a major capital project if a recipi- quirements on early lease termination ent seeks to manage the major capital and project management in general. project under a previously-approved project management plan. [63 FR 68366, Dec. 10, 1998]

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§ 639.3 Purpose of this part. cludes an applicant for Federal financial assistance. This rule implements section 3003 of FT Act means the Federal Mass Tran- the Transportation Equity Act for the sit Act of 1964, as amended, 49 U.S.C. 21st Century (Pub. L. 105–178). Section 1601 et seq. 3003 amended section 5302 of Chapter 53 FTA means the Federal Transit Ad- of Title 49 of the United States Code to ministration. allow a recipient to use capital funds to finance the leasing of facilities and equipment on the condition that the Subpart B—Requirements leasing arrangements are more cost ef- § 639.11 Lease qualification require- fective than purchase or construction. ments. [63 FR 68367, Dec. 10, 1998] (a) A lease may qualify for capital assistance if it meets the following cri- § 639.5 Scope of this part. teria: This part applies to all requests for (1) The capital asset to be acquired capital assistance under Chapter 53 of by lease is otherwise eligible for cap- Title 49 of the United States Code ital assistance; where the proposed method of obtain- (2) There is or will be no existing ing a capital asset is by lease rather Federal interest in the capital asset as than purchase or construction. of the date the lease will take effect unless as determined pursuant to [63 FR 68367, Dec. 10, 1998] § 639.13(b); and (3) Lease of the capital asset is more § 639.7 Definitions. cost-effective than purchase or con- In this part: struction of the asset, as determined Applicant is included in the term under subpart C of this part. ‘‘recipient’’. (b) Once a lease has been qualified for Capital asset means facilities or capital assistance, it need not be re- equipment with a useful life of at least qualified absent an affirmative act or one year, which are eligible for capital omission by the recipient that vitiates assistance. the cost-effectiveness determination. Capital assistance means Federal financial assistance for capital projects § 639.13 Eligible types of leases. under section 9 of the FT Act. (a) General. Any leasing arrangement, Capital lease means any transaction the terms of which provide for the re- whereby the recipient acquires the cipient’s use of a capital asset, poten- right to use a capital asset without ob- tially is eligible as a capital project taining full ownership regardless of the under Chapter 53 of Title 49 of the tax status of the transaction. United States Code, regardless of the Equipment means non-expendable per- classification of the leasing arrange- sonal property. ment for tax purposes. Facilities means real property, includ- (b) Special circumstances. A recipient ing land, improvements and fixtures. may request FTA to determine the eli- Interest rate means the most advan- gibility of a certain financial arrange- tageous interest rate actually avail- ment if the recipient believes it might able to the recipient in the market. not meet the requirements of this part. Present value means the value at the (c) Lump sum lease. A recipient that time of calculation of a future pay- wishes to enter into a lease which re- ment, or series of future payments dis- quires the draw down of a single lump counted by the time value of money as sum payment at the inception of the represented by an interest rate or simi- lease (or payments in advance of the lar cost of funds. incurrence of costs) rather than peri- Recipient means an entity that re- odic payments during the life of the ceives Federal financial assistance lease must notify FTA prior to execu- from FTA, including an entity that re- tion of the lease concerning how it will ceives Federal financial assistance ensure satisfactory continuing control from FTA through a State or other of the asset for the duration of the public body. In this part, a recipient in- lease. FTA has the right to disapprove

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any arrangements where it has not (b) Any asset leased under this part been demonstrated that the recipient must be eligible for capital assistance will have control over the asset. FTA under a traditional purchase or con- may require the recipient to submit its struction grant. cost-effectiveness comparison for re- [61 FR 25090, May 17, 1996] view. (d) Pre-existing lease. A lease entered § 639.19 Other Federal requirements. into before grant approval, or before (a) A recipient of capital assistance November 14, 1991 may be eligible for for a capital lease is subject to the capital assistance for costs incurred same statutory and administrative re- after approval of such a lease by FTA quirements as a recipient who pur- under this part, if (1) The lease is otherwise eligible chases or constructs a capital asset. (b) A lessor of a capital lease is sub- under this part; (2) The recipient can demonstrate ject to the same statutory and admin- that the lease, when entered into, was istrative requirements as a direct sell- more cost effective than purchase or er of the same capital asset would be construction; and when the lessor— (3) The procurement of the asset by (1) Purchases or constructs a capital lease was in accordance with Federal asset in contemplation of leasing it to requirements that applied at the time a recipient; or (2) Modifies an existing capital asset the procurement tool place. in contemplation of leasing it to a re- [56 FR 51794, Oct. 15, 1991, as amended at 63 cipient. FR 68367, Dec. 10, 1998]

§ 639.15 Eligible forms of grant. Subpart C—Cost-Effectiveness A recipient may choose to receive § 639.21 Determination of cost-effec- capital assistance for a capital lease tiveness. approved under this part— (a) To qualify a lease for capital as- (a) In a single grant under which sistance, a recipient must— lease payments may be drawn down pe- (1) Make a written comparison of the riodically for the life of the lease; or cost of leasing the asset with the cost (b) In increments that are obligated of purchasing or constructing it; and by FTA periodically (usually in annual (2) Certify to FTA before entering section 9 grants). In this case, a recipi- into the lease or before receiving a cap- ent— ital grant for the asset, whichever is (1) Must certify to FTA that it has later, that obtaining the asset by lease the financial capacity to meet its fu- is more cost-effective than purchase or ture obligations under the lease in the construction of such asset. event Federal funds are not available (b) For purposes of this part, obtain- for capital assistance in subsequent ing the asset by lease is more cost-ef- years; and fective than purchase or construction (2) May incur costs under its lease be- when the lease cost calculated under fore FTA’s obligation of future incre- § 639.25 of this part is less than the pur- ments of funding for such a lease. chase cost calculated under § 639.23 of These costs are reimbursable in future this part. grants, so long as the terms of the (c) If a recipient is unable to perform lease do not substantially change. the prescribed cost-effectiveness comparison as described in this subpart, it § 639.17 Eligible lease costs. may ask FTA to approve an alternate (a) All costs directly attributable to form of cost-effectiveness evaluation. making a capital asset available to the lessee are eligible for capital assist- § 639.23 Calculation of purchase or ance, including, but not limited to— construction cost. (1) Finance charges, including inter- (a) For purposes of this subpart, the est; purchase or construction cost of a cap- (2) Ancillary costs such as delivery ital asset is— and installation charges; and (1) The estimated cost to purchase or (3) Maintenance costs. construct the asset; plus

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(2) Ancillary costs such as delivery and must be expressed in present value and installation; plus terms. (3) The net present value of the estimated future cost to provide any other § 639.27 Minimum criteria. service or benefit requested by the ap- In making the comparison between plicant in its proposal to obtain the leasing and purchasing or constructing capital asset. an asset, recipients should ascribe a re- (b) The estimated cost to purchase or alistic dollar value to any non-finan- construct must be— cial factors that are considered by (1) Reasonable; using performance-based specifications (2) Based on realistic current market in the comparison. In addition to fac- conditions; and tors unique to each recipient, the fol- (3) Based on the expected useful life lowing factors are to be used where of the asset in mass transportation possible and appropriate: service, as indicated in paragraph (c) of (a) Operation costs; this section. (b) Reliability of service; (c) For purposes of this part, the ex- (c) Maintenance costs; pected useful life of a revenue vehicle (d) Difference in warranties; is the useful life which is established (e) Passenger comfort; by FTA for recipients of Federal assist- (f) Insurance costs; ance under FTA’s Circulars for section (g) Costs/savings related to timing of 9 recipients. For assets other than rev- acquisition of asset. enue vehicles, the applicant is respon- (h) Value of asset at expiration of the sible for establishing a reasonable ex- lease. pected useful life. If the recipient does not intend to use the capital asset it is Subpart D—Lease Management proposing to obtain by lease in mass transportation service for its entire ex- § 639.31 Early lease termination or pected useful life, when calculating the modification. purchase cost, the recipient must cal- (a) Except as provided in paragraph culate the fair market value of the (c) of this section, if a capital lease asset as of the date the lease will ter- under this part is terminated or its minate pursuant to Guidelines found in terms substantially modified before section 108(b) of part II Standard the end of the period used in the cost- Terms and Conditions for valuation of effectiveness evaluation, or if the re- property withdrawn from transit use cipient by an affirmative act or omis- before the end of its useful life and sub- sion vitiates the cost-effectiveness detract that amount from the purchase termination of the lease, future lease price. The resulting amount is the pur- costs will no longer qualify as eligible chase price for purposes of this rule. capital expenses. In addition, the recipient must reimburse the project— § 639.25 Calculation of lease cost. (1) Any Federal funds paid for the (a) For purposes of this part, the portion of the lease term eliminated by lease cost of a capital asset is— early termination; and (1) The cost to lease the asset for the (2) The Federal share of the excess, if same use and same time period speci- any, of the present value of lease costs, fied in the recipient’s proposal to ob- which exceeds the purchase costs as tain the asset by purchase or construc- calculated under subpart C of this part tion; plus for the period of the lease up to the (2) Ancillary costs such as delivery point of termination. and installation; plus (b) Penalties resulting from early (3) The net present value of the esti- termination of a capital lease under mated future cost to provide any other this part are not eligible for Federal fi- service or benefit requested by the ap- nancial assistance. plicant in its proposal to obtain the (c) Paragraph (a) of this section does capital asset. not apply if a lessor defaults on or oth- (b) The estimated lease costs must be erwise does not meet its obligations reasonable, based on realistic market under the capital lease and the recipi- conditions applicable to the recipient ent takes appropriate action to ensure

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that the procurement continues to be 655.22–655.30 [Reserved] cost-effective. FTA shall be notified of any such event. Subpart D—Prohibited Alcohol Use 655.31 Alcohol testing. § 639.33 Management of leased assets. 655.32 On duty use. Each recipient must maintain an in- 655.33 Pre-duty use. ventory of capital assets acquired by 655.34 Use following an accident. standard FTA project management 655.35 Other alcohol-related conduct. 655.36–655.40 [Reserved] guidelines. Subpart E—Types of Testing PART 640—CREDIT ASSISTANCE 655.41 Pre-employment drug testing. FOR SURFACE TRANSPORTATION 655.42 Pre-employment alcohol testing. PROJECTS 655.43 Reasonable suspicion testing. 655.44 Post-accident testing. 655.45 Random testing. AUTHORITY: Secs. 1501 et seq., Pub. L. 105– 655.46 Return to duty following refusal to 178, 112 Stat. 107, 241, as amended; 23 U.S.C. submit to a test, verified positive drug 181–189 and 315; 49 CFR 1.51. test result and/or breath alcohol test result of 0.04 or greater. § 640.1 Cross-reference to credit assist- 655.47 Follow-up testing after returning to ance. duty. The regulations in 49 CFR part 80 655.48 Retesting of covered employees with shall be followed in complying with the an alcohol concentration of 0.02 or great- requirements of this part. Title 49, er but less than 0.04. CFR, part 80 implements the Transpor- 655.49 Refusal to submit to a drug or alcohol test. tation Infrastructure Finance and In- 655.50 [Reserved] novation Act of 1998, secs. 1501 et seq., Pub. L. 105–178, 112 Stat. 107, 241. Subpart F—Drug and Alcohol Testing [64 FR 29753, June 2, 1999] Procedures 655.51 Compliance with testing procedures PART 655—PREVENTION OF ALCO- requirements. HOL MISUSE AND PROHIBITED 655.52 Substance abuse professional (SAP). 655.53 Supervisor acting as collection site DRUG USE IN TRANSIT OPER- personnel. ATIONS 655.54–655.60 [Reserved]

Subpart A—General Subpart G—Consequences Sec. 655.61 Action when an employee has a 655.1 Purpose. verified positive drug test result or has a 655.2 Overview. confirmed alcohol test result of 0.04 or 655.3 Applicability. greater, or refuses to submit to a test. 655.4 Definitions. 655.62 Referral, evaluation, and treatment. 655.5 Stand-down waivers for drug testing. 655.63–655.70 [Reserved] 655.6 Preemption of state and local laws. 655.7 Starting date for testing programs. Subpart H—Administrative Requirements

Subpart B—Program Requirements 655.71 Retention of records. 655.72 Reporting of results in a management 655.11 Requirement to establish an anti- information system. drug use and alcohol misuse program. 655.73 Access to facilities and records. 655.12 Required elements of an anti-drug use 655.74–655.80 [Reserved] and alcohol misuse program. 655.13 [Reserved] Subpart I—Certifying Compliance 655.14 Education and training programs. 655.15 Policy statement contents. 655.81 Grantee oversight responsibility. 655.16 Requirement to disseminate policy. 655.82 Compliance as a condition of finan- 655.17 Notice requirement. cial assistance. 655.18–655.20 [Reserved] 655.83 Requirement to certify compliance. AUTHORITY: 49 U.S.C. 5331; 49 CFR 1.51. Subpart C—Prohibited Drug Use SOURCE: 66 FR 42002, Aug. 9, 2001, unless 655.21 Drug testing. otherwise noted.

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Subpart A—General (2) Any contractor of a recipient or subrecipient of Federal assistance § 655.1 Purpose. under: The purpose of this part is to estab- (i) 49 U.S.C. 5307, 5309, or 5311; or lish programs to be implemented by (ii) 23 U.S.C. 103(e)(4). employers that receive financial assist- (b) A recipient operating a railroad ance from the Federal Transit Admin- regulated by the Federal Railroad Ad- istration (FTA) and by contractors of ministration (FRA) shall follow 49 CFR those employers, that are designed to Part 219 and § 655.83 for its railroad op- help prevent accidents, injuries, and fa- erations, and shall follow this part for talities resulting from the misuse of al- its non-railroad operations, if any. cohol and use of prohibited drugs by (c) A recipient operating a ferryboat employees who perform safety-sen- regulated by the United States Coast sitive functions. Guard (USCG) that satisfactorily complies with the testing requirements of § 655.2 Overview. 46 CFR Parts 4 and 16, and 33 CFR Part 95 shall be in concurrent compliance (a) This part includes nine subparts. with the testing requirements of this Subpart A of this part covers the gen- part. This exception shall not apply to eral requirements of FTA’s drug and the provisions of section 655.45, or sub- alcohol testing programs. Subpart B of parts G, or H of this part. this part specifies the basic requirements of each employer’s alcohol mis- [66 FR 42002, Aug. 9, 2001, as amended at 71 use and prohibited drug use program, FR 69198, Nov. 30, 2006] including the elements required to be in each employer’s testing program. § 655.4 Definitions. Subpart C of this part describes prohib- For this part, the terms listed in this ited drug use. Subpart D of this part section have the following definitions. describes prohibited alcohol use. Sub- The definitions of additional terms part E of this part describes the types used in this part but not listed in this of alcohol and drug tests to be con- section can be found in 49 CFR Part 40. ducted. Subpart F of this part address- Accident means an occurrence associ- es the testing procedural requirements ated with the operation of a vehicle, if mandated by the Omnibus Transpor- as a result: tation Employee Testing Act of 1991, (1) An individual dies; or and as required in 49 CFR Part 40. Sub- (2) An individual suffers bodily injury part G of this part lists the con- and immediately receives medical sequences for covered employees who treatment away from the scene of the engage in alcohol misuse or prohibited accident; or drug use. Subpart H of this part con- (3) With respect to an occurrence in tains administrative matters, such as which the mass transit vehicle in- reports and recordkeeping require- volved is a bus, electric bus, van, or ments. Subpart I of this part specifies automobile, one or more vehicles (in- how a recipient certifies compliance cluding non-FTA funded vehicles) in- with the rule. curs disabling damage as the result of (b) This part must be read in con- the occurrence and such vehicle or ve- junction with 49 CFR Part 40, Proce- hicles are transported away from the dures for Transportation Workplace scene by a tow truck or other vehicle; Drug and Alcohol Testing Programs. or § 655.3 Applicability. (4) With respect to an occurrence in which the mass transit vehicle in- (a) Except as specifically excluded in volved is a rail car, trolley car, trolley paragraphs (b), and (c) of this section, bus, or vessel, the mass transit vehicle this part applies to: is removed from operation. (1) Each recipient and subrecipient Administrator means the Adminis- receiving Federal assistance under: trator of the Federal Transit Adminis- (i) 49 U.S.C. 5307, 5309, or 5311; or tration or the Administrator’s des- (ii) 23 U.S.C. 103(e)(4); and ignee.

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Anti-drug program means a program United States Department of Transpor- to detect and deter the use of prohib- tation administering regulations re- ited drugs as required by this part. quiring drug and alcohol testing. See 14 Certification means a recipient’s writ- CFR part 121, appendices I and J; 33 ten statement, authorized by the orga- CFR part 95; 46 CFR parts 4, 5, and 16; nization’s governing board or other au- and 49 CFR parts 199, 219, 382, and 655. thorizing official that the recipient has Employer means a recipient or other complied with the provisions of this entity that provides mass transpor- part. (See § 655.82 and § 655.83 for certifi- tation service or which performs a safe- cation requirements.) ty-sensitive function for such recipient Contractor means a person or organi- or other entity. This term includes zation that provides a safety-sensitive subrecipients, operators, and contrac- service for a recipient, subrecipient, tors. employer, or operator consistent with FTA means the Federal Transit Ad- a specific understanding or arrange- ministration, an agency of the U.S. De- ment. The understanding can be a writ- partment of Transportation. ten contract or an informal arrange- Performing (a safety-sensitive function) ment that reflects an ongoing relation- means a covered employee is consid- ship between the parties. ered to be performing a safety-sen- Covered employee means a person, in- sitive function and includes any period cluding an applicant or transferee, who in which he or she is actually per- performs or will perform a safety-sen- forming, ready to perform, or imme- sitive function for an entity subject to diately available to perform such func- this part. A volunteer is a covered em- tions. ployee if: Positive rate for random drug testing (1) The volunteer is required to hold means the number of verified positive a commercial driver’s license to oper- results for random drug tests con- ate the vehicle; or ducted under this part plus the number (2) The volunteer performs a safety- of refusals of random drug tests re- sensitive function for an entity subject quired by this part, divided by the to this part and receives remuneration total number of random drug tests rein excess of his or her actual expenses sults (i.e., positive, negative, and refus- incurred while engaged in the volun- als) under this part. teer activity. Railroad means: Disabling damage means damage that (1) All forms of non-highway ground precludes departure of a motor vehicle transportation that run on rails or from the scene of the accident in its electromagnetic guideways, including: usual manner in daylight after simple (i) Commuter or other short-haul rail repairs. passenger service in a metropolitan or (1) Inclusion. Damage to a motor ve- suburban area, as well as any com- hicle, where the vehicle could have muter rail service that was operated by been driven, but would have been fur- the Consolidated Rail Corporation as of ther damaged if so driven. January 1, 1979; and (2) Exclusions. (i) Damage that can be (ii) High speed ground transportation remedied temporarily at the scene of systems that connect metropolitan the accident without special tools or areas, without regard to whether they parts. use new technologies not associated (ii) Tire disablement without other with traditional railroads. damage even if no spare tire is avail- (2) Such term does not include rapid able. transit operations within an urban (iii) Headlamp or tail light damage. area that are not connected to the gen- (iv) Damage to turn signals, horn, or eral railroad system of transportation. windshield wipers, which makes the ve- Recipient means an entity receiving hicle inoperable. Federal financial assistance under 49 DOT or The Department means the U.S.C. 5307, 5309, or 5311; or under 23 United States Department of Transpor- U.S.C. 103(e)(4). tation. Refuse to submit means any cir- DOT agency means an agency (or cumstance outlined in 49 CFR 40.191 ‘‘operating administration’’) of the and 40.261.

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Safety-sensitive function means any of (c) Each petition for a waiver must the following duties, when performed be submitted to the Office of Safety by employees of recipients, subrecipi- and Security, Federal Transit Adminis- ents, operators, or contractors: tration, U.S. Department of Transpor- (1) Operating a revenue service vehi- tation, 400 Seventh Street, SW. Wash- cle, including when not in revenue ington, DC 20590. service; (d) The Administrator may grant a (2) Operating a nonrevenue service waiver subject to 49 CFR 40.21(d). vehicle, when required to be operated by a holder of a Commercial Driver’s § 655.6 Preemption of state and local License; laws. (3) Controlling dispatch or movement (a) Except as provided in paragraph of a revenue service vehicle; (b) of this section, this part preempts (4) Maintaining (including repairs, any state or local law, rule, regulation, overhaul and rebuilding) a revenue or order to the extent that: service vehicle or equipment used in (1) Compliance with both the state or revenue service. This section does not local requirement and any requirement apply to the following: an employer in this part is not possible; or who receives funding under 49 U.S.C. (2) Compliance with the state or local 5307 or 5309, is in an area less than requirement is an obstacle to the ac- 200,000 in population, and contracts out complishment and execution of any re- such services; or an employer who requirement in this part. ceives funding under 49 U.S.C. 5311 and (b) This part shall not be construed contracts out such services; to preempt provisions of state criminal (5) Carrying a firearm for security laws that impose sanctions for reckless purposes. conduct attributed to prohibited drug Vehicle means a bus, electric bus, use or alcohol misuse leading to actual van, automobile, rail car, trolley car, loss of life, injury, or damage to prop- trolley bus, or vessel. A mass transit erty, whether the provisions apply spe- vehicle is a vehicle used for mass cifically to transportation employees transportation or for ancillary serv- or employers or to the general public. ices. Violation rate for random alcohol test- § 655.7 Starting date for testing pro- ing means the number of 0.04 and above grams. random alcohol confirmation test re- An employer must have an anti-drug sults conducted under this part plus and alcohol misuse testing program in the number of refusals of random alco- place by the date the employer begins hol tests required by this part, divided operations. by the total number of alcohol random screening tests (including refusals) Subpart B—Program Requirements conducted under this part. [66 FR 42002, Aug. 9, 2001, as amended at 68 § 655.11 Requirement to establish an FR 75462, Dec. 31, 2003] anti-drug use and alcohol misuse program. § 655.5 Stand-down waivers for drug Each employer shall establish an testing. anti-drug use and alcohol misuse pro- (a) An employer subject to this part gram consistent with the requirements may petition the FTA for a waiver al- of this part. lowing the employer to stand down, per 49 CFR Part 40, an employee following § 655.12 Required elements of an anti- a report of a laboratory confirmed posi- drug use and alcohol misuse pro- tive drug test or refusal, pending the gram. outcome of the verification process. An anti-drug use and alcohol misuse (b) Each petition for a waiver must program shall include the following: be in writing and include facts and jus- (a) A statement describing the em- tification to support the waiver. Each ployer’s policy on prohibited drug use petition must satisfy the requirements and alcohol misuse in the workplace, for obtaining a waiver, as provided in including the consequences associated 49 CFR 40.21. with prohibited drug use and alcohol

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misuse. This policy statement shall in- (a) The identity of the person, office, clude all of the elements specified in branch and/or position designated by § 655.15. Each employer shall dissemi- the employer to answer employee ques- nate the policy consistent with the tions about the employer’s anti-drug provisions of § 655.16. use and alcohol misuse programs. (b) An education and training pro- (b) The categories of employees who gram which meets the requirements of are subject to the provisions of this § 655.14. part. (c) A testing program, as described in (c) Specific information concerning Subparts C and D of this part, which the behavior and conduct prohibited by meets the requirements of this part this part. and 49 CFR Part 40. (d) The specific circumstances under (d) Procedures for referring a covered which a covered employee will be test- employee who has a verified positive ed for prohibited drugs or alcohol mis- drug test result or an alcohol con- use under this part. centration of 0.04 or greater to a Sub- (e) The procedures that will be used stance Abuse Professional, consistent to test for the presence of illegal drugs with 49 CFR Part 40. or alcohol misuse, protect the em- § 655.13 [Reserved] ployee and the integrity of the drug and alcohol testing process, safeguard § 655.14 Education and training pro- the validity of the test results, and en- grams. sure the test results are attributed to Each employer shall establish an em- the correct covered employee. ployee education and training program (f) The requirement that a covered for all covered employees, including: employee submit to drug and alcohol (a) Education. The education compo- testing administered in accordance nent shall include display and distribu- with this part. tion to every covered employee of: in- (g) A description of the kind of be- formational material and a community havior that constitutes a refusal to service hot-line telephone number for take a drug or alcohol test, and a employee assistance, if available. statement that such a refusal con- (b) Training—(1) Covered employees. stitutes a violation of the employer’s Covered employees must receive at policy. least 60 minutes of training on the ef- (h) The consequences for a covered fects and consequences of prohibited employee who has a verified positive drug use on personal health, safety, drug or a confirmed alcohol test result and the work environment, and on the with an alcohol concentration of 0.04 or signs and symptoms that may indicate greater, or who refuses to submit to a prohibited drug use. test under this part, including the (2) Supervisors. Supervisors and/or mandatory requirements that the cov- other company officers authorized by ered employee be removed immediately the employer to make reasonable sus- from his or her safety-sensitive func- picion determinations shall receive at tion and be evaluated by a substance least 60 minutes of training on the abuse professional, as required by 49 physical, behavioral, and performance CFR Part 40. indicators of probable drug use and at (i) The consequences, as set forth in least 60 minutes of training on the § 655.35 of subpart D, for a covered em- physical, behavioral, speech, and per- ployee who is found to have an alcohol formance indicators of probable alco- concentration of 0.02 or greater but less hol misuse. than 0.04. (j) The employer shall inform each § 655.15 Policy statement contents. covered employee if it implements ele- The local governing board of the em- ments of an anti-drug use or alcohol ployer or operator shall adopt an anti- misuse program that are not required drug and alcohol misuse policy state- by this part. An employer may not im- ment. The statement must be made pose requirements that are incon- available to each covered employee, sistent with, contrary to, or frustrate and shall include the following: the provisions of this part.

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§ 655.16 Requirement to disseminate § 655.32 On duty use. policy. Each employer shall prohibit a cov- Each employer shall provide written ered employee from using alcohol while notice to every covered employee and performing safety-sensitive functions. to representatives of employee organi- No employer having actual knowledge zations of the employer’s anti-drug and that a covered employee is using alco- alcohol misuse policies and procedures. hol while performing safety-sensitive functions shall permit the employee to § 655.17 Notice requirement. perform or continue to perform safety- Before performing a drug or alcohol sensitive functions. test under this part, each employer shall notify a covered employee that § 655.33 Pre-duty use. the test is required by this part. No (a) General. Each employer shall pro- employer shall falsely represent that a hibit a covered employee from using al- test is administered under this part. cohol within 4 hours prior to performing safety-sensitive functions. No §§ 655.18–655.20 [Reserved] employer having actual knowledge that a covered employee has used alco- Subpart C—Prohibited Drug Use hol within four hours of performing a safety-sensitive function shall permit § 655.21 Drug testing. the employee to perform or continue to (a) An employer shall establish a pro- perform safety-sensitive functions. gram that provides testing for prohib- (b) On-call employees. An employer ited drugs and drug metabolites in the shall prohibit the consumption of alco- following circumstances: pre-employ- hol for the specified on-call hours of ment, post-accident, reasonable sus- each covered employee who is on-call. picion, random, and return to duty/fol- The procedure shall include: low-up. (1) The opportunity for the covered (b) When administering a drug test, employee to acknowledge the use of al- an employer shall ensure that the fol- cohol at the time he or she is called to lowing drugs are tested for: report to duty and the inability to perform his or her safety-sensitive func- (1) Marijuana; tion. (2) Cocaine; (2) The requirement that the covered (3) Opiates; employee take an alcohol test, if the (4) Amphetamines; and covered employee has acknowledged (5) Phencyclidine. the use of alcohol, but claims ability to (c) Consumption of these products is perform his or her safety-sensitive prohibited at all times. function.

§§ 655.22–655.30 [Reserved] § 655.34 Use following an accident. Each employer shall prohibit alcohol Subpart D—Prohibited Alcohol Use use by any covered employee required to take a post-accident alcohol test § 655.31 Alcohol testing. under § 655.44 for eight hours following (a) An employer shall establish a pro- the accident or until he or she under- gram that provides for testing for alco- goes a post-accident alcohol test, hol in the following circumstances: whichever occurs first. post-accident, reasonable suspicion, random, and return to duty/follow-up. § 655.35 Other alcohol-related conduct. An employer may also conduct pre-em- (a) No employer shall permit a cov- ployment alcohol testing. ered employee tested under the provi- (b) Each employer shall prohibit a sions of subpart E of this part who is covered employee, while having an al- found to have an alcohol concentration cohol concentration of 0.04 or greater, of 0.02 or greater but less than 0.04 to from performing or continuing to per- perform or continue to perform safety- form a safety-sensitive function. sensitive functions, until:

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(1) The employee’s alcohol concentra- employer’s random selection pool dur- tion measures less than 0.02; or ing that time, the employer shall en- (2) The start of the employee’s next sure that the employee takes a pre-em- regularly scheduled duty period, but ployment drug test with a verified neg- not less than eight hours following ad- ative result. ministration of the test. (b) Except as provided in paragraph § 655.42 Pre-employment alcohol test- (a) of this section, no employer shall ing. take any action under this part against An employer may, but is not required an employee based solely on test re- to, conduct pre-employment alcohol sults showing an alcohol concentration testing under this part. If an employer less than 0.04. This does not prohibit an chooses to conduct pre-employment al- employer with authority independent cohol testing, the employer must com- of this part from taking any action ply with the following requirements: otherwise consistent with law. (a) The employer must conduct a pre- employment alcohol test before the §§ 655.36–655.40 [Reserved] first performance of safety-sensitive functions by every covered employee Subpart E—Types of Testing (whether a new employee or someone who has transferred to a position in- § 655.41 Pre-employment drug testing. volving the performance of safety-sen- (a)(1) Before allowing a covered em- sitive functions). ployee or applicant to perform a safe- (b) The employer must treat all cov- ty-sensitive function for the first time, ered employees performing safety-sen- the employer must ensure that the em- sitive functions the same for the pur- ployee takes a pre-employment drug pose of pre-employment alcohol testing test administered under this part with (i.e., you must not test some covered a verified negative result. An employer employees and not others). may not allow a covered employee, in- (c) The employer must conduct the cluding an applicant, to perform a safe- pre-employment tests after making a ty-sensitive function unless the em- contingent offer of employment or ployee takes a drug test administered transfer, subject to the employee pass- under this part with a verified negative ing the pre-employment alcohol test. result. (d) The employer must conduct all (2) When a covered employee or appli- pre-employment alcohol tests using the cant has previously failed or refused a alcohol testing procedures set forth in pre-employment drug test adminis- 49 CFR Part 40. tered under this part, the employee (e) The employer must not allow a must provide the employer proof of covered employee to begin performing having successfully completed a refer- safety-sensitive functions unless the ral, evaluation and treatment plan as result of the employee’s test indicates described in § 655.62. an alcohol concentration of less than (b) An employer may not transfer an 0.02. employee from a nonsafety-sensitive function to a safety-sensitive function § 655.43 Reasonable suspicion testing. until the employee takes a pre-employ- (a) An employer shall conduct a drug ment drug test administered under this and/or alcohol test when the employer part with a verified negative result. has reasonable suspicion to believe (c) If a pre-employment drug test is that the covered employee has used a canceled, the employer shall require prohibited drug and/or engaged in alco- the covered employee or applicant to hol misuse. take another pre-employment drug test (b) An employer’s determination that administered under this part with a reasonable suspicion exists shall be verified negative result. based on specific, contemporaneous, (d) When a covered employee or ap- articulable observations concerning plicant has not performed a safety-sen- the appearance, behavior, speech, or sitive function for 90 consecutive cal- body odors of the covered employee. A endar days regardless of the reason, supervisor(s), or other company offi- and the employee has not been in the cial(s) who is trained in detecting the

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signs and symptoms of drug use and al- which a mass transit vehicle is in- cohol misuse must make the required volved, the employer shall drug and al- observations. cohol test each covered employee oper- (c) Alcohol testing is authorized ating the mass transit vehicle at the under this section only if the observa- time of the accident unless the em- tions required by paragraph (b) of this ployer determines, using the best infor- section are made during, just pre- mation available at the time of the de- ceding, or just after the period of the cision, that the covered employee’s workday that the covered employee is performance can be completely dis- required to be in compliance with this counted as a contributing factor to the part. An employer may direct a cov- accident. The employer shall also drug ered employee to undergo reasonable and alcohol test any other covered em- suspicion testing for alcohol only while ployee whose performance could have the employee is performing safety-sen- contributed to the accident, as deter- sitive functions; just before the em- mined by the employer using the best ployee is to perform safety-sensitive information available at the time of functions; or just after the employee has ceased performing such functions. the decision. (d) If an alcohol test required by this (ii) If an alcohol test required by this section is not administered within two section is not administered within two hours following the determination hours following the accident, the em- under paragraph (b) of this section, the ployer shall prepare and maintain on employer shall prepare and maintain file a record stating the reasons the al- on file a record stating the reasons the cohol test was not promptly adminis- alcohol test was not promptly administered. If an alcohol test required by tered. If an alcohol test required by this section is not administered within this section is not administered within eight hours following the accident, the eight hours following the determina- employer shall cease attempts to ad- tion under paragraph (b) of this sec- minister an alcohol test and maintain tion, the employer shall cease attempts the record. Records shall be submitted to administer an alcohol test and shall to FTA upon request of the Adminis- state in the record the reasons for not trator. administering the test. (b) An employer shall ensure that a covered employee required to be drug § 655.44 Post-accident testing. tested under this section is tested as (a) Accidents. (1) Fatal accidents. (i) soon as practicable but within 32 hours As soon as practicable following an ac- of the accident. cident involving the loss of human life, (c) A covered employee who is sub- an employer shall conduct drug and al- ject to post-accident testing who fails cohol tests on each surviving covered to remain readily available for such employee operating the mass transit testing, including notifying the em- vehicle at the time of the accident. ployer or the employer representative Post-accident drug and alcohol testing of his or her location if he or she leaves of the operator is not required under the scene of the accident prior to sub- this section if the covered employee is tested under the fatal accident testing mission to such test, may be deemed by requirements of the Federal Motor Car- the employer to have refused to submit rier Safety Administration rule 49 CFR to testing. 389.303(a)(1) or (b)(1). (d) The decision not to administer a (ii) The employer shall also drug and drug and/or alcohol test under this sec- alcohol test any other covered em- tion shall be based on the employer’s ployee whose performance could have determination, using the best available contributed to the accident, as deter- information at the time of the determined by the employer using the best mination that the employee’s perform- information available at the time of ance could not have contributed to the the decision. accident. Such a decision must be doc- (2) Nonfatal accidents. (i) As soon as umented in detail, including the deci- practicable following an accident not sion-making process used to reach the involving the loss of human life in decision not to test.

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(e) Nothing in this section shall be The new minimum annual percentage construed to require the delay of nec- rate for random drug and alcohol test- essary medical attention for the ining will be applicable starting January jured following an accident or to pro- 1 of the calendar year following publi- hibit a covered employee from leaving cation. the scene of an accident for the period (c) Rates for drug testing. (1) When necessary to obtain assistance in re- the minimum annual percentage rate sponding to the accident or to obtain for random drug testing is 50 percent, necessary emergency medical care. the Administrator may lower this rate (f) The results of a blood, urine, or to 25 percent of all covered employees breath test for the use of prohibited if the Administrator determines that drugs or alcohol misuse, conducted by the data received under the reporting Federal, State, or local officials having requirements of § 655.72 for the two pre- independent authority for the test, ceding consecutive calendar years indi- shall be considered to meet the re- cate that the reported positive rate is quirements of this section provided less than 1.0 percent. such test conforms to the applicable (2) When the minimum annual per- Federal, State, or local testing require- centage rate for random drug testing is ments, and that the test results are ob- 25 percent, and the data received under tained by the employer. Such test re- the reporting requirements of § 655.72 sults may be used only when the em- for the calendar year indicate that the ployer is unable to perform a post-acci- reported positive rate is equal to or dent test within the required period greater than 1.0 percent, the Adminis- noted in paragraphs (a) and (b) of this trator will increase the minimum an- section. nual percentage rate for random drug § 655.45 Random testing. or random alcohol testing to 50 percent of all covered employees. (a) Except as provided in paragraphs (d) Rates for alcohol testing. (1)(i) (b) through (d) of this section, the min- When the minimum annual percentage imum annual percentage rate for ran- rate for random alcohol testing is 25 dom drug testing shall be 50 percent of percent or more, the Administrator covered employees; the random alcohol may lower this rate to 10 percent of all testing rate shall be 10 percent. As provided in paragraph (b) of this section, covered employees if the Adminis- this rate is subject to annual review by trator determines that the data re- the Administrator. ceived under the reporting require- (b) The Administrator’s decision to ments of § 655.72 for two consecutive increase or decrease the minimum an- calendar years indicate that the viola- nual percentage rate for random drug tion rate is less than 0.5 percent. and alcohol testing is based, respec- (ii) When the minimum annual per- tively, on the reported positive drug centage rate for random alcohol test- and alcohol violation rates for the en- ing is 50 percent, the Administrator tire industry. All information used for may lower this rate to 25 percent of all this determination is drawn from the covered employees if the Adminis- drug and alcohol Management Informa- trator determines that the data re- tion System (MIS) reports required by ceived under the reporting require- this part. In order to ensure reliability ments of § 655.72 for two consecutive of the data, the Administrator shall calendar years indicate that the viola- consider the quality and completeness tion rate is less than 1.0 percent but of the reported data, may obtain addi- equal to or greater than 0.5 percent. tional information or reports from em- (2)(i) When the minimum annual per- ployers, and may make appropriate centage rate for random alcohol test- modifications in calculating the indus- ing is 10 percent, and the data received try’s verified positive results and viola- under the reporting requirements of tion rates. Each year, the Adminis- § 655.72 for that calendar year indicate trator will publish in the FEDERAL that the violation rate is equal to or REGISTER the minimum annual per- greater than 0.5 percent, but less than centage rates for random drug and al- 1.0 percent, the Administrator will in- cohol testing of covered employees. crease the minimum annual percentage

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rate for random alcohol testing to 25 the time of the notification, the em- percent of all covered employees. ployer shall instead ensure that the (ii) When the minimum annual per- employee ceases to perform the safety- centage rate for random alcohol test- sensitive function and proceeds to the ing is 25 percent or less, and the data testing site immediately. received under the reporting require- (i) A covered employee shall only be ments of § 655.72 for that calendar year randomly tested for alcohol misuse indicate that the violation rate is while the employee is performing safe- equal to or greater than 1.0 percent, ty-sensitive functions; just before the the Administrator will increase the employee is to perform safety-sensitive minimum annual percentage rate for functions; or just after the employee random alcohol testing to 50 percent of has ceased performing such functions. all covered employees. A covered employee may be randomly (e) The selection of employees for tested for prohibited drug use anytime random drug and alcohol testing shall while on duty. be made by a scientifically valid meth- (j) If a given covered employee is sub- od, such as a random number table or a ject to random drug and alcohol test- computer-based random number gener- ing under the testing rules of more ator that is matched with employees’ than one DOT agency for the same em- Social Security numbers, payroll iden- ployer, the employee shall be subject tification numbers, or other com- to random drug and alcohol testing at parable identifying numbers. Under the the percentage rate established for the selection process used, each covered calendar year by the DOT agency regu- employee shall have an equal chance of lating more than 50 percent of the em- being tested each time selections are ployee’s function. made. (k) If an employer is required to con- (f) The employer shall randomly se- duct random drug and alcohol testing lect a sufficient number of covered em- under the drug and alcohol testing ployees for testing during each cal- rules of more than one DOT agency, endar year to equal an annual rate not the employer may— less than the minimum annual percent- (1) Establish separate pools for ran- age rates for random drug and alcohol dom selection, with each pool contesting determined by the Adminis- taining the covered employees who are trator. If the employer conducts ran- subject to testing at the same required dom drug and alcohol testing through a rate; or consortium, the number of employees (2) Randomly select such employees to be tested may be calculated for each for testing at the highest percentage individual employer or may be based rate established for the calendar year on the total number of covered employ- by any DOT agency to which the em- ees covered by the consortium who are ployer is subject. subject to random drug and alcohol testing at the same minimum annual § 655.46 Return to duty following re- percentage rate under this part. fusal to submit to a test, verified (g) Each employer shall ensure that positive drug test result and/or random drug and alcohol tests con- breath alcohol test result of 0.04 or ducted under this part are unan- greater. nounced and unpredictable, and that Where a covered employee refuses to the dates for administering random submit to a test, has a verified positive tests are spread reasonably throughout drug test result, and/or has a confirmed the calendar year. Random testing alcohol test result of 0.04 or greater, must be conducted at all times of day the employer, before returning the em- when safety-sensitive functions are ployee to duty to perform a safety-sen- performed. sitive function, shall follow the proce- (h) Each employer shall require that dures outlined in 49 CFR Part 40. each covered employee who is notified of selection for random drug or random § 655.47 Follow-up testing after return- alcohol testing proceed to the test site ing to duty. immediately. If the employee is per- An employer shall conduct follow-up forming a safety-sensitive function at testing of each employee who returns

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to duty, as specified in 49 CFR Part 40, § 655.53 Supervisor acting as collection subpart O. site personnel. An employer shall not permit an em- § 655.48 Retesting of covered employ- ployee with direct or immediate super- ees with an alcohol concentration visory responsibility or authority over of 0.02 or greater but less than 0.04. another employee to serve as the urine If an employer chooses to permit a collection person, breath alcohol tech- covered employee to perform a safety- nician, or saliva-testing technician for sensitive function within 8 hours of an a drug or alcohol test of the employee. alcohol test indicating an alcohol concentration of 0.02 or greater but less §§ 655.54–655.60 [Reserved] than 0.04, the employer shall retest the covered employee to ensure compliance Subpart G—Consequences with the provisions of § 655.35. The covered employee may not perform safety- § 655.61 Action when an employee has a verified positive drug test result sensitive functions unless the con- or has a confirmed alcohol test re- firmation alcohol test result is less sult of 0.04 or greater, or refuses to than 0.02. submit to a test. (a) (1) Immediately after receiving § 655.49 Refusal to submit to a drug or notice from a medical review officer alcohol test. (MRO) or a consortium/third party ad- (a) Each employer shall require a ministrator (C/TPA) that a covered em- covered employee to submit to a post- ployee has a verified positive drug test accident drug and alcohol test required result, the employer shall require that under § 655.44, a random drug and alco- the covered employee cease performing hol test required under § 655.45, a rea- a safety-sensitive function. sonable suspicion drug and alcohol test (2) Immediately after receiving no- required under § 655.43, or a follow-up tice from a Breath Alcohol Technician drug and alcohol test required under (BAT) that a covered employee has a § 655.47. No employer shall permit an confirmed alcohol test result of 0.04 or employee who refuses to submit to greater, the employer shall require such a test to perform or continue to that the covered employee cease per- perform safety-sensitive functions. forming a safety-sensitive function. (3) If an employee refuses to submit (b) When an employee refuses to sub- to a drug or alcohol test required by mit to a drug or alcohol test, the em- this part, the employer shall require ployer shall follow the procedures out- that the covered employee cease per- lined in 49 CFR Part 40. forming a safety-sensitive function. (b) Before allowing the covered em- § 655.50 [Reserved] ployee to resume performing a safety- sensitive function, the employer shall Subpart F—Drug and Alcohol ensure the employee meets the require- Testing Procedures ments of 49 CFR Part 40 for returning to duty, including taking a return to § 655.51 Compliance with testing pro- duty drug and/or alcohol test. cedures requirements. The drug and alcohol testing proce- § 655.62 Referral, evaluation, and treatment. dures in 49 CFR Part 40 apply to employers covered by this part, and must If a covered employee has a verified be read together with this part, unless positive drug test result, or has a con- expressly provided otherwise in this firmed alcohol test of 0.04 or greater, or part. refuses to submit to a drug or alcohol test required by this part, the em- § 655.52 Substance abuse professional ployer shall advise the employee of the (SAP). resources available for evaluating and resolving problems associated with pro- The SAP must perform the functions hibited drug use and alcohol misuse, in 49 CFR Part 40. including the names, addresses, and

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telephone numbers of substance abuse (ii) Documents related to the refusal professionals (SAPs) and counseling of any covered employee to submit to a and treatment programs. test required by this part. (iii) Documents presented by a cov- §§ 655.63–655.70 [Reserved] ered employee to dispute the result of a test administered under this part. Subpart H—Administrative (3) Records related to referral and re- Requirements turn to duty and follow-up testing: Records concerning a covered employ- § 655.71 Retention of records. ee’s entry into and completion of the (a) General requirement. An employer treatment program recommended by shall maintain records of its anti-drug the substance abuse professional. and alcohol misuse program as pro- (4) Records related to employee vided in this section. The records shall training: be maintained in a secure location with (i) Training materials on drug use controlled access. awareness and alcohol misuse, includ- (b) Period of retention. In determining ing a copy of the employer’s policy on compliance with the retention period prohibited drug use and alcohol misuse. requirement, each record shall be (ii) Names of covered employees at- maintained for the specified minimum tending training on prohibited drug use period of time as measured from the and alcohol misuse and the dates and date of the creation of the record. Each times of such training. employer shall maintain the records in (iii) Documentation of training pro- accordance with the following sched- vided to supervisors for the purpose of ule: qualifying the supervisors to make a (1) Five years. Records of covered em- determination concerning the need for ployee verified positive drug or alcohol drug and alcohol testing based on rea- test results, documentation of refusals sonable suspicion. to take required drug or alcohol tests, (iv) Certification that any training and covered employee referrals to the conducted under this part complies substance abuse professional, and cop- with the requirements for such train- ies of annual MIS reports submitted to ing. FTA. (2) Two years. Records related to the (5) Copies of annual MIS reports sub- collection process and employee train- mitted to FTA. ing. § 655.72 Reporting of results in a man- (3) One year. Records of negative drug agement information system. or alcohol test results. (c) Types of records. The following (a) Each recipient shall annually pre- specific records must be maintained: pare and maintain a summary of the (1) Records related to the collection results of its anti-drug and alcohol process: misuse testing programs performed (i) Collection logbooks, if used. under this part during the previous cal- (ii) Documents relating to the ran- endar year. dom selection process. (b) When requested by FTA, each re- (iii) Documents generated in connec- cipient shall submit to FTA’s Office of tion with decisions to administer rea- Safety and Security, or its designated sonable suspicion drug or alcohol tests. agent, by March 15, a report covering (iv) Documents generated in connec- the previous calendar year (January 1 tion with decisions on post-accident through December 31) summarizing the drug and alcohol testing. results of its anti-drug and alcohol (v) MRO documents verifying exist- misuse programs. ence of a medical explanation of the in- (c) Each recipient shall be respon- ability of a covered employee to pro- sible for ensuring the accuracy and vide an adequate urine or breathe sam- timeliness of each report submitted by ple. an employer, contractor, consortium or (2) Records related to test results: joint enterprise or by a third party (i) The employer’s copy of the cus- service provider acting on the recipi- tody and control form. ent’s or employer’s behalf.

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(d) As an employer, you must use the in 49 CFR part 40) may prepare the MIS Management Information System report on behalf of an employer. How- (MIS) form and instructions as re- ever, a company official (e.g., Des- quired by 49 CFR part 40, § 40.25 and ap- ignated Employer Representative as pendix H. You may also use the elec- defined in 49 CFR part 40) must certify tronic version of the MIS form pro- the accuracy and completeness of the vided by the DOT. The Administrator MIS report, no matter who prepares it. may designate means (e.g., electronic [66 FR 42002, Aug. 9, 2001, as amended at 68 program transmitted via the Internet), FR 75462, Dec. 31, 2003] other than hard-copy, for MIS form submission. For information on where § 655.73 Access to facilities and to submit MIS forms and for the elec- records. tronic version of the form, see: http:// (a) Except as required by law, or ex- transit-safety.volpe.dot.gov/DAMIS. pressly authorized or required in this (e) To calculate the total number of section, no employer may release infor- covered employees eligible for random mation pertaining to a covered em- testing throughout the year, as an employee that is contained in records re- ployer, you must add the total number quired to be maintained by § 655.71. of covered employees eligible for test- (b) A covered employee is entitled, ing during each random testing period upon written request, to obtain copies for the year and divide that total by of any records pertaining to the cov- the number of random testing periods. ered employee’s use of prohibited drugs Covered employees, and only covered or misuse of alcohol, including any employees, are to be in an employer’s records pertaining to his or her drug or random testing pool, and all covered alcohol tests. The employer shall pro- employees must be in the random pool. vide promptly the records requested by If you are an employer conducting ran- the employee. Access to a covered em- dom testing more often than once per ployee’s records shall not be contin- month (e.g., you select daily, weekly, gent upon the employer’s receipt of bi-weekly), you do not need to compute payment for the production of those this total number of covered employees records. rate more than on a once per month (c) An employer shall permit access basis. As an employer, you may use a to all facilities utilized and records service agent (e.g., C/TPA) to perform compiled in complying with the re- random selections for you; and your quirements of this part to the Sec- covered employees may be part of a retary of Transportation or any DOT larger random testing pool of covered agency with regulatory authority over employees. However, you must ensure the employer or any of its employees that the service agent you use is test- or to a State oversight agency author- ing at the appropriate percentage es- ized to oversee rail fixed guideway sys- tablished for your industry and that tems. only covered employees are in the ran- (d) An employer shall disclose data dom testing pool. for its drug and alcohol testing pro- (f) If you have a covered employee grams, and any other information per- who performs multi-DOT agency func- taining to the employer’s anti-drug and tions (e.g., an employee drives a para- alcohol misuse programs required to be transit vehicle and performs pipeline maintained by this part, to the Sec- maintenance duties for you), count the retary of Transportation or any DOT employee only on the MIS report for agency with regulatory authority over the DOT agency under which he or she the employer or covered employee or is random tested. Normally, this will to a State oversight agency authorized be the DOT agency under which the to oversee rail fixed guideway systems, employee performs more than 50% of upon the Secretary’s request or the re- his or her duties. Employers may have spective agency’s request. to explain the testing data for these (e) When requested by the National employees in the event of a DOT agen- Transportation Safety Board as part of cy inspection or audit. an accident investigation, employers (g) A service agent (e.g., Consortia/ shall disclose information related to Third Party Administrator as defined the employer’s drug or alcohol testing

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related to the accident under investiga- sult in the suspension of a grantee’s tion. eligibility for Federal funding. (f) Records shall be made available to (b) Criminal violation. A recipient is a subsequent employer upon receipt of subject to criminal sanctions and fines a written request from the covered em- for false statements or misrepresenta- ployee. Subsequent disclosure by the tions under 18 U.S.C. 1001. employer is permitted only as ex- (c) State’s role. Each State shall cer- pressly authorized by the terms of the tify compliance on behalf of its 49 covered employee’s request. U.S.C. 5307, 5309, 5311 or 23 U.S.C. (g) An employer may disclose infor- 103(e)(4) subrecipients, as applicable. In mation required to be maintained so certifying, the State shall ensure under this part pertaining to a covered that each subrecipient is complying employee to the employee or the deci- with the requirements of this part. A sionmaker in a lawsuit, grievance, or section 5307, 5309, 5311 or 103(e)(4) sub- other proceeding initiated by or on be- recipient, through the administering half of the individual, and arising from State, is subject to suspension of fund- the results of a drug or alcohol test ing from the State if such subrecipient under this part (including, but not lim- is not in compliance with this part. ited to, a worker’s compensation, un- employment compensation, or other § 655.83 Requirement to certify compli- proceeding relating to a benefit sought ance. by the covered employee.) (h) An employer shall release infor- (a) A recipient of FTA financial as- mation regarding a covered employee’s sistance shall annually certify compli- record as directed by the specific, writ- ance, as set forth in § 655.82, to the ap- ten consent of the employee author- plicable FTA Regional Office. izing release of the information to an (b) A certification must be author- identified person. ized by the organization’s governing (i) An employer may disclose drug board or other authorizing official, and and alcohol testing information re- must be signed by a party specifically quired to be maintained under this authorized to do so. part, pertaining to a covered employee, (c) A recipient will be ineligible for to the State oversight agency or grant- further FTA financial assistance if the ee required to certify to FTA compli- recipient fails to establish and imple- ance with the drug and alcohol testing ment an anti-drug and alcohol misuse procedures of 49 CFR parts 40 and 655. program in accordance with this part. (d) FTA may determine that a recipi- §§ 655.74–655.80 [Reserved] ent, who fails to comply with the USCG chemical and alcohol testing re- Subpart I—Certifying Compliance quirements, shall be in noncompliance with the alcohol misuse and controlled § 655.81 Grantee oversight responsibility. substances testing requirements of this part. A finding of noncompliance by A grantee shall ensure that the re- FTA may lead to the suspension of eli- cipients of funds under 49 U.S.C. 5307, gibility for Federal public transpor- 5309, 5311 or 23 U.S.C. 103(e)(4) comply tation funding. with this part. [66 FR 42002, Aug. 9, 2001, as amended at 71 § 655.82 Compliance as a condition of FR 69198, Nov. 30, 2006] financial assistance. (a) General. A recipient may not be PART 659—RAIL FIXED GUIDEWAY eligible for Federal financial assistance SYSTEMS; STATE SAFETY OVERSIGHT under 49 U.S.C. 5307, 5309, or 5311 or under 23 U.S.C. 103(e)(4), if a recipient Subpart A—General Provisions fails to establish and implement an anti-drug and alcohol misuse program Sec. as required by this part. Failure to cer- 659.1 Purpose. tify compliance with these require- 659.3 Scope. ments, as specified in § 655.83, may re- 659.5 Definitions.

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Subpart B—Role of the State the schedule for implementing those actions. 659.7 Withholding of funds for noncompliance. FRA means the Federal Railroad Ad- 659.9 Designation of oversight agency. ministration, an agency within the 659.11 Confidentiality of investigation re- U.S. Department of Transportation. ports and security plans. FTA means the Federal Transit Ad- ministration, an agency within the Subpart C—Role of the State Oversight U.S. Department of Transportation. Agency Hazard means any real or potential 659.13 Overview. condition (as defined in the rail transit 659.15 System safety program standard. agency’s hazard management process) 659.17 System safety program plan: general that can cause injury, illness, or death; requirements. damage to or loss of a system, equip- 659.19 System safety program plan: con- ment or property; or damage to the en- tents. vironment. 659.21 System security plan: general requirements. Individual means a passenger; em- 659.23 System security plan: contents. ployee; contractor; other rail transit 659.25 Annual review of system safety pro- facility worker; pedestrian; trespasser; gram plan and system security plan. or any person on rail transit-controlled 659.27 Internal safety and security reviews. property. 659.29 Oversight agency safety and security Investigation means the process used reviews. 659.31 Hazard management process. to determine the causal and contrib- 659.33 Accident notification. uting factors of an accident or hazard, 659.35 Investigations. so that actions can be identified to pre- 659.37 Corrective action plans. vent recurrence. 659.39 Oversight agency reporting to the New Starts Project means any rail Federal Transit Administration. fixed guideway system funded under 659.41 Conflict of interest. FTA’s 49 U.S.C. 5309 discretionary con- 659.43 Certification of compliance. struction program. AUTHORITY: 49 U.S.C. 5330. Oversight Agency means the entity, SOURCE: 70 FR 22578, Apr. 29, 2005, unless other than the rail transit agency, des- otherwise noted. ignated by the state or several states to implement this part. Subpart A—General Provisions Passenger means a person who is on board, boarding, or alighting from a § 659.1 Purpose. rail transit vehicle for the purpose of This part implements 49 U.S.C. 5330 travel. by requiring a state to oversee the Passenger Operations means the pe- safety and security of rail fixed guide- riod of time when any aspect of rail way systems through a designated transit agency operations are initiated oversight agency. with the intent to carry passengers. Program Standard means a written § 659.3 Scope. document developed and adopted by This part applies only to states with the oversight agency, that describes rail fixed guideway systems, as defined the policies, objectives, responsibil- in this part. ities, and procedures used to provide rail transit agency safety and security § 659.5 Definitions. oversight. Contractor means an entity that per- Rail Fixed Guideway System means forms tasks required on behalf of the any light, heavy, or rapid rail system, oversight or rail transit agency. The monorail, inclined plane, funicular, rail transit agency may not be a con- trolley, or automated guideway that: tractor for the oversight agency. (1) Is not regulated by the Federal Corrective action plan means a plan Railroad Administration; and developed by the rail transit agency (2) Is included in FTA’s calculation of that describes the actions the rail tran- fixed guideway route miles or receives sit agency will take to minimize, con- funding under FTA’s formula program trol, correct, or eliminate hazards, and for urbanized areas (49 U.S.C. 5336); or

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(3) Has submitted documentation to § 659.9 Designation of oversight agen- FTA indicating its intent to be in- cy. cluded in FTA’s calculation of fixed (a) General requirement. Each state guideway route miles to receive fund- with an existing or anticipated rail ing under FTA’s formula program for fixed guideway system regulated by urbanized areas (49 U.S.C. 5336). Rail Transit Agency means an entity this part shall designate an oversight that operates a rail fixed guideway sys- agency consistent with the provisions tem. of this section. For a rail fixed guide- Rail Transit-Controlled Property means way system that will operate in only property that is used by the rail transit one state, the state must designate an agency and may be owned, leased, or agency of the state, other than the rail maintained by the rail transit agency. transit agency, as the oversight agency Rail Transit Vehicle means the rail to implement the requirements in this transit agency’s rolling stock, includ- part. The state’s designation or re-des- ing but not limited to passenger and ignation of its oversight agency and maintenance vehicles. submission of required information as Safety means freedom from harm re- specified in this section, are subject to sulting from unintentional acts or cir- review by FTA. cumstances. (b) Exception. States which have des- Security means freedom from harm ignated oversight agencies for purposes resulting from intentional acts or cir- of this part before May 31, 2005 are not cumstances. required to re-designate to FTA. State means a State of the United States, the District of Columbia, Puer- (c) Timing. The state designation of to Rico, the Northern Mariana Islands, the oversight agency shall: Guam, American Samoa, and the Vir- (1) Coincide with the execution of gin Islands. any grant agreement for a New Starts System Safety Program Plan means a project between FTA and a rail transit document developed and adopted by agency within the state’s jurisdiction; the rail transit agency, describing its or safety policies, objectives, responsibil- (2) Occur before the application by a ities, and procedures. rail transit agency for funding under System Security Plan means a docu- FTA’s formula program for urbanized ment developed and adopted by the rail areas (49 U.S.C. 5336). transit agency describing its security (d) Notification to FTA. Within (60) policies, objectives, responsibilities, days of designation of the oversight and procedures. agency, the state must submit to FTA the following: Subpart B—Role of the State (1) The name of the oversight agency designated to implement requirements § 659.7 Withholding of funds for non- in this part; compliance. (2) Documentation of the oversight (a) The Administrator of the FTA agency’s authority to provide state may withhold up to five percent of the oversight; amount required to be distributed to (3) Contact information for the rep- any state or affected urbanized area in resentative identified by the des- such state under FTA’s formula pro- ignated oversight agency with respon- gram for urbanized areas, if: (1) The state in the previous fiscal sibility for oversight activities; year has not met the requirements of (4) A description of the organiza- this part; and tional and financial relationship be- (2) The Administrator determines tween the designated oversight agency that the state is not making adequate and the rail transit agency; and efforts to comply with this part. (5) A schedule for the designated (b) The Administrator may agree to agency’s development of its State Safe- restore withheld formula funds, if com- ty Oversight Program, including the pliance is achieved within two years projected date of its initial submission, (See 49 U.S.C. 5330). as required in § 659.39(a).

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(e) Multiple states. In cases of a rail ious requirements for the state over- fixed guideway system that will oper- sight agency. ate in more than one state, each affected state must designate an agency § 659.15 System safety program stand- of the state, other than the rail transit ard. agency, as the oversight agency to im- (a) General requirement. Each state plement the requirements in this part. oversight agency shall develop and dis- To fulfill this requirement, the affected tribute a program standard. The pro- states: gram standard is a compilation of proc- (1) May agree to designate one agen- esses and procedures that governs the cy of one state, or an agency represent- conduct of the oversight program at ative of all states, to implement the re- the state oversight agency level, and quirements in this part; and provides guidance to the regulated rail (2) In the event multiple states share transit properties concerning processes oversight responsibility for a rail fixed and procedures they must have in place guideway system, the states must en- to be in compliance with the state safe- sure that the rail fixed guideway sys- ty oversight program. The program tem is subject to a single program standard and any referenced program standard, adopted by all affected procedures must be submitted to FTA states. as part of the initial submission. Sub- (f) Change of designation. Should a sequent revisions and updates must be state change its designated oversight submitted to FTA as part of the over- agency, it shall submit the information sight agency’s annual submission. required under paragraph (d) of this (b) Contents. Each oversight agency section to FTA within (30) days of its shall develop a written program stand- change. In addition, the new oversight ard that meets the requirements speci- agency must submit a new initial sub- fied in this part and includes, at a min- mission, consistent with § 659.39(b), imum, the areas identified in this sec- within (30) days of its designation. tion. (1) Program management section. This § 659.11 Confidentiality of investiga- section shall include an explanation of tion reports and security plans. the oversight agency’s authority, poli- (a) A state may withhold an inves- cies, and roles and responsibilities for tigation report that may have been providing safety and security oversight prepared or adopted by the oversight of the rail transit agencies within its agency from being admitted as evi- jurisdiction. This section shall provide dence or used in a civil action for dam- an overview of planned activities to en- ages resulting from a matter men- sure on-going communication with tioned in the report. each affected rail transit agency relat- (b) This part does not require public ing to safety and security information, availability of the rail transit agency’s as well as FTA reporting requirements, security plan and any referenced proce- including initial, annual and periodic dures. submissions. (2) Program standard development section. This section shall include a de- Subpart C—Role of the State scription of the oversight agency’s Oversight Agency process for the development, review, and adoption of the program standard, § 659.13 Overview. the modification and/or update of the The state oversight agency is respon- program standard, and the process by sible for establishing standards for rail which the program standard and any safety and security practices and pro- subsequent revisions are distributed to cedures to be used by rail transit agen- each affected rail transit agency. cies within its purview. In addition, the (3) Oversight of rail transit agency instate oversight agency must oversee ternal safety and security reviews. This the execution of these practices and section shall specify the role of the procedures, to ensure compliance with oversight agency in overseeing the rail the provisions of this part. This sub- transit agency internal safety and se- part identifies and describes the var- curity review process. This includes a

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description of the process used by the rail transit agency relating to inves- oversight agency to receive rail transit tigation findings and corrective action agency checklists and procedures and plan development. approve the rail transit agency’s an- (8) System safety program plan section. nual reports on findings, which must be This section shall specify the minimum submitted under the signature of the requirements to be contained in the rail transit agency’s top management. rail transit agency’s system safety pro- (4) Oversight agency safety and security gram plan. The contents of the system review section. This section shall lay safety plan are discussed in more detail out the process and criteria to be used in § 659.19 of this part. This section at least every three years in con- shall also specify information to be in- ducting a complete review of each af- cluded in the affected rail transit agen- fected rail transit agency’s implemen- cy’s system safety program plan relat- tation of its system safety program ing to the hazard management process, plan and system security plan. This including requirements for on-going section includes the process to be used by the affected rail transit agency and communication and coordination relat- the oversight agency to manage finding to the identification, categoriza- ings and recommendations from this tion, resolution, and reporting of haz- review. This also includes procedures ards to the oversight agency. More de- for notifying the oversight agency be- tails on the hazard management proc- fore the rail transit agency conducts ess are contained in § 659.31 of this part. an internal review. This section shall also describe the (5) Accident notification section. This process and timeframe through which section shall include the specific re- the oversight agency must receive, requirements for the rail transit agency view, and approve the rail transit agen- to notify the oversight agency of acci- cy system safety program plan. dents. This section shall also include (9) System security plan section. This required timeframes, methods of notifi- section shall specify the minimum re- cation, and the information to be sub- quirements to be included in the rail mitted by the rail transit agency. Ad- transit agency’s system security plan. ditional detail on this portion is in- More details about the system security cluded in § 659.33 of this part. plan are contained in §§ 659.21 through (6) Investigations section. This section 659.23 of this part. This section shall contains the oversight agency identi- also describe the process by which the fication of the thresholds for incidents oversight agency will review and ap- that require an oversight agency inves- prove the rail transit agency system tigation. The roles and responsibilities security program plan. This section for conducting investigations shall in- also shall identify how the state will clude: coordination with the rail tran- prevent the system security plan from sit agency investigation process, the public disclosure. role of the oversight agency in supporting investigations and findings § 659.17 System safety program plan: conducted by the NTSB, review and general requirements. concurrence of investigation report findings, and procedures for protecting (a) The oversight agency shall re- the confidentiality of investigation require the rail transit agency to develop ports. and implement a written system safety (7) Corrective actions section. This sec- program plan that complies with re- tion shall specify oversight agency cri- quirements in this part and the over- teria for the development of corrective sight agency’s program standard. action plan(s) and the process for the (b) The oversight agency shall review review and approval of a corrective ac- and approve the rail transit agency tion plan developed by the rail transit system safety program plan. agency. This section shall also identify (c) After approval, the oversight the oversight agency’s policies for the agency shall issue a formal letter of ap- verification and tracking of corrective proval to the rail transit agency, inaction plan implementation, and its cluding the checklist used to conduct process for managing conflicts with the the review.

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§ 659.19 System safety program plan: (g) A description of the process used contents. by the rail transit agency to ensure The system safety plan shall include, that safety concerns are addressed in at a minimum: modifications to existing systems, ve- (a) A policy statement signed by the hicles, and equipment, which do not re- agency’s chief executive that endorses quire formal safety certification but the safety program and describes the which may have safety impacts. authority that establishes the system (h) A description of the safety certifi- safety program plan. cation process required by the rail (b) A clear definition of the goals and transit agency to ensure that safety objectives for the safety program and concerns and hazards are adequately stated management responsibilities to addressed prior to the initiation of pas- ensure they are achieved. senger operations for New Starts and (c) An overview of the management subsequent major projects to extend, structure of the rail transit agency, in- rehabilitate, or modify an existing sys- cluding: tem, or to replace vehicles and equip- (1) An organization chart; ment. (2) A description of how the safety (i) A description of the process used function is integrated into the rest of to collect, maintain, analyze, and dis- the rail transit organization; and tribute safety data, to ensure that the (3) Clear identification of the lines of safety function within the rail transit authority used by the rail transit agen- organization receives the necessary in- cy to manage safety issues. formation to support implementation (d) The process used to control of the system safety program. changes to the system safety program (j) A description of the process used plan, including: by the rail transit agency to perform (1) Specifying an annual assessment accident notification, investigation of whether the system safety program and reporting, including: plan should be updated; and (1) Notification thresholds for inter- (2) Required coordination with the nal and external organizations; oversight agency, including time- (2) Accident investigation process frames for submission, revision, and and references to procedures; approval. (3) The process used to develop, im- (e) A description of the specific ac- plement, and track corrective actions tivities required to implement the sys- that address investigation findings; tem safety program, including: (4) Reporting to internal and external (1) Tasks to be performed by the rail organizations; and transit safety function, by position and (5) Coordination with the oversight management accountability, specified agency. in matrices and/or narrative format; (k) A description of the process used and by the rail transit agency to develop an (2) Safety-related tasks to be per- approved, coordinated schedule for all formed by other rail transit depart- emergency management program ac- ments, by position and management tivities, which include: accountability, specified in matrices (1) Meetings with external agencies; and/or narrative format. (2) Emergency planning responsibil- (f) A description of the process used ities and requirements; by the rail transit agency to imple- (3) Process used to evaluate emer- ment its hazard management program, gency preparedness, such as annual including activities for: emergency field exercises; (1) Hazard identification; (4) After action reports and imple- (2) Hazard investigation, evaluation mentation of findings; and analysis; (5) Revision and distribution of emer- (3) Hazard control and elimination; gency response procedures; (4) Hazard tracking; and (6) Familiarization training for pub- (5) Requirements for on-going report- lic safety organizations; and ing to the oversight agency relating to (7) Employee training. hazard management activities and sta- (l) A description of the process used tus. by the rail transit agency to ensure

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that planned and scheduled internal (p) A description of the training and safety reviews are performed to evalu- certification program for employees ate compliance with the system safety and contractors, including: program plan, including: (1) Categories of safety-related work (1) Identification of departments and requiring training and certification; functions subject to review; (2) A description of the training and (2) Responsibility for scheduling re- certification program for employees views; and contractors in safety-related posi- (3) Process for conducting reviews, tions; including the development of check- (3) Process used to maintain and ac- lists and procedures and the issuing of cess employee and contractor training findings; records; and (4) Process used to assess compliance (4) Review of reporting requirements; with training and certification require- (5) Tracking the status of implements. mented recommendations; and (q) A description of the configuration (6) Coordination with the oversight management control process, includ- agency. ing: (m) A description of the process used (1) The authority to make configura- by the rail transit agency to develop, tion changes; maintain, and ensure compliance with (2) Process for making changes; and rules and procedures having a safety (3) Assurances necessary for formally impact, including: notifying all involved departments. (1) Identification of operating and (r) A description of the safety pro- maintenance rules and procedures sub- gram for employees and contractors ject to review; that incorporates the applicable local, (2) Techniques used to assess the im- state, and federal requirements, includ- plementation of operating and mainte- ing: nance rules and procedures by employ- (1) Safety requirements that employees, such as performance testing; ees and contractors must follow when (3) Techniques used to assess the ef- working on, or in close proximity to, fectiveness of supervision relating to rail transit agency property; and the implementation of operating and (2) Processes for ensuring the em- maintenance rules; and ployees and contractors know and fol- (4) Process for documenting results low the requirements. and incorporating them into the hazard (s) A description of the hazardous management program. materials program, including the proc- (n) A description of the process used ess used to ensure knowledge of and for facilities and equipment safety in- compliance with program require- spections, including: ments. (t) A description of the drug and alco- (1) Identification of the facilities and hol program and the process used to equipment subject to regular safety-re- ensure knowledge of and compliance lated inspection and testing; with program requirements. (2) Techniques used to conduct in- (u) A description of the measures, spections and testing; controls, and assurances in place to en- (3) Inspection schedules and proce- sure that safety principles, require- dures; and ments and representatives are included (4) Description of how results are en- in the rail transit agency’s procure- tered into the hazard management ment process. process. (o) A description of the maintenance § 659.21 System security plan: general audits and inspections program, includ- requirements. ing identification of the affected facili- (a) The oversight agency shall re- ties and equipment, maintenance cy- quire the rail transit agency to imple- cles, documentation required, and the ment a system security plan that, at a process for integrating identified prob- minimum, complies with requirements lems into the hazard management in this part and the oversight agency’s process. program standard. The system security

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plan must be developed and maintained letter of approval to the rail transit as a separate document and may not be agency. part of the rail transit agency’s system (c) In the event the rail transit agen- safety program plan. cy’s system security plan is modified, (b) The oversight agency may pro- the rail transit agency must make the hibit a rail transit agency from pub- modified system security plan and ac- licly disclosing the system security companying procedures available to plan. the oversight agency for review, con- (c) After approving the system secu- sistent with requirements specified in rity plan, the oversight agency shall § 659.23(e) of this part. After the plan is issue a formal letter of approval, in- approved, the oversight agency shall cluding the checklist used to conduct issue a formal letter of approval to the the review, to the rail transit agency. rail transit agency.

§ 659.23 System security plan: con- § 659.27 Internal safety and security tents. reviews. The system security plan must, at a (a) The oversight agency shall re- minimum address the following: quire the rail transit agency to develop (a) Identify the policies, goals, and and document a process for the per- objectives for the security program en- formance of on-going internal safety dorsed by the agency’s chief executive. and security reviews in its system safe- (b) Document the rail transit agen- ty program plan. cy’s process for managing threats and (b) The internal safety and security vulnerabilities during operations, and review process must, at a minimum: for major projects, extensions, new ve- (1) Describe the process used by the hicles and equipment, including inte- rail transit agency to determine if all gration with the safety certification identified elements of its system safety process; program plan and system security plan (c) Identify controls in place that ad- are performing as intended; and dress the personal security of pas- (2) Ensure that all elements of the sengers and employees; system safety program plan and sys- (d) Document the rail transit agen- tem security plan are reviewed in an cy’s process for conducting internal se- on-going manner and completed over a curity reviews to evaluate compliance three-year cycle. and measure the effectiveness of the (c) The rail transit agency must no- system security plan; and tify the oversight agency at least thir- (e) Document the rail transit agen- ty (30) days before the conduct of cy’s process for making its system se- scheduled internal safety and security curity plan and accompanying proce- reviews. dures available to the oversight agency for review and approval. (d) The rail transit agency shall submit to the oversight agency any check- § 659.25 Annual review of system safe- lists or procedures it will use during ty program plan and system secu- the safety portion of its review. rity plan. (e) The rail transit agency shall (a) The oversight agency shall re- make available to the oversight agency quire the rail transit agency to con- any checklists or procedures subject to duct an annual review of its system the security portion of its review, con- safety program plan and system secu- sistent with § 659.23(e). rity plan. (f) The oversight agency shall require (b) In the event the rail transit agen- the rail transit agency to annually sub- cy’s system safety program plan is mit a report documenting internal modified, the rail transit agency must safety and security review activities submit the modified plan and any sub- and the status of subsequent findings sequently modified procedures to the and corrective actions. The security oversight agency for review and ap- part of this report must be made avail- proval. After the plan is approved, the able for oversight agency review, con- oversight agency must issue a formal sistent with § 659.23(e).

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(g) The annual report must be accom- (2) Specify the sources of, and the panied by a formal letter of certifi- mechanisms to support, the on-going cation signed by the rail transit agen- identification of hazards; cy’s chief executive, indicating that (3) Define the process by which iden- the rail transit agency is in compliance tified hazards will be evaluated and with its system safety program plan prioritized for elimination or control; and system security plan. (4) Identify the mechanism used to (h) If the rail transit agency deter- track through resolution the identified mines that findings from its internal hazard(s); safety and security reviews indicate (5) Define minimum thresholds for that the rail transit agency is not in the notification and reporting of haz- compliance with its system safety pro- ard(s) to oversight agencies; and gram plan or system security plan, the (6) Specify the process by which the chief executive must identify the activities the rail transit agency will rail transit agency will provide on- take to achieve compliance. going reporting of hazard resolution (i) The oversight agency must for- activities to the oversight agency. mally review and approve the annual § 659.33 Accident notification. report. (a) The oversight agency must re- § 659.29 Oversight agency safety and quire the rail transit agency to notify security reviews. the oversight agency within two (2) At least every three (3) years, begin- hours of any incident involving a rail ning with the initiation of rail transit transit vehicle or taking place on rail agency passenger operations, the over- transit-controlled property where one sight agency must conduct an on-site or more of the following occurs: review of the rail transit agency’s im- (1) A fatality at the scene; or where plementation of its system safety pro- an individual is confirmed dead within gram plan and system security plan. thirty (30) days of a rail transit-related Alternatively, the on-site review may incident; be conducted in an on-going manner (2) Injuries requiring immediate med- over the three year timeframe. At the ical attention away from the scene for conclusion of the review cycle, the two or more individuals; oversight agency must prepare and (3) Property damage to rail transit issue a report containing findings and vehicles, non-rail transit vehicles, recommendations resulting from that other rail transit property or facilities review, which, at a minimum, must in- and non-transit property that equals or clude an analysis of the effectiveness of exceeds $25,000; the system safety program plan and (4) An evacuation due to life safety the security plan and a determination reasons; of whether either should be updated. (5) A collision at a grade crossing; § 659.31 Hazard management process. (6) A main-line derailment; (a) The oversight agency must re- (7) A collision with an individual on a quire the rail transit agency to develop rail right of way; or and document in its system safety pro- (8) A collision between a rail transit gram plan a process to identify and re- vehicle and a second rail transit vehi- solve hazards during its operation, in- cle, or a rail transit non-revenue vehi- cluding any hazards resulting from cle. subsequent system extensions or modi- (b) The oversight agency shall re- fications, operational changes, or other quire rail transit agencies that share changes within the rail transit envi- track with the general railroad system ronment. and are subject to the Federal Railroad (b) The hazard management process Administration notification require- must, at a minimum: ments, to notify the oversight agency (1) Define the rail transit agency’s within two (2) hours of an incident for approach to hazard management and which the rail transit agency must also the implementation of an integrated notify the Federal Railroad Adminis- system-wide hazard resolution process; tration.

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(c) The oversight agency shall iden- (f) The oversight agency shall have tify in its program standard the meth- the authority to require periodic status od of notification and the information reports that document investigation to be provided by the rail transit agen- activities and findings in a time frame cy determined by the oversight agency.

§ 659.35 Investigations. § 659.37 Corrective action plans. (a) The oversight agency must inves- (a) The oversight agency must, at a tigate, or cause to be investigated, at a minimum, require the development of minimum, any incident involving a rail a corrective action plan for the fol- transit vehicle or taking place on rail lowing: transit-controlled property meeting (1) Results from investigations, in the notification thresholds identified which identified causal and contrib- in § 659.33(a). uting factors are determined by the (b) The oversight agency must use its rail transit agency or oversight agency own investigation procedures or those as requiring corrective actions; and that have been formally adopted from (2) Findings from safety and security the rail transit agency and that have reviews performed by the oversight been submitted to FTA. agency. (c) In the event the oversight agency (b) Each corrective action plan authorizes the rail transit agency to should identify the action to be taken conduct investigations on its behalf, it by the rail transit agency, an imple- must do so formally and require the mentation schedule, and the individual rail transit agency to use investigation or department responsible for the im- procedures that have been formally ap- plementation. proved by the oversight agency. (c) The corrective action plan must (d) Each investigation must be docu- be reviewed and formally approved by mented in a final report that includes a the oversight agency. description of investigation activities, identified causal and contributing fac- (d) The oversight agency must estab- tors, and a corrective action plan. lish a process to resolve disputes be- (e) A final investigation report must tween itself and the rail transit agency be formally adopted by the oversight resulting from the development or en- agency for each accident investigation. forcement of a corrective action plan. (1) If the oversight agency has con- (e) The oversight agency must iden- ducted the investigation, it must for- tify the process by which findings from mally transmit its final investigation an NTSB accident investigation will be report to the rail transit agency. evaluated to determine whether or not (2) If the oversight agency has au- a corrective action plan should be de- thorized an entity other than itself (in- veloped by either the oversight agency cluding the rail transit agency) to con- or rail transit agency to address NTSB duct the accident investigation on its findings. behalf, the oversight agency must re- (f) The rail transit agency must pro- view and formally adopt the final in- vide the oversight agency: vestigation report. (1) Verification that the corrective (3) If the oversight agency does not action(s) has been implemented as de- concur with the findings of the rail scribed in the corrective action plan, or transit agency investigation report, it that a proposed alternate action(s) has must either: been implemented subject to oversight (i) Conduct its own investigation ac- agency review and approval; and cording to paragraphs (b), (d) and (e)(1) (2) Periodic reports requested by the of this section; or oversight agency, describing the status (ii) Formally transmit its dissent to of each corrective action(s) not com- the findings of the accident investiga- pletely implemented, as described in tion, report its dissent to the rail tran- the corrective action plan. sit agency, and negotiate with the rail (g) The oversight agency must mon- transit agency until a resolution on itor and track the implementation of the findings is reached. each approved corrective action plan.

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§ 659.39 Oversight agency reporting to (d) Periodic submission. FTA retains the Federal Transit Administration. the authority to periodically request (a) Initial submission. Each designated program information. oversight agency with a rail fixed (e) Electronic reporting. All submis- guideway system that is in passenger sions to FTA required in this part must operations as of April 29, 2005 or will be submitted electronically using a re- begin passenger operations by May 1, porting system specified by FTA. 2006, must make its initial submission § 659.41 Conflict of interest. to FTA by May 1, 2006. In states with rail fixed guideway systems initiating The oversight agency shall prohibit a passenger operations after May 1, 2006, party or entity from providing services the designated oversight agency must to both the oversight agency and rail make its initial submission within the transit agency when there is a conflict time frame specified by the state in its of interest, as defined by the state. designation submission, but not later than at least sixty (60) days prior to § 659.43 Certification of compliance. initiation of passenger operations. Any (a) Annually, the oversight agency time a state changes its designated must certify to the FTA that it has oversight agency to carry out the re- complied with the requirements of this quirements identified in this part, the part. new oversight agency must make a new (b) The oversight agency must sub- initial submission to FTA within thir- mit each certification electronically to ty (30) days of the designation. FTA using a reporting system specified (b) An initial submission must in- by FTA. clude the following: (c) The oversight agency must main- (1) Oversight agency program stand- tain a signed copy of each annual cer- ard and referenced procedures; and tification to FTA, subject to audit by (2) Certification that the system safe- FTA. ty program plan and the system security plan have been developed, re- PART 661—BUY AMERICA viewed, and approved. REQUIREMENTS (c) Annual submission. Before March 15 of each year, the oversight agency Sec. must submit the following to FTA: 661.1 Applicability. (1) A publicly available annual report 661.3 Definitions. summarizing its oversight activities 661.5 General requirements. for the preceding twelve months, in- 661.6 Certification requirements for procurement of steel or manufactured prod- cluding a description of the causal fac- ucts. tors of investigated accidents, status of 661.7 Waivers. corrective actions, updates and modi- 661.9 Application for waivers. fications to rail transit agency pro- 661.11 Rolling stock procurements. gram documentation, and the level of 661.12 Certification requirement for pro- effort used by the oversight agency to curement of buses, other rolling stock carry out its oversight activities. and associated equipment. (2) A report documenting and track- 661.13 Grantee responsibility. ing findings from three-year safety re- 661.15 Investigation procedures. 661.17 Failure to comply with certification. view activities, and whether a three- 661.18 Intentional violations. year safety review has been completed 661.19 Sanctions. since the last annual report was sub- 661.20 Rights of parties. mitted. 661.21 State Buy America provisions. (3) Program standard and supporting AUTHORITY: 49 U.S.C. 5323(j) (formerly sec. procedures that have changed during 165 of the Surface Transportation Assistance the preceding year. Act of 1982 (Pub. L. 97–424); as amended by (4) Certification that any changes or sec. 337, Pub. L. 100–17; sec. 1048, Pub. L. 102– modifications to the rail transit agen- 240; sec. 3020(b), Pub. L. 105–178; and sec. cy system safety program plan or sys- 3023(i) and (k), Pub. L. 109–59); 49 CFR 1.51. tem security plan have been reviewed SOURCE: 56 FR 932, Jan. 9, 1991, unless oth- and approved by the oversight agency. erwise noted.

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§ 661.1 Applicability. motives, trolley cars and buses, and ferry boats, as well as vehicles used for Unless otherwise noted, this part ap- support services. plies to all federally assisted procure- System means a machine, product, or ments using funds authorized by 49 device, or a combination of such equip- U.S.C. 5323(j); 23 U.S.C. 103(e)(4); and ment, consisting of individual compo- section 14 of the National Capital nents, whether separate or inter- Transportation Act of 1969, as amend- connected by piping, transmission deed. vices, electrical cables or circuitry, or [56 FR 932, Jan. 9, 1991, as amended at 72 FR by other devices, which are intended to 53696, Sept. 20, 2007] contribute together to a clearly defined function. Factors to consider in § 661.3 Definitions. determining whether a system con- As used in this part: stitutes an end product include: Wheth- Act means the Federal Public Trans- er performance warranties apply to an portation Law (49 U.S.C. Chapter 53). integrated system (regardless of wheth- Administrator means the Adminis- er components are separately trator of FTA, or designee. warranteed); whether products perform Component means any article, mate- on an integrated basis with other prod- rial, or supply, whether manufactured ucts in a system, or are operated inde- or unmanufactured, that is directly in- pendently of associated products in the corporated into the end product at the system; or whether transit agencies final assembly location. routinely procure a product separately Contractor means a party to a third (other than as replacement or spare party contract other than the grantee. parts). End product means any vehicle, struc- United States means the several ture, product, article, material, supply, States, the Commonwealth of Puerto or system, which directly incorporates Rico, the District of Columbia, Guam, constituent components at the final as- American Samoa, the U.S. Virgin Is- sembly location, that is acquired for lands, and the Commonwealth of the public use under a federally-funded Northern Mariana Islands. third-party contract, and which is APPENDIX A TO § 661.3—END PRODUCTS ready to provide its intended end function or use without any further manu- The following is a list of representative facturing or assembly change(s). A list end products that are subject to the require- of representative end products is in- ments of Buy America. This list is representative, not exhaustive. cluded at Appendix A to this section. (1) Rolling stock end products: All individual FTA means the Federal Transit Ad- items identified as rolling stock in § 661.3 ministration. (e.g., buses, vans, cars, railcars, locomotives, Grantee means any entity that is a trolley cars and buses, ferry boats, as well as recipient of FTA funds. vehicles used for support services); train con- Manufactured product means an item trol, communication, and traction power produced as a result of the manufac- equipment that meets the definition of end product at § 661.3 (e.g., a communication or turing process. traction power system, including manufac- Manufacturing process means the ap- tured bimetallic power rail). plication of processes to alter the form (2) Steel and iron end products: Items made or function of materials or of elements primarily of steel or iron such as structures, of the product in a manner adding bridges, and track work, including running value and transforming those materials rail, contact rail, and turnouts. or elements so that they represent a (3) Manufactured end products: Infrastruc- new end product functionally different ture projects not made primarily of steel or iron, including structures (terminals, depots, from that which would result from garages, and bus shelters), ties and ballast; mere assembly of the elements or ma- contact rail not made primarily of steel or terials. iron; fare collection systems; computers; in- Negotiated procurement means a con- formation systems; security systems; data tract awarded using other than sealed processing systems; and mobile lifts, hoists, bidding procedures. and elevators. Rolling stock means transit vehicles [72 FR 53696, Sept. 20, 2007, as amended at 74 such as buses, vans, cars, railcars, loco- FR 30239, June 25, 2009]

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§ 661.5 General requirements. ments of 49 U.S.C. 5323(j)(1), and the ap- (a) Except as provided in § 661.7 and plicable regulations in 49 CFR part 661. § 661.11 of this part, no funds may be ob- Date lllllllllllllllllllll ligated by FTA for a grantee project Signature llllllllllllllllll unless all iron, steel, and manufactured Company llllllllllllllllll products used in the project are pro- Name llllllllllllllllllll duced in the United States. Title lllllllllllllllllllll (b) All steel and iron manufacturing Certificate of Non-Compliance with Buy processes must take place in the America Requirements United States, except metallurgical processes involving refinement of steel The bidder or offeror hereby certifies additives. that it cannot comply with the require- (c) The steel and iron requirements ments of 49 U.S.C. 5323(j), but it may apply to all construction materials qualify for an exception to the require- made primarily of steel or iron and ment pursuant to 49 U.S.C. 5323(j)(2), as used in infrastructure projects such as amended, and the applicable regula- transit or maintenance facilities, rail tions in 49 CFR 661.7. lines, and bridges. These items include, Date lllllllllllllllllllll but are not limited to, structural steel Signature llllllllllllllllll or iron, steel or iron beams and col- Company llllllllllllllllll umns, running rail and contact rail. Name llllllllllllllllllll These requirements do not apply to Title lllllllllllllllllllll steel or iron used as components or [71 FR 14117, Mar. 21, 2006, as amended at 72 subcomponents of other manufactured FR 53696, Sept. 20, 2007] products or rolling stock, or to bimetallic power rail incorporating § 661.7 Waivers. steel or iron components. (a) Section 5323(j)(2) of Title 49 (d) For a manufactured product to be United States Code provides that the considered produced in the United general requirements of 49 U.S.C. States: 5323(j)(1) shall not apply in four specific (1) All of the manufacturing proc- instances. This section sets out the esses for the product must take place conditions for the three statutory in the United States; and waivers based on public interest, non- (2) All of the components of the prod- availability, and price-differential. uct must be of U.S. origin. A compo- Section 661.11 of this part sets out the nent is considered of U.S. origin if it is conditions for the fourth statutory manufactured in the United States, re- waiver governing the procurement of gardless of the origin of its subcompo- rolling stock and associated equip- nents. ment. [61 FR 6302, Feb. 16, 1996, as amended at 74 (b) Under the provision of 49 U.S.C. FR 30239, June 25, 2009] 5323(j)(2)(A), the Administrator may waive the general requirements of 49 § 661.6 Certification requirements for U.S.C. 5323(j)(1) if the Administrator procurement of steel or manufactured products. finds that their application would be inconsistent with the public interest. If steel, iron, or manufactured prod- In determining whether the conditions ucts (as defined in §§ 661.3 and 661.5 of exist to grant this public interest waiv- this part) are being procured, the ap- er, the Administrator will consider all propriate certificate as set forth below appropriate factors on a case-by-case shall be completed and submitted by basis, unless a general exception is spe- each bidder or offeror in accordance cifically set out in this part. When with the requirement contained in granting a public interest waiver, the § 661.13(b) of this part. Administrator shall issue a detailed written statement justifying why the Certificate of Compliance with Buy waiver is in the public interest. The America Requirements Administrator shall publish this jus- The bidder or offeror hereby certifies tification in the FEDERAL REGISTER, that it will comply with the require- providing the public with a reasonable

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time for notice and comment of not not produced in the United States mul- more than seven calendar days. tiplied by 1.25 is less than the amount (c) Under the provision of 49 U.S.C. of the lowest responsive and respon- 5323(j)(2), the Administrator may waive sible bid offering the item or material the general requirements of 49 U.S.C. produced in the United States. 5323(j) if the Administrator finds that (e) The four statutory waivers of 49 the materials for which a waiver is re- U.S.C. 5323(j)(2) as set out in this part quested are not produced in the United shall be treated as being separate and States in sufficient and reasonably distinct from each other. available quantities and of a satisfac- (f) The waivers described in para- tory quality. graphs (b) and (c) of this section may (1) It will be presumed that the con- be granted for a component or sub- ditions exist to grant this non-avail- component in the case of the procure- ability waiver if no responsive and re- ment of the items governed by 49 sponsible bid is received offering an U.S.C. 5323(j)(2)(C) (requirements for item produced in the United States. rolling stock). If a waiver is granted for (2) In the case of a sole source pro- a component or a subcomponent, that curement, the Administrator will grant component or subcomponent will be this non-availability waiver only if the considered to be of domestic origin for grantee provides sufficient information the purposes of § 661.11 of this part. which indicates that the item to be (g) The waivers described in para- procured is only available from a single graphs (b) and (c) of this section may source or that the item to be procured be granted for a specific item or mate- is not produced in sufficient and rea- rial that is used in the production of a sonably available quantities of a satis- manufactured product that is governed factory quality in the United States. by the requirements of § 661.5(d) of this (3) After contract award, the Admin- part. If such a waiver is granted to istrator may grant a non-availability such a specific item or material, that waiver under this paragraph, in any item or material will be treated as case in which a bidder or offeror origi- being of domestic origin. nally certified compliance with the (h) The provisions of this section Buy America requirements in good shall not apply to products produced in faith, but can no longer comply with a foreign country if the Secretary, in its certification. The Administrator consultation with the United States will grant a non-availability waiver Trade Representative, determines that: (1) That foreign country is party to only if the grantee provides sufficient an agreement with the United States evidence that the original certification pursuant to which the head of an agen- was made in good faith and that the cy of the United States has waived the item to be procured cannot now be ob- requirements of this section; and tained domestically due to commercial (2) That foreign country has violated impossibility or impracticability. In the terms of the agreement by dis- determining whether the conditions criminating against products covered exist to grant a post-award non-avail- by this section that are produced in the ability waiver, the Administrator will United States and are covered by the consider all appropriate factors on a agreement. case-by-case basis. (d) Under the provision of section APPENDIX A TO § 661.7—GENERAL WAIVERS 165(b)(4) of the Act, the Administrator (a) All waivers published in 48 CFR 25.104 may waive the general requirements of which establish excepted articles, materials, section 165(a) if the Administrator and supplies for the Buy American Act of finds that the inclusion of a domestic 1933 (41 U.S.C. 10a–d), as the waivers may be item or domestic material will increase amended from time to time, apply to this the cost of the contract between the part under the provisions of § 661.7 (b) and (c). grantee and its supplier of that item or (b) Under the provisions of § 661.7 (b) and (c) material by more than 25 percent. The of this part, a general public interest waiver from the Buy America requirements applies Administrator will grant this price-dif- to microprocessors, computers, micro- ferential waiver if the amount of the computers, or software, or other such de- lowest responsive and responsible bid vices, which are used solely for the purpose offering the item or material that is of processing or storing data. This general

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waiver does not extend to a product or device more than 60 percent of the cost of all which merely contains a microprocessor or components and final assembly takes microcomputer and is not used solely for the place in the United States. purpose of processing or storing data. (c) Under the provisions of § 661.7(b) of this (b) The domestic content require- part, a general public interest waiver from ments in paragraph (a) of this section the Buy America requirements for ‘‘small also apply to the domestic content re- purchases’’ (as defined in the ‘‘common grant quirements for components set forth in rule,’’ at 49 CFR 18.36(d)) made by FTA paragraphs (i), (j), and (l) of this sec- grantees with capital, planning, or operating tion. assistance. (c) A component is any article, mate- [56 FR 932, Jan. 9, 1991, as amended at 60 FR rial, or supply, whether manufactured 37928, July 24, 1995, 61 FR 6302, Feb. 16, 1996; or unmanufactured, that is directly in- 71 FR 14117, Mar. 21, 2006; 72 FR 53697, Sept. 20, 2007; 74 FR 30239, June 25, 2009] corporated into an end product at the final assembly location. § 661.9 Application for waivers. (d) A component may be manufac- (a) This section sets out the applica- tured at the final assembly location if tion procedures for obtaining all waiv- the manufacturing process to produce ers, except those general exceptions set the component is an activity separate forth in this part for which individual and distinct from the final assembly of applications are unnecessary and those the end product. covered by 49 U.S.C. 5323(j)(2)(C). The (e) A component is considered to be procedures for obtaining an exception manufactured if there are sufficient ac- covered by 49 U.S.C. 5323(j)(2)(C) are set tivities taking place to advance the forth in § 661.11 of this part. value or improve the condition of the (b) A bidder or offeror who seeks to subcomponents of that component; establish grounds for an exception that is, if the subcomponents have been must seek the exception, in a timely substantially transformed or merged manner, through the grantee. into a new and functionally different (c) Except as provided in paragraph article. (d) of this section, only a grantee may (f) Except as provided in paragraph request a waiver. The request must be (k) of this section, a subcomponent is in writing, include facts and justifica- any article, material, or supply, wheth- tion to support the waiver, and be sub- er manufactured or unmanufactured, mitted to the Administrator through that is one step removed from a compo- the appropriate Regional Office. nent (as defined in paragraph (c) of this (d) FTA will consider a request for a section) in the manufacturing process waiver from a potential bidder, offeror, and that is incorporated directly into a or supplier only if the waiver is being component. sought under § 661.7 (f) or (g) of this (g) For a component to be of domes- part. tic origin, more that 60 percent of the (e) The Administrator will issue a subcomponents of that component, by written determination setting forth cost, must be of domestic origin, and the reasons for granting or denying the the manufacture of the component exception request. Each request for an must take place in the United States. exception, and FTA’s action on the re- If, under the terms of this part, a com- quest, are available for public inspec- ponent is determined to be of domestic tion under the provisions of 49 CFR origin, its entire cost may be used in part 601, subpart C. calculating the cost of domestic con- [56 FR 932, Jan. 9, 1991, as amended at 71 FR tent of an end product. 14117, Mar. 21, 2006; 72 FR 53697, Sept. 20, 2007] (h) A subcomponent is of domestic origin if it is manufactured in the § 661.11 Rolling stock procurements. United States. (a) The provisions of § 661.5 do not (i) If a subcomponent manufactured apply to the procurement of buses and in the United States is exported for in- other rolling stock (including train clusion in a component that is manu- control, communication, and traction factured outside the United States and power equipment), if the cost of compo- it receives tariff exemptions under the nents produced in the United States is procedures set forth in 19 CFR 10.11

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through 10.24, the subcomponent re- (o) The cost of a subcomponent that tains its domestic identity and can be retains its domestic identity consistent included in the calculation of the do- with paragraph (j) of this section shall mestic content of an end product even be the cost of the subcomponent when if such a subcomponent represents less last purchased, f.o.b. United States than 60 percent of the cost of a par- port of exportation or point of border ticular component. crossing as set out in the invoice and (j) If a subcomponent manufactured entry papers or, if no purchase was in the United States is exported for in- made, the value of the subcomponent clusion in a component manufactured at the time of its shipment for expor- outside the United States and it does tation, f.o.b. United States port of ex- not receive tariff exemption under the portation or point of border crossing as procedures set forth in 19 CFR 10.11 set out in the invoice and entry papers. through 10.24, the subcomponent loses (p) In accordance with 49 U.S.C. its domestic identity and cannot be in- 5323(j), labor costs involved in final as- cluded in the calculation of the domes- sembly shall not be included in calcu- tic content of an end product. lating component costs. (k) Raw materials produced in the (q) The actual cost, not the bid price, United States and then exported for in- of a component is to be considered in corporation into a component are not calculating domestic content. considered to be a subcomponent for (r) Final assembly is the creation of the purpose of calculating domestic the end product from individual ele- content. The value of such raw mate- ments brought together for that pur- rials is to be included in the cost of the pose through application of manufac- foreign component. turing processes. If a system is being (l) If a component is manufactured in procured as the end product by the the United States, but contains less grantee, the installation of the system than 60 percent domestic subcompo- qualifies as final assembly. nents, by cost, the cost of the domestic (s) [Reserved] subcomponents and the cost of manu- (t) Train control equipment includes, facturing the component may be in- but is not limited to, the following cluded in the calculation of the domes- equipment: tic content of the end product. (1) Mimic board in central control (m) For purposes of this section, ex- (2) Dispatcher’s console cept as provided in paragraph (o) of (3) Local control panels this section: (4) Station (way side) block control (1) The cost of a component or a sub- relay cabinets component is the price that a bidder or (5) Terminal dispatcher machines offeror must pay to a subcontractor or (6) Cable/cable trays supplier for that component or sub- (7) Switch machines component. Transportation costs to (8) Way side signals the final assembly location must be in- (9) Impedance bonds cluded in calculating the cost of for- (10) Relay rack bungalows eign components and subcomponents. (11) Central computer control (2) If a component or subcomponent (12) Brake equipment is manufactured by the bidder or offer- (13) Brake systems or, the cost of the component is the (14) Cab Signaling; cost of labor and materials incor- (15) ATO Equipment; porated into the component or sub- (16) ATP Equipment; component, an allowance for profit, (17) Wayside Transponders; and the administrative and overhead (18) Trip Stop Equipment; costs attributable to that component (19) Wayside Magnets; or subcomponent under normal ac- (20) Speed Measuring Devices; counting principles. (21) Car Axle Counters; (n) The cost of a component of for- (22) Communication Based Train Con- eign origin is set using the foreign ex- trol (CBTC). change rate at the time the bidder or (u) Communication equipment in- offeror executes the appropriate Buy cludes, but is not limited to, the fol- America certificate. lowing equipment:

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(1) Radios (9) Facility step-down transformers (2) Space station transmitter and re- (10) Motor control centers (facility ceivers use only) (3) Vehicular and hand-held radios (11) Battery chargers (4) PABX telephone switching equip- (12) Supervisory control panel ment (13) Annunciator panels (5) PABX telephone instruments (14) Low voltage facility distribution (6) Public address amplifiers switch board (7) Public address speakers (15) DC connect switches (8) Cable transmission system cable (16) Negative bus boxes (9) Cable transmission system multi- (17) Power rail insulators plex equipment (18) Power cables (AC and DC) (10) Communication console at cen- (19) Cable trays tral control (20) Instrumentation for traction (11) Uninterruptible power supply in- power equipment verters/rectifiers (21) Connectors, tensioners, and (12) Uninterruptible power supply insulators for overhead power wire sys- batteries tems (13) Data transmission system cen- (22) Negative drainage boards tral processors (23) Inverters (14) Data transmission system re- (24) Traction motors mote terminals (25) Propulsion gear boxes (15) Line printers for data trans- (26) Third rail pick-up equipment mission system (27) Pantographs (16) Communication system monitor (28) Propulsion Control Systems; test panel (29) Surge Arrestors; (17) Security console at central con- (30) Protective Relaying. trol (31) Bimetallic power rail. (18) Antennas; (w) The power or third rail is not (19) Wireless Telemetry Equipment; considered traction power equipment (20) Passenger Information Displays; and is thus subject to the requirements (21) Communications Control Units; of 49 U.S.C. 5323(j) and the require- (22) Communication Control Heads; ments of § 661.5. (23) Wireless Intercar Transceivers; (x) A bidder on a contract for an item (24) Multiplexers; covered by 49 U.S.C. 5323(j) who will (25) SCADA Systems; comply with section 165(b)(3) and regu- (26) LED Arrays; lations in this section is not required (27) Screen Displays such as LEDs to follow the application for waiver and LCDs for communication systems; procedures set out in § 661.9. In lieu of (28) Fiber-optic transmission equip- these procedures, the bidder must sub- ment; mit the appropriate certificate re- (29) Fiber-optic transmission equip- quired by § 661.12. ment; APPENDIX A TO § 661.11—GENERAL WAIVERS (30) Frame or cell based multiplexing equipment; 13) Communication system (a) The provisions of § 661.11 of this part do not apply when foreign sourced spare parts network elements. for buses and other rolling stock (including (v) Traction power equipment in- train control, communication, and traction cludes, but is not limited to the fol- power equipment) whose total cost is 10 per- lowing: cent or less of the overall project contract (1) Primary AC switch gear cost are being procured as part of the same (2) Primary AC transformer rectifiers contract for the major capital item. (3) DC switch gear (b) [Reserved] (4) Traction power console and CRT APPENDIX B TO § 661.11—TYPICAL COMPONENTS display system at central control OF BUSES (5) Bus ducts with buses (AC and DC) The following is a list of items that typi- (6) Batteries cally would be considered components of a (7) Traction power rectifier assem- bus. This list is not all-inclusive. blies Car body shells, egines, transmissions, (8) Distribution panels (AC and DC) front axle assemblies, rear axle assemblies,

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drive shaft assemblies, front suspension as- grab rails, destination signs, wheelchair semblies, rear suspension assemblies, air lifts; and road testing, final inspection, re- compressor and pneumatic systems, gener- pairs and preparation of the vehicles for de- ator/alternator and electrical systems, steer- livery. ing system assemblies, front and rear air (c) If a manufacturer’s final assembly proc- brake assemblies, air conditioning com- esses do not include all the activities that pressor assemblies, air conditioning evapo- are typically considered the minimum re- rator/condenser assemblies, heating systems. quirements, it can request a Federal Transit passenger seats, driver’s seat assemblies, Administration (FTA) determination of com- window assemblies, entrance and exit door pliance. FTA will review these requests on a assemblies, door control systems, destina- case-by-case basis to determine compliance tion sign assemblies, interior lighting assem- with Buy America. blies, front and rear end cap assemblies, front and rear bumper assemblies, specialty [61 FR 6302, Feb. 16, 1996, as amended at 62 steel (structural steel tubing, etc.) alu- FR 40954, July 31, 1997; 72 FR 53697, Sept. 20, minum extrusions, aluminum, steel or fiber- 2007; 72 FR 55103, Sept. 28, 2007; 74 FR 30239, glass exterior panels, and interior trim, June 25, 2009] flooring, and floor coverings. § 661.12 Certification requirement for APPENDIX C TO § 661.11—TYPICAL COMPONENTS procurement of buses, other rolling OF RAIL ROLLING STOCK stock and associated equipment. The following is a list of items that typically would be considered components of rail If buses or other rolling stock (in- rolling stock. This list is not all inclusive. cluding train control, communication, Car shells, engines, main transformer, pan- and traction power equipment) are tographs, traction motors, propulsion gear being procured, the appropriate certifi- boxes, interior linings, acceleration and cate as set forth below shall be com- braking resistors, propulsion controls, low pleted and submitted by each bidder in voltage auxiliary power supplies, air condi- accordance with the requirement con- tioning equipment, air brake compressors, tained in § 661.13(b) of this part. brake controls, foundation brake equipment, articulation assemblies, train control sys- Certificate of Compliance with Buy tems, window assemblies, communication equipment, lighting, seating, doors, door ac- America Rolling Stock Requirements tuators and controls, wheelchair lifts and The bidder or offeror hereby certifies ramps to make the vehicle accessible to persons with disabilities, couplers and draft that it will comply with the require- gear, trucks, journal bearings, axles, diag- ments of 49 U.S.C. 5323(j), and the ap- nostic equipment, and third rail pick-up plicable regulations of 49 CFR 661.11. equipment. Date lllllllllllllllllllll APPENDIX D TO § 661.11—MINIMUM Signature llllllllllllllllll REQUIREMENTS FOR FINAL ASSEMBLY Company llllllllllllllllll Name llllllllllllllllllll (a) Rail Cars: In the case of the manufac- Title ture of a new rail car, final assembly would lllllllllllllllllllll typically include, as a minimum, the following operations: installation and inter- Certificate of Non-Compliance with Buy connection of propulsion control equipment, America Rolling Stock Requirements propulsion cooling equipment, brake equipment, energy sources for auxiliaries and con- The bidder or offeror hereby certifies trols, heating and air conditioning, commu- that it cannot comply with the require- nications equipment, motors, wheels and ments of 49 U.S.C. 5323(j), but may axles, suspensions and frames; the inspection qualify for an exception to the require- and verification of all installation and inter- ment consistent with 49 U.S.C. connection work; and the in-plant testing of 5323(j)(2)(C), and the applicable regula- the stationary product to verify all functions in 49 CFR 661.7. tions. (b) Buses: In the case of a new bus, final as- Date lllllllllllllllllllll sembly would typically include, at a min- Signature llllllllllllllllll imum, the installation and interconnection Company llllllllllllllllll of the engine, transmission, axles, including Name llllllllllllllllllll the cooling and braking systems; the instal- Title lllllllllllllllllllll lation and interconnection of the heating and air conditioning equipment; the installa- [71 FR 14117, Mar. 21, 2006, as amended at 72 tion of pneumatic and electrical systems, FR 53698, Sept. 20, 2007; 74 FR 30239, June 25, door systems, passenger seats, passenger 2009]

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§ 661.13 Grantee responsibility. (3) Certification based on ignorance of the proper application of the Buy (a) The grantee shall adhere to the America requirements is not an inad- Buy America clause set forth in its vertent or clerical error. grant contract with FTA. (c) Whether or not a bidder or offeror (b) The grantee shall include in its certifies that it will comply with the bid or request for proposal (RFP) speci- applicable requirement, such bidder or fication for procurement within the offeror is bound by its original certifi- scope of this part an appropriate notice cation (in the case of a sealed bidding of the Buy America provision. Such procurement) or its certification sub- specifications shall require, as a condi- mitted with its final offer (in the case tion of responsiveness, that the bidder of a negotiated procurement) and is not or offeror submit with the bid or offer permitted to change its certification a completed Buy America certificate in after bid opening or submission of a accordance with §§ 661.6 or 661.12 of this final offer. Where a bidder or offeror part, as appropriate. certifies that it will comply with the (1) A bidder or offeror who has sub- applicable Buy America requirements, mitted an incomplete Buy America the bidder, offeror, or grantee is not el- certificate or an incorrect certificate igible for a waiver of those require- of noncompliance through inadvertent ments. or clerical error (but not including failure to sign the certificate, submission [56 FR 932, Jan. 9, 1991, as amended at 68 FR of certificates of both compliance and 9799, Feb. 28, 2003; 71 FR 14117, Mar. 21, 2006] non-compliance, or failure to submit any certification), may submit to the § 661.15 Investigation procedures. FTA Chief Counsel within ten (10) days (a) It is presumed that a bidder or of- of bid opening of submission or a final feror who has submitted the required offer, a written explanation of the cir- Buy America certificate is complying cumstances surrounding the submis- with the Buy America provision. A sion of the incomplete or incorrect cer- false certification is a criminal act in tification in accordance with 28 U.S.C. violation of 18 U.S.C. 1001. 1746, sworn under penalty of perjury, (b) Any party may petition FTA to stating that the submission resulted investigate the compliance of a suc- from inadvertent or clerical error. The cessful bidder or offeror with the bid- bidder or offeror will also submit evi- der’s or offeror’s certification. That dence of intent, such as information party (‘‘the petitioner’’) must include about the origin of the product, in- in the petition a statement of the voices, or other working documents. grounds of the petition and any sup- The bidder or offeror will simulta- porting documentation. If FTA deter- neously send a copy of this information mines that the information presented to the FTA grantee. in the petition indicates that the pre- (i) The FTA Chief Counsel may re- sumption in paragraph (a) of this sec- quest additional information from the tion has been overcome, FTA will ini- bidder or offeror, if necessary. The tiate an investigation. grantee may not make a contract (c) In appropriate circumstances, award until the FTA Chief Counsel FTA may determine on its own to ini- issues his/her determination, except as tiate an investigation without receiv- provided in § 661.15(m). ing a petition from a third party. (ii) [Reserved] (d) When FTA determines under para- (2) For negotiated procurements, graph (b) or (c) of this section to con- compliance with the Buy America re- duct an investigation, it requests that quirements shall be determined on the the grantee require the successful bid- basis of the certification submitted der or offeror to document its compli- with the final offer or final revised pro- ance with its Buy America certificate. posal. However, where a grantee The successful bidder or offeror has the awards on the basis of initial proposals burden of proof to establish that it is without discussion, the certification in compliance. Documentation of com- submitted with the initial proposal pliance is based on the specific cir- shall control. cumstances of each investigation, and

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FTA will specify the documentation re- which should be withheld, a statement quired in each case. advising FTA of this fact may be in- (e) The grantee shall reply to the re- cluded, and the alleged proprietary in- quest under paragraph (d) of this sec- formation must be identified wherever tion within 15 working days of the re- it appears. Any comments on the infor- quest. The investigated party may cor- mation provided shall be submitted respond directly with FTA during the within a maximum of ten days. course of investigation, if it informs (l) For purposes of paragraph (j) of the grantee that it intends to do so, this section, confidential or propri- and if the grantee agrees to such action etary material is any material or data in writing. The grantee must inform whose disclosure could reasonably be FTA, in writing, that the investigated expected to cause substantial competi- party will respond directly to FTA. An investigated party may provide con- tive harm to the party claiming that fidential or proprietary information the material is confidential or propri- (see paragraph (l) of this section) di- etary. rectly to FTA while providing other in- (m) When a petition for investigation formation required to be submitted as has been filed before award, the grant- part of the investigation through the ee will not make an award before the grantee. resolution of the investigation, unless (f) Any additional information re- the grantee determines that: quested or required by FTA must be (1) The items to be procured are ur- submitted within 5 working days after gently required; the receipt of such request unless spe- (2) Delivery of performance will be cifically exempted by FTA. unduly delayed by failure to make the (g) The grantee’s reply (or that of the award promptly; or bidder or offeror) will be transmitted (3) Failure to make prompt award to the petitioner. The petitioner may will otherwise cause undue harm to the submit comments on the reply to FTA grantee or the Federal Government. within 10 working days after receipt of (n) In the event that the grantee de- the reply. The grantee and the low bid- termines that the award is to be made der or offeror will be furnished with a copy of the petitioner’s comments, and during the pendency of an investiga- their comments must be received by tion, the grantee will notify FTA be- FTA within 5 working days after re- fore to making such award. FTA receipt of the petitioner’s comments. serves the right not to participate in (h) The failure of a party to comply the funding of any contract awarded with the time limits stated in this sec- during the pendency of an investigation may result in resolution of the in- tion. vestigation without consideration of (o) Initial decisions by FTA will be in untimely filed comments. written form. Reconsideration of an (i) During the course of an investiga- initial decision of FTA may be re- tion, with appropriate notification to quested by any party involved in an in- affected parties, FTA may conduct site vestigation. FTA will only reconsider a visits of manufacturing facilities and decision only if the party requesting final assembly locations as it considers reconsideration submits new matters appropriate. of fact or points of law that were not (j) FTA will, upon request, make known or available to the party during available to any interested party infor- the investigation. A request for recon- mation bearing on the substance of the sideration of a decision of FTA shall be investigation which has been sub- filed not later than ten (10) working mitted by the petitioner, interested days after the initial written decision. parties or grantees, except to the ex- A request for reconsideration will be tent that withholding of information is subject to the procedures in this sec- permitted or required by law or regulation consistent with the need for tion. prompt resolution of the matter. (k) If a party submitting information considers that the information sub- [56 FR 932, Jan. 9, 1991, as amended at 71 FR mitted contains proprietary material 14118, Mar. 21, 2006]

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§ 661.17 Failure to comply with certifi- provisions of § 661.15 of this part. No cation. third party has any additional right, at If a successful bidder or offeror fails law or equity, for any remedy includ- to demonstrate that it is in compliance ing, but not limited to, injunctions, with its certification, it will be re- damages, or cancellation of the Federal quired to take the necessary steps in grant or contracts of the grantee. order to achieve compliance. If a bidder [71 FR 14118, Mar. 21, 2006] or offeror takes these necessary steps, it will not be allowed to change its § 661.21 State Buy America provisions. original bid price or the price of its (a) Except as provided in paragraph final offer. If a bidder or offeror does (b) of this section, any State may im- not take the necessary steps, it will pose more stringent Buy America or not be awarded the contract if the con- buy national requirements than contract has not yet been awarded, and it tained in section 165 of the Act and the is in breach of contract if a contract regulations in this part. has been awarded. (b) FTA will not participate in con- [71 FR 14118, Mar. 21, 2006] tracts governed by the following: (1) State Buy America or Buy Na- § 661.18 Intentional violations. tional preference provisions which are not as strict as the Federal require- A person shall be ineligible to receive ments. any contract or subcontract made with (2) State and local Buy National or funds authorized under the Federal Buy America preference provisions Public Transportation Act of 2005 pur- which are not explicitly set out under suant to part 29 of this title if it has State law. For example, administrative been determined by a court or Federal interpretations of non-specific State agency that the person intentionally— legislation will not control. (a) Affixed a label bearing a ‘‘Made in (3) State and local Buy Local pref- America’’ inscription, or an inscription erence provisions. with the same meaning, to a product not made in the United States, but sold in or shipped to the United States and PART 663—PRE-AWARD AND POST- used in projects to which this section DELIVERY AUDITS OF ROLLING applies, or STOCK PURCHASES (b) Otherwise represented that any such product was produced in the Subpart A—General United States. Sec. [61 FR 6303, Feb. 16, 1996, as amended at 72 663.1 Purpose. FR 53698, Sept. 20, 2007] 663.3 Scope. 663.5 Definitions. § 661.19 Sanctions. 663.7 Certification of compliance to FTA. 663.9 Audit limitations. A willful refusal to comply with a 663.11 Audit financing. certification by a successful bidder or 663.13 Buy America requirements. offeror may lead to the initiation of de- 663.15 Compliance. barment or suspension proceedings under part 29 of this title. Subpart B—Pre-Award Audits [71 FR 14118, Mar. 21, 2006] 663.21 Pre-award audit requirements. 663.23 Description of pre-award audit. § 661.20 Rights of parties. 663.25 Pre-award Buy America certification. 663.27 Pre-award purchaser’s requirements (a) A party adversely affected by an certification. FTA action under this subsection shall have the right to seek review under the Subpart C—Post-Delivery Audits Administrative Procedure Act (APA), 5 U.S.C. 702 et seq. 663.31 Post-delivery audit requirements. 663.33 Description of post-delivery audit. (b) Except as provided in paragraph 663.35 Post-delivery Buy America certifi- (a) of this section, the sole right of any cation. third party under the Buy America 663.37 Post-delivery purchaser’s require- provision is to petition FTA under the ments certification.

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663.39 Post-delivery audit review. (c) Recipient means a recipient of Federal financial assistance from FTA. Subpart D—Certification of Compliance (d) Revenue service means operation of With or Inapplicability of Federal Motor rolling stock for transportation of fare- Vehicle Safety Standards paying passengers as anticipated by 663.41 Certification of compliance with Fed- the recipient. eral motor vehicle safety standards. (e) Rolling stock means buses, vans, 663.43 Certification that Federal motor ve- cars, railcars, locomotives, trolley cars hicle standards do not apply. and buses, ferry boats, and vehicles AUTHORITY: 49 U.S.C. 1608(j); 23 U.S.C. used for guideways and incline planes. 103(e)(f); Pub. L. 96–184, 93 Stat. 1320; Pub. L. (f) Audit means a review resulting in 101–551, 104 Stat. 2733; sec. 3023(m), Pub. L. a report containing the necessary cer- 109–59; 49 CFR 1.51. tifications of compliance with Buy SOURCE: 56 FR 48395, Sept. 24, 1991, unless America standards, purchaser’s re- otherwise noted. quirements specifications, and, where appropriate, a manufacturer’s certifi- Subpart A—General cation of compliance with or inapplicability of the Federal Motor Vehicle § 663.1 Purpose. Safety Standards, required by section This part implements section 12(j) of 319 of STURAA and this part. the Federal Mass Transit Act of 1964, (g) FTA means the Federal Transit as amended, which was added by sec- Administration. tion 319 of the 1987 Surface Transpor- tation and Uniform Relocation Assist- § 663.7 Certification of compliance to ance Act (Pub. L. 100–17). Section 12(j) FTA. requires the Federal Transit Adminis- A recipient purchasing revenue serv- tration, by delegation from the Sec- ice rolling stock with funds obligated retary of Transportation, to issue regu- by FTA on or after October 24, 1991, lations requiring pre-award and post- must certify to FTA that it will con- delivery audits when a recipient of duct or cause to be conducted pre- Federal financial assistance purchases award and post-delivery audits as pre- rolling stock with funds made avail- scribed in this part. In addition, such a able under the Federal Mass Transit recipient must maintain on file the Act, as amended. certifications required under subparts § 663.3 Scope. B, C, and D of this part. This part applies to a recipient pur- § 663.9 Audit limitations. chasing rolling stock to carry passengers in revenue service with funds (a) An audit under this part is lim- made available under sections 3, 9, 18, ited to verifying compliance with and 16(b)(2) of the Federal Mass Transit (1) Applicable Buy America require- Act, as amended; 23 U.S.C. 103(e)(4); and ments [section 165 of the Surface section 14 of the National Capital Transportation Assistance Act of 1982, Transportation Act of 1969, as amend- as amended,]; and ed. (2) Solicitation specification requirements of the recipient. § 663.5 Definitions. (b) An audit under this part includes, As used in this part— where appropriate, a copy of a manu- (a) Pre-award means that period in facturer’s self certification informa- the procurement process before the re- tion that the vehicle complies with cipient enters into a formal contract Federal Motor Vehicle Safety Stand- with the supplier. ards or a certification that such stand- (b) Post-delivery means the time pe- ards are inapplicable. riod in the procurement process from (c) An audit conducted under this when the rolling stock is delivered to part is separate from the single annual the recipient until title to the rolling audit requirement established by Office stock is transferred to the recipient or of Management and Budget Circular A– the rolling stock is put into revenue 128, ‘‘Audits of State and Local Govern- service, whichever is first. ments,’’ dated May 16, 1985.

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§ 663.11 Audit financing. § 663.25 Pre-award Buy America certification. A recipient purchasing revenue rolling stock with FTA funds may charge For purposes of this part, a pre-award the cost of activities required by this Buy America certification is a certifi- part to the grant which FTA made for cation that the recipient keeps on file such purchase. that— (a) There is a letter from FTA which § 663.13 Buy America requirements. grants a waiver to the rolling stock to be purchased from the Buy America re- A Buy America certification under quirements under section 165(b)(1), this part shall be issued in addition to (b)(2), or (b)(4) of the Surface Transpor- any certification which may be re- tation Assistance Act of 1982, as quired by part 661 of this title. Nothing amended; or in this part precludes FTA from con- (b) The recipient is satisfied that the ducting a Buy America investigation rolling stock to be purchased meets the under part 661 of this title. requirements of section 165(a) or (b)(3) of the Surface Transportation Assist- § 663.15 Compliance. ance Act of 1982, as amended, after hav- A recipient subject to this part shall ing reviewed itself or through an audit comply with all applicable require- prepared by someone other than the ments of this part. Such compliance is manufacturer or its agent documenta- a condition of receiving Federal finan- tion provided by the manufacturer cial assistance from FTA. A recipient which lists— determined not to be in compliance (1) Component and subcomponent with this part will be subject to the im- parts of the rolling stock to be pur- mediate suspension, withholding, or re- chased identified by manufacturer of payment of Federal financial assist- the parts, their country of origin and ance from FTA or other appropriate ac- costs; and (2) The location of the final assembly tions unless and until it comes into point for the rolling stock, including a compliance with this part. description of the activities that will take place at the final assembly point Subpart B—Pre-Award Audits and the cost of final assembly.

§ 663.21 Pre-award audit require- § 663.27 Pre-award purchaser’s re- ments. quirements certification. A recipient purchasing revenue serv- For purposes of this part, a pre-award ice rolling stock with FTA funds must purchaser’s requirements certification ensure that a pre-award audit under is a certification a recipient keeps on this part is complete before the recipi- file that— ent enters into a formal contract for (a) The rolling stock the recipient is the purchase of such rolling stock. contracting for is the same product described in the purchaser’s solicitation § 663.23 Description of pre-award specification; and audit. (b) The proposed manufacturer is a A pre-award audit under this part in- responsible manufacturer with the ca- cludes— pability to produce a vehicle that meets the recipient’s specification set (a) A Buy America certification as forth in the recipient’s solicitation. described in § 663.25 of this part; (b) A purchaser’s requirements certification as described in § 663.27 of this Subpart C—Post-Delivery Audits part; and § 663.31 Post-delivery audit require- (c) Where appropriate, a manufactur- ments. er’s Federal Motor Vehicle Safety cer- A recipient purchasing revenue serv- tification information as described in ice rolling stock with FTA funds must § 663.41 or § 663.43 of this part. ensure that a post-delivery audit under this part is complete before title to the

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rolling stock is transferred to the re- (a) Except for procurements covered cipient. under paragraph (c) in this section, a resident inspector (other than an agent § 663.33 Description of post-delivery or employee of the manufacturer) was audit. at the manufacturing site throughout A post-delivery audit under this part the period of manufacture of the roll- includes— ing stock to be purchased and mon- (a) A post-delivery Buy America cer- itored and completed a report on the tification as described in § 663.35 of this manufacture of such rolling stock. part; Such a report, at a minimum, shall— (b) A post-delivery purchaser’s requirements certification as described (1) Provide accurate records of all ve- in § 663.37 of this part; and hicle construction activities; and (c) When appropriate, a manufactur- (2) Address how the construction and er’s Federal Motor Vehicle Safety operation of the vehicles fulfills the Standard self-certification information contract specifications. as described in § 663.41 or § 663.43 of this (b) After reviewing the report re- part. quired under paragraph (a) of this section, and visually inspecting and road § 663.35 Post-delivery Buy America testing the delivered vehicles, the vehi- certification. cles meet the contract specifications. For purposes of this part, a post-de- (c) For procurements of: livery Buy America certification is a (1) Ten or fewer buses; or certification that the recipient keeps (2) Procurements of twenty vehicles on file that— (a) There is a letter from FTA which or fewer serving rural (other than ur- grants a waiver to the rolling stock re- banized) areas, or urbanized areas of ceived from the Buy America require- 200,000 people or fewer; or ments under sections 165 (b)(1), or (b)(4) (3) Any number of primary manufac- of the Surface Transportation Assist- turer standard production and unmodi- ance Act of 1982, as amended; or fied vans, after visually inspecting and (b) The recipient is satisfied that the road testing the vehicles, the vehicles rolling stock received meets the re- meet the contract specifications. quirements of section 165 (a) or (b)(3) of the Surface Transportation Assistance [56 FR 48395, Sept. 24, 1991, as amended at 71 FR 14118, Mar. 21, 2006] Act of 1982, as amended, after having reviewed itself or by means of an audit § 663.39 Post-delivery audit review. prepared by someone other than the manufacturer or its agent documenta- (a) If a recipient cannot complete a tion provided by the manufacturer post-delivery audit because the recipi- which lists— ent or its agent cannot certify Buy (1) Components and subcomponent America compliance or that the rolling parts of the rolling stock identified by stock meets the purchaser’s require- manufacturer of the parts, their coun- ments specified in the contract, the try of origin and costs; and rolling stock may be rejected and final (2) The actual location of the final acceptance by the recipient will not be assembly point for the rolling stock in- required. The recipient may exercise cluding a description of the activities any legal rights it has under the con- which took place at the final assembly tract or at law. point and the cost of the final assem- (b) This provision does not preclude bly. the recipient and manufacturer from § 663.37 Post-delivery purchaser’s re- agreeing to a conditional acceptance of quirements certification. rolling stock pending manufacturer’s correction of deviations within a rea- For purposes of this part, a post-delivery purchaser’s requirements certifi- sonable period of time. cation is a certification that the recipient keeps on file that—

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Subpart D—Certification of Com- AUTHORITY: 49 U.S.C. 5318 and 49 CFR 1.51. pliance With or Inapplicability SOURCE: 74 FR 51089, Oct. 5, 2009, unless of Federal Motor Vehicle otherwise noted. Safety Standards Subpart A—General § 663.41 Certification of compliance with Federal motor vehicle safety § 665.1 Purpose. standards. An applicant for Federal financial as- If a vehicle purchased under this part sistance under the Federal Transit Act is subject to the Federal Motor Vehicle for the purchase or lease of buses with Safety Standards issued by the Na- funds obligated by the FTA shall cer- tional Highway Traffic Safety Admin- tify to the FTA that any new bus istration in part 571 of this title, a re- model acquired with such assistance cipient shall keep on file its certifi- has been tested in accordance with this cation that it received, both at the pre- part. This part contains the informa- award and post-delivery stage, a copy tion necessary for a recipient to ensure of the manufacturer’s self-certification compliance with this provision. information that the vehicle complies with relevant Federal Motor Vehicle § 665.3 Scope. Safety Standards. This part shall apply to an entity receiving Federal financial assistance § 663.43 Certification that Federal under 49 U.S.C. Chapter 53. motor vehicle standards do not apply. § 665.5 Definitions. (a) Except for rolling stock subject to As used in this part— paragraph (b) of this section, if a vehi- Administrator means the Adminis- cle purchased under this part is not trator of the Federal Transit Adminis- subject to the Federal Motor Vehicle tration or the Administrator’s des- Safety Standards issued by the Na- ignee. tional Highway Traffic Safety Admin- Automotive means that the bus is not istration in part 571 of this title, the continuously dependent on external recipient shall keep on file its certifi- power or guidance for normal oper- cation that it received a statement to ation. Intermittent use of external that effect from the manufacturer. power or guidance shall not automati- (b) This subpart shall not apply to cally relieve a bus of its automotive rolling stock that is not a motor vehi- character or requirement for bus test- cle. ing. Bus means a rubber-tired automotive PART 665—BUS TESTING vehicle used for the provision of public transportation service by or for a re- Subpart A—General cipient. 665.1 Purpose. Bus model means a bus design or vari- 665.3 Scope. ation of a bus design usually des- 665.5 Definitions. ignated by the manufacturer by a spe- 665.7 Grantee certification of compliance. cific name and/or model number. Bus testing facility means the bus Subpart B—Bus Testing Procedures testing facility established by the Sec- 665.11 Testing requirements. retary of Transportation, and includes 665.13 Test report and manufacturer certifi- test track facilities operated in con- cation. nection with the facility. Bus testing report, also full bus testing Subpart C—Operations report, means a complete test report for 665.21 Scheduling. a bus model, documenting the results 665.23 Fees. of performing the complete set of bus 665.25 Transportation of vehicle. tests on that bus model. 665.27 Procedures during testing. Curb weight means the weight of the APPENDIX A TO PART 665—TESTS TO BE PER- empty, ready-to-operate bus plus driver FORMED AT THE BUS TESTING FACILITY and fuel.

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Emissions means the components of from the OEM rating; or other modi- the engine tailpipe exhaust that are fications that are not made in strict regulated by the United States Envi- conformance with the OEM’s modifica- ronmental Protection Agency (EPA), tions guidelines. plus carbon dioxide (CO2) and methane New bus model means a bus model (CH4). that— Emissions control system means the (1) Has not been used in public trans- components on a bus whose primary portation service in the United States purpose is to minimize regulated emis- before October 1, 1988; or sions before they reach the tailpipe (2) Has been used in such service but exit. This definition does not include which after September 30, 1988, is being components that contribute to low produced with a major change in con- emissions as a side effect of the manner figuration or a major change in compo- in which they perform their primary nents. function (e.g., fuel injectors or combus- Operator means the operator of the tion chambers). bus testing facility. Final acceptance means that a recipi- Original equipment manufacturer ent has released the FTA-provided (OEM) means the original manufac- funds to a bus manufacturer or dealer turer of a chassis or van supplied as a in connection with bus procurement. complete or incomplete vehicle to a Gross weight, also gross vehicle weight, bus manufacturer. means the curb weight of the bus plus Parking brake means a system that passengers simulated by adding 150 prevents the bus from moving when pounds of ballast to each seating posi- parked by preventing the wheels from tion and 150 pounds for each standing rotating. position (assumed to be each 1.5 square Partial testing means the performance feet of free floor space). of only that subset of the complete set Hybrid means a propulsion system of bus tests in which significantly dif- that combines two power sources, at ferent data would reasonably be ex- least one of which is capable of cap- pected compared to the data obtained turing, storing, and re-using energy. in previous full testing of the baseline Major change in chassis design means, bus model at the bus testing facility. for vehicles manufactured on a third- Partial testing report, also partial test party chassis, a change in frame struc- report, means a report documenting, for ture, material or configuration, or a a previously-tested bus model that is change in chassis suspension type. produced with major changes, the re- Major change in components means: sults of performing only that subset of (1) For those vehicles that are not the complete set of bus tests in which manufactured on a third-party chassis, significantly different data would rea- a change in a vehicle’s engine, axle, sonably be expected as a result of the transmission, suspension, or steering changes made to the bus from the con- components; figuration documented in the original (2) For those that are manufactured full bus testing report. A partial test- on a third-party chassis, a change in ing report is not valid unless accom- the vehicle’s chassis from one major panied by the full bus testing report for design to another. the corresponding baseline bus configu- Major change in configuration means a ration. change that is expected to have a sig- Public transportation service means the nificant impact on vehicle handling operation of a vehicle that provides and stability or structural integrity. general or special service to the public Modified third-party chassis or van on a regular and continuing basis. means a vehicle that is manufactured Recipient means an entity that re- from an incomplete, partially assem- ceives funds under 49 U.S.C. Chapter 53, bled third-party chassis or van as pro- either directly from FTA or through a vided by an OEM to a small bus manu- State administering agency. facturer. This includes vehicles whose Regenerative braking system means a chassis structure has been modified to system that decelerates a bus by recov- include: a tandem or tag axle; a drop or ering its kinetic energy for on-board lowered floor; changes to the GVWR storage and subsequent use.

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Retarder means a system other than receive the appropriate full bus testing the service brakes that slows a bus by report and any applicable partial test- dissipating kinetic energy. ing report(s) before final acceptance of Seated load weight means the weight the first vehicle by the recipient. of the bus plus driver, fuel, and seated (b) In dealing with a bus manufac- passengers simulated by adding 150 turer or dealer, the recipient shall be pounds of ballast to each seating posi- responsible for determining whether a tion. vehicle to be acquired requires full Service brake(s) means the primary testing or partial testing or has al- system used by the driver during nor- ready satisfied the requirements of this mal operation to reduce the speed of a part. moving bus and to allow the driver to bring the bus to a controlled stop and Subpart B—Bus Testing Procedures hold it there. Service brakes may be supplemented by retarders or by regen- § 665.11 Testing requirements. erative braking systems. (a) A new bus model to be tested at Small bus manufacturer means a sec- the bus testing facility shall— ondary market assembler that acquires (1) Be a single model; a chassis or van from an original equip- (2) Meet all applicable Federal Motor ment manufacturer for subsequent Vehicle Safety Standards, as defined by modification or assembly and sale as 5- the National Highway Traffic Safety year/150,000-mile or 4-year/100,000-mile Administration in Part 571 of this title; minimum service life vehicle. and Tailpipe emissions means the exhaust (3) Be substantially fabricated and constituents actually emitted to the assembled using the techniques, tool- atmosphere at the exit of the vehicle ing, and materials that will be used in tailpipe or corresponding system. production of subsequent buses of that Third party chassis means a commer- model. cially available chassis whose design, (b) If the new bus model has not pre- manufacturing, and quality control are viously been tested at the bus testing performed by an entity independent of facility, then the new bus model shall the bus manufacturer. undergo the full tests requirements for Unmodified mass-produced van means Maintainability, Reliability, Safety, a van that is mass-produced, complete Performance including braking per- and fully assembled as provided by an formance, Structural Integrity, Fuel OEM. This shall include vans with Economy, Noise, and Emissions; raised roofs, and/or wheelchair lifts, or (c) If the new bus model has not pre- ramps that are installed by the OEM, viously been tested at the bus testing or by a party other than the OEM pro- facility and is being produced on a vided that the installation of these third-party chassis that has been pre- components is completed in strict con- viously tested on another bus model at formance with the OEM modification the bus testing facility, then the new guidelines. bus model may undergo partial testing Unmodified third-party chassis means a requirements; third-party chassis that either has not (d) If the new bus model has pre- been modified, or has been modified in viously been tested at the bus testing strict conformance with the OEM’s facility, but is subsequently manufac- modification guidelines. tured with a major change in chassis or components, then the new bus model § 665.7 Grantee certification of compli- may undergo partial testing. ance. (e) The following vehicle types shall (a) In each application to FTA for the be tested: purchase or lease of any new bus (1) Large-size, heavy-duty transit model, or any bus model with a major buses (approximately 35′–40′ in length, change in configuration or components as well as articulated buses) with a to be acquired or leased with funds ob- minimum service life of 12 years or ligated by the FTA, the recipient shall 500,000 miles; certify that the bus was tested at the (2) Medium-size, heavy-duty transit bus testing facility. The recipient shall buses (approximately 30′ in length)

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with a minimum service life of ten cipient’s procurement process. The op- years or 350,000 miles; erator of the facility shall have copies (3) Medium-size, medium duty transit of all the publicly available reports buses (approximately 30′ in length) available for distribution. with a minimum service life of seven (e) The bus testing report is the only years or 200,000 miles; information or documentation that (4) Medium-size, light duty transit shall be made publicly available in con- buses (approximately 25′–35′ in length) nection with any bus model tested at with a minimum service life of five the bus testing facility. years or 150,000 miles; and (5) Other light duty vehicles such as Subpart C—Operations small buses and regular and specialized vans with a minimum service life of § 665.21 Scheduling. four years or 100,000 miles. (a) To schedule a bus for testing, a (f) Tests performed in a higher serv- manufacturer shall contact the oper- ice life category (i.e., longer service ator of FTA’s bus testing program. life) need not be repeated when the Contact information and procedures same bus model is used in lesser service are available on the operator’s bus life applications. testing Web site, http:// (g) The operator of the bus testing fa- www.altoonabustest.com. cility shall develop a test plan for the (b) Upon contacting the operator, the testing of vehicles at the facility. The operator shall provide the manufac- test plan shall follow the guidelines set turer with the following: forth in the appendix to this part. (1) A draft contract for the testing; § 665.13 Test report and manufacturer (2) A fee schedule; and certification. (3) The draft test procedures that will be conducted on the vehicle. (a) Upon completion of testing, the (c) The operator shall provide final operator of the facility shall provide test procedures to be conducted on the the resulting test report to the entity vehicle at the time of contract execu- that submitted the bus for testing. tion. (b)(1) A manufacturer or dealer of a (d) The operator shall process vehi- new bus model or a bus produced with cles for testing in the order in which a major change in component or con- the contracts are signed. figuration shall provide a copy of the corresponding full bus testing report § 665.23 Fees. and any applicable partial testing report(s) to a recipient during the point (a) The operator shall charge fees in in the procurement process specified by accordance with a schedule approved the recipient, but in all cases before by FTA, which shall include prorated final acceptance of the first bus by the fees for partial testing. recipient. (b) Fees shall be prorated for a vehi- (2) A manufacturer who releases a re- cle withdrawn from the bus testing fa- port under paragraph (b)(1) of this sec- cility before the completion of testing. tion also shall provide notice to the operator of the facility that the report is § 665.25 Transportation of vehicle. available to the public. A manufacturer shall be responsible (c) If a bus model subject to a bus for transporting its vehicle to and from testing report has a change that is not the bus testing facility at the begin- a major change under this Part, the ning and completion of the testing at manufacturer or dealer shall advise the the manufacturer’s own risk and ex- recipient during the procurement proc- pense. ess and shall include a description of the change and the manufacturer’s § 665.27 Procedures during testing. basis for concluding that it is not a (a) The operator shall perform all major change. maintenance and repairs on the test (d) A bus testing report shall be vehicle, consistent with the manufac- available publicly once the bus manu- turer’s specifications, unless the oper- facturer makes it available during a re- ator determines that the nature of the

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maintenance or repair is best per- 2. RELIABILITY formed by the manufacturer under the Reliability should not be a separate test, operator’s supervision. but should be addressed by recording all bus (b) The manufacturer shall be per- failures and breakdowns during testing. It is mitted to observe all tests. The manu- recognized that with one test bus it is not facturer shall not provide maintenance feasible to conduct statistical reliability tests. The detected bus failures, repair time, or service unless requested to do so by and the actions required to return the bus to the operator. operation should be recorded in the report.

APPENDIX A TO PART 665—TESTS TO BE 3. SAFETY PERFORMED AT THE BUS TESTING The safety test should consist of a han- FACILITY dling and stability test. The handling and stability test should be an obstacle avoid- The eight tests to be performed on each ve- ance or double-lane change test performed at hicle are required by SAFETEA–LU and are the test track. Bus speed should be held con- based in part on tests described in the FTA stant throughout a given test run. Individual report ‘‘First Article Transit Bus Test test runs should be made at increasing Plan,’’ which is mentioned in the legislative speeds up to a specified maximum or until history of section 317 of STURAA. When ap- the bus can no longer be operated safely over propriate, Society of Automotive Engineers the course, whichever speed is lower. Both (SAE) test procedures and other procedures left- and right-hand lane changes should be accepted by the transit industry will be used. tested. The eight tests are described in general terms in the following paragraphs. 4. PERFORMANCE

1. MAINTAINABILITY The performance test should be performed on the test track and should measure accel- The maintainability test should include eration, maximum speed attained, bus servicing, preventive maintenance, in- gradeability, and braking. The bus should be spection, and repair. It also should include accelerated at full throttle from a full stop the removal and reinstallation of the engine to maximum safe speed on the track. The and drive train components that would be gradeability capabilities should be measured expected to require replacement during the when starting from a full stop on a steep bus’s normal life cycle. Much of the main- grade, and supplemented by calculating tainability data should be obtained during gradeability based on the acceleration data. the bus durability test at the test track. Up The functionality and performance of the to twenty-five percent of the bus life should service, regenerative (if applicable), and be simulated and servicing, preventive main- parking brake systems should be evaluated tenance, and repair actions should be re- at the test track. The test bus should be sub- corded and reported. These actions should be jected to a series of brake stops from speci- performed by test facility staff, although fied speeds on high, low, and split-friction manufacturers should be allowed to main- surfaces. The parking brake should be evalu- tain a representative on site during the test- ated with the bus parked facing both up and ing. Test facility staff may require a manu- down a steep grade. facturer to provide vehicle servicing or re- 5. STRUCTURAL INTEGRITY pair, under the supervision of the facility staff. Because the operator will not become Two complementary structural integrity familiar with the detailed design of all new tests should be performed. Structural bus models that are tested, tests to deter- strength and distortion tests should be per- mine the time and skill required to remove formed at the Bus Testing Center, and the and reinstall an engine, a transmission, or structural durability test should be per- other major propulsion system components formed at the test track. may require advice from the bus manufacturer. All routine and corrective mainte- a. Structural Strength and Distortion Tests nance should be carried out by the test oper- (1) A shakedown of the bus structure ator in accordance with the manufacturer’s should be conducted by loading and unload- specifications. ing the bus with a distributed load equal to The maintainability test report should in- 2.5 times the load applied for the gross clude the frequency, personnel hours, and re- weight portions of testing. The bus should placement parts or supplies required for each then be unloaded and inspected for any per- action during the test. The accessibility of manent deformation on the floor or coach selected components and other observations structure. This test should be repeated a sec- that could be important to a bus user should ond time, and should be repeated up to one be included in the report. more time if the permanent deflections vary

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significantly between the first and second omy of the bus in miles per gallon or other tests. energy-equivalent units. (2) The bus should be loaded to gross vehi- The fuel economy test should be designed cle weight, with one wheel on top of a curb only to enable FTA recipients to compare and then in a pothole. This test should be re- the relative fuel economy of buses operating peated for all four wheels. The test verifies: at a consistent loading condition on the normal operation of the steering mechanism; same set of typical transit driving cycles. and operability of all passenger doors, pas- The results of this test are not directly com- senger escape mechanisms, windows, and parable to fuel economy estimates by other service doors. A water leak test should be agencies, such as the U.S. Environmental conducted in each suspension travel condi- Protection Agency (EPA) or for other pur- tion. poses. (3) Using a load-equalizing towing sling, a static tension load equal to 1.2 times the 7. NOISE curb weight should be applied to the bus towing fixtures (front and rear). The load should The noise test should measure interior be removed and the two eyes and adjoining noise and vibration while the bus is idling structure inspected for damages or perma- (or in a comparable operating mode) and nent deformations. driving, and also should measure the trans- (4) The bus should be towed at curb weight mission of exterior noise to the interior with a heavy wrecker truck for several miles while the bus is not running. The exterior and then inspected for structural damage or noise should be measured as the bus is oper- permanent deformation. ated past a stationary measurement instru- (5) With the bus at curb weight probable ment. damages and clearance issues due to tire de- flating and jacking should be assessed. 8. EMISSIONS (6) With the bus at curb weight possible The emissions test should measure tailpipe damages or deformation associated with lift- emissions of those exhaust constituents reg- ing the bus on a two post hoist system or ulated by the United States Environmental supporting it on jack stands should be as- Protection Agency (EPA) for transit bus sessed. emissions, plus carbon dioxide (CO2) and b. Structural Durability methane (CH4), as the bus is operated over specified driving cycles. The emissions test The structural durability test should be should be conducted using an emissions test- performed on the durability course at the ing laboratory equipped with a chassis dyna- test track, simulating twenty-five percent of mometer capable of both absorbing and ap- the vehicle’s normal service life. The bus plying power. structure should be inspected regularly dur- The emissions test is not a certification ing the test, and the mileage and identifica- test, and is designed only to enable FTA re- tion of any structural anomalies and failures cipients to compare the relative emissions of should be reported in the reliability test. buses operating on the same set of typical transit driving cycles. The results of this 6. FUEL ECONOMY test are not directly comparable to emis- The fuel economy test should be conducted sions measurements obtained by other agen- using duty cycles that simulate transit serv- cies, such as the EPA, which are used for ice. This test should measure the fuel econ- other purposes.

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Part Page 700 Organization, functioning and available information ...... 515 701 Amtrak Freedom of Information Act program ...... 517

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Springfield; and Philadelphia-Harris- accordance with the provisions of 49 burg) and small segments of track near CFR 701.4. Albany, New York, and Kalamazoo, (b) The National Train Timetables Michigan. In the Northeast Corridor described in § 700.2(f) are widely distrib- Amtrak trains are run by operating uted in the continental United States crews consisting of Amtrak employees. and are available in major cities in Eu- On other routes, Amtrak operates rope, Canada and Mexico. When they trains on the tracks of about twenty are updated (usually in April and Octo- different privately owned railroads and ber each year) each printing involves compensates the railroad for the use of about 1,000,000 copies. They are ordi- their facilities and for the services of narily available at staffed Amtrak sta- their employees, including engineers, tions and copies are usually kept on conductors, and maintenance per- hand in the offices of about 9800 travel sonnel. Those private railroads are re- agents who are authorized to sell Am- sponsible for the conditions of the trak tickets. A person unable to obtain roadbed and for coordinating the flow a copy locally should request one from of traffic over their lines. the Director of Corporate Communica- (e) Operations. Amtrak provides tions at the Washington, DC head- about 250 trains daily, serving about quarters. The timetable depicts the 500 stations in over forty states. Am- major Amtrak train routes on a map of trak owns most of its cars and loco- the United States, and most of the re- motives, some of its stations, and most mainder of the booklet shows the of its repair facilities. Its capital im- schedules for specific trains. Several provements and almost half of its oper- pages are used to offer travel informa- ating losses are supported principally tion dealing with the availability of as- through Federal financing, with some sistance to handicapped travellers, red State, regional and local financial sup- cap service, purchase of tickets on port for some trains and stations. Con- board, use of credit cards and personal gress requires Amtrak to earn revenues checks, handling of baggage, refunds equivalent to at least fifty percent of for unused tickets and similar matters. its operating costs, and it currently (c) Also available to members of the does so. public at most staffed Amtrak sta- (f) Revenue production. The sale of tions, and usually maintained in the tickets for transportation and accom- offices of travel agencies authorized to modations, Amtrak’s principal source sell Amtrak tickets, is a copy of the of revenue, is accomplished through Reservations and Ticketing Manual Amtrak ticket agents at stations, trav- (RTM) which constitutes a compen- el agencies, and five central reserva- dium of information governing Amtrak tion offices which service a nationwide employees in furnishing transportation telephone network. National Time- to the travelling public. It contains tables contain basic information about substantial segments dedicated to the routes, stations, and services. following topics: Amtrak’s computer system and its communication codes; § 700.3 Availability of documents, as- interline service agreements; passenger sistance, and information. and baggage services; customer rela- (a) A member of the public having tions functions; reservations policy and need for assistance or information con- procedures; acceptance of checks and cerning any of the matters described in credit cards; refunds; missed connec- § 700.2 should address his or her con- tion policies; ticketing; accommoda- cerns in a letter or other written com- tions; employee pass travel; location munication directed to the appropriate maps for Amtrak stations; and inter- vice president or to the Director of modal state maps. Corporate Communications. Amtrak (d) A full statement of Amtrak’s tar- will bring such communications to the iffs containing the fares for point-to- attention of the appropriate official if point travel, regional plan travel and they are misdirected in the first in- all relevant travel conditions, such as stance. Formal requests for ‘‘records’’ excursions, discounts, family plans, ac- under 5 U.S.C. 552(a)(3) of the Freedom commodations, etc., is contained in the of Information Act are to be made in privately published Official Railway

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Guide, which is available by subscrip- public (i.e., train timetables, press re- tion from its publisher at 424 West 33rd leases) may be obtained without fol- Street, New York, New York 10001. A lowing Amtrak’s FOIA procedures. As copy of the guide can usually be found a matter of policy, Amtrak may make at each staffed Amtrak station, and at discretionary disclosures of records or the offices of travel agents authorized information exempt under the FOIA to sell Amtrak tickets. Tariff changes whenever disclosure would not which occur between issues of the foreseeably harm an interest protected Guide are published and widely distrib- by an FOIA exemption; however, this uted by Amtrak pending their publica- policy does not create any right en- tion in the next issue of the Guide. forceable in court. (e) Each of the documents described in paragraphs (b) through (d) of this § 701.2 Definitions. section is available to the public for inspection during regular business hours Unless the context requires otherwise at the office of Amtrak’s Freedom of in this part, masculine pronouns in- Information Office at its headquarters clude the feminine gender and ‘‘in- at 400 North Capitol Street, NW., Wash- cludes’’ means ‘‘includes but is not lim- ington, DC 20001, and at the office of ited to.’’ the Division Manager, Human Re- (a) Amtrak or Corporation means the sources, in New Haven, Philadelphia, National Railroad Passenger Corpora- Baltimore, New York, Los Angeles and tion. Chicago. Each document has its own (b) Appeal means a request submitted index. Since each index is useful only to the President of Amtrak or designee in connection with the document to for review of an adverse initial deter- which it pertains, and since requests mination. for indices are uncommon, Amtrak has (c) Business days means working determined that publication of its indi- days; Saturdays, Sundays, and legal ces as described in 5 U.S.C. 552(a)(2) public holidays are excluded in com- would be unnecessary and impracti- puting response time for processing cable. FOIA requests. (d) Disclose or disclosure means mak- PART 701—AMTRAK FREEDOM OF ing records available for examination INFORMATION ACT PROGRAM or copying, or furnishing a copy of nonexempt responsive records. Sec. (e) Electronic data means records and 701.1 General provisions. information (including E-mail) that 701.2 Definitions. 701.3 Policy. are created, stored, and retrievable by 701.4 Amtrak public information. electronic means. 701.5 Requirements for making requests. (f) Exempt information means informa- 701.6 Release and processing procedures. tion that is exempt from disclosure 701.7 Timing of responses to requests. under one or more of the nine exemp- 701.8 Responses to requests. 701.9 Business information. tions to the FOIA. 701.10 Appeals. (g) Final determination means a deci- 701.11 Fees. sion by the President of Amtrak or des- 701.12 Other rights and services. ignee concerning a request for review AUTHORITY: 5 U.S.C. 552; 49 U.S.C. 24301(e). of an adverse initial determination re- SOURCE: 63 FR 7311, Feb. 13, 1998, unless ceived in response to an FOIA request. otherwise noted. (h) Freedom of Information Act or ‘‘FOIA’’ means the statute as codified § 701.1 General provisions. in section 552 of Title 5 of the United This part contains the rules that the States Code as amended. National Railroad Passenger Corpora- (i) Freedom of Information Officer tion (‘‘Amtrak’’) follows in processing means the Amtrak official designated requests for records under the Freedom to fulfill the responsibilities of imple- of Information Act (FOIA), Title 5 of menting and administering the Free- the United States Code, section 552. In- dom of Information Act as specifically formation routinely provided to the designated under this part.

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(j) Initial determination means a deci- to the extent withholding is permitted sion by an Amtrak FOIA Officer in re- by law. sponse to a request for information (b) A record of the Corporation, or under the FOIA. parts thereof, may be withheld from (k) Pages means paper copies of disclosure if it comes under one or standard office size or the cost equiva- more exemptions in 5 U.S.C. 552(b) or is lent in other media. otherwise exempted by law. Disclosure (l) President means the President and to a properly constituted advisory Chief Executive Officer (CEO) of the committee, to Congress, or to federal National Railroad Passenger Corpora- agencies does not waive the exemption. tion (Amtrak) or designee. (c) In the event one or more exemp- (m) Record means any writing, draw- tions apply to a record, any reasonably ing, map, recording, tape, film, photo- segregable portion of the record will be graph, or other documentary material made available to the requesting per- by which information is preserved in son after deletion of the exempt por- any format, including electronic for- tions. The entire record may be with- mat. A record must exist and be in the held if a determination is made that possession and control of Amtrak at nonexempt material is so inextricably the time of the request to be subject to intertwined that disclosure would leave this part and the FOIA. The following only essentially meaningless words or are not included within the definition phrases, or when it can be reasonably of the word ‘‘record’’: assumed that a skillful and knowledge- (1) Library materials compiled for able person could reconstruct the de- reference purposes or objects of sub- leted information. stantial intrinsic value. (d) The procedures in this part apply (2) Routing and transmittal sheets, only to records in existence at the time notes, and filing notes which do not of a request. The Corporation has no also include information, comments, or obligation to create a record solely for statements of substance. the purpose of making it available under the FOIA or to provide a record (3) Anything that is not a tangible or that will be created in the future. documentary record such as an individ- (e) Each officer and employee of the ual’s memory or oral communication. Corporation dealing with FOIA re- (4) Objects or articles, whatever their quests is directed to cooperate in mak- historical or value as evidence. ing records available for disclosure (n) Request means any request for under the Act in a prompt manner con- records made pursuant to 5 U.S.C. sistent with this part. 552(a)(3). (f) The FOIA time limits will not (o) Requester or requesting party means begin to run until a request has been any person who has submitted a re- identified as being made under the Act quest to Amtrak. and deemed received by the Freedom of (p) Responsive records means docu- Information Office. ments determined to be within the (g) Generally, when a member of the scope of a FOIA request. public complies with the procedures established in this part for obtaining § 701.3 Policy. records under the FOIA, the request (a) Amtrak will make records of the shall receive prompt attention, and a Corporation available to the public to response shall be made within twenty the greatest practicable extent in business days. keeping with the spirit of the law. Therefore, records of the Corporation § 701.4 Amtrak public information. are available for public inspection and (a) Public reading room. Amtrak main- copying as provided in this part with tains a public reading room at its head- the exception of those that the Cor- quarters at 60 Massachusetts Avenue, poration specifically determines should N.E. in Washington, D.C. The public not be disclosed either in the public in- reading room contains records required terest, for the protection of private under the FOIA to be regularly avail- rights, or for the efficient conduct of able for public inspection and copying. public or corporate business, but only A current subject-matter index shall be

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maintained of records in the public (d) Guide for making requests. A guide reading room that are available for in- on how to use the FOIA for requesting spection and copying. The index shall records from Amtrak shall be made be updated at least quarterly with re- available to the public upon request. spect to newly included records. A copy Amtrak’s major information systems of the index shall be provided upon re- will be described in the guide. quest at a cost not to exceed the direct cost of duplication. § 701.5 Requirements for making re- (b) Electronic reading room. Amtrak quests. will make available electronically (a) General requirements. (1) A FOIA reading room records created by the request can be made by ‘‘any person’’ Corporation on or after November 1, as defined in 5 U.S.C. 551(2), which en- 1996 on its World Wide Web site which compasses individuals (including for- can be accessed at http:// eign citizens; partnerships; corpora- www.Amtrak.com. An index of the Cor- tions; associations; and local, state, poration’s reading room records will tribal, and foreign governments). A also be made available at the web site. FOIA request may not be made by a The index will indicate reading room Federal agency. records that are available electroni- (2) A request must be in writing, indi- cally. cate that it is being made under the (c) Frequently requested information. FOIA and provide an adequate descrip- The FOIA requires that copies of tion of the records sought. The request records, regardless of form or format, should also include applicable informa- released pursuant to a FOIA request tion regarding fees as specified in para- under 5 U.S.C. 552(a)(3) that have be- graphs (d) and (e) of this section. come or are likely to become the sub- (b) How to submit a request. (1) A re- ject of subsequent requests for substan- quest must clearly state on the enve- tially the same records be made pub- lope and in the letter that it is a Free- licly available. Such records created by dom of Information Act or ‘‘FOIA’’ re- the Corporation after November 1, 1996 quest. will be made available electronically (2) The request must be addressed to while records created prior to this date the Freedom of Information Office; Na- will be made available for inspection tional Railroad Passenger Corporation; and copying in Amtrak’s public reading 60 Massachusetts Avenue, N.E.; Wash- room. ington, D.C. 20002. Requests will also be (1) Amtrak shall decide on a case-by- accepted by facsimile at (202) 906–2169. case basis whether records fall into the Amtrak cannot assure that a timely or category of ‘‘frequently requested satisfactory response under this part FOIA records’’ based on the following will be given to written requests ad- factors: dressed to Amtrak offices, officers, or (i) Previous experience with similar employees other than the Freedom of records; Information Office. Amtrak employees (ii) The nature and type of informa- receiving a communication in the nation contained in the records; ture of a FOIA request shall forward it (iii) The identity and number of re- to the FOIA Office expeditiously. Am- questers and whether there is wide- trak shall advise the requesting party spread media or commercial interest in of the date that an improperly ad- the records. dressed request is received by the FOIA (2) The provision in this paragraph is Office. intended for situations where public (c) Content of the request—(1) Descrip- access in a timely manner is impor- tion of records. Identification of records tant. It is not intended to apply where sought under the FOIA is the responsi- there may be a limited number of re- bility of the requester. The records quests over a short period of time from sought should be described in sufficient a few requesters. Amtrak may remove detail so that Amtrak personnel can lo- the records from this category when it cate them with a reasonable amount of is determined that access is no longer effort. When possible, the request necessary. should include specific information

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such as dates, title or name, author, re- (iii) Amtrak will hold in abeyance for cipient, subject matter of the record, forty-five (45) days requests requiring file designation or number, or other agreement to pay fees and will there- pertinent details for each record or cat- after deem the request closed. This ac- egory of records sought. tion will not prevent the requesting (2) Reformulation of a request. Amtrak party from refiling the FOIA request is not obligated to act on a request with a fee commitment at a subsequent until the requester provides sufficient date. information to locate the record. Am- (2) Fees in excess of $250. When Am- trak may offer assistance in identi- trak estimates or determines that al- fying records and reformulating a re- lowable charges are likely to exceed quest where: the description is consid- $250, an advance deposit of the entire ered insufficient, the production of vo- fee may be required before continuing luminous records is required, or a con- to process the request. siderable number of work hours would (e) Information regarding fee category. be required that would interfere with In order to determine the appropriate the business of the Corporation. The fee category, a request should indicate Freedom of Information Office shall whether the information sought is in- notify the requester within ten busi- tended for commercial use or whether ness days of the type of information the requesting party is a member of that will facilitate the search. The re- the staff of an educational or non- questing party shall be given an oppor- commercial scientific institution or a tunity to supply additional informa- representative of the news media. tion and may submit a revised request, (f) Records concerning other individ- which will be treated as a new request. uals. If the request is for records con- (d) Payment of fees. The submission of cerning another individual, either a a FOIA request constitutes an agree- written authorization signed by that ment to pay applicable fees accessed up individual permitting disclosure of to $25.00 unless the requesting party those records to the requesting party specifies a willingness to pay a greater or lesser amount or seeks a fee waiver or proof that the individual is deceased or reduction in fees. (i.e., a copy of a death certificate or an (1) Fees in excess of $25.00. When Am- obituary) will help to expedite proc- trak determines or estimates that ap- essing of the request. plicable fees are likely to exceed $25.00, § 701.6 Release and processing proce- the requesting party shall be notified dures. of estimated or actual fees, unless a commitment has been made in advance (a) General provisions. In determining to pay all fees. If only a portion of the records that are responsive to a re- fee can be estimated readily, Amtrak quest, Amtrak will ordinarily include shall advise the requester that the esti- only records that exist and are in the mated fee may be a portion of the total possession and control of the Corpora- fee. tion as of the date that the search is (i) In order to protect requesters begun. If any other date is used, the re- from large and/or unexpected fees, Am- questing party will be informed of that trak will request a specific commit- date. ment when it estimates or determines (b) Authority to grant or deny requests. that fees will exceed $100.00. Amtrak’s FOIA officer is authorized to (ii) A request shall not be considered grant or deny any request for records. received, and further processing carried (c) Notice of referral. If Amtrak refers out until the requesting party agrees all or any part of the responsibility for to pay the anticipated total fee. Any responding to a request to another or- such agreement must be memorialized ganization, the requesting party will be in writing. A notice under this para- notified. A referral shall not be consid- graph will offer the requesting party an ered a denial of access within the opportunity to discuss the matter in meaning of this part. All consultations order to reformulate the request to and referrals of requests will be han- meet the requester’s needs at a lower dled according to the date that the cost. FOIA request was initially received.

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(d) Creating a record. There is no obli- (ii) The request does not state a will- gation on the part of Amtrak to create, ingness to pay all fees; compile, or obtain a record to satisfy a (iii) A request seeking a fee waiver FOIA request. The FOIA also does not does not address the criteria for fee require that a new computer program waivers set forth in § 701.11(k); be developed to extract the records re- (iv) A fee waiver request is denied, quested. Amtrak may compile or cre- and the request does not include an al- ate a new record, however, when doing ternative statement indicating that so would result in a more useful re- the requesting party is willing to pay sponse to the requesting party or all fees. would be less burdensome to Amtrak (b) Initial determination. Whenever than providing existing records. The possible, an initial determination to cost of creating or compiling such a release or deny a record shall be made record may not be charged to the re- within twenty business days after requester unless the fee for creating the ceipt of the request. In ‘‘unusual cir- record is equal to or less than the fee cumstances’’ as described in paragraph that would be charged for providing the (d) of this section, the time for an ini- existing record. tial determination may be extended for (e) Incomplete records. If the records ten business days. requested are not complete at the time (c) Multitrack processing. (1) Amtrak of a request, Amtrak may, at its dis- may use two or more processing tracks cretion, inform the requester that com- by distinguishing between simple and plete nonexempt records will be pro- more complex requests based on the vided when available without having to amount of work and/or time needed to submit an additional request. process a request or the number of (f) Electronic records. Amtrak is not pages involved. obligated to process a request for elec- (2) In general, when requests are re- tronic records where creation of a ceived, Amtrak’s FOIA Office will re- record, programming or a particular view and categorize them for tracking format would result in a significant ex- purposes. Requests within each track penditure of resources or interfere with will be processed according to date of the corporation’s operations. receipt. § 701.7 Timing of responses to re- (3) The FOIA Office may contact a requests. quester when a request does not appear to qualify for fast track processing to (a) General. (1) The time limits of the provide an opportunity to limit the FOIA will begin only after the require- scope of the request and qualify for a ments for submitting a request as es- faster track. Such notification shall be tablished in § 701.5 have been met, and at the discretion of the FOIA Office the request is deemed received by the and will depend largely on whether it is Freedom of Information Office. believed that a narrowing of the re- (2) A request for records shall be con- quest could place the request on a fast- sidered to have been received on the er track. later of the following dates: (d) Unusual circumstances. (1) The re- (i) The requester has agreed in writ- questing party shall be notified in writing to pay applicable fees in according if the time limits for processing a ance with § 701.5(d), or request cannot be met because of un- (ii) The fees have been waived in ac- usual circumstances, and it will be nec- cordance with § 701.11(k), or essary to extend the time limits for (iii) Payment in advance has been re- processing the request. The notifica- ceived from the requester when re- tion shall include the date by which quired in accordance with § 701.11(i). the request can be expected to be com- (3) The time for responding to re- pleted. Where the extension is for more quests set forth in paragraph (b) of this than ten business days, the requesting section may be delayed if: party will be afforded an opportunity (i) The request does not sufficiently to either modify the request so that it identify the fee category applicable to may be processed within the time lim- the request; its or to arrange an alternative time

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period for processing the initial request lish that he is a person whose main or modified request. professional activity or occupation is (2) If Amtrak believes that multiple information dissemination, though it requests submitted by a requester or need not be his sole occupation. A re- by a group of requesters acting in con- quester must establish a particular ur- cert constitute a single request that gency to inform the public about the would otherwise involve unusual cir- Amtrak activity involved in the re- cumstances and the requests involve quest. clearly related matters, the requests (5) Within ten business days of re- may be aggregated. Multiple requests ceipt of a request for expedited proc- concerning unrelated matters may not essing, Amtrak shall determine wheth- be aggregated. er to grant such a request and notify (3) Unusual circumstances that may the requester of the decision. If a re- justify delay include: quest for expedited treatment is grant- (i) The need to search for and collect ed, the request shall be given priority the requested records from other facili- and shall be processed as soon as prac- ties that are separate from Amtrak’s ticable. headquarters offices. (6) Amtrak shall provide prompt con- (ii) The need to search for, collect, sideration of appeals of decisions deny- and examine a voluminous amount of ing expedited processing. separate and distinct records sought in a single request. § 701.8 Responses to requests. (iii) The need for consultation, which (a) Granting of requests. When an ini- shall be conducted with all practicable tial determination is made to grant a speed, with agencies having a substan- request in whole or in part, the re- tial interest in the determination of questing party shall be notified in writ- the request, or among two or more Am- ing and advised of any fees charged trak components having a substantial under § 701.11(e). The records shall be subject-matter interest in the request. disclosed to the requesting party (e) Expedited processing. (1) Requests promptly upon payment of applicable and appeals may be taken out of order fees. and given expedited treatment when- (b) Adverse determination of requests— ever it is determined that they involve (1) Types of denials. The requesting a compelling need, which means: party shall be notified in writing of a (i) Circumstances in which the lack determination to deny a request in any of expedited treatment could reason- respect. Adverse determinations or de- ably be expected to pose an imminent nials of records consist of: threat to the life or physical safety of (i) A determination to withhold any an individual; and requested record in whole or in part; (ii) An urgency to inform the public (ii) A determination that a requested about an actual or alleged Amtrak ac- record does not exist or cannot be lo- tivity, if made by a person primarily cated; engaged in disseminating information. (iii) A denial of a request for expe- (2) A request for expedited processing dited treatment; and may be made at the time of the initial (iv) A determination on any disputed request for records or at a later date. fee matter including a denial of a re- (3) A requester seeking expedited quest for a fee waiver. processing must submit a statement, (2) Deletions. When practical, records certified to be true and correct to the disclosed in part shall be marked or an- best of that person’s knowledge and be- notated to show both the amount and lief, explaining in detail the basis for location of the information deleted. requesting expedited processing. This (3) Content of denial letter. The denial statement must accompany the request letter shall be signed by the Freedom in order to be considered and responded of Information Officer or designee and to within the ten calendar days re- shall include: quired for decisions on expedited ac- (i) A brief statement of the reason(s) cess. for the adverse determination includ- (4) A requester who is not a full-time ing any FOIA exemptions applied in de- member of the news media must estab- nying the request;

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(ii) An estimate of the volume of in- tions of records containing the infor- formation withheld (number of pages mation. or some other reasonable form of esti- (e) When notice is required. Notice mation). An estimate does not need to shall be given to a submitter when: be provided if the volume is indicated (1) The information has been des- through deletions on records disclosed ignated in good faith by the submitter in part, or if providing an estimate as information considered protected would harm an interest protected by an from disclosure under Exemption 4; or applicable exemption; (2) Amtrak has reason to believe that (iii) A statement that an appeal may the information may be protected from be filed under § 701.10 and a description disclosure under Exemption 4. of the requirements of that section; (f) Opportunity to object to disclosure. and Amtrak will allow a submitter a rea- (iv) The name and title or position of sonable amount of time to respond to the person responsible for the denial. the notice described in paragraph (d) of this section. § 701.9 Business information. (1) A detailed written statement must be submitted to Amtrak if the (a) Business information General. submitter has any objection to disclo- held by Amtrak will be disclosed under sure. The statement must specify all the FOIA only under this section. grounds for withholding any specified (b) Definitions. For purposes of this portion of the information sought section, the following definitions under the FOIA. In the case of Exemp- apply: tion 4, it must show why the informa- (1) Business information means com- tion is a trade secret or commercial or mercial or financial information held financial information that is privileged by Amtrak that may be protected from or confidential. disclosure under Exemption 4 of the (2) In the event that a submitter fails FOIA, 5 U.S.C. 552(b)(4). to respond within the time specified in (2) Submitter means any person or en- the notice, the submitter will be con- tity including partnerships; corpora- sidered to have no objection to disclo- tions; associations; and local, state, sure of the information sought under tribal, and foreign governments. the FOIA. (c) Designation of business information. (3) Information provided by a sub- A submitter of business information mitter in response to the notice may be will use good faith efforts to designate, subject to disclosure under the FOIA. by appropriate markings, either at the (g) Notice of intent to disclose. Amtrak time of submission or at a reasonable shall consider a submitter’s objections time thereafter, any portions of its and specific grounds for disclosure in submission that it considers to be pro- making a determination whether to tected from disclosure under Exemp- disclose the information. In any in- tion 4. These designations will expire stance, when a decision is made to dis- ten years after the date of the submis- close information over the objection of sion unless the submitter requests and a submitter, Amtrak shall give the provides justification for a longer des- submitter written notice which shall ignation period. include: (d) Notice to submitters. Amtrak shall (1) A statement of the reason(s) why provide a submitter with prompt writ- each of the submitter’s objections to ten notice of an FOIA request or an ap- disclosure was not sustained; peal that seeks its business informa- (2) A description of the information tion when required under paragraph (e) to be disclosed; and of this section, except as provided in (3) A specified disclosure date, which paragraph (h), in order to give the sub- shall be a reasonable time subsequent mitter an opportunity to object to dis- to the notice. closure of any specified portion of the (h) Exceptions to notice requirements. information under paragraph (f). The The notice requirements of this section notice shall either describe the busi- shall not apply if: ness information requested or include (1) Amtrak determines that the infor- copies of the requested records or por- mation should not be disclosed;

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(2) The information has been pub- (3) The appeal must be in writing and lished or has been officially made specify the relevant facts and the basis available to the public; for the appeal. The appeal letter and (3) Disclosure of the information is envelope must be marked prominently required by law (other than the FOIA); ‘‘Freedom of Information Act Appeal’’ (4) The designation made by the sub- to ensure that it is properly routed. mitter under paragraph (c) of this sec- (4) The appeal must be received by tion appears obviously frivolous. In the President’s Office within thirty (30) such a case, Amtrak shall within a rea- days of the date of denial. sonable time prior to a specified disclo- (5) An appeal will not be acted upon sure date, give the submitter written if the request becomes a matter of notice of the final decision to disclose FOIA litigation. the information; or (b) Responses to appeals. The decision (5) The information requested is not on any appeal shall be made in writing. designated by the submitter as exempt (1) A decision upholding an adverse from disclosure in accordance with this determination in whole or in part shall part, unless Amtrak has substantial contain a statement of the reason(s) reason to believe that disclosure of the for such action, including any FOIA ex- information would result in competi- emption(s) applied. The requesting tive harm. party shall also be advised of the provi- (i) Notice of a FOIA lawsuit. Whenever sion for judicial review of the decision a FOIA requester files a lawsuit seek- contained in 5 U.S.C. 552(a)(4)(B). ing to compel disclosure of business in- (2) If the adverse determination is re- formation, Amtrak shall promptly no- versed or modified on appeal in whole tify the submitter. or in part, the requesting party shall (j) Notice to requesters. (1) When Am- be notified, and the request shall be re- trak provides a submitter with notice processed in accordance with the deci- and an opportunity to object to disclo- sion. sure under paragraph (f) of this section, (c) When appeal is required. The re- the FOIA Office shall also notify the questing party must appeal any ad- requester(s). verse determination prior to seeking (2) When Amtrak notifies a submitter judicial review. of its intent to disclose requested information under paragraph (g) of this sec- § 701.11 Fees. tion, Amtrak shall also notify the re- (a) General. Amtrak shall charge for quester(s). processing requests under the FOIA in (3) When a submitter files a lawsuit accordance with this section. A fee of seeking to prevent the disclosure of $9.50 per quarter hour shall be charged business information, Amtrak shall no- for search and review. For information tify the requester(s). concerning other processing fees, refer to paragraph (e) of this section. Am- § 701.10 Appeals. trak shall collect all applicable fees be- (a) Appeals of adverse determinations. fore releasing copies of requested (1) The requesting party may appeal: records to the requesting party. Pay- (i) A decision to withhold any re- ment of fees shall be made by check or quested record in whole or in part; money order payable to the National (ii) A determination that a requested Railroad Passenger Corporation. record does not exist or cannot be lo- (b) Definitions. For purposes of this cated; section: (iii) A denial of a request for expe- (1) Search means the process of look- dited treatment; or ing for and retrieving records or infor- (iv) Any disputed fee matter or the mation responsive to a request. It in- denial of a request for a fee waiver. cludes page-by-page or line-by-line (2) The appeal must be addressed to identification of information within the President and Chief Executive Offi- records and also includes reasonable ef- cer (CEO); National Railroad Passenger forts to locate and retrieve information Corporation; 60 Massachusetts Avenue, from records maintained in electronic N.E., Washington, D.C. 20002. form or format.

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(2) Review means the process of exam- pose that furthers his commercial, ining a record located in response to a trade, or profit interests, including fur- request to determine whether one or thering those interests through litiga- more of the statutory exemptions of tion. Amtrak shall determine, when- the FOIA apply. Processing any record ever reasonably possible, the use to for disclosure includes doing all that is which a requester will put the records necessary to redact the record and pre- sought by the request. When it appears pare it for release. Review time in- that the requesting party will put the cludes time spent considering formal records to a commercial use, either be- objection to disclosure by a commer- cause of the nature of the request itself cial submitter under § 701.9, but does or because Amtrak has reasonable not include time spent resolving gen- cause to doubt the stated intended use, eral legal or policy issues regarding the Amtrak shall provide the requesting application of exemptions. Review party with an opportunity to submit costs are recoverable even if a record further clarification. Where a requester ultimately is not disclosed. does not explain the use or where ex- (3) Reproduction means the making of planation is insufficient, Amtrak may a copy of a record or the information draw reasonable inferences from the re- contained in it in order to respond to a quester’s identity and charge accord- FOIA request. Copies can take the form ingly. of paper, microform, audiovisual mate- (2) Representative of the news media or rials, or electronic records (i.e., mag- news media requester refers to any per- netic tape or disk) among others. Am- son actively gathering news for an en- trak shall honor a requester’s specified tity that is organized and operated to preference for the form or format of publish or broadcast news to the pub- disclosure if the record is readily re- lic. The term ‘‘news’’ means informa- producible with reasonable effort in the tion that is about current events or requested form or format by the office that would be of current interest to the responding to the request. public. Examples of news media enti- (4) Direct costs means those expenses ties include television or radio stations actually incurred in searching for and broadcasting to the public at large and reproducing (and, in the case of com- publishers of periodicals (but only in mercial use requests, reviewing) those instances where they can qualify records to respond to a FOIA request. as disseminators of news). For ‘‘free- Direct costs include such costs as the lance’’ journalists to be regarded as salary of the employee performing the working for a news organization, they work (the basic rate of pay for the em- must demonstrate a solid basis for ex- ployee plus applicable benefits and the pecting publication through an organi- cost of operating reproduction equip- zation. A publication contract would be ment). Direct costs do not include the clearest proof, but Amtrak shall overhead expenses such as the costs of also look to the past publication record space and heating or lighting of the fa- of a requester in making this deter- cility. mination. A request for records sup- (c) Fee categories. There are four cat- porting the news dissemination func- egories of FOIA requesters for fee pur- tion of the requester shall not be con- poses: ‘‘commercial use requesters,’’ sidered to be for commercial use. ‘‘representatives of the news media,’’ (3) Educational institution refers to a ‘‘educational and non-commercial sci- preschool, a public or private elemen- entific institution requesters,’’ and tary or secondary school, an institu- ‘‘all other requesters.’’ The categories tion of undergraduate higher edu- are defined in paragraphs (c)(1) through cation, an institution of graduate high- (5), and applicable fees, which are the er education, an institution of profes- same for two of the categories, will be sional education, or an institution of assessed as specified in paragraph (d) of vocational education that operates a this section. program of scholarly research. To be in (1) Commercial requesters. The term this category, a requester must show ‘‘commercial use’’ request refers to a that the request is authorized by and is request from or on behalf of a person made under the auspices of a qualifying who seeks information for a use or pur- institution and that the records are not

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sought for commercial use but to fur- (d) of this section. Amtrak shall charge ther scholarly research. 25 cents per page for a paper photocopy (4) Noncommercial scientific institution of a record. For copies produced by refers to an institution that is not op- computer (such as tapes or printouts), erated on a ‘‘commercial’’ basis, as Amtrak will charge the direct costs, that term is defined in paragraph (c)(1) including the operator time in proof this section, and that is operated ducing the copy. For other forms of du- solely for the purpose of conducting plication, Amtrak will charge the di- scientific research, the results of which rect costs of that duplication. are not intended to promote any par- (4) Review fees. Review fees will be as- ticular product or industry. To be in sessed for commercial use requests. this category, the requesting party Such fees will be assessed for review must show that the request is author- conducted in making an initial deter- ized by and is made under the auspices mination, or upon appeal, when review of a qualifying institution and that the is conducted to determine whether an records are not sought for commercial use but to further scientific research. exemption not previously considered is (5) Other requesters refers to request- applicable. ers who do not come under the purview (5) Charges for other services. The ac- of paragraphs (c)(1) through (4) of this tual cost or amount shall be charged section. for all other types of output, produc- (d) Assessing fees. In responding to tion, and duplication (e.g., photo- FOIA requests, Amtrak shall charge graphs, maps, or printed materials). the following fees unless a waiver or a Determinations of actual cost shall in- reduction in fees has been granted clude the commercial cost of the under paragraph (k) of this section: media, the personnel time expended in (1) ‘‘Commercial use’’ requesters: The making the item available for release, full allowable direct costs for search, and an allocated cost for the equip- review, and duplication of records. ment used in producing the item. The (2) ‘‘Representatives of the news media’’ requesting party will be charged actual and ‘‘educational and non-commercial production costs when a commercial scientific institution’’ requesters: Duplica- service is required. Items published and tion charges only, excluding charges available through Amtrak will be made for the first 100 pages. available at the publication price. (3) ‘‘All other’’ requesters: The direct (6) Charges for special services. Apart costs of search and duplication of from the other provisions of this sec- records. The first 100 pages of duplication, when Amtrak chooses as a matter tion and the first two hours of search of discretion to provide a special serv- time shall be provided without charge. ice such as certifying that records are (e) Schedule of fees—(1) Manual true copies or sending records by other searches. Personnel search time in- than ordinary mail, the direct costs of cludes time expended in either manual providing such services shall be searches for paper records, searches charged. using indices, review of computer search results for relevant records, and (f) Commitment to pay fees. When Am- personal computer system searches. trak determines or estimates that ap- (2) Computer searches. The direct costs plicable fees will likely exceed $25.00, of conducting a computer search will the requesting party will be notified of be charged. These direct costs will in- the actual or estimated amount unless clude the cost of operating a central a written statement has been received processing unit for that portion of the indicating a willingness to pay all fees. operating time that is directly attrib- To protect requesters from large and/or utable to searching for responsive unexpected fees, Amtrak will request a records as well as the costs of operator/ specific commitment when it is esti- programmer salary apportionable to mated or determined that fees will ex- the search. ceed $100.00. See § 701.5(d) for additional (3) Duplication fees. Duplication fees information. will be charged all requesters subject (g) Restrictions in accessing fees—(1) to limitations specified in paragraph General. Fees for search and review will

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not be charged for a quarter-hour pe- (j) Charging interest. Amtrak may riod unless more than half of that pe- charge interest on any unpaid bill for riod is required. processing charges starting on the 31st (2) Minimum fee. No fees will be day following the date of billing the re- charged if the cost of collecting the fee quester. Interest charges will be asis equal to or greater than the fee sessed at the rate that Amtrak pays for itself. That cost includes the costs to short-term borrowing. Amtrak for billing, receiving, record- (k) Waiver or reduction of fees—(1) ing, and processing the fee for deposit, Automatic waiver of fees. When the costs which has been deemed to be $10.00. for a FOIA request total $10.00 or less, (3) Computer searches. With the excep- fees shall be waived automatically for tion of requesters seeking documents all requesters regardless of category. for commercial use, Amtrak shall not (2) Other fee waivers. Decisions to charge fees for computer search until waive or reduce fees that exceed the the cost of search equals the equivalent automatic waiver threshold shall be dollar amount of two hours of the sal- made on a case-by-case basis. Records ary of the operator performing the responsive to a request will be fur- search. nished without charge or at below the (h) Nonproductive searches. Amtrak established charge where Amtrak de- may charge for time spent for search termines, based on all available infor- and review even if responsive records mation, that disclosure of the re- are not located or if the records located quested information is in the public in- are determined to be entirely exempt terest because: from disclosure. (i) It is likely to contribute signifi- (i) Advance payments. (1) When Am- cantly to public understanding of the trak estimates or determines that operations or activities of Amtrak, and charges are likely to exceed $250, an ad- (ii) It is not primarily in the com- vance payment of the entire fee may be mercial interest of the requesting required before continuing to process party. the request. (3) To determine whether the fee (2) When there is evidence that the waiver requirement in paragraph requester may not pay the fees that (k)(2)(i) of this section is met, Amtrak would be incurred by processing the re- will consider the following factors: quest, an advance deposit may be re- (i) The subject of the request—whether quired. Amtrak may require the full the subject of the requested records con- amount due plus applicable interest cerns the operations or activities of Am- and an advance payment of the full trak. The subject of the requested amount of anticipated fees before be- records must concern identifiable oper- ginning to process a new request or ations or activities of Amtrak with a continuing to process a pending re- connection that is direct and clear, not quest where a requester has previously remote or attenuated. failed to pay a properly charged FOIA (ii) The informative value of the infor- fee within thirty (30) days of the date mation to be disclosed—whether the dis- of billing. The time limits of the FOIA closure is likely to contribute to an under- will begin only after Amtrak has re- standing of Amtrak operations or activi- ceived such payment. ties. The disclosable portions of the re- (3) Amtrak will hold in abeyance for quested records must be meaningfully forty-five (45) days requests where de- informative about Amtrak’s operations posits are due. or activities in order to be found to be (4) Monies owed for work already likely to contribute to an increased completed (i.e., before copies are sent public understanding of those oper- to a requester) shall not be considered ations or activities. The disclosure of an advance payment. information that already is in the pub- (5) Amtrak shall not deem a request lic domain, in either a duplicative or a as being received in cases in which an substantially identical form, would not advance deposit or payment is due, and be as likely to contribute to such un- further work will not be done until the derstanding where nothing new would required payment is received. be added to the public’s understanding.

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(iii) The contribution to an under- public interest in disclosure, that disclo- standing of the subject by the public like- sure is ‘‘primarily in the commercial inter- ly to result from disclosure—whether dis- est of the requester.’’ A fee waiver or re- closure of the requested information will duction is justified where the public in- contribute to public understanding. The terest standard is satisfied and public disclosure must contribute to the un- interest is greater in magnitude than derstanding of a reasonably broad audi- any identified commercial interest in ence of persons interested in the sub- disclosure. ject as opposed to the individual under- (5) Requests for a fee waiver will be standing of the requester. A requester’s considered on a case-by-case basis, ability and expertise in the subject based upon the merits of the informa- area as well as the requester’s intention provided. Where it is difficult to tion to effectively convey information determine whether the request is com- to the public shall be considered. It mercial in nature, Amtrak may draw shall be presumed that a representative inference from the requester’s identity of the news media will satisfy this con- and the circumstances of the request. sideration. (6) Requests for a waiver or reduction (iv) The significance of the contribution of fees must address the factors listed to public understanding—whether the dis- in paragraphs (k) (3) and (4) of this sec- closure is likely to contribute significantly tion. In all cases, the burden shall be to public understanding of Amtrak oper- on the requesting party to present evi- ations or activities. The public’s under- dence of information in support of a re- standing of the subject in question, as quest for a waiver of fees. compared to the level of public under- (l) Aggregating requests. A requester standing existing prior to the disclo- may not file multiple requests at the sure, must be enhanced by the disclo- same time in order to avoid payment of sure to a significant extent. fees. Where Amtrak reasonably be- (4) To determine whether the fee lieves that a requester or a group of re- waiver requirement in paragraph questers acting in concert is attempt- (k)(2)(ii) of this section is met, Amtrak ing to divide a request into a series of will consider the following factors: requests for the purpose of avoiding (i) The existence and magnitude of a fees, Amtrak may aggregate those re- commercial interest—whether the request- quests and charge accordingly. Amtrak ing party has a commercial interest that may presume that multiple requests of would be furthered by the requested dis- this type made within a thirty-day pe- closure. Amtrak shall consider any riod have been made in order to avoid commercial interest of the requesting fees. Where requests are separated by a party (with reference to the definition longer period, Amtrak may aggregate of ‘‘commercial use’’ in paragraph them only when there exists a solid (c)(1) of this section), or any person on basis for determining that aggregation whose behalf the requesting party may is warranted. Multiple requests involv- be acting that would be furthered by ing unrelated matters may not be ag- the requested disclosure. Requesters gregated. shall be given an opportunity to provide explanatory information regard- § 701.12 Other rights and services. ing this consideration. Nothing in this part shall be con- (ii) The primary interest in disclosure— strued as entitling any person, as of whether the magnitude of the identified right, to any service or the disclosure commercial interest of the requester is suf- of any record to which such person is ficiently large in comparison with the not entitled under the FOIA.

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Part Page 800 Organization and functions of the Board and delegations of authority ...... 531 801 Public availability of information ...... 537 802 Rules implementing the Privacy Act of 1974 ...... 546 803 Official seal...... 553 804 Rules implementing the Government in the Sun- shine Act ...... 554 805 Employee responsibilities and conduct ...... 557 806 National security information policy and guidelines, implementing regulations ...... 566 807 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by the National Transportation Safety Board ...... 567 821 Rules of practice in air safety proceedings ...... 573 825 Rules of procedure for merchant marine appeals from decisions of the Commandant, U.S. Coast Guard ...... 590 826 Rules implementing the Equal Access to Justice Act of 1980 ...... 592 830 Notification and reporting of aircraft accidents or incidents and overdue aircraft, and preservation of aircraft wreckage, mail, cargo, and records ..... 598 831 Accident/incident investigation procedures ...... 602 835 Testimony of Board employees ...... 607 837 Production of records in legal proceedings ...... 610 840 Rules pertaining to notification of railroad accidents ...... 611 845 Rules of practice in transportation; accident/incident hearings and reports ...... 613 850 Coast Guard—National Transportation Safety Board marine casualty investigations ...... 617 851–999 [Reserved]

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to which the Board is a party or in gated authority to do so by the Board; which the Board is interested. initiates safety recommendations to (d) The Office of Administrative Law prevent future highway accidents; and Judges, which conducts all formal pro- conducts special investigations into se- ceedings arising under the Federal lected highway accidents involving Aviation Act of 1958, as amended, in- safety issues of concern to the Board. cluding proceedings involving civil (h) The Office of Marine Safety, penalties and suspension or revocation which conducts investigations of ma- of certificates, and appeals from ac- rine accidents within the Board’s juris- tions of the Federal Aviation Adminis- diction; prepares reports for submis- trator in refusing to issue airman cer- sion to the Board and release to the tificates. public setting forth the facts and cir- (e) The Office of Aviation Safety, cumstances of such accidents, includ- which conducts investigations of all ing a recommendation as to the prob- aviation accidents within the Board’s able cause(s); determines the probable jurisdiction; prepares reports for sub- cause(s) of accidents when delegated mission to the Board and release to the authority to do so by the Board; initi- public setting forth the facts and cir- ates safety recommendations to pre- cumstances of such accidents, includ- vent future marine accidents; partici- ing a recommendation as to the prob- pates in the investigation of accidents able cause(s); determines the probable that occur in foreign countries and cause(s) of accidents when delegated that involve U.S.-registered vessels; authority to do so by the Board; initi- and conducts special investigations ates safety recommendations to pre- into selected marine accidents involv- vent future aviation accidents; partici- ing safety issues of concern to the pates in the investigation of accidents Board. that occur in foreign countries and involve U.S.-registered and/or U.S.-manu- (i) The Office of Pipeline and Haz- factured aircraft; and conducts special ardous Materials Safety, which con- investigations into selected aviation ducts investigations of pipeline and accidents involving safety issues of hazardous materials accidents within concern to the Board. the Board’s jurisdiction; prepares re- (f) The Office of Railroad Safety, ports for submission to the Board and which conducts investigations of rail- release to the public setting forth the road accidents within the Board’s juris- facts and circumstances of such acci- diction; prepares reports for submis- dents, including a recommendation as sion to the Board and release to the to the probable cause(s); determines public setting forth the facts and cir- the probable causes of accidents when cumstances of such accidents, includ- delegated authority to do so by the ing a recommendation as to the prob- Board; initiates safety recommenda- able cause(s); determines the probable tions to prevent future pipeline and cause(s) of accidents when delegated hazardous materials accidents; and authority to do so by the Board; initi- conducts special investigations into se- ates safety recommendations to pre- lected pipeline and hazardous mate- vent future railroad accidents; and con- rials accidents involving safety issues ducts special investigations into se- of concern to the Board. lected rail accidents involving safety (j) The Office of Research and Engi- issues of concern to the Board. neering, which conducts research and (g) The Office of Highway Safety, carries out analytical studies and tests which conducts investigations of high- involving all modes, including readouts way accidents, including railroad of voice and data recorders, flight path grade-crossing accidents, within the analysis and computer simulation/ani- Board’s jurisdiction; prepares reports mation, component examination and for submission to the Board and release material failure analysis; conducts to the public setting forth the facts safety studies of specific safety issues; and circumstances of such accidents, performs statistical analyses of trans- including a recommendation as to the portation accident and incident data; probable cause(s); determines the prob- maintains archival records of the able cause(s) of accidents when dele- Board’s accident investigation and

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safety promotion activities and sup- provisions of the Administrative Proce- ports public access to these records; dure Act, 5 U.S.C. 551 et seq., denials by and administers the Board’s informa- the Administrator of the Federal Avia- tion technology infrastructure, includ- tion Administrator of applications for ing computer systems, networks, data- airman certificates and orders of the bases, and application software. Administrator modifying, amending, (k) The Office of Safety Rec- suspending, or revoking certificates or ommendations & Accomplishments, imposing civil penalties. The Board which oversees the Board’s safety rec- also reviews on appeal the decisions of ommendations program, including the the Commandant, U.S. Coast Guard, on Board’s ‘‘MOST WANTED’’ rec- appeals from orders of administrative ommendations, and the Board’s safety law judges suspending, revoking, or de- accomplishment program. nying seamen licenses, certificates, or documents. [60 FR 61488, Nov. 30, 1996, as amended at 61 FR 14521, April 2, 1995; 63 FR 71605, Dec. 29, (c) The Board, as provided in Part 801 1998; 64 FR 5621, Feb. 4, 1999] of this chapter, issues reports and orders pursuant to its duties to deter- § 800.3 Functions. mine the cause or probable cause or (a) The primary function of the causes of transportation accidents and Board is to promote safety in transpor- to report the facts, conditions and cir- tation. The Board is responsible for the cumstances relating to such accidents; investigation, determination of facts, issues opinions and/or orders after re- conditions, and circumstances and the viewing on appeal the imposition of a cause or probable cause or causes of: civil penalty or the suspension, amend- all accidents involving civil aircraft, ment, modification, revocation, or de- and certain public aircraft; highway nial of any certificate or license issued accidents, including railroad grade- by the Secretary of the Department of crossing accidents, the investigation of Transportation (who acts through the which is selected in cooperation with Administrator of the Federal Aviation the States; railroad accidents in which Administration or the Commandant of there is a fatality, substantial property the United States Coast Guard); and damage, or which involve a passenger issues and makes available to the pub- train; pipeline accidents in which there lic safety recommendations, safety is a fatality, significant injury to the studies, and reports of special inves- environment, or substantial property tigations. damage; and major marine casualties [60 FR 61488, Nov. 30, 1995] and marine accidents involving a public and a non-public vessel or involving § 800.4 Operation. Coast Guard functions. The Board In exercising its functions, duties, makes transportation safety rec- and responsibilities, the Board utilizes: ommendations to Federal, State, and (a) The Board’s staff, consisting of local agencies and private organiza- specialized offices dealing with par- tions to reduce the likelihood of ticular areas of transportation safety recurrences of transportation acci- and performing administrative and dents. It initiates and conducts safety technical work for the Board. The staff studies and special investigations on advises the Board and performs duties matters pertaining to safety in trans- for the Board that are inherent in the portation, assesses techniques and staff’s position in the organizational methods of accident investigation, structure or that the Board has dele- evaluates the effectiveness of transpor- gated to it. The staff is described more tation safety consciousness and effi- fully in § 800.2. cacy in preventing accidents of other (b) Rules published in the FEDERAL Government agencies, and evaluates REGISTER and codified in this Title 49 the adequacy of safeguards and proce- of the Code of Federal Regulations. dures concerning the transportation of These rules may be inspected in the hazardous materials. Board’s public reference room, or pur- (b) Upon application of affected par- chased from the Superintendent of ties, the Board reviews in quasijudicial Documents, Government Printing Of- proceedings, conducted pursuant to the fice.

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(c) Procedures and policies set forth § 800.22 Delegation to the Managing in the agency’s internal directives sys- Director. tem which govern the activities of em- (a) The Board delegates to the Man- ployees and organizational components aging Director the authority to: of the Board. The internal directives (1) Make the final determination, on system is designated as the NTSB Man- appeal, as to whether to withhold a ual and consists of instructions which Board record from inspection or copy- are called NTSB Orders and NTSB No- ing, pursuant to Part 801 of this chap- tices. ter. (d) Meetings of the Board Members (2) Approve for publication in the conducted pursuant to the Government FEDERAL REGISTER notices concerning in the Sunshine Act. issuance of accident reports and safety (e) Public hearings in connection recommendations and responses to with transportation accident investiga- safety recommendations, as required tions and public hearings and oral ar- by sections 304(a)(2) and 307 of the Inde- guments in proceedings concerned with pendent Safety Board Act of 1974 (49 certificates or licenses issued by the U.S.C. 1131(d) and 1135(c)). Secretary or an Administrator of the (b) The Chairman delegates to the Department of Transportation. They Managing Director the authority to ex- are held at the time and place an- ercise and carry out, subject to the di- nounced in the notices thereof which rection and supervision of the Chair- are served on the parties to the pro- man, the following functions vested in the Chairman: ceedings or published in the FEDERAL (1) The appointment and supervision REGISTER. of personnel employed by the Board; [49 FR 26232, June 27, 1984, as amended at 60 (2) The distribution of business FR 61489, Nov. 30, 1995] among such personnel and among organizational components of the Board; § 800.5 Office locations. and The principal offices of the National (3) The use and expenditure of funds. Transportation Safety Board are lo- [60 FR 61489, Nov. 30, 1995] cated at 490 L’Enfant Plaza East, SW., Washington, DC 20594. The Board main- § 800.23 Delegation to the administra- tains field offices in selected cities tive law judges, Office of Adminis- throughout the United States. trative Law Judges. [60 FR 61489, Nov. 30, 1995] The Board delegates to the administrative law judges the authority gen- § 800.6 Availability of information and erally detailed in its procedural regula- materials. tions at Part 821 of this chapter. Part 801 of this chapter provides de- [60 FR 61489, Nov. 30, 1995] tailed information concerning the availability of Board documents and § 800.24 Delegation to the General records. That part also provides a fee Counsel. schedule and information concerning The Board delegates to the General inspection and copying. Counsel the authority to: (a) Approve, disapprove, request more Subpart B—Delegations of information, or otherwise handle requests for testimony of Board employ- Authority to Staff Members ees with respect to their participation in the investigation of accidents, and, § 800.21 Purpose. upon receipt of notice that an em- The purpose of this Subpart B is to ployee has been subpoenaed, to make publish special delegations of author- arrangements with the court either to ity to staff members. have the employee excused from testifying or to give the employee permis- [60 FR 61489, Nov. 30, 1995] sion to testify in accordance with the provisions of Part 835 of this Chapter.

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(b) Approve or disapprove in safety § 800.25 Delegation to the Directors of enforcement proceedings, for good Office of Aviation Safety, Office of cause shown, requests for extensions of Railroad Safety, Office of Highway time or for other changes in procedural Safety, Office of Marine Safety, and requirements subsequent to the initial Office of Pipeline and Hazardous decision, grant or deny requests to file Materials Safety. additional and/or amicus briefs pursu- The Board delegates to the Directors ant to §§ 821.9 and 821.48 of this Chapter, of the Offices of Aviation, Railroad, and raise on appeal any issue the reso- Highway, Marine, and Pipeline and lution of which he deems important to Hazardous Materials Safety, the au- the proper disposition of proceedings thority to: under § 821.49 of this Chapter. (a) Order an investigation into the (c) Approve or disapprove, for good facts, conditions, and circumstances of cause shown, requests to extend the accidents that the Board has authority time for filing comments on proposed to investigate. new or amended regulations. (b) Disclose factual information per- (d) Issue regulations for the purpose tinent to all accidents or incidents as of making editorial changes or correc- provided for in Part 801 of this chapter. tions in the Board’s rules and regula- (c) Determine the probable cause(s) tions. of accidents in which the determina- (e) Issue orders staying or declining tion is issued in the ‘‘Brief of Acci- to stay, pending judicial review, orders dent’’ format, except that the Office of the Board suspending or revoking Director will submit the findings of the certificates, and consent to the entry accident investigation to the Board for of judicial stays with respect to such determination of the probable cause(s) orders. when (1) any Board Member so re- (f) Compromise civil penalties in the quests, (2) it appears to the Office Di- case of violations arising under The rector that, because of significant pub- Independent Safety Board Act of 1974, lic interest, a policy issue, or a safety as amended, or any rule, regulation, or issue of other matter, the determina- order issued thereunder. tion of the probable cause(s) should be (g) Issue orders dismissing appeals made by the Board, or (3) the accident from initial decisions of Board admin- investigation will be used to support istrative law judges pursuant to the re- findings in a special investigation or study. Provided, that a petition for request of the appellant or, where the reconsideration or modification of a de- quest is consensual, at the request of termination of the probable cause(s) any party. made under § 845.41 of this Chapter (h) Correct Board orders by elimi- shall be acted on by the Board. nating typographical, grammatical, (d) Consistent with Board resources, and similar errors, and make editorial investigate accidents as provided under changes therein not involving matters § 304(a) of the Independent Safety Board of substance. Act of 1974, as amended (49 U.S.C. (i) Take such action as appropriate or 1131(a)) and the Appendix to this Part. necessary adequately to compromise, settle, or otherwise represent the [60 FR 61489, Nov. 30, 1995, as amended at 63 Board’s interest in judicial or adminis- FR 71606, Dec. 29, 1998] trative actions to which the Board is a party or in which the Board is inter- § 800.26 Delegation to the Chief, Public Inquiries Branch. ested. (j) Dismiss late filed notices of appeal The Board delegates to the Chief, and appeal briefs for lack of good Public Inquiries Branch, the authority cause. to determine, initially, the withholding of a board record from inspection or [60 FR 61489, Nov. 30, 1995, as amended at 63 copying, pursuant to part 801 of this FR 71606, Dec. 29, 1998] chapter. [63 FR 71606, Dec. 29, 1998]

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§ 800.27 Delegation to investigative of- (2) Accidents involving aircraft operated in ficers and employees of the Board. accordance with the provisions of Part 135 of the Federal Air Regulations entitled ‘‘Air The Board delegates to any officer or Taxi Operators and Commercial Operators of employee of the Board designated by Small Aircraft.’’ the Chairman of the Safety Board the (3) Accidents involving aircraft operated authority to sign and issue subpoenas, by an air carrier authorized by certificate of and administer oaths and affirmations, public convenience and necessity to engage and to take depositions or cause them in air transportation. to be taken in connection with the in- (4) Accidents involving midair collisions. vestigation of transportation accidents (c) Provided, That the Board may, through or incidents. the chiefs of its field offices, or their designees who receive the initial notifications, [60 FR 61490, Nov. 30, 1995] advise the Secretary, through his appropriate designee, that the Board will assume § 800.28 Delegation to the Chief Finan- the full responsibility for the investigation cial Officer. of an accident included in this request in the The Board delegates to the Chief Fi- same manner as an accident not so included; nancial Officer the authority to settle and Provided further, That the Board, claims for money damages of $2,500 or through the chiefs of its field offices, or their less against the United States arising designees who receive initial notifications may request the Secretary, through his ap- under Section 2672 of 28 United States propriate designee, to investigate an acci- Code (the Federal Tort Claims Act) be- dent not included in this request, which cause of acts or omissions of Board em- would normally be investigated by the Board ployees. under section (b) (1) through (4) above, and in [63 FR 71606, Dec. 29, 1998] the same manner as an accident so included. (d) Provided, That this authority shall not APPENDIX TO PART 800—REQUEST TO THE be construed to authorize the Secretary to hold public hearings or to determine the SECRETARY OF THE DEPARTMENT OF probable cause of the accident; and Provided TRANSPORTATION TO INVESTIGATE further, That the Secretary will report to the CERTAIN AIRCRAFT ACCIDENTS Board in a form acceptable to the Board the (a) Acting pursuant to the authority vested facts, conditions, and circumstances sur- in it by Title VII of the Federal Aviation Act rounding each accident from which the of 1958 (49 U.S.C. 1441) and section 304(a)(1) of Board may determine the probable cause. the Independent Safety Board Act of 1974, (e) And provided further, That this request the National Transportation Safety Board includes authority to conduct autopsies and (Board) hereby requests the Secretary of the such other tests of the remains of deceased Department of Transportation (Secretary) to persons aboard the aircraft at the time of exercise his authority subject to the terms, the accident, who die as a result of the acci- conditions, and limitations of Title VII and dent, necessary to the investigations re- section 304(a)(1) of the Independent Safety quested hereunder and such authority may Board Act of 1974, and as set forth below to be delegated and redelegated to any official investigate the facts, conditions, and cir- or employee of the Federal Aviation Admin- cumstances surrounding certain fixed-wing istration (FAA). For the purpose of this pro- and rotorcraft aircraft accidents and to sub- vision, designated aviation examiners are mit a report to the Board from which the not deemed to be officials or employees of Board may make a determination of the the FAA. probable cause. (f) Invoking the provisions of section 701(f) (b) The authority to be exercised hereunder of the Federal Aviation Act of 1958, and sec- shall include the investigation of all civil aircraft accidents involving rotorcraft, aer- tion 304(a)(1) of the Independent Safety ial application, amateur-built aircraft, re- Board Act of 1974, is necessary inasmuch as stricted category aircraft, and all fixed-wing sufficient funds have not been made avail- aircraft which have a certificated maximum able to the Board to provide adequate facili- gross takeoff weight of 12,500 pounds or less ties and personnel to investigate all acci- except: dents involving civil aircraft. This request, (1) Accidents in which fatal injuries have therefore, is considered to be temporary in occurred to an occupant of such aircraft, but nature and may be modified or terminated shall include accidents involving fatalities by written notice to the Secretary. incurred as a result of aerial application op- [49 FR 26232, June 27, 1984, as amended at 63 erations, amateur-built aircraft operations, FR 71606, Dec. 29, 1998] or restricted category aircraft operations.

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PART 801—PUBLIC AVAILABILITY SOURCE: 72 FR 18915, Apr. 16, 2007, unless OF INFORMATION otherwise noted.

Subpart A—Applicability and Policy Subpart A—Applicability and Policy Sec. 801.1 Applicability. § 801.1 Applicability. 801.2 Policy. 801.3 Definitions. (a) This part contains the rules that the National Transportation Safety Subpart B—Administration Board (NTSB) follows in processing requests for records under the Freedom 801.10 General. of Information Act (FOIA), 5 U.S.C. 552. 801.11 Segregability of records. These rules should be read together 801.12 Protection of records. with the FOIA, which provides addi- Subpart C—Time Limits tional information about public access to records maintained by the NTSB. 801.20 Processing of records. (b) This part also provides for docu- 801.21 Initial determination. ment services and the fees for such 801.22 Final determination. services, pursuant to 31 U.S.C. 9701. 801.23 Extension. (c) This part applies only to records Subpart D—Accident Investigation Records existing when the request for the information is made. The NTSB is not re- 801.30 Records from accident investigations. quired to create records for the sole 801.31 Public hearings regarding investiga- purpose of responding to a FOIA re- tions. quest. 801.32 Accident reports. (d) Sections 801.51 through 801.59 of Subpart E—Other Board Documents this chapter describe records that are exempt from public disclosure. 801.40 The Board’s rules. 801.41 Reports to Congress. § 801.2 Policy. Subpart F—Exemption from Public (a) In implementing 5 U.S.C. 552, it is Disclosure the policy of the NTSB to make information available to the public to the 801.50 Exemptions from disclosure. greatest extent possible, consistent 801.51 National defense and foreign policy with the mission of the NTSB. Infor- secrets. mation the NTSB routinely provides to 801.52 Internal personnel rules and practices the public as part of a regular NTSB of the NTSB. 801.53 Records exempt by statute from dis- activity (such as press releases and in- closure. formation disclosed on the NTSB’s pub- 801.54 Trade secrets and commercial or fi- lic Web site) may be provided to the nancial information. public without compliance with this 801.55 Interagency and intra-agency ex- part. In addition, as a matter of policy, changes. the NTSB may make discretionary dis- 801.56 Unwarranted invasion of personal pri- closures of records or information oth- vacy. erwise exempt from disclosure under 801.57 Records compiled for law enforcement purposes. the FOIA whenever disclosure would 801.58 Records for regulation of financial in- not foreseeably harm an interest pro- stitutions. tected by a FOIA exemption; however, 801.59 Geological records. this policy does not create any right enforceable in court. Subpart G—Fee Schedule (b) Given the NTSB’s stated policy of 801.60 Fee schedule. providing as much information as pos- 801.61 Appeals of fee determinations. sible regarding general NTSB operations and releasing documents involv- AUTHORITY: Independent Safety Board Act ing investigations, the NTSB strongly of 1974, as amended (49 U.S.C. 1101–1155); 5 U.S.C. 551(2); Freedom of Information Act (5 encourages requesters seeking informa- U.S.C. 552); 18 U.S.C. 641 and 2071; 31 U.S.C. tion to check the NTSB’s Web site for 3717 and 9701; Federal Records Act, 44 U.S.C. such information before submitting a Chapters 21, 29, 31, and 33. FOIA request. For every investigation

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in which the NTSB has determined the tion of whether to release records with- probable cause of an accident, the in the 20-working-day time limit, or NTSB’s docket management system the extension specified in the Freedom will include a ‘‘public docket’’ con- of Information Act. taining documentation that the inves- (c) The NTSB’s Chief, Records Man- tigator-in-charge deemed pertinent to agement Division, shall: the investigation. Requesters may ob- (1) Maintain for public access and tain these public dockets without sub- commercial reproduction all accident mitting a FOIA request. The NTSB en- files containing aviation and surface courages all requesters to review the investigators’ reports, factual accident public docket materials before submit- reports or group chairman reports, doc- ting a FOIA request. umentation and accident correspond- § 801.3 Definitions. ence files, transcripts of public hearings, if any, and exhibits; and The following definitions shall apply (2) Maintain a public reference room, in this part: also known as a ‘‘Reading Room,’’ in (a) ‘‘Record’’ includes any writing, accordance with 5 U.S.C. 552(a)(2). The drawing, map, recording, tape, film, NTSB’s public reference room is lo- photo, or other documentary material cated at 490 East L’Enfant Plaza, SW., by which information is preserved. In Washington, DC. Other records may be this part, ‘‘document’’ and ‘‘record’’ shall have the same meaning. available in the NTSB’s Electronic (b) ‘‘Redact’’ refers to the act of Reading Room, which is located on the making a portion of text illegible by NTSB’s Web site, found at http:// placing a black mark on top of the www.ntsb.gov. text. (d) Requests for documents must be (c) ‘‘Public Docket’’ includes a col- made in writing to: National Transpor- lection of records from an accident in- tation Safety Board, Attention: FOIA vestigation that the investigator who Officer CIO–40, 490 L’Enfant Plaza, SW., oversaw the investigation of that acci- Washington, DC 20594–2000. All re- dent has deemed pertinent to deter- quests: mining the probable cause of the acci- (1) Must reasonably identify the dent. record requested. For requests regard- (d) ‘‘Non-docket’’ items include other ing an investigation of a particular ac- records from an accident that the incident, requesters should include the vestigator who oversaw the investiga- date and location of the accident, as tion of that accident has deemed irrele- well as the NTSB investigation num- vant or not directly pertinent to deter- ber. In response to broad requests for mining the probable cause of the acci- records regarding a particular inves- dent. tigation, the FOIA Office will notify (e) ‘‘Chairman’’ means the Chairman the requester of the existence of a pub- of the NTSB. lic docket, and state that other non- (f) ‘‘Managing Director’’ means the docket items may be available, or may Managing Director of the NTSB. become available, at a later date. After (g) ‘‘Requester’’ means any person, as receiving this letter and reviewing the defined in 5 U.S.C. 551(2), who submits items in the public docket, requesters a request pursuant to the FOIA. should notify the FOIA office if the items contained in the public docket Subpart B—Administration suffice to fulfill their request. (2) Must be accompanied by the fee or § 801.10 General. agreement (if any) to pay the reproduc- (a) The NTSB’s Chief, Records Man- tion costs shown in the fee schedule at agement Division, is responsible for the § 801.60 of this title, and custody and control of all NTSB (3) Must contain the name, address, records required to be preserved under and telephone number of the person the Federal Records Act, 44 U.S.C. making the request. Requesters must Chapters 21, 29, 31, and 33. update their address and telephone (b) The NTSB’s FOIA Officer shall be number in writing should this informa- responsible for the initial determination change.

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(e) The envelope in which the re- obtain records before an investigation quester submits the request should be is complete. marked prominently with the letters ‘‘FOIA.’’ If a request fails to include a § 801.11 Segregability of records. citation to the FOIA, the NTSB FOIA The initial decision of the FOIA Offi- Office will attempt to contact the re- cer will include a determination of quester immediately to rectify the segregability. If it is reasonable to do omission and/or clarify the request. so, the exempt portions of a record will However, the 20-working-day time be segregated and, where necessary, re- limit for processing shall not com- dacted, and the nonexempt portions mence until the FOIA Office receives a will be sent to the requester. complete request. (f) The field offices of the NTSB shall § 801.12 Protection of records. not maintain, for public access, records (a) No person may, without permis- maintained by the Chief, Records Man- sion, remove from the place where it is agement Division. Requests mailed to made available any record made avail- NTSB field offices will not satisfy the able for inspection or copying under NTSB’s requirements for submitting a § 801.10(c)(2) of this part. Stealing, al- FOIA request. tering, mutilating, obliterating, or de- (g) The NTSB may work with a com- stroying, in whole or in part, such a mercial reproduction firm to accommo- record shall be deemed a criminal of- date requests for reproduction of acci- fense. dent records from the public docket. (b) Section 641 of title 18 of the The reproduction charges may be sub- United States Code provides, in perti- ject to change. The NTSB will update nent part, as follows: its FOIA Web site to reflect any such ‘‘Whoever * * * steals, purloins, or know- changes. Section 801.60 of this title ingly converts to his use or the use of an- contains a current fee schedule. other, or without authority, sells, conveys or (h) The NTSB will not release records disposes of any record * * * or thing of value originally generated by other agencies of the United States or of any department or or entities. Instead, the NTSB will agency thereof * * * shall be fined under this refer such requests for other agencies’ title or imprisoned not more than ten years, records to the appropriate agency, or both; but if the value of such property in the aggregate, combining amounts from all which will make a release determina- the counts for which the defendant is con- tion upon receiving and processing the victed in a single case, does not exceed the referred request. sum of $1,000, he shall be fined under this (i) Where a requester seeks a record title or imprisoned not more than one year, on behalf of another person, and the or both.’’ record contains that person’s personal (c) Section 2071(a) of title 18 of the information protected by Exemption 6 United States Code provides, in perti- of the FOIA (see section 801.56 of this nent part, as follows: title), the NTSB requires the requester to submit a notarized statement of Whoever willfully and unlawfully conceals, consent from the person whose per- removes, mutilates, obliterates, or destroys, or attempts to do so, or, with intent to do so sonal information is contained in the takes and carries away any record, pro- record, before the NTSB releases the ceeding, map, book, paper, document, or record. other thing, filed or deposited * * * in any (j) In general, the NTSB will deny re- public office, or with any * * * public officer quests for records concerning a pending of the United States, shall be fined under investigation, pursuant to appropriate this title or imprisoned not more than three exemptions under the FOIA. The FOIA years, or both. Office will notify the requester of this denial, and will provide the requester Subpart C—Time Limits with information regarding how the requester may receive information on the § 801.20 Processing of requests. investigation once the investigation is (a) The NTSB processes FOIA re- complete. The NTSB discourages requests upon receipt. The NTSB FOIA questers from submitting multiple Office may notify the requester that FOIA requests in a continuing effort to the NTSB has received the request. The

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FOIA Office will then place each re- ing Saturdays, Sundays, and legal pub- quest on one of three tracks: lic holidays) after receipt of such ap- (1) Track 1: Requests for which there peal, except that this time limit may are no records, requests that meet the be extended for as many as 10 addi- criteria for expedited processing, or re- tional working days, in accordance quests that seek records that have been with § 801.23. produced in response to a prior request. (2) Track 2: Requests that do not in- § 801.23 Extension. volve voluminous records or lengthy In unusual circumstances as specified consultations with other entities. in this section, the time limits pre- (3) Track 3: Requests that involve vo- scribed in either § 801.21 or § 801.22, may luminous records and for which lengthy or numerous consultations are be extended by written notice to the required, or those requests which may person making a request and setting involve sensitive records. forth the reasons for such extension (b) Regarding expedited processing, if and the date on which a determination a requester states that he or she has a is expected to be dispatched. Such no- compelling need for the expedited tice will not specify a date that would treatment of their request, then the result in an extension for more than 10 NTSB FOIA Office will determine working days. As used in this para- whether to expedite the request and, graph, ‘‘unusual circumstances,’’ as where appropriate, do so. they relate to any delay that is reasonably necessary to the proper processing § 801.21 Initial determination. of the particular request, means— The NTSB FOIA Officer will make an (a) The need to search for and collect initial determination as to whether to the requested records from field facili- release a record within 20 working days ties or other establishments; (excluding Saturdays, Sundays, and (b) The need to search for, collect, legal public holidays) after the request and appropriately examine and process is received. This time limit may be ex- a voluminous amount of records which tended up to 10 additional working are the subject of a single request; or days in accordance with § 801.23 of this (c) The need to consult with another part. The person making the request agency that has a substantial interest will be notified immediately in writing in the disposition of the request or of such determination. If a determination is made to release the requested with two or more components of the record(s), such record(s) will be made agency having substantial subject-mat- available promptly. If the FOIA Officer ter interest therein. determines not to release the record(s), the person making the request will, Subpart D—Accident Investigation when he or she is notified of such de- Records termination, be advised of: (a) The reason for the determination, § 801.30 Records from accident inves- (b) the right to appeal the determina- tigations. tion, and Upon completion of an accident in- (c) the name and title or positions of vestigation, each NTSB investigator each person responsible for the denial (or ‘‘group chairman,’’ depending on of the request. the investigation) shall complete a fac- § 801.22 Final determination. tual report with supporting documentation and include these items in Requesters seeking an appeal of the the public docket for the investigation. FOIA Officer’s initial determination The Chief, Records Management Divi- must send a written appeal to the sion, will then make the records avail- NTSB’s Managing Director within 20 days. The NTSB’s Managing Director able to the public for inspection or pro- will determine whether to grant or duction by an order for commercial deny any appeal made pursuant to copying. § 801.21 within 20 working days (exclud-

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§ 801.31 Public hearings regarding in- withheld under 5 U.S.C. 552(b), unless it vestigations. determines that the release of that Within approximately four (4) weeks record would be inconsistent with the after a public hearing concerning an in- purpose of the exemption concerned. vestigation, the Chief, Records Man- Examples of records given in §§ 801.51 agement Division, will make available through 801.58 included within a par- to the public the hearing transcript. On ticular statutory exemption are not or before the date of the hearing, the necessarily illustrative of all types of Chief, Records Management Division, records covered by the applicable ex- will make the exhibits introduced at emption. the hearing available to the public for inspection or commercial copy order. § 801.51 National defense and foreign policy secrets. § 801.32 Accident reports. Pursuant to 5 U.S.C. 552(b)(1), na- (a) The NTSB will report the facts, tional defense and foreign policy se- conditions, and circumstances, and its crets established by Executive Order, determination of the probable causes of as well as properly classified docu- U.S. civil transportation accidents, in ments, are exempt from public disclo- accordance with 49 U.S.C. 1131(e). sure. Requests to the NTSB for such (b) These reports may be made avail- records will be transferred to the able for public inspection in the source agency as appropriate, where NTSB’s public reference room and/or such classified records are identified. on the NTSB’s Web site, at http:// (See, e.g., Executive Order 12,958, as www.ntsb.gov. amended on March 25, 2003.) § 801.52 Internal personnel rules and Subpart E—Other Board practices of the NTSB. Documents Pursuant to 5 U.S.C. 552(b)(2), the fol- § 801.40 The Board’s rules. lowing records are exempt from disclosure under FOIA: The NTSB’s rules are published in (a) Records relating solely to inter- the Code of Federal Regulations as nal personnel rules and practices, in- Parts 800 through 850 of Title 49. cluding memoranda pertaining to per- § 801.41 Reports to Congress. sonnel matters such as staffing policies, and procedures for the hiring, The NTSB submits its annual report training, promotion, demotion, or dis- to Congress each year, in accordance charge of employees, and management with 49 U.S.C. 1117. The report will be plans, records, or proposals relating to available on the NTSB’s Web site, labor-management relations. found at http://www.ntsb.gov. Interested (b) Records regarding: parties may purchase the report from (1) Internal matters of a relatively the Government Printing Office or re- trivial nature that have no significant view it in the NTSB’s public reference public interest, and room. All other reports or comments to (2) Predominantly internal matters, Congress will be available in the the release of which would risk cir- NTSB’s public reference room for in- cumvention of a statute or agency reg- spection or by ordering a copy after ulation. issuance. § 801.53 Records exempt by statute Subpart F—Exemption From Public from disclosure. Disclosure Pursuant to 5 U.S.C. 552(b)(3), the NTSB will not disclose records specifi- § 801.50 Exemptions from disclosure. cally exempted from disclosure by stat- Title 5, United States Code section ute (other than 5 U.S.C. 552(b)), pro- 552(a) and (b) exempt certain records vided that such statute: from public disclosure. As stated in (a) Requires that the matters be § 801.2 of this title, the NTSB may withheld from the public in such man- choose to make a discretionary release ner as to leave no discretion on the of a record that is authorized to be issue, or

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(b) Establishes particular criteria for intended for public release at a speci- withholding or refers to particular fied future time, if premature disclo- types of matters to be withheld. sure would be detrimental to orderly processes of the NTSB; records of in- § 801.54 Trade secrets and commercial spections, investigations, and surveys or financial information. pertaining to internal management of Pursuant to 5 U.S.C. 552(b)(4), trade the NTSB; and matters that would not secrets and items containing commer- be routinely disclosed in litigation but cial or financial information that are which are likely to be the subject of obtained from a person and are privi- litigation. leged or confidential are exempt from public disclosure. § 801.56 Unwarranted invasion of personal privacy. § 801.55 Interagency and intra-agency Pursuant to 5 U.S.C. 552(b)(6), any exchanges. personal, medical, or similar file is ex- (a) Pursuant to 5 U.S.C. 552(b)(5), any empt from public disclosure if its dis- record prepared by an NTSB employee closure would harm the individual con- for internal Government use is exempt cerned or would be a clearly unwar- from public disclosure to the extent ranted invasion of the person’s per- that it contains— sonal privacy. (1) Opinions made in the course of developing official action by the NTSB § 801.57 Records compiled for law enforcement purposes. but not actually made a part of that official action, or Pursuant to 5 U.S.C. 552(b)(7), any (2) Information concerning any pend- records compiled for law or regulatory ing NTSB proceeding, or similar mat- enforcement are exempt from public ter, including any claim or other dis- disclosure to the extent that disclosure pute to be resolved before a court of would interfere with enforcement, law, administrative board, hearing offi- would be an unwarranted invasion of cer, or contracting officer. privacy, would disclose the identity of (b) The purpose of this section is to a confidential source, would disclose protect the full and frank exchange of investigative procedures and practices, ideas, views, and opinions necessary for or would endanger the life or security the effective functioning of the NTSB. of law enforcement personnel. These resources must be fully and read- § 801.58 Records for regulation of fi- ily available to those officials upon nancial institutions. whom the responsibility rests to take official NTSB action. Its purpose is Pursuant to 5 U.S.C. 552(b)(8), records also to protect against the premature compiled for agencies regulating or su- disclosure of material that is in the de- pervising financial institutions are ex- velopmental stage, if premature disclo- empt from public disclosure. sure would be detrimental to the au- § 801.59 Geological records. thorized and appropriate purposes for which the material is being used, or if, Pursuant to 5 U.S.C. 552(b)(9), records because of its tentative nature, the ma- concerning geological wells are exempt terial is likely to be revised or modi- from public disclosure. fied before it is officially presented to the public. Subpart G—Fee Schedule (c) Examples of materials covered by this section include, but are not lim- § 801.60 Fee schedule. ited to, staff papers containing advice, (a) Authority. Pursuant to 5 U.S.C. opinions, or suggestions preliminary to 552(a)(4)(i) and 52 FR 10,012 (Mar. 27, a decision or action; preliminary notes; 1987), the NTSB may charge certain advance information on such things as fees for processing requests under the proposed plans to procure, lease, or FOIA in accordance with paragraph (c) otherwise hire and dispose of mate- of this section, except where fees are rials, real estate, or facilities; docu- limited under paragraph (d) of this sec- ments exchanged in preparation for an- tion, or where a waiver or reduction of ticipated legal proceedings; material fees is granted under paragraph (e) of

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this section. The NTSB may collect all public. For ‘‘freelance’’ journalists to applicable fees before sending copies of be regarded as working for a news orga- requested records to a requester. A re- nization, they must demonstrate a quester must pay fees in accordance solid basis for expecting publication with the instructions provided on the through that organization (for exam- invoice the FOIA Office sends to the re- ple, a journalist may submit a copy of quester. a publication contract for which the (b) Definitions. For purposes of this journalist needs NTSB records). section: (6) Review means the examination of (1) Commercial use request means a re- a record located in response to a request from or on behalf of a person who quest in order to determine whether seeks information for a use or purpose any portion of it is exempt from disclo- that furthers his or her commercial, sure. ‘‘Review’’ also includes proc- trade, or profit interests. This includes essing the record(s) for disclosure, the furtherance of commercial inter- which includes redacting and otherwise ests through litigation. When it ap- preparing releasable records for disclo- pears that the requester will use the sure. The NTSB may require review requested records for a commercial costs even if the NTSB ultimately does purpose, either because of the nature of not release the record(s). the request or because the NTSB has (7) Search means the process of look- reasonable cause to doubt a requester’s ing for and retrieving records or infor- stated use, the NTSB shall provide the mation within the scope of a request. requester with a reasonable oppor- ‘‘Search’’ includes page-by-page or tunity to submit further clarification. line-by-line identification of informa- (2) Direct costs means those expenses tion within records and also includes that an agency actually incurs in reasonable efforts to locate and re- searching for, reviewing, and dupli- trieve information from records main- cating records in response to a FOIA tained in electronic form or format. request. This includes the salaries of The NTSB will make an effort to con- employees performing the work, as duct such searches in the least expen- listed below, but does not include over- sive manner. head expenses such as the costs of of- (c) Fees. In responding to FOIA re- fice space. quests, the NTSB will charge the fol- (3) Duplication means the copying of a lowing fees unless a waiver or reduc- record, or of the information contained tion of fees has been granted under in a record, in response to a FOIA re- paragraph (d) of this section: quest. (1) Search. (i) The NTSB will charge (4) Educational institution means a search fees for all requests, unless an preschool, a public or private elemen- educational institution, a noncommer- tary or secondary school, an institu- cial scientific institution, or a news tion of undergraduate higher edu- media representative submits a request cation, an institution of graduate high- containing adequate justification for er education, an institution of profes- obtaining a fee waiver. These fees, how- sional education, or an institution of ever, are subject to the limitations of vocational education, that operates a paragraph (d) of this section. The program of scholarly research. In order NTSB may charge for time spent for a requester to demonstrate that searching even if the NTSB does not lo- their request falls within the category cate any responsive record or if the of an ‘‘educational institution,’’ the re- NTSB withholds the record(s) located quester must show that the request is because such record(s) are exempt from authorized by the qualifying institu- disclosure. tion and that the requester does not (ii) The NTSB will charge $4.00 for seek the records for commercial use, each quarter of an hour spent by cler- but only to further scholarly research. ical personnel in searching for and re- (5) Representative of the news media or trieving a requested record. Where ‘‘news media requester’’ means any clerical personnel cannot entirely per- person actively gathering news for an form a search and retrieval (for exam- entity that is organized and operated ple, where the identification of records to publish or broadcast news to the within the scope of a request requires

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the assistance of professional per- cational institutions or representatives sonnel), the applicable fee will instead of the news media. be $7.00 for each quarter hour of search (3) The NTSB will not charge a time spent by professional personnel. search fee or review fee for a quarter- Where a request requires the time of hour period unless more than half of managerial personnel, the fee will be that period is required for search or re- $10.25 for each quarter hour of time view. spent by these personnel. (4) Except for requesters seeking (2) Duplication. The NTSB will charge records for commercial use, the NTSB duplication fees, subject to the limita- will provide the following items with- tions of paragraph (d) of this section. out charge: (i) The NTSB utilizes the services of (i) The first 100 pages of duplication a commercial reproduction facility for (or the cost equivalent) of a record; and requests for duplicates of NTSB public (ii) The first two hours of search (or dockets and publications. the cost equivalent) for a record. (ii) Regarding the reproduction of (5) Whenever the total fee calculated non-public records in response to a under paragraph (c) of this section is FOIA request, the NTSB will charge $14.00 or less for any request, the NTSB $0.10 per page for the duplication of a will not charge a fee. standard-size paper record. For other (6) When the NTSB’s FOIA Office de- forms of duplication, the NTSB will termines or estimates that fees to be charge the direct costs of the duplica- charged under this section will amount tion. to more than $25.00, the Office will no- (iii) Where the NTSB certifies tify the requester of the actual or esti- records upon request, the NTSB will mated amount of the fees, unless the charge the direct cost of certification. requester has indicated a willingness to (3) Review. The NTSB will charge fees pay fees as high as those anticipated. If for the initial review of a record to de- the FOIA Office is able to estimate termine whether the record falls within only a portion of the expected fee, the the scope of a request, or whether the FOIA Office will advise the requester record is exempt from disclosure. Such that the estimated fee may be only a fees will be charged to requesters who portion of the total fee. Where the make a request for commercial pur- FOIA Office notifies a requester that poses. The NTSB will not charge for the actual or estimated fees will exceed subsequent review of the request and $25.00, the NTSB will not expend addi- responsive record; for example, in gen- tional agency resources on the request eral, the NTSB will not charge addi- until the requester agrees in writing to tional fees for review at the adminis- pay the anticipated total fee. In cir- trative appeal level when the NTSB has cumstances involving a total fee that already applied an exemption. The will exceed $250.00, the NTSB may re- NTSB will charge review fees at the quire the requester to make an advance same rate as those charged for a search payment or deposit of a specific under paragraph (c)(1)(ii), above. amount before beginning to process the (c) Limitations on charging fees. For request. purposes of this section: (7) The NTSB may charge interest on (1) The NTSB will not charge a fee any unpaid bill starting on the 31st day for notices, decisions, orders, etc. pro- following the date of billing the re- vided to persons acting as parties in quester. Interest charges will be as- the investigation, or where required by sessed at the rate provided at 31 U.S.C. law to be served on a party to any pro- 3717 and will accrue from the date of ceeding or matter before the NTSB. the billing until the NTSB receives Likewise, the NTSB will not charge payment. The NTSB shall follow the fees for requests made by family mem- provisions of the Debt Collection Act of bers of accident victims, when the 1982 (Pub. L. 97–365, 96 Stat. 1749), as NTSB has investigated the accident amended, and its administrative proce- that is the subject of the FOIA request. dures, including the use of consumer (2) The NTSB will not charge a reporting agencies, collection agencies, search fee for requests from edu- and offset.

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(8) Where a requester has previously stantially identical form, would not be failed to pay a properly charged FOIA as likely to contribute to such under- fee to the NTSB within 30 days of the standing where nothing new would be date of billing, the NTSB may require added to the public’s understanding. the requester to pay the full amount (iii) Whether disclosure of the re- due, plus any applicable interest, and quested information would contribute to make an advance payment of the to the understanding of a reasonably full amount of any anticipated fee, be- broad audience of persons interested in fore the NTSB begins to process a new the subject, as opposed to the indi- request or continues to process a pend- vidual understanding of the requester. ing request from that requester. The NTSB will consider a requester’s (9) Where the NTSB reasonably be- expertise in the subject area and abil- lieves that a requester or group of re- ity to effectively convey information questers acting together is attempting to the public. to divide a request into multiple series (iv) Whether the disclosure is likely of requests for the purpose of avoiding to enhance the public’s understanding fees, the NTSB may aggregate those re- of government operations or activities. quests and charge accordingly. (3) In determining whether the re- (d) Requirements for waiver or reduc- quester is primarily in the commercial tion of fees. For fee purposes, the NTSB interest of the requester, the NTSB will determine, whenever reasonably will consider the following factors: possible, the use to which a requester (i) The existence and magnitude of will put the requested records. any commercial interest the requester (1) The NTSB will furnish records re- may have, or of any person on whose sponsive to a request without charge, behalf the requester may be acting. or at a reduced charge, where the The NTSB will provide requesters with NTSB determines, based on all avail- an opportunity in the administrative able information, that the requester process to submit explanatory informa- has shown that: tion regarding this consideration. (i) Disclosure of the requested infor- (ii) Whether the commercial interest mation is in the public interest because is greater in magnitude than any pub- it is likely to contribute significantly lic interest in disclosure. to public understanding of the oper- (4) Additionally, the NTSB may, at ations of activities of the government, its discretion, waive publication, repro- and duction, and search fees for qualifying (ii) Disclosure of the requested infor- foreign countries, international organi- mation is not primarily in the commer- zations, nonprofit public safety enti- cial interest or for the commercial use ties, State and Federal transportation of the requester. agencies, and colleges and universities, (2) In determining whether disclosure after approval by the Chief, Records of the requested information is in the Management Division. public interest, the NTSB will consider (5) Where only some of the records to the following factors: be released satisfy the requirements for (i) Whether the subject of the re- a waiver of fees, the NTSB will grant a quested records concerns identifiable waiver for those particular records. operations or activities of the federal (6) Requests for the waiver or reduc- government, with a connection that is tion of fees should address the factors direct and clear, and not remote or at- listed in paragraphs (e)(2) and (e)(3) of tenuated. In this regard, the NTSB will this section, insofar as they apply to consider whether a requester’s use of each request. The NTSB will exercise the documents would enhance trans- its discretion to consider the cost-ef- portation safety or contribute to the fectiveness of its use of administrative NTSB’s programs. resources in determining whether to (ii) Whether the portions of a record grant waivers or reductions of fees. subject to disclosure are meaningfully (e) Services available free of charge. informative about government oper- (1) The following documents are ations or activities. The disclosure of available without commercial repro- information already in the public do- duction cost until limited supplies are main, in either a duplicative or sub- exhausted:

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(i) Press releases; 802.11 Agency review of requests for correc- (ii) Safety Board regulations (Chap- tion or amendment of record. ter VIII of Title 49, Code of Federal 802.12 Initial adverse agency determination Regulations); on correction or amendment. (iii) Indexes to initial decisions, Subpart E—Review of Initial Adverse Board orders, opinion and orders, and Determination staff manuals and instructions; (iv) Safety recommendations; and 802.14 Review procedure and judicial review. (v) NTSB Annual Reports. (2) The NTSB public Web site, located Subpart F—Fees at http://www.ntsb.gov, also includes an 802.15 Fees. e-mail subscription service for press releases, safety recommendations, and Subpart G—Penalties other announcements. 802.18 Penalties. § 801.61 Appeals of fee determinations. Subpart H—Specific Exemptions Requesters seeking an appeal of the FOIA Officer’s fee or fee waiver deter- 802.20 Security records. mination must send a written appeal to AUTHORITY: Privacy Act of 1974, Pub. L. 93– the NTSB’s Managing Director within 579, 88 Stat. 1896 (5 U.S.C. 552a); Independent 20 days. The NTSB’s Managing Direc- Safety Board Act of 1974, Pub. L. 93–633, 88 tor will determine whether to grant or Stat. 2166 (49 U.S.C. 1901 et seq.); and Free- deny any appeal made pursuant to dom of Information Act, Pub. L. 93–502, No- § 801.21 within 20 working days (exclud- vember 21, 1974, amending 5 U.S.C. 552. ing Saturdays, Sundays, and legal pub- SOURCE: 41 FR 22358, June 3, 1976, unless lic holidays) after receipt of such ap- otherwise noted. peal, except that this time limit may be extended for as many as 10 addi- Subpart A—Applicability and tional working days, in accordance Policy with § 801.23. § 802.1 Purpose and scope. PART 802—RULES IMPLEMENTING The purpose of this part is to imple- THE PRIVACY ACT OF 1974 ment the provisions of 5 U.S.C. 552a with respect to the availability to an Subpart A—Applicability and Policy individual of records of the National Transportation Safety Board (NTSB) Sec. maintained on individuals. NTSB pol- 802.1 Purpose and scope. icy encompasses the safeguarding of in- 802.2 Definitions. dividual privacy from any misuse of Subpart B—Initial Procedures and Federal records and the provision of ac- Requirements cess to individuals to NTSB records concerning them, except where such 802.5 Procedures for requests pertaining to access is in conflict with the Freedom individual records in a record system. of Information Act, or other statute. 802.6 Types of requests and specification of records. [41 FR 39758, Sept. 16, 1976] 802.7 Requests: How, where, and when presented; verification of identity of indi- § 802.2 Definitions. viduals making requests; accompanying In this part: persons; and procedures for acknowledge- ment of requests. Board means the five Members of the National Transportation Safety Board, Subpart C—Initial Determinations or a quorum thereof; Individual means a citizen of the 802.8 Disclosure of requested information. United States or an alien lawfully admitted for permanent residence; Subpart D—Correction or Amending the National Transportation Safety Board Record (NTSB) means the agency set up under 802.10 Request for correction or amendment the Independent Safety Board Act of to record. 1974;

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Record means any item, collection, or dividual or by some identifying num- grouping of information about an indi- ber, symbol, or other particular as- vidual that is maintained under the signed to such individual. Written con- control of the NTSB pursuant to Fed- sent is not required if the disclosure is: eral law or in connection with the (a) To officers or employees of the transaction of public business, includ- NTSB who require the information in ing, but not limited to, education, fi- the official performance of their duties; nancial transactions, medical history, (b) Required under 5 U.S.C. 552, Free- and criminal or employment history, dom of Information Act; and that contains a name, or an identi- (c) For a routine use compatible with fying number, symbol, or other identi- the purpose for which it was collected; fying particular assigned to an indi- (d) To the Bureau of the Census for vidual, such as a finger or voice im- uses pursuant to title 13, U.S.C.; print or photograph; (e) To a recipient who has provided Routine use means the use of such the NTSB with advance adequate as- record for a purpose compatible with surance that the record will be used the purpose for which it was collected, solely as a statistical research or re- including, but not limited to, referral porting record and that it is to be to law enforcement agencies of viola- transferred in a form not individually tions of the law and for discovery pur- identifiable; or poses ordered by a court referral to po- (f) Pursuant to the order of a court of tential employers, and for security competent jurisdiction. clearance; Statistical record means a record in a § 802.6 Types of requests and specifica- system of records maintained for station of records. tistical research or reporting purposes (a) Types of requests. An individual only and which is not used wholly or may make the following request re- partially in any determination con- specting records about himself main- cerning an identifiable individual; tained by NTSB in any system of System Manager means the agency of- records subject to the Act: ficial who is responsible for the policies (1) Whether information concerning and practices of his particular system himself is contained in any system of or systems of record, as specified in the records. NTSB notices of systems or records; (2) Access to a record concerning and himself. Such request may include a re- System of records means a group of quest to review the record and/or ob- any records under the control of the tain a copy of all or any portion there- NTSB from which information is re- of. trieved by the name of an individual or (3) Correction or amendment of a by some identifying number, symbol, record concerning himself. or other identifying particular assigned (4) Accounting of disclosure to any to the individual, whether presently in other person or Government agency of existence or set up in the future. any record concerning himself contained in any system of records con- Subpart B—Initial Procedures and trolled by NTSB, except: (i) Disclosures Requirements made pursuant to the FOIA; (ii) disclosures made within the NTSB; (iii) dis- § 802.5 Procedures for requests per- closures made to another Government taining to individual records in a agency or instrumentality for an au- record system. thorized law enforcement activity pur- The NTSB may not disclose any suant to subsection (b)(7) of the Act; record to any person or other agency, and (iv) disclosures expressly exempted except pursuant to a written request by NTSB from the requirements of sub- by, or with the prior written consent section (c)(3) of the Act, pursuant to of, the individual to whom the record subsection (k) thereof. pertains, provided the record under the (b) Specification of records. All re- control of the NTSB is maintained in a quests for access to records must rea- system of records from which informa- sonably describe the system of records tion is retrieved by the name of the in- and the individual’s record within the

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system of records in sufficient detail to Administration, or his designee, shall permit identification of the requested constitute receipt. record. Specific information regarding (c) Requests made in person. Requests the system name, the individual’s full may be made in person during official name, and other information helpful in working hours of the NTSB at the of- identifying the record or records shall fice where the record is located, as list- be included. Requests for correction or ed in the ‘‘Notice of Systems of amendment of records shall, in addi- Records’’ for the system in which the tion, specify the particular record in- record is contained. volved, state the nature of the correc- (d) Verification of identity of requester. tion or amendment sought, and furnish (1) For written requests, the request- justification for the correction or er’s identity must be verified before amendment. the release of any record, unless ex- (c) Inadequate identification of record. empted under the FOIA. This may be Requests which do not contain infor- accomplished by adequate proof of mation sufficient to identify the record identity in the form of a driver’s li- requested will be returned promptly to cense or other acceptable item of the the requester, with a notice indicating same type. what information is lacking. Individ- (2) For requests in person, the re- uals making requests in person will be quester’s identity may be established informed of any deficiency in the speci- by a single document bearing a photo- fication of the records at the time the graph (such as a passport or identifica- request is made. Individuals making tion badge) or by two items of identi- requests in writing will be notified of fication containing name, address, and any such deficiency when their request signature (such as a driver’s license or is acknowledged. credit card). (3) Where a request is made for repro- § 802.7 Requests: How, where, and when presented; verification of duced records which are to be delivered identity of individuals making re- by mail, the request must include a no- quests; accompanying persons; and tarized statement verifying the re- procedures for acknowledgment of quester’s identity. requests. (e) Inability to provide requisite docu- (a) Requests—general. Requests may mentation of identity. A requester who be made in person or in writing. Assist- cannot provide the necessary docu- ance regarding requests or other mat- mentation of identity may provide a ters relating to the Act may be ob- notarized statement, swearing or af- tained by writing to the Director, Bu- firming his identity and the fact that reau of Administration, National he is aware of the penalties for false Transportation Safety Board, 800 Inde- statement imposed pursuant to 18 pendence Avenue, SW., Washington, DC U.S.C. 1001, and subsection (i)(3) of the 20594. The Director, Bureau of Adminis- Act. Where requested, the Director, Bu- tration, or his designee, on request, reau of Administration, or his des- will aid an individual in preparing an ignee, will assist the requester in for- amendment to the record or to an ap- mulating the necessary document. peal following denial of a request to (f) Accompanying persons. A requester amend the record, pursuant to sub- may wish to have a person of his choice section (f)(4) of the Act. accompany him to review the re- (b) Written requests. Written requests quested record. Prior to the release of shall be made to the Director, Bureau the record, the NTSB will require the of Administration at the address given requester to furnish the Director, Bu- above, and shall clearly state on the reau of Administration or his designee, envelope and on the request itself, with a written statement authorizing ‘‘Privacy Act Request,’’ ‘‘Privacy Act disclosure of the record in the accom- Statement of Disagreement,’’ ‘‘Privacy panying person’s presence. Act Disclosure Accounting Request,’’ (g) Acknowledgment of requests. Writ- ‘‘Appeal from Privacy Act Adverse De- ten requests to verify the existence of, termination,’’ or ‘‘Privacy Act Correc- to obtain access to, or to correct or tion Request,’’ as the case may be. Ac- amend records about the requester tual receipt by the Director, Bureau of maintained by NTSB in any system of

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records subject to the Act, shall be ac- information needed to clarify the re- knowledged in writing by the Director, quest; or Bureau of Administration, or his des- (2) That the system of records identi- ignee, within 3 working days after the fied does not include a record retriev- date of actual receipt of the request by able by the requester’s name or other the Director, Bureau of Administra- identifying particulars. tion, or his designee. The acknowledg- (c) The System Manager shall advise ment shall advise the requester of the the requester within 10 working days need for any additional information to after actual receipt of the request by process the request. Wherever prac- the Director, Bureau of Administra- ticable, the acknowledgment shall no- tion, or his designee, that the request tify the individual whether his request for access has been denied, and the rea- has been granted or denied. When a re- son for the denial, or that the deter- quest is made in person, every effort mination has been made to grant the will be made to determine immediately request, either in whole or in part, in whether the request will be granted. If which case the relevant information such decision cannot be made, the re- will be provided. quest will be processed in the same [41 FR 22358, June 3, 1976, as amended at 41 manner as a written request. Records FR 43154, Sept. 30, 1976] will be made available for immediate inspection whenever possible. Subpart D—Correction or [41 FR 22358, June 3, 1976, as amended at 41 Amending the Record FR 43154, Sept. 30, 1976] § 802.10 Request for correction or Subpart C—Initial Determinations amendment to record. All requests for correcting or amend- § 802.8 Disclosure of requested infor- ing records shall be made in writing to mation. the Director, Bureau of Administra- (a) The System Manager may ini- tion, National Transportation Safety tially determine that the request be Board, 800 Independence Avenue., SW., granted. If so, the individual making Washington, DC 20594, and shall be the request shall be notified orally, or deemed received upon actual receipt by in writing, and the notice shall include: the Director, Bureau of Administra- (1) A brief description of the information. The request shall clearly be tion to be made available; marked on the envelope and in the let- (2) The time and place where the ter with the legend that it is a ‘‘Pri- record may be inspected, or alter- vacy Act Correction Request.’’ The re- natively, the procedure for delivery by quest must reasonably set forth the mail to the requesting party; portion of the record which the indi- (3) The estimated cost for furnishing vidual contends is not accurate, rel- copies of the record; evant, timely, or complete. (4) The requirements for verification [41 FR 22358, June 3, 1976, as amended at 41 of identity; FR 43154, Sept. 30, 1976] (5) The requirements for authorizing discussion of the record in the presence § 802.11 Agency review of requests for correction or amendment of record. of an accompanying person; and (6) Any additional requirements Within 10 working days after actual needed to grant access to a specific sys- receipt of the request by the Director, tem of records or record. Bureau of Administration, or his des- (b) Within 10 working days after ac- ignee, to correct or amend the record, tual receipt of the request by the Di- the System Manager shall either make rector, Bureau of Administration, or the correction in whole or in part, or his designee, in appropriate cases, the inform the individual of the refusal to requester will be informed: correct or amend the record as re- (1) That the request does not reason- quested, and shall present the reasons ably describe the system of records or for any denials. record sought to permit its identifica- [41 FR 22358, June 3, 1976, as amended at 41 tion, and shall set forth the additional FR 43154, Sept. 30, 1976]

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§ 802.12 Initial adverse agency deter- (c)(1) Review of denial of access. If the mination on correction or amend- appeal upholds the denial of access to ment. records, the Board shall: Notify the re- If the System Manager determines quester in writing, explaining the that the record should not be corrected Board’s determination; state that the or amended in whole or in part, he will denial is a final agency action and that forthwith make such finding in writ- judicial review is available in a district ing, after consulting with the General court of the United States in the dis- Counsel, or his designee. The requester trict where the requester resides or has shall be notified of the refusal to cor- his principal place of business, or rect or amend the record. The notifica- where the agency records are located, tion shall be in writing, signed by the or in the District of Columbia; and re- System Manager, and shall include— quest a filing with the Board of a concise statement enumerating the rea- (a) The reason for the denial; sons for the requester’s disagreement (b) The name and title or position of with the denial, pursuant to subsection each person responsible for the denial (g) of the Act. of the request; (2) Review of denial of correction or (c) The appeal procedures for the in- amendment. If the appeal upholds the dividual for a review of the denial; and denial in whole or in part for correc- (d) Notice that the denial from the tion or amendment of the record, the System Manager is appealable within same notification and judicial review 30 days from the receipt thereof by the privileges described in paragraph (c)(1) requester to the Board. of this section shall apply. The System Manager is allotted 10 (d) If the denial is reversed on appeal, working days (or within such extended the Board shall notify the requester in period as is provided in the section con- writing of the reversal. The notice cerning ‘‘unusual circumstances’’ infra) shall include a brief statement out- to respond to the request for review. If lining those portions of the individual’s the requester does not receive an an- record which were not accurate, rel- swer within such time, the delay shall evant, timely, or complete, and correc- constitute a denial of the request and tions of the record which were made, shall permit the requester immediately and shall provide the individual with a to appeal to the Board, or to a district courtesy copy of the corrected record. court. (e) Copies of all appeals and written determinations will be furnished by the System Manager to the Board. Subpart E—Review of Initial (f) In unusual circumstances, time Adverse Determination limits may be extended by not more than 10 working days by written notice § 802.14 Review procedure and judicial to the individual making the request. review. The notice shall include the reasons for (a) A requester may appeal from any the extension and the date on which a adverse determination within 30 days determination is expected to be forth- after actual receipt of a denial from coming. ‘‘Unusual circumstances’’ as the System Manager. The appeal must used in this section shall include cir- be in writing addressed to the Chair- cumstances where a search and collec- man, National Transportation Safety tion of the requested records from field Board, 800 Independence Avenue, SW., offices or other establishments are re- Washington, DC 20594, and shall con- quired, cases where a voluminous tain a statement on the envelope and amount of data is involved, and cases in the appeal: ‘‘Appeal from Privacy where consultations are required with Act Adverse Determination.’’ other agencies or with others having a (b) The Board shall make a deter- substantial interest in the determina- mination with respect to the appeal tion of the request. within 30 working days after the actual (g) Statements of Disagreement. (1) receipt of the appeal by the Chairman, Written Statements of Disagreement except as provided for in ‘‘unusual cir- may be furnished by the individual cumstances’’ infra. within 30 working days of the date of

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actual receipt of the final adverse de- (i) Disclosure to others of records con- termination of the Board. They shall cerning individuals. Neither the Board be addressed to the Director, Bureau of nor other NTSB personnel shall dis- Administration, National Transpor- close any record which is contained in tation Safety Board, 800 Independence a system of records maintained by Avenue, SW., Washington, DC 20594, NTSB, by any means of communica- and shall be clearly marked, both on tion, including oral communication, to the statement and on the envelope, any person, or to another Government ‘‘Privacy Act Statement of Disagree- agency, except pursuant to a written ment.’’ request by, or with the prior written (2) The Director, Bureau of Adminis- consent, of the individual to whom the tration, or his designee, shall be re- record pertains, unless disclosure of sponsible for ensuring that: the record is: (i) The Statement of Disagreement is (1) To the Board and NTSB personnel included in the system of records in who have a need for the record in the which the disputed item of information performance of their duties; is maintained; and (2) Required under the FOIA; (3) For a routine use published in the (ii) The original record is marked to FEDERAL REGISTER; indicate the information disputed, the (4) To the Bureau of the Census for existence of the Statement of Disagree- purposes of planning or carrying out a ment, and its location within the rel- census or survey, or related activity evant system of records. pursuant to the provisions of title 13 of (3) The Director, Bureau of Adminis- the U.S.C.; tration, or his designee, may, if he (5) To a recipient who has provided deems it appropriate, prepare a concise NTSB with adequate advance written Statement of Explanation indicating assurance that the record will be used why the requested amendments or cor- solely as a statistical research or re- rections were not made. Such State- porting record and that the record is ment of Explanation shall be included transferred in a form that is not identi- in the system of records in the same fiable with respect to individuals; 1 manner as the Statement of Disagree- (6) To the National Archives of the ment. Courtesy copies of the NTSB United States as a record which has Statement of Explanation and the no- sufficient historical or other value to tation of dispute, as marked on the warrant its continued preservation by original record, shall be furnished to the U.S. Government, or to the Admin- the individual who requested correc- istrator of the General Services Admin- tion or amendment of the record. istration, or his designee, for evalua- (h) Notices of correction and/or amend- tion to determine whether the record ment, or dispute. After a record has been has such value; corrected or a Statement of Disagree- (7) To another agency or to an instrument has been filed, the Director, Bu- mentality of any governmental juris- reau of Administration, or his des- diction within or under the control of ignee, shall within 30 working days the United States for a civil or crimi- thereof, advise all previous recipients nal law enforcement activity if the ac- of the affected record as to the correc- tivity is authorized by law, and if the tion or the filing of the Statement of head of the agency or instrumentality Disagreement. The identity of such re- has made a written request to NTSB cipients shall be determined pursuant specifying the particular portion of the to an accounting of disclosures required by the Act or any other ac- 1 The advance written statement of assur- counting previously made. Any disclo- ance shall state the purpose for which the sure of disputed information occurring record is requested and certify that it will be after a Statement of Disagreement has used only for statistical purposes. Prior to been filed shall clearly identify the release under this paragraph, the record shall be stripped of all personally identifi- specific information disputed and shall able information and reviewed to ensure that be accompanied by a copy of the State- the identity of any individual cannot reason- ment of Disagreement and a copy of ably be determined by combining two or any NTSB Statement of Explanation. more statistical records.

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record desired and the law enforcement the compelling circumstances justi- activity for which the record is fying the disclosure. sought; 2 [41 FR 22358, June 3, 1976, as amended at 41 (8) To any person upon a showing of FR 43154, Sept. 30, 1976] compelling circumstances affecting the health or safety of any individual; Subpart F—Fees (9) To either House of Congress or, to the extent of matter within its juris- § 802.15 Fees. diction, to any committee, or sub- No fees shall be charged for providing committee thereof, or to any joint the first copy of a record, or any por- committee of the Congress, or to any tion thereof, to individuals to whom subcommittee of such joint committee; the record pertains. The fee schedule (10) To the Comptroller General, or for other records is the same as that any of his authorized representatives, appearing in the appendix to part 801 of in the course of the performance of the this chapter, implementing the FOIA, duties of the General Accounting Of- as amended from time to time, except fice; or that the cost of any search for and re- (11) Pursuant to the order of a court view of the record shall not be included of competent jurisdiction. in any fee under this Act, pursuant to (j) Notices of subpoenas. When records subsection (f)(5) of the Act. concerning an individual are subpoenaed or otherwise disclosed pursuant to court order, the NTSB officer or em- Subpart G—Penalties ployee served with the subpoena shall § 802.18 Penalties. be responsible for assuring that the individual is notified of the disclosure (a) An individual may bring a civil within 5 days after such subpoena or action against the NTSB to correct or other order becomes a matter of public amend the record, or where there is a record. The notice shall be mailed to refusal to comply with an individual the last known address of the indi- request or failure to maintain any vidual and shall contain the following record with accuracy, relevance, time- information: (1) The date the subpoena liness and completeness, so as to guar- is returnable; (2) the court in which it antee fairness, or failure to comply is returnable; (3) the name and number with any other provision of 5 U.S.C. of the case or proceeding; and (4) the 552a. The court may order the correc- nature of the information sought. tion or amendment. It may assess against the United States reasonable (k) Notices of emergency disclosures. When information concerning an indi- attorney fees and other costs, or may vidual has been disclosed to any person enjoin the NTSB from withholding the under compelling circumstances affect- records and order the production to the ing health or safety, the NTSB officer complainant, and it may assess attor- or employee who made or authorized ney fees and costs. the disclosure shall notify the indi- (b) Where it is determined that the vidual at his last known address within action was willful or intentional with 5 days of the disclosure. The notice respect to 5 U.S.C. 552(g)(1) (c) or (d), shall contain the following informa- the United States shall be liable for the tion: (1) The nature of the information actual damages sustained, but in no disclosed; (2) the person or agency to case less than the sum of $1,000 and the whom the information was disclosed; costs of the action with attorney fees. (3) the date of the disclosure; and (4) (c) Criminal penalties may be imposed against an officer or employee of the NTSB who fully discloses material 2 A record may be disclosed to a law en- which he knows is prohibited from dis- forcement agency at the initiative of NTSB closure, or who willfully maintains a if criminal conduct is suspected, provided system of records without meeting the that such disclosure has been established as a routine use by publication in the FEDERAL notice requirements, or who knowingly REGISTER, and the instance of misconduct is and willfully requests or obtains any directly related to the purpose for which the record concerning an individual from record is maintained. an agency under false pretenses. These

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offenses shall be misdemeanors with a fine not to exceed $5,000.

Subpart H—Specific Exemptions

§ 802.20 Security records. Pursuant to, and limited by, 5 U.S.C. 552a(k)(5), the NTSB’s system of records, which contains the Security Records of NTSB employees, prospective employees, and potential contractors, shall be exempt from disclosure of the material and the NTSB’s handling thereof under subsections (d), (e)(1) and (e)(4) (H) and (I) of 5 U.S.C. 552a.

PART 803—OFFICIAL SEAL [43 FR 36454, Aug. 17, 1978]

Sec. § 803.3 Authority to affix Seal. 803.1 Description. 803.3 Authority to affix Seal. (a) The Seal shall be in the custody 803.5 Use of the Seal. and control of the Director, Bureau of Administration of the Board. AUTHORITY: Sec. 303(c)(2), Independent (b) The Director, Bureau of Adminis- Safety Board Act of 1974, Pub. L. 93–633, 88 Stat. 2168 (49 U.S.C. 1902(c)(2)). tration may delegate and authorize re- delegations of this authority. § 803.1 Description. [40 FR 30238, July 17, 1975, as amended at 41 The official seal of the National FR 39758, Sept. 16, 1976] Transportation Safety Board is de- § 803.5 Use of the Seal. scribed as follows: An American bald eagle with wings displayed, holding in (a) The Seal is the official emblem of his dexter (right) talon an olive branch the Board and its use is therefore per- and in his sinister (left) talon, a bundle mitted only as provided in this part. of 13 arrows; above his head is a scroll (b) Use by any person or organization inscribed ‘‘E Pluribus Unum,’’ bearing outside of the Board may be made only a shield with vertical stripes of alter- with the Board’s prior written ap- nating white and red, crowned by a proval. field of blue, all within an encircling (c) Requests by any person or organization outside of the Board for permis- inscription ‘‘National Transportation sion to use the Seal must be made in Safety Board.’’ When illustrated in writing to Director, Bureau of Admin- color, the background is white. The istration, National Transportation wings, the body, and the upper portion Safety Board, 800 Independence Ave- of the legs of the eagle are shades of nue, SW., Washington, DC 20594. The brown; the head, neck, and tail are request must specify in detail the exact white; the beak, feet, and lower portion use to be made. Any permission grant- of the legs are gold. The inscription on ed shall apply only to the specific use the scroll is black. The encircling infor which it was granted. scription is the same shade of gold as (d) Use of the Seal shall be essen- the eagle’s beak. The arrows and the tially for informational purposes. The olive branch are a lighter shade of gold. Seal may not be used on any article or The red and blue of the shield are na- in any manner which may discredit the tional flag red and blue. The official Seal or reflect unfavorably upon the seal of the Board, in black and white, Board, or which implies Board endorse- appears below: ment of commercial products or services, or of the user’s or users’ policies or activities. Specifically, permission

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may not be granted under this section § 804.1 Applicability. for nonofficial use— (a) This part implements the provi- (1) On souvenir or novelty items of an sions of the Government in the Sun- expendable nature; shine Act (5 U.S.C. 552b). These proce- (2) On toys, gifts, or premiums; dures apply to meetings, as defined (3) As a letterhead design; herein, of the Members of the National (4) On menus, matchbook covers, cal- Transportation Safety Board (NTSB). endars, or similar items; (b) Requests for all documents other (5) To adorn civilian clothing; or than the transcripts, recordings, and (6) On athletic clothing or equip- minutes described in § 804.9 shall con- ment. tinue to be governed by part 801 of the (e) Where necessary to avoid any pro- NTSB regulations (49 CFR part 801). hibited implication or confusion as to § 804.2 Policy. the Board’s association with the user or users, an appropriate legend will be It is the policy of the NTSB to pro- prescribed by the Board for prominent vide the public with the fullest prac- display in connection with the per- ticable information regarding the deci- mitted use. sionmaking processes of the Board, (f) Falsely making, forging, counter- while protecting the rights of individ- feiting, mutilating, or altering the uals and the ability of the Board to discharge its statutory functions and re- Seal, or knowingly using or possessing sponsibilities. The public is invited to with fraudulent intent any altered Seal attend but not to participate in open is punishable under section 506 of Title meetings. 18, U.S.C. [40 FR 30238, July 17, 1975, as amended at 41 § 804.3 Definitions. FR 39758, Sept. 16, 1976] As used in this part: Meeting means the deliberations of three or more PART 804—RULES IMPLEMENTING Members where such deliberations de- THE GOVERNMENT IN THE SUN- termine or result in the joint conduct SHINE ACT or disposition of official NTSB business, and includes conference telephone calls otherwise coming within the defi- Sec. nition. A meeting does not include: 804.1 Applicability. (a) Notation voting or similar consid- 804.2 Policy. eration of business, whether by circula- 804.3 Definitions. 804.4 Open meetings requirement. tion of material to the Members indi- 804.5 Grounds on which meetings may be vidually in writing or by a polling of closed or information may be withheld. the Members individually by tele- 804.6 Procedures for closing meetings, or phone. withholding information, and requests by (b) Deliberations by three or more affected persons to close a meeting. Members (1) to open or to close a meet- 804.7 Procedures for public announcement ing or to release or to withhold infor- of meetings. mation pursuant to § 804.6, (2) to call a 804.8 Changes following public announce- meeting on less than seven days’ notice ment. as permitted by § 804.7(b), or (3) to 804.9 Transcripts, recordings, or minutes of change the subject matter or the deter- closed meetings. mination to open or to close a publicly 804.10 Availability and retention of tran- announced meeting under § 804.8(b). scripts, recordings, and minutes, and ap- (c) An internal session attended by plicable fees. three or more Members for which the AUTHORITY: Government in the Sunshine sole purpose is to have the staff brief Act, Pub. L. 94–409, 90 Stat. 1241 (5 U.S.C. the Board concerning an accident, inci- 552b); Independent Safety Board Act of 1974, dent, or safety problem. Pub. L. 93–633, 88 Stat. 2166 (49 U.S.C. 1901 et Member means an individual duly ap- seq.). pointed and confirmed to the collegial SOURCE: 42 FR 13284, Mar. 10, 1977, unless body, known as ‘‘the Board,’’ which otherwise noted. heads the NTSB.

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National Transportation Safety Board (g) Disclose investigatory records (NTSB) means the agency set up under compiled for law enforcement purposes, the Independent Safety Board Act of or information which if written would 1974. be contained in such records, but only [42 FR 13284, Mar. 10, 1977, as amended at 42 to the extent that the production of FR 31794, June 23, 1977] such records or information would: (1) Interfere with enforcement pro- § 804.4 Open meetings requirement. ceedings; Members shall not jointly conduct or (2) Deprive a person of a right to a dispose of agency business other than fair trial or an impartial adjudication; in accordance with this part. Except as (3) Constitute an unwarranted inva- provided in § 804.5, every portion of sion of personal privacy; every meeting of the Board shall be (4) Disclose the identity of a con- open to public observation. fidential source and, in the case of a record compiled by a criminal law en- § 804.5 Grounds on which meetings forcement authority in the course of a may be closed or information may be withheld. criminal investigation, or by an agency conducting a lawful national security Except in a case where the Board intelligence investigation, confidential finds that the public interest requires information furnished only by the con- otherwise, a meeting may be closed and fidential source; information pertinent to such meeting (5) Disclose investigative techniques otherwise required by §§ 804.6, 804.7, and and procedures; or 804.8 to be disclosed to the public may be withheld if the Board properly de- (6) Endanger the life or physical safe- termines that such meeting or portion ty of law enforcement personnel; thereof or the disclosure of such infor- (h) Disclose information contained in mation is likely to: or related to examination, operating, (a) Disclose matters that are (1) spe- or condition reports prepared by, on be- cifically authorized under criteria es- half of, or for the use of an agency re- tablished by an Executive Order to be sponsible for the regulation or super- kept secret in the interests of national vision of financial institutions; defense or foreign policy, and (2) are in (i) Disclose information the pre- fact properly classified pursuant to mature disclosure of which would be such Executive Order; likely to significantly frustrate imple- (b) Relate solely to the internal per- mentation of a proposed action of the sonnel rules and practices of the NTSB; NTSB: Provided, That the NTSB has (c) Disclose matters specifically ex- not already disclosed to the public the empted from disclosure by statute content or nature of its proposed ac- (other than 5 U.S.C. 552): Provided, That tion or is not required by law to make such statute (1) requires that the mat- such disclosure on its own initiative ters be withheld from the public in prior to taking final action on such such a manner as to leave no discretion proposal; or on the issue, or (2) establishes par- (j) Specifically concern the Board’s ticular criteria for withholding or re- issuance of a subpoena, or the NTSB’s fers to particular types of matters to participation in a civil action or probe withheld; ceeding, an action in a foreign court or (d) Disclose trade secrets and com- international tribunal, or an arbitra- mercial or financial information obtained from a person and privileged or tion, or the initiation, conduct, or dis- confidential; position by the NTSB of a particular (e) Involve accusing any person of a case of formal agency adjudication pur- crime, or formally censuring any per- suant to the procedures in 5 U.S.C. 554 son; or otherwise involving a determination (f) Disclose information of a personal on the record after opportunity for a nature where disclosure would con- hearing. stitute a clearly unwarranted invasion of personal privacy;

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§ 804.6 Procedures for closing meet- § 804.7 Procedures for public an- ings, or withholding information, nouncement of meetings. and requests by affected persons to (a) For each meeting, the NTSB shall close a meeting. make public announcement, at least (a) A meeting shall not be closed, or one week before the meeting, of the: information pertaining thereto with- (1) Time of the meeting; held, unless a majority of all Members (2) Place of the meeting; votes to take such action. A separate (3) Subject matter of the meeting; vote shall be taken with respect to any (4) Whether the meeting is to be open action under § 804.5. A single vote is or closed; and permitted with respect to a series of (5) The name and business telephone meetings, a portion or portions of number of the official designated by which are proposed to be closed to the the NTSB to respond to requests for in- public, or with respect to any informa- formation about the meeting. (b) The one week advance notice re- tion concerning such series of meet- quired by paragraph (a) of this section ings, so long as each meeting in such may be reduced only if: series involves the same particular sub- (1) A majority of all Members deter- ject matters and is scheduled to be held mines by recorded vote that NTSB no more than thirty days after the ini- business requires that such meeting be tial meeting in such series. Each Mem- scheduled in less than seven days; and ber’s vote under this paragraph shall be (2) The public announcement re- recorded and proxies are not permitted. quired by paragraph (a) of this section (b) Any person whose interest may be be made at the earliest practicable directly affected if a portion of a meet- time. ing is open may request the Board to (c) Immediately following each pub- close that portion on any of the lic announcement required by this sec- grounds referred to in § 804.5 (e), (f), or tion, or by § 804.8, the NTSB shall sub- (g). Requests, with reasons in support mit a notice of public announcement thereof, should be submitted to the for publication in the FEDERAL REG- General Counsel, National Transpor- ISTER. tation Safety Board, 800 Independence Avenue, SW., Washington, DC 20594. On § 804.8 Changes following public announcement. motion of any Member, the Board shall determine by recorded vote whether to (a) The time or place of a meeting grant the request. may be changed following the public (c) Within one working day of any announcement only if the NTSB pub- vote taken pursuant to this section, licly announces such change at the earliest practicable time. Members need the NTSB shall make available a writ- not approve such change. ten copy of such vote reflecting the (b) The subject matter of a meeting vote of each Member on the question or the determination of the Board to and, if a portion of a meeting is to be open or to close a meeting, or a portion closed to the public a full written ex- thereof, to the public may be changed planation of its action closing the following public announcement only if: meeting and a list of all persons ex- (1) A majority of all Members deter- pected to attend and their affiliation. mines by recorded vote that NTSB (d) Before every closed meeting, the business so requires and that no earlier General Counsel of the NTSB shall pub- announcement of the change was pos- licly certify that, in his or her opinion, sible; and the meeting may be closed to the pub- (2) The NTSB publicly announces lic and shall state each relevant ex- such change and the vote of each Mem- emptive provision. A copy of such cer- ber thereon at the earliest practicable tification, together with a statement of time. the presiding officer setting forth the time and place of the meeting and the § 804.9 Transcripts, recordings, or min- persons present, shall be retained by utes of closed meetings. the NTSB as part of the transcript, re- Along with the General Counsel’s cording, or minutes required by § 804.9. certification and presiding officer’s

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statement referred to in § 804.6(d), the 805.735–5 Receipt of gifts, entertainment, NTSB shall maintain a complete tran- and favors by Members or employees. script of electronic recording adequate 805.735–6 Misuse of information by Members to record fully the proceedings of each and employees. 805.735–7 Outside activities of Members and meeting, or a portion thereof, closed to employees. the public. The NTSB may maintain a 805.735–8 Employment of family members in set of minutes in lieu of such tran- transportation and related enterprises. script or recording for meetings closed 805.735–9 Use of Government property. pursuant to § 804.5 (h) or (j). Such min- 805.735–10 Member and employee indebted- utes shall fully and clearly describe all ness. matters discussed and shall provide a 805.735–11 Gambling, betting, and lotteries. 805.735–12 Coercion. full and accurate summary of any ac- 805.735–13 Conduct prejudicial to the Gov- tions taken, and the reasons therefor, ernment. including a description of each of the 805.735–14 Specific regulations for special views expressed on any item and the Government employees. record of any rollcall vote. All docu- 805.735–15 Miscellaneous statutory provi- ments considered in connection with sions. any actions shall be identified in such 805.735–16 Statements of employment and fi- minutes. nancial interests. 805.735–17 Supplementary statements. 805.735–18 Interests of employees’ relatives. § 804.10 Availability and retention of 805.735–19 Information not known by em- transcripts, recordings, and min- ployees. utes, and applicable fees. 805.735–20 Information not required of em- The NTSB shall make promptly ployees. available to the public the transcript, 805.735–21 Confidentiality of statements. electronic recording, or minutes of the 805.735–22 Effect of statements on other re- discussion of any item on the agenda or quirements. 805.735–23 Submission of statements by spe- of any testimony received at the meet- cial Government employees. ing, except for such item, or items, of 805.735–24 Review of financial statements. discussion or testimony as determined 805.735–25 Publication and interpretation. by the NTSB to contain matters which 805.735–26 Employee’s complaint on filing may be withheld under the exemptive requirements. provisions of § 804.5. Copies of the non- 805.735–27 Disciplinary or remedial action. exempt portions of the transcript or APPENDIX I TO PART 805—MISCELLANEOUS minutes, or transcription of such re- STATUTORY PROVISIONS cordings disclosing the identity of each APPENDIX II TO PART 805—EMPLOYEES RE- speaker, shall be furnished to any per- QUIRED TO SUBMIT STATEMENTS son at the actual cost of transcription AUTHORITY: E.O. 11222 of May 8, 1965, 30 FR or duplication. the NTSB shall main- 6469, 3 CFR 1965 Supp.; 5 CFR 735.101 et seq., tain a complete verbatim copy of the and 5 CFR 735.404. transcript, a complete copy of the min- SOURCE: 40 FR 30239, July 17, 1975, unless utes, or a complete electronic record- otherwise noted. ing of each meeting, or a portion thereof, closed to the public for at least two § 805.735–1 Purpose. years after such meeting, or until one This part sets forth the standards of year after the conclusion of any NTSB ethical and other conduct required of proceeding with respect to which the all Board Members and employees, in meeting, or a portion thereof, was held, implementation of Executive Order whichever occurs later. 11222, May 8, 1965 (30 FR 6469), and part 735 of the Civil Service Commission PART 805—EMPLOYEE Regulations adopted pursuant thereto RESPONSIBILITIES AND CONDUCT (5 CFR part 735). It also contains references to the several applicable stat- Sec. utes governing employee conduct, par- 805.735–1 Purpose. ticularly Pub. L. 87–849, 76 Stat. 119 (18 805.735–2 Definitions. U.S.C. 201 et seq.), and the ‘‘Code of 805.735–3 Policy. Ethics for Government Service,’’ House 805.735–4 Financial interests of Members Concurrent Resolution 175, 85th Con- and employees. gress, 2d Session (72 Stat. B12).

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§ 805.735–2 Definitions. (3) Impeding Government efficiency or economy; As used in this part. (4) Losing complete independence or Executive order means Executive impartiality; Order 11222 of May 8, 1965 (30 FR 6469). (5) Making a Government decision Members and employees means the outside official channels; or Board Members and employees of the (6) Affecting adversely the confidence National Transportation Safety Board of the public in the integrity of the (Board) and active duty officers or en- Government. listed members of the Armed Forces detailed to the Board, but does not in- § 805.735–4 Financial interests of Mem- clude special Government employees. bers and employees. Person means an individual, a corporation, a company, an association, a (a) A Member or employee shall not: firm, a partnership, a society, a joint (1) Have direct or indirect financial stock company, or any other organiza- interests which conflict, or appear to tion or institution. conflict, with his assigned duties and Special Government employee means an responsibilities within the Board; or employee of the Board who is retained, (2) Engage in, directly or indirectly, designated, appointed, or employed to a financial transaction as a result of, perform temporary duties, with or or primarily relying on, information without compensation, for a period not obtained through his employment by to exceed 120 days during any period of the Board. 365 consecutive days, on either a full- (b) This section does not preclude a time or intermittent basis. Member or an employee from having a financial interest or engaging in finan- [54 FR 10332, Mar. 13, 1989] cial transactions to the same extent as a private citizen not employed by the § 805.735–3 Policy. Government, so long as it is not pro- (a) The maintenance of unusually hibited by law, the Executive Order, 5 high standards of honesty, integrity, CFR part 735, or the regulations in this impartiality, and conduct by its Mem- part. bers and employees and special Govern- ment employees is essential to assure § 805.735–5 Receipt of gifts, entertain- the proper performance of the Board’s ment, and favors by Members or business and the maintenance of con- employees. fidence by citizens in their Govern- (a) Except as provided in paragraphs ment. Therefore, the Board requires (b) and (g) of this section, a Member or that its Members and employees and employee shall not solicit or accept, di- special Government employees adhere rectly or indirectly, any gift, gratuity, strictly to the highest standard of eth- favor, entertainment, loan, or any ical conduct in all of their social, busi- other thing of monetary value, from a ness, political and other off-the-job ac- person who: tivities, relationships, and interests, as (1) Has, or is seeking to obtain, con- well as in their official actions. tractual or other business or financial (b) All Members and employees and relations with the Board; special Government employees shall (2) Conducts operations or activities avoid situations which might result in that are subject to Board jurisdiction; actual or apparent misconduct or con- or flicts of interest. (3) Has interests that may be sub- (c) Members and employees shall stantially affected by the performance avoid any action, whether or not spe- or nonperformance of his official duty. cifically prohibited by the regulations (b) The prohibitions of paragraph (a) in this part which might result in, or of this section do not apply to: create the appearance of: (1) Obvious family or personal rela- (1) Using public office for private tionships such as those between the gain; employee and his parents, children, or (2) Giving preferential treatment to spouse, when the circumstances make any person; it clear that those relationships rather

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than the business of the persons con- receiving less salary than himself. cerned are the motivating factors; However, paragraph (c) of this section (2) Acceptance of food and refresh- and this paragraph (d) do not prohibit ments of nominal value on infrequent a voluntary gift of nominal value or a occasions in the ordinary course of a donation in a nominal amount made on luncheon or dinner meeting, other a special occasion, such as marriage, meetings, or inspection tours where a illness, retirement, or transfer. Member or employee may properly be (e) Members and employees shall not in attendance; accept a gift, present, decoration, or (3) Acceptance of unsolicited adver- other thing from a foreign government tising or promotional material, such as unless authorized by Congress as pro- pens, pencils, note pads, calendars, and vided by the Constitution and in 5 other items of nominal intrinsic value; U.S.C. 7342. (4) Acceptance of loans from banks or (f) Members and employees may not other financial institutions on cus- be directly reimbursed by a person for tomary terms to finance proper and travel on official business under agency usual activities of employees, such as orders. However, reimbursement in the home mortgage loans; form of a donation may be made to the (5) Utilization by Members or em- Board. The Member or employee in- ployees of the services offered to the volved will be paid by the Board in ac- public by any of the persons specified cordance with applicable laws and reg- in paragraph (a) of this section: Pro- ulations relating to reimbursement for vided, That full value, as published in a official travel. If the Member or em- carrier’s tariffs, or as is customarily ployee is furnished accommodations, charged to the public, is paid therefor; goods, or services in kind they may be (6) Carriage without charge by a car- treated as a donation to the Board, and rier, of Members or employees engaged either no per diem and other travel ex- in official duties, for safety purposes, penses will be paid or an appropriate as provided for in the Civil Aeronautics reduction will be made in the per diem Board’s regulations; or other travel expenses payable, de- (7) Acceptance of invitations, when pending upon the extent of the dona- approved by the Chairman or the Man- tion. No Member or employee may be aging Director, with respect to meals reimbursed, or payment made on his and accommodations when on official behalf, for excessive personal living ex- business outside the continental penses, gifts, entertainment, or other United States; where commercial ac- personal benefits. commodations are unavailable or inap- (g) Members and employees are not propriate; or where refusal of the offer precluded from receiving bona fide re- would be otherwise inappropriate in imbursement, unless prohibited by law, light of all circumstances involved; and for expenses of nonofficial travel and (8) Acceptance of an invitation ad- such other necessary subsistence as is dressed to the Board, when approved by compatible with this part for private the Chairman or the Managing Direc- personal interests for which no Govern- tor, by an employee (including, where ment payment or reimbursement is au- applicable, his wife or a member of his thorized. immediate family), to participate in an [40 FR 30239, July 17, 1975, as amended at 41 inaugural flight or similar ceremonial FR 39758, Sept. 16, 1976] event related to transportation, and accept food, lodging, and entertain- § 805.735–6 Misuse of information by ment incident thereto. Members and employees. (c) Members and employees shall not For the purpose of furthering private solicit contributions from another interest, Members and employees shall Member or employee for a gift, or not, except as provided in § 805.735–7(c), make a donation as a gift, to a Member directly or indirectly, use, or allow the or employee in a superior official posi- use of, official information obtained tion. through or in connection with his em- (d) A Member or an employee in a su- ployment within the Board which has perior official position shall not accept not been made available to the general a gift from an employee or employees public.

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§ 805.735–7 Outside activities of Mem- pose of the special preparation of a per- bers and employees. son or class of persons for an examina- (a) A Member or employee shall not tion of the Civil Service Commission or engage in outside employment or other Board of Examiners for the Foreign outside activity not compatible with Service, that is dependent on informa- the full and proper discharge of his du- tion obtained as a result of his employ- ties and responsibilities as an officer or ment by the Board, except when that employee of the Board. Before an em- information has been made available to ployee can engage in outside employ- the general public or will be made ment or activity for profit, he shall ob- available on request, or when the tain the approval of the Board’s Man- Chairman gives written authorization aging Director by requesting written for the use of nonpublic information on authorization from the Managing Di- the basis that the use is in the public rector prior to engaging in such activ- interest. ity. Board Members desiring to engage (d) Board Members, as Presidential in outside employment or activity for appointees covered by section 401(a) of profit may request prior written au- the Executive order, are specifically thorization from the Chairman. Should precluded by 5 CFR 735.203(c) from re- such authorization be granted, the ceiving compensation or anything of Member or employee has a continuing monetary value for any consultation, responsibility to confine himself to the lecture, discussion, writing, or appear- scope of the authorization. If the cir- ance, the subject matter of which is de- cumstances change so as to involve a voted substantially to the responsibil- possible incompatible activity, the ities, programs, or operations of their Member or employee must seek further agency, or which draws substantially authorization in order to continue in on official data or ideas which have not his outside employment or activity for become part of the body of public infor- profit. Authorization granted in spe- mation. cific cases may be deemed subse- (e) If an activity covered by para- quently to involve an incompatible ac- graphs (c) and (d) of this section is to tivity, and in such cases the Member or be undertaken as official duty, ex- employee concerned shall be notified in penses will be borne by the Board, and writing of the cancellation of the au- the Member or employee may not ac- thorization with instructions to modify cept compensation or allow his ex- or terminate the outside activity at penses to be paid for by the person or the earliest practicable time. group under whose auspices the activ- (b) Incompatible activities by Mem- ity is being performed. If it is deter- bers or employees include, but are not mined that the activity is to be under- limited to: taken in a private capacity, the Mem- (1) Acceptance of a fee, compensa- ber or employee may not use duty tion, gift, payment of expense, or any hours or Government facilities, but he other thing of monetary value in cir- may accept compensation, and he may cumstances in which acceptance may use his official title if he makes it result in, or create the appearance of, a clear that he does not represent the conflict of interest; or Board. (2) Outside employment or activity (f) Members and employees shall not which tends to impair his mental or receive any salary or anything of mon- physical capacity to perform in an ac- etary value from a private source as ceptable manner his duties and respon- compensation for his services to the sibilities within the Board. Board (18 U.S.C. 209). (c) Employees are encouraged to en- (g) This section does not preclude a gage in teaching, lecturing, and writ- Member or employee from: ing that is not prohibited by law, the (1) Participating in the activities of Executive order, 5 CFR part 735, or the national or State political parties not regulations in this part. However, an prohibited by law; employee shall not, either for or with- (2) Participating in the affairs of or out compensation, engage in teaching, acceptance of an award for a meri- lecturing, or writing, including teach- torious public contribution or achieve- ing, lecturing, or writing for the pur- ment given by a charitable, religious,

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professional, social, fraternal, non- circumstances, reflect adversely on the profit educational or recreational, pub- Board as his employer. lic service, or civic organization. § 805.735–11 Gambling, betting, and [40 FR 30239, July 17, 1975, as amended at 41 lotteries. FR 39758, Sept. 16, 1976] Members and employees shall not § 805.735–8 Employment of family participate, while on Board-owned or members in transportation and released property or while on duty for lated enterprises. the Board, in any gambling activity, (a) No individual will be employed or including the operation of a gambling retained in employment by the Board if device, conducting a lottery or pool, a a member of his immediate family game for money or property, or in sell- (blood relations who are residents of ing or purchasing a numbers slip or the employee’s household) is employed ticket. However, this section does not by a carrier, a person or firm rep- preclude activities regarding solicita- resenting a carrier, or a transportation tions conducted by an employee recre- trade association. ation and welfare organization among (b) Members and employees may re- its members, for organizational sup- quest a waiver, modification, or post- port, or for benefit or welfare funds for ponement of the implementation of its members, these activities having this prohibition from the Chairman been approved under section 3 of Exec- and Managing Director, respectively, utive Order 10927, dated March 18, 1961. on the grounds of undue hardship to himself or the family member involved. § 805.735–12 Coercion. The request must contain an agree- Members and employees shall not use ment to forego any privilege to which their employment by the Board to co- the Board Member or employee would erce, or give the appearance of coerc- be entitled as a relative of the family ing, a person to provide financial ben- member. efit to themselves or another person, [40 FR 30239, July 17, 1975, as amended at 41 particularly one with whom they have FR 39758, Sept. 16, 1976] family, business, or financial ties.

§ 805.735–9 Use of Government prop- § 805.735–13 Conduct prejudicial to the erty. Government. Members and employees shall not, di- Members and employees shall not en- rectly or indirectly, use, or allow the gage in criminal, infamous, dishonest, use of, Board property of any kind, in- immoral, or notoriously disgraceful cluding property leased to the Board, conduct, or other conduct prejudicial for other than officially approved ac- to the Board or to the Government. tivities. A Member or employee has a positive duty to protect and conserve § 805.735–14 Specific regulations for Board property, including equipment, special Government employees. supplies, and other property entrusted (a) Use of Board affiliation. A special to or issued to him. Government employee of the Board shall not use his Government employ- § 805.735–10 Member and employee in- ment for a purpose that is, or gives the debtedness. appearance of being, motivated by the Members and employees shall pay desire for private gain for himself or each just financial obligation in a another person, particularly one with proper and timely manner, especially whom he has family, business, or finan- one imposed by law, such as Federal, cial ties. State, or local taxes. For the purpose (b) Use of inside information. (1) A spe- of this section, a ‘‘just financial obliga- cial Government employee shall not tion’’ means one acknowledged by the use inside information obtained as a re- employee or one reduced to judgment sult of his employment by the Board by a court, and ‘‘in a proper and timely for private gain for himself or another manner’’ means in a manner which the person, either by direct action on his Board determines does not, under the part or by counsel, recommendation, or

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suggestion to another person, particu- (1) Ninety days after the effective larly one with whom he has family, date of the regulations in this part if business, or financial ties. For this pur- he is employed on or before that effec- pose of this section, ‘‘inside informative date; or tion’’ means information obtained (2) Thirty days after he becomes sub- under Government authority which has ject to the reporting requirements by not become part of the body of public occupying a position covered under information. paragraph (a) of this section, if he oc- (2) Special Government employees cupies the position after that effective may teach, lecture, or write in a man- date. ner not inconsistent with § 805.735–7(c) (b) An employee required to submit a for employees. (c) Receipt of gifts, entertainment, and statement of employment and financial favors. (1) A special Government em- interests shall submit that statement ployee, while employed by the Board or in the format prescribed by the Man- in connection with his employment, aging Director. shall not receive or solicit from a per- (c) Board Members are subject to sep- son having business with the Board, arate reporting requests under section anything of value such as a gift, gra- 401 of the Executive order, and are not tuity, loan, entertainment, or favor for required to file statements pursuant to himself or another person, particularly this section. one with whom he has family, business, [40 FR 30239, July 17, 1975, as amended at 41 or financial ties. FR 39758, Sept. 16, 1976] (2) The exception as set forth in § 805.735–5(b) for employees will apply § 805.735–17 Supplementary state- with equivalent force and effect to spe- ments. cial Government employees with regard to the prohibitions of paragraph Changes in, or additions to, the infor- (a) of this section. mation contained in an employee’s (d) Applicability of other provisions. statement of employment and financial The provisions of § 805.735–9 (Use of interests shall be reported in supple- Government property), § 805.735–11 mentary statements, in the format pre- (Gambling, betting, and lotteries), scribed by the Managing Director, as of § 805.735–12 (Coercion), § 805.735–13 (Con- June 30th of each year. If there are not duct prejudicial to the Government) changes or additions, a negative report and § 805.735–15 (Miscellaneous statu- is not required. Notwithstanding the tory provisions) apply to special Gov- filing of the annual report required by ernment employees in the same man- this section, each employee shall at all ner as to employees. times avoid acquiring a financial interest that could result, or taking an ac- § 805.735–15 Miscellaneous statutory tion that would result, in a violation of provisions. the conflict-of-interest provisions, 18 Each Member and employee shall ac- U.S.C. 208, or the provisions of this quaint himself with the statutory pro- part. visions in appendix I, attached hereto and made a part thereof, which relate [40 FR 30239, July 17, 1975, as amended at 41 to his ethical and other conduct as a FR 39758, Sept. 16, 1976] Member and employee of the Board and the Government. § 805.735–18 Interests of employees’ relatives. § 805.735–16 Statements of employment The interest of a spouse, minor child, and financial interests. or other members of an employee’s im- (a) All employees in the positions mediate household is considered to be specified in appendix II, attached here- an interest of the employee. For the to and made a part thereof, shall sub- purpose of this section, ‘‘member of an mit a statement of employment and fi- employee’s household’’ means those nancial interests under the regulations blood relations who are residents of the in this part in triplicate to the Per- employee’s household. sonnel Officer not later than:

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§ 805.735–19 Information not known by regulation. The submission of a state- employees. ment or supplementary statement by If any information required to be in- an employee does not permit him or cluded on a statement of employment any other person to participate in a and financial interests or supple- matter in which his or the other per- mentary statement, including holdings son’s participation is prohibited by placed in trust, is not known to the law, order, or regulation. employee but is known to another person, the employee shall require that § 805.735–23 Submission of statements other person to submit information in by special Government employees. his behalf. (a) A special Government employee shall submit a statement of employ- § 805.735–20 Information not required of employees. ment and financial interests which reports: An employee is not required to submit on a statement of employment and (1) All other employment; and financial interests or supplementary (2) The financial interests of the spe- statement, any information relating to cial Government employee which the the employee’s connection with, or in- Chairman determines are relevant in terest in, a professional society or a the light of the duties he is to perform. charitable, religious, social, fraternal, (b) A special Government employee recreational, public service, civic, or who is a consultant or expert shall sub- political organization, or a similar or- mit a statement of employment and fi- ganization not conducted as a business nancial interests to the Personnel Offi- enterprise. For the purpose of this sec- cer, in the format prescribed by the tion, educational and other institu- Managing Director, at the time of his tions doing research and development employment, and shall keep his state- or related work, involving grants of ment current throughout his period of money from or contracts with the Gov- employment by submission of supple- ernment, are deemed ‘‘business enter- mentary statements. prises’’ and are required to be included (c) The Chairman may waive the rein an employee’s statement of employ- quirement in paragraph (a) of this sec- ment and financial interests. tion for the submission of a statement § 805.735–21 Confidentiality of state- of employment and financial interests ments. in the case of a special Government Subject to the provisions of § 805.735– employee who is not a consultant or an 24 concerning review of employee expert when it has been determined statements, each statement of employ- that the duties of the position held by ment and financial interests, and each the special Government employee are supplementary statement, shall be held of a nature, and at such a level of rein confidence. The Personnel Officer is sponsibility, that the submission of the personally responsible for the retention statement by the incumbent is not nec- of employee statements in confidence essary to protect the integrity of the and may not disclose information from Board. For the purpose of paragraphs a statement or allow access to a state- (b) and (c) of this section, the following ment, except to carry out the purpose are examples of special Government of this part, or as the Civil Service employees who are not consultants and Commission or the Chairman may de- experts; termine for good cause shown. (1) A physician, dentist, or allied medical specialist whose services are § 805.735–22 Effect of statements on other requirements. procured to provide care and service to patients; or The statements of employment and (2) A veterinarian whose services are financial interests and supplementary procured to provide care and service to statements required of employees are animals. in addition to, and not in substitution for, or in derogation of, any similar re- [40 FR 30239, July 17, 1975, as amended at 41 quirement imposed by law, order, or FR 39758, Sept. 16, 1976]

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§ 805.735–24 Review of financial state- § 805.735–25 Publication and interpre- ments. tation. (a) The Personnel Officer shall review (a) The Personnel Officer of the each statement of employment and fi- Board shall be responsible for making nancial interests submitted under the the regulations in this part and all re- regulations in this part (other than his visions thereof, and the formats for own, which is reviewed by the Man- statements of employment and finan- aging Director) to determine whether cial interests available to: (1) Each Member, employee, and spe- conflicts of interest or apparent con- cial Government employee at the time flicts of interest exist. If the review, or of issuance and at least annually there- other information from other sources, after; indicates a conflict between the inter- (2) Each new Member, employee, and ests of an employee or special Govern- special Government employee of the ment employee and the performance of Board at the time of his entrance on his services for the Board, the Per- duty; and sonnel Officer shall forward the state- (3) Each Member, employee, and spe- ment, together with a position descrip- cial Government employee of the tion of the employee involved, to the Board at such other times as cir- General Counsel of the Board. cumstances warrant. (b) The employee or special Govern- (b) The Personnel Officer shall have ment employee whose statement has available for review by Members, em- been referred under the provisions of ployees, and special Government em- paragraph (a) of this section will re- ployees of the Board, copies of such ceive, from the General Counsel, advice laws, Executive orders, Civil Service and guidance regarding the matters Commission regulations and instruc- questioned by the Personnel Officer. He tions, and Board regulations as may currently appertain to their standards will be afforded an opportunity to ex- of ethical and other conduct. plain the conflict or appearance of con- (c) The General Counsel of the Board flict. It is expected that most problems is designated to provide counseling and will be settled at this informal stage. assistance to interpret the regulations However, if an agreement cannot be in this part and matters relating to reached after consultation, the matter ethical conduct, particularly matters shall be reported by the General Coun- subject to the provisions of the con- sel, after consulting with the Managing flict-of-interest laws and other matters Director, to the Chairman for resolu- covered by the Executive order. These tion. counseling services are available to all (c) The Chairman may provide the Members, employees, and special Gov- employee or special Government em- ernment employees at the General ployee concerned with an additional Counsel’s office, by appointment for opportunity to explain the conflict or consultation or by written communica- appearance of conflict. If the matter tion. cannot be resolved, the Chairman may invoke the disciplinary provisions of § 805.735–26 Employee’s complaint on § 805.735–27, or may decide that reme- filing requirements. dial steps shall be taken with regard to An employee who believes that his such employee or special Government position has been improperly included employee. When the questions of con- under the regulations in this part, as flict of interest are resolved at one of one requiring the submission of a the stages of review, the reviewing offi- statement of employment and financial cial shall sign and date a copy of the interests, may request review through employee’s statement to evidence his the Board’s grievance procedure. clearance, and this statement shall § 805.735–27 Disciplinary or remedial thereafter be kept as provided in action. § 805.735–21. (a) A violation of the regulations in [40 FR 30239, July 17, 1975, as amended at 41 this part by an employee or special FR 39758, Sept. 16, 1976] Government employee may be cause

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for disciplinary action in addition to (c) The prohibition against lobbying with any penalty prescribed by Federal stat- appropriate funds (18 U.S.C. 1913). ute or regulation, except for active (d) The prohibitions against disloyalty and duty officers or enlisted members of striking (5 U.S.C. 7311, 18 U.S.C. 1918). (e) The prohibition against the employ- the Armed Forces detailed to the Board ment of a member of a Communist organiza- in which cases disciplinary actions tion (50 U.S.C. 784). may be effected against such military (f) The prohibition against: personnel by the parent military serv- (1) The disclosure of classified information ice. Disciplinary action may take the (18 U.S.C. 798, 50 U.S.C. 783); and form of a warning, suspension, demo- (2) The disclosure of confidential information, or removal, depending upon the tion (18 U.S.C. 1905, 49 U.S.C. 1472(f)). gravity of the offense. (g) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 8352). (b) Any employee or special Govern- (h) The prohibition against the misuse of a ment employee who is charged with a Government vehicle (31 U.S.C. 638a(c)). violation of the regulations in this part (i) The prohibition against the misuse of shall be provided an opportunity to ex- the franking privilege (18 U.S.C. 1719). plain the violation, or appearance of (j) The prohibition against the use of de- violation, to the charging authority. ceit in an examination or personnel action in The charging authority shall be the connection with Government employment Managing Director of the Board. (18 U.S.C. 1917). (k) The prohibition against fraud or false (c) When, after consideration of the statements in a Government matter (18 explanation, the charging authority de- U.S.C. 1001). cides that disciplinary action is not re- (l) The prohibition against mutilating or quired, he may take appropriate reme- destroying a public record (18 U.S.C. 2071). dial action. Remedial action may in- (m) The prohibition against counterfeiting clude, but is not limited to: and forging transportation requests (18 (1) Changes in assigned duties; U.S.C. 508). (2) Divestment by the employee or (n) The prohibition against: special Government employee of any fi- (1) Embezzlement of Government money or property (18 U.S.C. 641); nancial interest that conflicts, or ap- (2) Failing to account for public money (18 pears to conflict, with the performance U.S.C. 643); and of his official duties; or (3) Embezzlement of the money or property (3) Disqualification for a particular of another person in the possession of an em- assignment. ployee by reason of his employment (18 (d) Remedial or disciplinary action U.S.C. 654). shall be effected in accordance with (o) The prohibition against unauthorized any applicable laws, Executive orders, use of documents relating to claims from or by the Government (18 U.S.C. 285). and regulations. (p) The prohibition against political activi- [40 FR 30239, July 17, 1975, as amended at 41 ties in subchapter III of chapter 73 of title 5, FR 39758, Sept. 16, 1976] U.S.C., and 18 U.S.C. 602, 603, 607, and 608. (q) The prohibition against an employee’s APPENDIX I TO PART 805— acting as the agent of a foreign principal reg- MISCELLANEOUS STATUTORY PROVISIONS istered under the Foreign Agents Registra- tion Act (18 U.S.C. 219). Each Member and employee and each special Government employee has a positive APPENDIX II TO PART 805—EMPLOYEES duty to acquaint himself with each statute REQUIRED TO SUBMIT STATEMENTS which relates to his ethical and other conduct as an officer or employee of the Na- Statements of employment and financial tional Transportation Safety Board and of interests are required of the following: the Government. Therefore, each Member (a) Employees in grades GS–16 or above, or and employee and each special Government in positions not subject to the Classification employee shall acquaint himself with the Act paid at a rate at or above the entrance following statutory and nonstatutory provi- rate for GS–16. sions which relate to his ethical and other (b) Special assistants to the members. conduct: (c) Office of the managing director: (a) House Concurrent Resolution 175, 85th (1) Legislative affairs officer. Congress, 2d Session (72 Stat. B12), the ‘‘Code (2) Program analysis officer. of Ethics for Government Service.’’ (d) Attorneys in grade GS–15. (b) Chapter 11 of Title 18, United States (e) Office of public affairs: Code, relating to bribery, graft, and conflicts (1) Director. of interest (18 U.S.C. 201 through 209). (2) Deputy director.

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(f) Bureau of administration: § 806.2 Applicability. (1) Director. (2) Deputy director—personnel officer. This rule supplements Executive (3) Chief, operations and facilities division. Order 12065 within the Board with re- (4) Contracting specialist. gard to national security information. (5) Comptroller. It establishes general policies and cer- (6) Budget officer. tain procedures for the classification (7) Accounting officer. and declassification of information (g) Division and branch chiefs within the bureaus of accident investigation, tech- which is generated, processed, and/or nology, and plans and programs. stored by the Board. In this connec- (h) Chief or senior investigators, field of- tion, the Board does not have any fices. original classification authority but in- [41 FR 39758, Sept. 16, 1976] frequently does receive classified infor- NOTE: The above regulation and its appen- mation from other agencies. dices were approved by the Civil Service Commission (OPM) on July 16, 1968, and Sep- § 806.3 Definitions. tember 13, 1972, respectively, prior to submission to the Office of the Federal Register. (a) Classified information. Informa- tion or material, herein collectively termed information, that is owned by, PART 806—NATIONAL SECURITY IN- produced for or by, or under the con- FORMATION POLICY AND trol of, the United States Government GUIDELINES, IMPLEMENTING and that has been determined pursuant REGULATIONS to Executive Order 12065, or prior orders, to require protection against un- Sec. authorized disclosure and that is so 806.1 General policy. designated. One of the following classi- 806.2 Applicability. 806.3 Definitions. fications will be shown: 806.4 Mandatory review for declassification. (1) Top secret means information, the unauthorized disclosure of which rea- AUTHORITY: Sec. 304, Independent Safety Board Act of 1974, 88 Stat. 2168 (49 U.S.C. sonably could be expected to cause ex- 1903). E.O. 12065, 43 FR 28949, July 3, 1978. ceptionally grave damage to the national security. SOURCE: 45 FR 20104, Mar. 27, 1980, unless otherwise noted. (2) Secret means information, the unauthorized disclosure of which reason- § 806.1 General policy. ably could be expected to cause serious damage to national security. (a) The interests of the United States and its citizens are best served by mak- (3) Confidential means information, ing information regarding the affairs of the unauthorized disclosure of which Government readily available to the reasonably could be expected to cause public. This concept of an informed identifiable damage to the national se- citizenry is reflected in the Freedom of curity. Information Act and in the current (b) Foreign government information public information policies of the exec- means either: (1) Information provided utive branch. to the United States by a foreign gov- (b) Within the Federal Government ernment or international organization there is some official information and of governments in the expectation, ex- material which, because it bears di- press or implied, that the information rectly on the effectiveness of our na- is to be kept in confidence; or (2) infor- tional defense and the conduct of our mation produced by the United States foreign relations, must be subject to pursuant to a written joint arrange- some constraints for the security of ment with a foreign government or our Nation and the safety of our people international organization of govern- and our allies. To protect against ac- ments requiring that either the infor- tions hostile to the United States, of mation or the arrangements or both, be both an overt and covert nature, it is kept in confidence. essential that such official information (c) National security means the na- and material be given only limited dis- tional defense and foreign relations of semination. the United States.

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(d) Declassification event means an 807.110 Self-evaluation. event which would eliminate the need 807.111 Notice. for continued classification. 807.112–807.129 [Reserved] 807.130 General prohibitions against dis- § 806.4 Mandatory review for declas- crimination. sification. 807.131–807.139 [Reserved] 807.140 Employment. (a) Requests for mandatory review 807.141–807.148 [Reserved] for declassification under section 3–501 807.149 Program accessibility: Discrimina- of E.O. 12065 must be in writing and tion prohibited. should be addressed to: National Secu- 807.150 Program accessibility: Existing fa- rity Oversight Officer, National Trans- cilities. 807.151 Program accessibility: New con- portation Safety Board, Washington, struction and alterations. DC 20594. 807.152–807.159 [Reserved] (b) The requester shall be informed of 807.160 Communications. the date of receipt of the request at the 807.161–807.169 [Reserved] Board. This date will be the basis for 807.170 Compliance procedures. the time limits specified by section 3– AUTHORITY: 29 U.S.C. 794. 501 of E.O. 12065. If the request does not SOURCE: 51 FR 4578, Feb. 5, 1986, unless oth- reasonably describe the information erwise noted. sought, the requester shall be notified that, unless additional information is § 807.101 Purpose. provided or the request is made more This part effectuates section 119 of specific, no further action will be the Rehabilitation, Comprehensive taken. Services, and Developmental Disabil- (c) When the Board receives a request ities Amendments of 1978, which for information in a document which is amended section 504 of the Rehabilita- in its custody but which was classified tion Act of 1973 to prohibit discrimina- by another agency, it shall refer the re- tion on the basis of handicap in pro- quest to the appropriate agency for re- grams or activities conducted by Exec- view, together with a copy of the docu- utive agencies or the United States ment containing the information re- Postal Service. quested, where practicable. The Board shall also notify the requester of the § 807.102 Application. referral, unless the association of the This part applies to all programs or reviewing agency with the information activities conducted by the agency. requires protection. The reviewing agency shall review the document in § 807.103 Definitions. coordination with any other agency involved or which had a direct interest in For purposes of this part, the term— Assistant Attorney General means the the classification of the subject mat- Assistant Attorney General, Civil ter. The reviewing agency shall re- Rights Division, United States Depart- spond directly to the requester in ac- ment of Justice. cordance with the pertinent procedures Auxiliary aids means services or de- described above and, if requested, shall vices that enable persons with im- notify the Board of its determination. paired sensory, manual, or speaking skills to have an equal opportunity to PART 807—ENFORCEMENT OF participate in, and enjoy the benefits NONDISCRIMINATION ON THE of, programs or activities conducted by BASIS OF HANDICAP IN PRO- the agency. For example, auxiliary aids GRAMS OR ACTIVITIES CON- useful for persons with impaired vision DUCTED BY THE NATIONAL include readers, Brailled materials, TRANSPORTATION SAFETY audio recordings, telecommunications devices and other similar services and BOARD devices. Auxiliary aids useful for persons with impaired hearing include Sec. 807.101 Purpose. telephone handset amplifiers, tele- 807.102 Application. phones compatible with hearing aids, 807.103 Definitions. telecommunication devices for deaf 807.104–807.109 [Reserved] persons (TDD’s), interpreters,

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notetakers, written materials, and physical impairment that substantially other similar services and devices. limits one or more major life activi- Complete complaint means a written ties. statement that contains the complain- (4) Is regarded as having an impairment ant’s name and address and describes means— the agency’s alleged discriminatory ac- (i) Has a physical or mental impair- tion in sufficient detail to inform the ment that does not substantially limit agency of the nature and date of the al- major life activities but is treated by leged violation of section 504. It shall the agency as constituting such a limi- be signed by the complainant or by tation; someone authorized to do so on his or (ii) Has a physical or mental impair- her behalf. Complaints filed on behalf ment that substantially limits major of classes or third parties shall describe life activities only as a result of the at- or identify (by name, if possible) the titudes of others toward such impair- alleged victims of discrimination. ment; or Facility means all or any portion of buildings, structures, equipment, (iii) Has none of the impairments de- roads, walks, parking lots, rolling fined in subparagraph (1) of this defini- stock or other conveyances, or other tion but is treated by the agency as real or personal property. having such an impairment. Handicapped person means any person Qualified handicapped person means— who has a physical or mental impair- (1) With respect to any agency pro- ment that substantially limits one or gram or activity under which a person more major life activities, has a record is required to perform services or to of such an impairment, or is regarded achieve a level of accomplishment, a as having such an impairment. handicapped person who meets the es- As used in this definition, the phrase: sential eligibility requirements and (1) Physical or mental impairment in- who can achieve the purpose of the pro- cludes— gram or activity without modifications (i) Any physiological disorder or con- in the program or activity that the dition, cosmetic disfigurement, or ana- agency can demonstrate would result tomical loss affecting one of more of in a fundamental alteration in its na- the following body systems: Neuro- ture; or logical; musculoskeletal; special sense (2) With respect to any other pro- organs; respiratory, including speech gram or activity, a handicapped person organs; cardiovascular; reproductive; who meets the essential eligibility re- digestive; genitourinary; hemic and quirements for participation in, or re- lymphatic; skin; and endocrine; or ceipt of benefits from, that program or (ii) Any mental or psychological dis- activity. order, such as mental retardation, or- (3) Qualified handicapped person is de- ganic brain syndrome, emotional or fined for purposes of employment in 29 mental illness, and specific learning CFR 1613.702(f), which is made applica- disabilities. The term physical or mental ble to this part by § 807.140. impairment includes, but is not limited Section 504 means section 504 of the to, such diseases and conditions as or- Rehabilitation Act of 1973 (Pub. L. 93– thopedic, visual, speech, and hearing 112, 87 Stat. 394 (29 U.S.C. 794)), as impairments, cerebral palsy, epilepsy, amended by the Rehabilitation Act muscular dystrophy, multiple sclerosis, Amendments of 1974 (Pub. L. 93–516, 88 cancer, heart disease, diabetes, mental Stat. 1617), and the Rehabilitation, retardation, emotional illness, and Comprehensive Services, and Develop- drug addiction and alcoholism. mental Disabilities Amendments of (2) Major life activities includes func- 1978 (Pub. L. 95–602, 92 Stat. 2955). As tions such as caring for one’s self, per- used in this part, section 504 applies forming manual tasks, walking, seeing, only to programs or activities con- hearing, speaking, breathing, learning, and working. ducted by Executive agencies and not (3) Has a record of such an impairment to federally assisted programs. means has a history of, or has been [51 FR 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, misclassified as having, a mental or 1986]

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§§ 807.104–807.109 [Reserved] (i) Deny a qualified handicapped person the opportunity to participate in § 807.110 Self-evaluation. or benefit from the aid, benefit, or (a) The agency shall, by April 9, 1987, service; evaluate its current policies and prac- (ii) Afford a qualified handicapped tices, and the effects thereof, that do person an opportunity to participate in not or may not meet the requirements or benefit from the aid, benefit, or of this part, and to the extent modi- service that is not equal to that af- fication of any such policies and prac- forded others; tices is required, the agency shall pro- (iii) Provide a qualified handicapped ceed to make the necessary modifica- person with an aid, benefit, or service tions. that is not as effective in affording (b) The agency shall provide an op- equal opportunity to obtain the same portunity to interested persons, includ- result, to gain the same benefit, or to ing handicapped persons or organiza- reach the same level of achievement as tions representing handicapped per- that provided to others; sons, to participate in the self-evalua- (iv) Provide different or separate aid, tion process by submitting comments benefits, or services to handicapped (both oral and written). persons or to any class of handicapped (c) The agency shall, until three persons than is provided to others un- years following the completion of the less such action is necessary to provide self-evaluation, maintain on file and qualified handicapped persons with aid, make available for public inspections: benefits, or services that are as effec- (1) A description of areas examined tive as those provided to others; and any problems identified, and (v) Deny a qualified handicapped per- (2) A description of any modifications son the opportunity to participate as a made. member of planning or advisory boards; or § 807.111 Notice. (vi) Otherwise limit a qualified The agency shall make available to handicapped person in the enjoyment employees, applicants, participants, of any right, privilege, advantage, or beneficiaries, and other interested per- opportunity enjoyed by others receiv- sons such information regarding the ing the aid, benefit, or service. provisions of this part and its applica- (2) The agency may not deny a quali- bility to the programs or activities fied handicapped person the oppor- conducted by the agency, and make tunity to participate in programs or such information available to them in activities that are not separate or dif- such manner as the head of the agency ferent, despite the existence of permis- finds necessary to apprise such persons sibly separate or different programs or of the protections against discrimina- activities. tion assured them by section 504 and (3) The agency may not, directly or this regulation. through contractual or other arrangements, utilize criteria or methods of §§ 807.112–807.129 [Reserved] administration the purpose or effect of which would— § 807.130 General prohibitions against (i) Subject qualified handicapped per- discrimination. sons to discrimination on the basis of (a) No qualified handicapped person handicap; or shall, on the basis of handicap, be ex- (ii) Defeat or substantially impair ac- cluded from participation in, be denied complishment of the objectives of a the benefits of, or otherwise be sub- program or activity with respect to jected to discrimination under any pro- handicapped persons. gram or activity conducted by the (4) The agency may not, in deter- agency. mining the site or location of a facil- (b)(1) The agency, in providing any ity, make selections the purpose or ef- aid, benefit, or service, may not, di- fect of which would— rectly or through contractual, licens- (i) Exclude handicapped persons ing, or other arrangements, on the from, deny them the benefits of, or oth- basis of handicap— erwise subject them to discrimination

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under any program or activity con- program or activity, when viewed in its ducted by the agency; or entirety, is readily accessible to and (ii) Defeat or substantially impair usable by handicapped persons. This the accomplishment of the objectives paragraph does not— of a program or activity with respect (1) Necessarily require the agency to to handicapped persons. make each of its existing facilities ac- (5) The agency, in the selection of cessible to and usable by handicapped procurement contractors, may not use persons; or criteria that subject qualified handi- (2) Require the agency to take any capped persons to discrimination on action that it can demonstrate would the basis of handicap. result in a fundamental alteration in (c) The exclusion of nonhandicapped the nature of a program or activity or persons from the benefits of a program limited by Federal statute or Execu- in undue financial and administrative tive order to handicapped persons or burdens. In those circumstances where the exclusion of a specific class of agency personnel believe that the pro- handicapped persons from a program posed action would fundamentally limited by Federal statute or Execu- alter the program or activity or would tive order to a different class of handi- result in undue financial and adminis- capped persons is not prohibited by trative burdens, the agency has the this part. burden of proving that compliance with (d) The agency shall administer pro- § 807.150(a) would result in such alter- grams and activities in the most inte- ation or burdens. The decision that grated setting appropriate to the needs compliance would result in such alter- of qualified handicapped persons. ation or burdens must be made by the agency head or his or her designee §§ 807.131–807.139 [Reserved] after considering all agency resources available for use in the funding and op- § 807.140 Employment. eration of the conducted program or No qualified handicapped person activity, and must be accompanied by shall, on the basis of handicap, be sub- a written statement of the reasons for jected to discrimination in employ- reaching that conclusion. If an action ment under any program or activity would result in such an alteration or conducted by the agency. The defini- such burdens, the agency shall take tions, requirements, and procedures of any other action that would not result section 501 of the Rehabilitation Act of in such an alteration or such burdens 1973 (29 U.S.C. 791), as established by but would nevertheless ensure that the Equal Employment Opportunity handicapped persons receive the bene- Commission in 29 CFR part 1613, shall fits and services of the program or ac- apply to employment in federally con- tivity. ducted programs or activities. (b) Methods. The agency may comply §§ 807.141–807.148 [Reserved] with the requirements of this section through such means as redesign of § 807.149 Program accessibility: Dis- equipment, reassignment of services to crimination prohibited. accessible buildings, assignment of Except as otherwise provided in aides to beneficiaries, home visits, de- § 807.150, no qualified handicapped per- livery of services at alternate acces- son shall, because the agency’s facili- sible sites, alteration of existing facilities are inaccessible to or unusable by ties and construction of new facilities, handicapped persons, be denied the use of accessible rolling stock, or any benefits of, be excluded from participa- other methods that result in making tion in, or otherwise be subjected to its programs or activities readily ac- discrimination under any program or cessible to and usable by handicapped activity conducted by the agency. persons. The agency is nor required to make structural changes in existing fa- § 807.150 Program accessibility: Exist- cilities where other methods are effec- ing facilities. tive in achieving compliance with this (a) General. The agency shall operate section. The agency, in making alter- each program or activity so that the ations to existing buildings, shall meet

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accessibility requirements to the ex- behalf of, or for the use of the agency tent compelled by the Architectural shall be designed, constructed, or al- Barriers Act of 1968, as amended (42 tered so as to be readily accessible to U.S.C. 4151–4157), and any regulations and usable by handicapped persons. implementing it. In choosing among The definitions, requirements, and available methods for meeting the re- standards of the Architectural Barriers quirements of this section, the agency Act (42 U.S.C. 4151–4157), as established shall give priority to those methods in 41 CFR 101–19.600 to 101–19.607, apply that offer programs and activities to to buildings covered by this section. qualified handicapped persons in the most integrated setting appropriate. §§ 807.152–807.159 [Reserved] (c) Time period for compliance. The agency shall comply with the obliga- § 807.160 Communications. tions established under this section by (a) The agency shall take appropriate June 6, 1986, except that where struc- steps to ensure effective communica- tural changes in facilities are under- tion with applicants, participants, per- taken, such changes shall be made by sonnel of other Federal entities, and April 7, 1989, but in any event as expe- members of the public. ditiously as possible. (1) The agency shall furnish appro- (d) Transition plan. In the event that structural changes to facilities will be priate auxiliary aids where necessary undertaken to achieve program acces- to afford a handicapped person an equal sibility, the agency shall develop, by opportunity to participate in, and October 7, 1986, a transition plan set- enjoy the benefits of, a program or acting forth the steps necessary to com- tivity conducted by the agency. plete such changes. The agency shall (i) In determining what type of auxil- provide an opportunity to interested iary aid is necessary, the agency shall persons, including handicapped persons give primary consideration to the re- or organizations representing handi- quests of the handicapped person. capped persons, to participate in the (ii) The agency need not provide indi- development of the transition plan by vidually prescribed devices, readers for submitting comments (both oral and personal use or study, or other devices written). A copy of the transition plan of a personal nature. shall be made available for public in- (2) Where the agency communicates spection. The plan shall, at a min- with applicants and beneficiaries by imum— telephone, telecommunication devices (1) Identify physical obstacles in the for deaf persons (TDD’s) or equally ef- agency’s facilities that limit the acces- fective telecommunication systems sibility of its programs or activities to shall be used. handicapped persons; (b) The agency shall ensure that in- (2) Describe in detail the methods terested persons, including persons that will be used to make the facilities with impaired vision or hearing, can accessible; obtain information as to the existence (3) Specify the schedule for taking and location of accessible services, ac- the steps necessary to achieve compli- tivities, and facilities. ance with this section and, if the time (c) The agency shall provide signage period of the transition plan is longer at a primary entrance to each of its in- than one year, identify steps that will accessible facilities, directing users to be taken during each year of the tran- a location at which they can obtain in- sition period; and formation about accessible facilities. (4) Indicate the official responsible The international symbol for accessi- for implementation of the plan. bility shall be used at each primary en- [51 FR 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, trance of an accessible facility. 1986] (d) This section does not require the agency to take any action that it can § 807.151 Program accessibility: New demonstrate would result in a funda- construction and alterations. mental alteration in the nature of a Each building or part of a building program or activity or in undue finan- that is constructed or altered by, on cial and administrative burdens. In

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those circumstances where agency per- (e) If the agency receives a complaint sonnel believe that the proposed action over which it does not have jurisdic- would fundamentally alter the program tion, it shall promptly notify the com- or activity or would result in undue fi- plainant and shall make reasonable ef- nancial and administrative burdens, forts to refer the complaint to the ap- the agency has the burden of proving propriate government entity. that compliance with § 807.160 would re- (f) The agency shall notify the Archi- sult in such alteration or burdens. The tectural and Transportation Barriers decision that compliance would result Compliance Board upon receipt of any in such alteration or burdens must be complaint alleging that a building or made by the agency head or his or her facility that is subject to the Architec- designee after considering all agency tural Barriers Act of 1968, as amended resources available for use in the fund- (42 U.S.C. 4151–4157), or section 502 of ing and operation of the conducted pro- the Rehabilitation Act of 1973, as gram or activity, and must be accom- amended (29 U.S.C. 792), is not readily panied by a written statement of the accessible to and usable by handi- reasons for reaching that conclusion. If capped persons. an action required to comply with this (g) Within 180 days of the receipt of a section would result in such an alter- complete complaint for which it has ju- ation or such burdens, the agency shall risdiction, the agency shall notify the take any other action that would not complainant of the results of the inves- result in such an alteration or such tigation in a letter containing— burdens but would nevertheless ensure (1) Findings of fact and conclusions that, to the maximum extent possible, of law; handicapped persons receive the bene- (2) A description of a remedy for each fits and services of the program or ac- violation found; tivity. (3) A notice of the right to appeal. (h) Appeals of the findings of fact and §§ 807.161–807.169 [Reserved] conclusions of law or remedies must be filed by the complainant within 90 days § 807.170 Compliance procedures. of receipt from the agency of the letter (a) Except as provided in paragraph required by § 807.170(g). The agency (b) of this section, this section applies may extend this time for good cause. to all allegations of discrimination on (i) Timely appeals shall be accepted the basis of handicap in programs or and processed by the head of the agen- activities conducted by the agency. cy. (b) The agency shall process com- (j) The head of the agency shall no- plaints alleging violations of section tify the complainant of the results of 504 with respect to employment accord- the appeal within 60 days of the receipt ing to the procedures established by of the request. If the head of the agen- the Equal Employment Opportunity cy determines that additional informa- Commission in 29 CFR part 1613 pursu- tion is needed from the complainant, ant to section 501 of the Rehabilitation he or she shall have 60 days from the Act of 1973 (29 U.S.C. 791). date of receipt of the additional infor- (c) Director, Bureau of Administra- mation to make his or her determination shall be responsible for coordi- tion on the appeal. nating implementation of this section. (k) The time limits cited in para- Complaints may be sent to Director, graphs (g) and (j) of this section may be Bureau of Administration, 800 Inde- extended with the permission of the pendence Ave., SW., Room 802, Wash- Assistant Attorney General. ington, DC 20594. (l) The agency may delegate its au- (d) The agency shall accept and in- thority for conducting complaint investigate all complete complaints for vestigations to other Federal agencies, which it has jurisdiction. All complete except that the authority for making complaints must be filed within 180 the final determination may not be days of the alleged act of discrimina- delegated to another agency. tion. The agency may extend this time [51 FR 4579, Feb. 5, 1986, as amended at 51 FR period for good cause. 4579, Feb. 5, 1986]

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PART 821—RULES OF PRACTICE IN Subpart G—Initial Decision AIR SAFETY PROCEEDINGS 821.42 Initial decision by law judge. 821.43 Effect of law judge’s initial decision Subpart A—General Provisions or appealable order and appeal therefrom. Sec. 821.1 Definitions. Subpart H—Appeal from Initial Decision 821.2 Applicability and description of part. 821.3 Description of docket numbering sys- 821.47 Notice of appeal. tem. 821.48 Briefs and oral argument. 821.49 Issues on appeal. Subpart B—General Rules Applicable to 821.50 Petition for rehearing, reargument, Petitions for Review, Appeals to the reconsideration or modification of an Board, and Appeals from Law Judges’ order of the Board. Initial Decisions and Appealable Or- ders Subpart I—Special Rules Applicable to Proceedings Involving Emergency and 821.6 Appearances and rights of witnesses. Other Immediately Effective Orders 821.7 Filing of documents with the Board. 821.8 Service of documents. 821.52 General. 821.9 Intervention and amicus appearance. 821.53 Appeal. 821.10 Computation of time. 821.54 Petition for review of Administra- 821.11 Extensions of time. tor’s determination of emergency. 821.12 Amendment and withdrawal of plead- 821.55 Complaint, answer to complaint, mo- ings. tions and discovery. 821.13 Waivers. 821.56 Hearing and initial decision or ap- 821.14 Motions. pealable order of law judge. 821.15 Motion to disqualify a Board Member. 821.57 Procedure on appeal. 821.16 Interlocutory appeals from law judges’ rulings on motions. Subpart J—Ex Parte Communications 821.17 Motions to dismiss, for judgment on the pleadings and for summary judg- 821.60 Definitions. ment. 821.61 Prohibited ex parte communications. 821.18 Motion for a more definite statement. 821.62 Procedures for handling ex parte 821.19 Depositions and other discovery. communications. 821.20 Subpoenas, witness fees, and appear- 821.63 Requirement to show cause and impo- ances of Board Members, officers and em- sition of sanction. ployees. 821.21 Official notice. Subpart K—Judicial Review of Board Orders Subpart C—Special Rules Applicable to Proceedings Under 49 U.S.C. 44703 821.64 Judicial review. AUTHORITY: 49 U.S.C. 1101–1155, 44701–44723, 821.24 Initiation of proceeding. 46301; unless otherwise noted. 821.25 Burden of proof. 821.26 Motion to dismiss petition for review SOURCE: 68 FR 22625, Apr. 29, 2003, unless for lack of standing. otherwise noted.

Subpart D—Special Rules Applicable to Subpart A—General Provisions Proceedings Under 49 U.S.C. 44709 821.30 Initiation of proceeding. § 821.1 Definitions. 821.31 Complaint procedure. (a) As used in this part: 821.32 Burden of proof. Administrator means the Adminis- 821.33 Motion to dismiss stale complaint. trator of the Federal Aviation Admin- Subpart E—Law Judges istration (FAA); Airman certificate means any certifi- 821.35 Assignment, duties and powers. cate issued by the FAA to an airman, and shall include medical certificates Subpart F—Hearing required for airmen; 821.37 Notice of hearing. Appeal from an initial decision means a 821.38 Evidence. request to the Board to review a law 821.39 Argument and submissions. judge’s decision; 821.40 Record. 573

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Appeal to the Board means a request which the Administrator seeks to to the Board for the review by a law amend, modify, suspend or revoke a judge of an order of the Administrator; certificate, or impose a civil penalty; Appealable order means an order of a Petition for review means a petition law judge that has the effect of termi- filed pursuant to 49 U.S.C. 44703 for re- nating the proceeding, such as one view of the Administrator’s denial of granting a motion to dismiss in lieu of an application for issuance or renewal an answer, as provided in § 821.17, or of an airman certificate; one granting a motion for judgment on Petitioner means a person who has the pleadings or summary judgment. filed a petition for review; Appealable order does not include an Pilot means a person who holds a order granting in part a motion to dis- pilot certificate issued under Part 61 of miss and requiring an answer to any Title 14 of the Code of Federal Regula- remaining allegation or allegations, an tions; order granting in part judgment on the Repairman means a person who holds pleadings or summary judgment, or a a repairman certificate issued under ruling on an interlocutory matter; Part 65 of Title 14 of the Code of Fed- Board means the National Transpor- eral Regulations; tation Safety Board; Respondent means the holder of a cer- Case Manager means the officer of the tificate who has appealed to the Board Board’s Office of Administrative Law from an order of the Administrator Judges responsible for the processing of amending, modifying, suspending or re- cases within that office; voking a certificate, or imposing a Certificate means any certificate civil penalty. issued by the Administrator under 49 (b) Terms defined in 49 U.S.C. Chap- U.S.C. Chapter 447; ters 11, 447 and 463 are used as so de- Chief Law Judge means the adminis- fined. trative law judge in charge of the adjudicative function of the Board’s Office § 821.2 Applicability and description of of Administrative Law Judges; part. Complaint means an order of the Ad- The provisions of this part govern all ministrator, reissued for pleading pur- air safety proceedings, including proposes, from which an appeal to the ceedings before a law judge on petition Board has been taken pursuant to sec- for review of the denial of any airman tions 49 U.S.C. 44106, 44709 or 46301; certificate (including a medical certifi- Emergency order means an order of cate), or on appeal from any order of the Administrator issued pursuant to the Administrator amending, modi- 49 U.S.C. 44709, which recites that an fying, suspending or revoking a certifi- emergency exists and that safety in air cate. The provisions of this part also commerce or air transportation and govern all proceedings on appeal from the public interest require the imme- an order of the Administrator imposing diate effectiveness of such order; a civil penalty on a flight engineer, Flight engineer means a person who mechanic, pilot or repairman, or a per- holds a flight engineer certificate son acting in such capacity. All pro- issued under Part 63 of Title 14 of the ceedings on appeal to the Board from Code of Federal Regulations; any initial decision or order of a law Initial decision means the law judge’s judge are also governed by this part. decision on the issue or issues remaining for disposition at the close of a § 821.3 Description of docket num- hearing; bering system. Law judge means the administrative In addition to sequential numbering law judge assigned to hear and preside of cases as received, each case formally over the respective proceeding; handled by the Board will receive a let- Mechanic means a person who holds a ter prefix. These letter prefixes reflect mechanic certificate issued under Part the case type: ‘‘SE’’ for safety enforce- 65 of Title 14 of the Code of Federal ment (certificate suspension/revoca- Regulations; tion) cases; ‘‘SM’’ (safety medical) for Order means the document (some- cases involving denials of medical cer- times also termed the complaint) by tification; ‘‘CD’’ for cases involving

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non-medical certificate denials; ‘‘SR’’ § 821.7 Filing of documents with the for cases involving safety registration Board. issues under 49 U.S.C. 44101 et seq.; (a) Filing address, method and date of ‘‘CP’’ for cases involving the imposi- filing. (1) Except as provided in para- tion of civil penalties; ‘‘NA’’ for cases graph (a)(2) of this section, documents in which a petition for review or appeal are to be filed with the Office of Ad- is not accepted because of a patent pro- ministrative Law Judges, National cedural deficiency; and ‘‘EAJA’’ for Transportation Safety Board, 490 cases involving applications for fees L’Enfant Plaza East, SW., Room 4704, and expenses under the Equal Access to Washington, DC 20594, and addressed to Justice Act, governed by Part 826. the assigned law judge, if any. If the proceeding has not yet been assigned to a law judge, documents shall be ad- Subpart B—General Rules Appli- dressed to the Case Manager. cable to Petitions for Review, (2) Subsequent to the filing of a no- Appeals to the Board, and tice of appeal from a law judge’s initial Appeals From Law Judges Ini- decision or appealable order, the tial Decisions and Appealable issuance of a decision permitting an in- Orders terlocutory appeal, or the expiration of the period within which an appeal from § 821.6 Appearances and rights of wit- the law judge’s initial decision or ap- nesses. pealable order may be filed, all documents are to be filed with the Office of (a) Any party to a proceeding may General Counsel, National Transpor- appear and be heard in person, or by an tation Safety Board, 490 L’Enfant attorney or other representative des- Plaza East, SW., Room 6401, Wash- ignated by that party. Upon hearing, ington, DC 20594. and for good cause shown, the Board (3) Documents shall be filed by per- may suspend or bar any person from sonal delivery, by U.S. Postal Service practicing before it. first-class mail or by overnight deliv- (b) Any person appearing in person in ery service. Except as specifically pro- any proceeding governed by this part vided in Subpart I (governing emer- may be accompanied, represented and gency proceedings), facsimile filing is advised, and may be examined by, his limited. Documents to be filed with a or her own counsel or representative. law judge or the Case Manager may be (c) Any person who submits data or transmitted by facsimile, but such fil- evidence in a proceeding governed by ing must be followed, no later than the this part may, by timely request, pro- next business day, by transmission of cure a copy of any document submitted the original by personal delivery, first- by him or her, or a copy of any tran- class mail or overnight delivery serv- script made of his or her testimony, on ice. Facsimile filing of documents to be payment of reasonable costs. Original filed with the Office of General Counsel documents, data or evidence may be re- is not permitted unless specifically authorized under Subpart I or requested tained by a party upon permission of by that office. the law judge or the Board, upon sub- (4) Documents shall be deemed filed stitution of a copy thereof. on the date of personal delivery; on the (d) Any party to a proceeding who is send date shown on the facsimile represented by an attorney or rep- (where facsimile service is permitted resentative shall notify the Board of under paragraph (a)(3) of this section the name, address and telephone num- or Subpart I); and, for mail delivery ber of that attorney or representative. service, on the mailing date shown on In the event of a change in representa- the certificate of service, on the date tion, the party shall notify the Board shown on the postmark if there is no (in the manner provided in § 821.7) and certificate of service, or on the mailing the other parties to the proceeding date shown by other evidence if there (pursuant to § 821.8) before the new at- is no certificate of service and no post- torney or representative may partici- mark. Where the document bears a pate in the proceeding in any way. postmark that cannot reasonably be

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reconciled with the mailing date shown Case Manager. All motions, requests on the certificate of service, the docu- and documents submitted subsequent ment will be deemed filed on the date to the filing of a notice of appeal from of the postmark. a law judge’s initial decision or appeal- (b) Number of copies. Service on the able order, or a decision permitting an Board of petitions for review, appeals interlocutory appeal, or after the expi- from orders of the Administrator, and ration of the period within which an notices of appeal from law judges’ ini- appeal from the law judge’s initial de- tial decisions and appealable orders cision or appealable order may be filed, shall be by executed original and 3 cop- shall be addressed to the Board’s Gen- ies. Service of all other documents eral Counsel. shall be by executed original and one copy. Copies need not be signed, but § 821.8 Service of documents. the name of the person signing the (a) Who must be served. (1) Copies of original shall be shown thereon. all documents filed with the Board (c) Form. (1) Petitions for review, ap- must be served on (i.e., sent to) all peals to the Board from orders of the other parties to the proceeding, on the Administrator, and notices of appeal date of filing, by the person filing from law judges’ initial decisions and them. A certificate of service shall be a appealable orders may be in the form of part of each document and any copy or a letter signed by the petitioner or ap- copies thereof tendered for filing, and pealing party, and shall be typewritten shall certify concurrent service on the or in legible handwriting. Board and the parties. A certificate of (2) Documents filed with the Board service shall be in substantially the consisting of more than one page may following form: be affixed only in the upper left-hand corner by staple or clip, and shall not I hereby certify that I have this day served the foregoing [specify document] on the fol- be bound or hole-punched. Any docu- lowing party’s counsel or designated rep- ment failing to comply with this re- resentatives [or party, if without counsel or quirement is subject to being returned representative], at the address indicated, by to the filing party. [specify the method of service (e.g., first- (d) Content. Each document filed with class mail, personal service, etc.)] the Board shall contain a concise and [List names and addresses of all persons complete statement of the facts relied served] upon, and the relief sought, by the fil- Dated at ll, this llllday of ll 20ll ing party. (Signature) lllllllllllllllll (e) Subscription. The original of every For (on behalf of) llllllllllllll document filed shall be signed by the (2) Service shall be made on the per- filing party, or by that party’s attor- son designated in accordance with ney or other representative. § 821.7(f) to receive service. If no such (f) Designation of person to receive serv- person has been designated, service ice. The initial document filed by a shall be made directly on the party. party in a proceeding governed by this (b) Method of service. (1) Service of part shall show on the first page the documents by any party on any other name, address and telephone number of party shall be accomplished by the the person or persons who may be method prescribed in § 821.7(a)(3) for the served with documents on that party’s filing of documents with the Board. behalf. (2) Notices of hearing, written initial (g) To whom directed. All motions, re- decisions, law judges’ appealable orders quests and documents submitted in and Board orders on appeal shall be connection with petitions for review served by the Board on parties other and appeals to the Board from orders of than the Administrator by certified the Administrator shall designate, and mail. Such documents may be served be addressed to, the law judge to whom on the Administrator by first-class the proceeding has been assigned, if mail or facsimile. The Board may serve any. If the proceeding has not yet been all other documents on the parties by assigned to a law judge, the document first-class mail or facsimile. shall bear the designation ‘‘unas- (c) Where service shall be made. Except signed,’’ and shall be addressed to the for personal service, parties shall be

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served at the address appearing in the tionally filed with motion for leave. official record. If no address for service The motion for leave shall identify the on the Administrator is designated in interest of the movant and shall state the record, documents shall be ad- the reasons why a brief of amicus cu- dressed for service to the Office of riae is desirable. Such brief and motion Chief Counsel, 800 Independence Ave- shall be filed within the briefing time nue, SW., Washington, DC 20591. In the allowed the party whose position the case of an agent designated by an air brief would support, unless good cause carrier under 49 U.S.C. 46103, service for late filing is shown, in which event may be accomplished only at the the General Counsel may provide an agent’s office or usual place of resi- opportunity for response in deter- dence. mining whether to accept the amicus (d) Presumption of service. There shall brief. be a presumption of lawful service: (1) When receipt has been acknowl- § 821.10 Computation of time. edged by a person who customarily or In computing any period of time pre- in the ordinary course of business re- scribed or allowed by this part, by no- ceives mail at the residence or prin- tice or order of a law judge or the cipal place of business of the party or Board, or by any applicable statute, of the person designated under § 821.7(f); the date of the act, event or default or after which the designated period of (2) When a properly addressed enve- time begins to run is not to be included lope, sent to the most current address in the computation. The last day of the in the official record, by regular, reg- period so computed is to be included istered or certified mail, has been re- unless it is a Saturday, Sunday or legal turned as unclaimed or refused. holiday for the Board, in which event (e) Date of service. The date of service the period runs until the end of the shall be determined in the same man- next day which is not a Saturday, Sun- ner as the filing date is determined day or legal holiday. In all cases, Sat- under § 821.7(a)(4). urdays, Sundays and legal holidays for § 821.9 Intervention and amicus ap- the Board shall be included in the com- pearance. putation of time, except they shall not be included in computations of time re- (a) Intervention. Any person may specting petitions for review of deter- move for leave to intervene in a pro- minations as to the existence of emer- ceeding, and may become a party gencies under § 821.54. thereto, if it is found that such person has a property, financial or other le- § 821.11 Extensions of time. gitimate interest that will not be adequately represented by the existing (a) On written request filed with the parties, and that such intervention will Board and served on all other parties, not unduly broaden the issues or delay or oral request with any extension the proceeding. Except for good cause granted confirmed in writing and shown, no motion for leave to inter- served on all other parties by the re- vene will be entertained if filed less questor, and for good cause shown, the than 15 days prior to the hearing. The law judge or the Board may grant an extent to which an intervenor may par- extension of time to file any document; ticipate in the proceeding is wholly however, no extension of time will be within the law judge’s discretion. granted for the filing of a document to (b) Amicus curiae briefs. A brief of which a statutory time limit applies. amicus curiae in a matter on appeal (b) Extensions of time to file peti- from a law judge’s initial decision or tions for reconsideration shall not be appealable order may be filed, if ac- granted upon a showing of good cause, companied by written consent of all but only in extraordinary cir- the parties, or by leave of the General cumstances. Counsel if, in his or her opinion, the (c) The General Counsel is authorized brief will not unduly broaden the mat- to grant unopposed extensions of time ters at issue or prejudice any party to on timely oral request without a show- the proceeding. A brief may be condi- ing of good cause in cases on appeal to

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the Board from a law judge’s initial de- quested, and shall be accompanied by cision or appealable order. Written affidavits or other evidence relied confirmation of such a grant of exten- upon. Motions introduced during a sion of time must promptly be sent by hearing may be made orally on the the requesting party to the Board and record, unless the law judge directs served on all other parties to the pro- otherwise. ceeding. (c) Replies to motions. Except when a motion is made during a hearing, any § 821.12 Amendment and withdrawal party may file a reply, accompanied by of pleadings. such affidavits or other evidence as (a) Amendment. At any time more that party desires to rely upon, within than 15 days prior to the hearing, a 15 days after the date of service of the party may amend its pleadings by fil- motion on that party. Upon notice to ing an amended pleading with the the parties, the law judge or the Board Board and serving copies thereof on all may, where appropriate, set a shorter other parties. After that time, amend- time for filing a reply. Where a motion ment shall be allowed only at the dis- is made during a hearing, the reply cretion of the law judge. In the case of may be made at the hearing, or orally amendment of an answerable pleading, or in writing within such time as the the law judge shall allow any adverse law judge may fix. party a reasonable time to object or (d) Oral argument; briefs. No oral ar- answer. Amendments to complaints gument will be heard on a motion un- shall be consistent with the require- less the law judge or the Board directs ments of 49 U.S.C. 44709(c) and 44710(c). otherwise. (b) Withdrawal. Except in the case of (e) Effect of pendency of motions. Ex- a petition for review, an appeal to the cept as provided in §§ 821.17(a) and Board, a complaint, or an appeal from 821.18(a), the filing or pendency of a a law judge’s initial decision or appeal- motion shall not automatically alter able order, pleadings may be with- or extend the time fixed in this part (or drawn only upon approval of the law any extension thereof previously grant- judge or the Board. ed) for the parties to take any actions.

§ 821.13 Waivers. § 821.15 Motion to disqualify a Board Waivers of any rights provided by Member. statute or regulation shall either be in A motion requesting that a Board writing or by stipulation made at the Member disqualify himself or herself hearing and entered into the record, from participating in a proceeding and shall set forth the precise terms under this part shall be filed in writing and conditions of the waiver. with the Board.

§ 821.14 Motions. § 821.16 Interlocutory appeals from (a) General. Any application to a law law judges’ rulings on motions. judge or to the Board for an order or Rulings of law judges on motions ruling not otherwise provided for in which are not dispositive of the pro- this part shall be by motion. Prior to ceeding as a whole may not be appealed the assignment of the proceeding to a to the Board prior to its consideration law judge, all motions shall be ad- of the entire proceeding, except in ex- dressed to the Case Manager. There- traordinary circumstances and with after, and prior to the expiration of the the consent of the law judge who made period within which an appeal from the the ruling. Interlocutory appeals shall law judge’s initial decision may be be disallowed unless the law judge filed, all motions shall be addressed to finds, either orally on the record or in the law judge. At all other times, mo- writing, that to allow such an appeal is tions shall be addressed to the General necessary to prevent substantial det- Counsel. riment to the public interest or undue (b) Form and content. Unless made prejudice to a party. If an interlocu- during a hearing, motions shall be tory appeal is allowed, any party may made in writing, shall state with par- file a brief with the Board within such ticularity the grounds for the relief re- time as the law judge directs. No oral

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argument will be heard unless the and certain. The motion shall cite the Board directs otherwise. defects complained of and the details sought. If the motion is granted and § 821.17 Motions to dismiss, for judg- the law judge’s order is not complied ment on the pleadings and for sum- with within 15 days after service there- mary judgment. of, the law judge shall strike the por- (a) Motions to dismiss petition for re- tion or portions of the petition for review or complaint. A motion to dismiss view or complaint to which the motion a petition for review or a complaint is directed. If the motion is denied, the may be filed in lieu of an answer, with- moving party shall file an answer within the time limit for filing an answer in 10 days after service of the law set forth in § 821.24(c) or § 821.31(b). If judge’s order on the motion. such motion is not granted in its en- (b) A party may file a motion to clar- tirety, the answer shall be filed within ify an answer in the event that the an- 10 days after service of the law judge’s swer fails to respond clearly to the pe- order on the motion. tition for review or the complaint. (b) Motions to dismiss for lack of jurisdiction. A motion to dismiss on the § 821.19 Depositions and other dis- ground that the Board lacks jurisdic- covery. tion may be made by any party at any (a) Depositions. After a petition for time. review or a complaint is filed, any (c) Motions for judgment on the plead- party may take the testimony of any ings. A party may file a motion for person, including a party, by deposi- judgment on the pleadings on the basis tion, upon oral examination or written that no answer has been filed, or that questions, without seeking prior Board the pleadings disclose that there are no approval. Reasonable notice shall be material issues of fact to be resolved given in writing to the other parties, and that party is entitled to judgment stating the name of the witness and as a matter of law. the time and place of the taking of the (d) Motions for summary judgment. A deposition. A copy of any notice of dep- party may file a motion for summary osition shall be served on the law judge judgment on the basis that the plead- to whom the proceeding has been as- ings and other supporting documenta- signed or, if no law judge has been as- tion establish that there are no mate- signed, on the Case Manager. In other rial issues of fact to be resolved and respects, the taking of any deposition that party is entitled to judgment as a shall be in compliance with the provi- matter of law. sions of 49 U.S.C. 46104(c). (e) Appeals of dismissal, judgment on (b) Exchange of information by the par- the pleadings and summary judgment or- ties. At any time before the hearing, at ders. When a law judge grants a motion the request of any party, the parties to dismiss, a motion for judgment on may exchange information, such as the pleadings or a motion for summary witness lists, exhibit lists, curricula judgment, and terminates the pro- vitae and bibliographies of expert wit- ceeding without a hearing, an appeal of nesses, and other pertinent data. Any such order to the Board may be filed party may also use written interrog- pursuant to the provisions of § 821.47. atories, requests for admissions and When a motion to dismiss, a motion for other discovery tools. The requesting judgment on the pleadings or a motion party shall set the time for compliance for summary judgment is granted in with the request, which shall be rea- part, § 821.16 applies. sonable and give due consideration to the closeness of the hearing, especially § 821.18 Motion for a more definite in emergency proceedings governed by statement. Subpart I. Copies of discovery requests (a) A party may, in lieu of an answer, and responses shall be served on the file a motion requesting that the peti- law judge to whom the proceeding has tioner’s statement of reasons and sup- been assigned or, if no law judge has porting facts in a petition for review or been assigned, on the Case Manager. In the Administrator’s allegations of fact the event of a dispute, either the as- in a complaint be made more definite signed law judge or another law judge

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delegated this responsibility (if a law and expenses shall be paid by the party judge has not yet been assigned or if at whose request the witness is subpoe- the assigned law judge is unavailable) naed or appears. The Board may de- may issue an appropriate order, includ- cline to process a proceeding further ing an order directing compliance with should a party fail to compensate a any ruling previously made with re- witness pursuant to this paragraph. spect to discovery. (c) Board Members, officers and employ- (c) Use of the Federal Rules of Civil ees. In order to encourage a free flow of Procedure. Those portions of the Fed- information to the Board’s accident in- eral Rules of Civil Procedure that per- vestigators, the Board disfavors the use tain to depositions and discovery may of its personnel in enforcement probe used as a general guide for discovery ceedings. Therefore, the provisions of practice in proceedings before the paragraph (a) of this section are not Board, where appropriate. The Federal applicable to Board Members, officers Rules and the case law that construes and employees, or the production of them shall be considered by the Board documents in their custody. Applica- and its law judges as instructive, rath- tions for subpoenas requiring the at- er than controlling. tendance of such persons, or the pro- (d) Failure to provide or preserve evi- duction of such documents, must be ad- dence. The failure of any party to com- dressed to the General Counsel, and ply with a law judge’s order compelling shall set forth the need of the moving discovery, or to cooperate with a time- party for the testimony or documents ly request for the preservation of evi- sought, and a showing that such mate- dence, may result in a negative infer- rial is not now, and was not otherwise, ence against that party with respect to reasonably available from other the matter sought and not provided or sources. Only upon the General Coun- preserved, a preclusion order, dismissal sel’s written approval for the issuance or other relief deemed appropriate by of a subpoena requiring a Board Mem- the law judge. ber, officer or employee to provide testimony and/or to produce documents in § 821.20 Subpoenas, witness fees, and connection with discovery or at a hear- appearances of Board Members, of- ing may a law judge issue such a sub- ficers and employees. poena. The law judge shall not permit (a) Subpoenas. Except as provided in the testimony or documentary evi- paragraph (c) of this section, subpoenas dence provided by a Board Member, of- requiring the attendance of witnesses, ficer or employee to include any ex- or the production of documentary or pression of opinion, or any account of tangible evidence, for the purpose of statements of a party made during the taking depositions or at a hearing, may Board’s investigation of any accident. be issued by the presiding law judge (or the chief law judge, if the proceeding § 821.21 Official notice. has not been assigned to a law judge) Where a law judge or the Board in- upon application by any party. The ap- tends to take official notice of a mate- plication shall show the general rel- rial fact not appearing in the evidence evance and reasonable scope of the evi- in the record, notice shall be given to dence sought. Any person upon whom a all parties, who may within 10 days file subpoena is served may, within 7 days a petition disputing that fact. after service of the subpoena, but in any event prior to the return date thereof, file with the law judge who Subpart C—Special Rules Appli- issued the subpoena a motion to quash cable to Proceedings Under or modify the subpoena, and such filing 49 U.S.C. 44703 shall stay the effectiveness of the subpoena pending final action by the law § 821.24 Initiation of proceeding. judge on the motion. (a) Petition for review. Where the Ad- (b) Witness fees. Witnesses shall be en- ministrator has denied an application titled to the same fees and expenses for for the issuance or renewal of an air- mileage as are paid to witnesses in the man certificate, the applicant may file courts of the United States. The fees with the Board a petition for review of

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the Administrator’s denial. The peti- § 821.25 Burden of proof. tion must be filed with the Board with- In proceedings under 49 U.S.C. 44703, in 60 days after the date on which no- the burden of proof shall be upon the tice of the Administrator’s denial was petitioner. served on the petitioner. (b) Form and content of petition. The § 821.26 Motion to dismiss petition for petition may be in letter form. It shall review for lack of standing. identify the Administrator’s certificate Upon motion by the Administrator denial action, and contain a complete within the time limit for filing an an- but concise statement of the reasons swer, a petition for review shall be dis- why the petitioner believes the certifi- missed for lack of standing in either of cate denial was erroneous. the following instances: (c) Answer to petition. The Adminis- (a) If the petition seeks the issuance trator shall file an answer to the peti- of the same type of certificate that was tion for review within 20 days after the under an order of suspension on the date of service of the petition. The an- date of the denial; or swer shall specifically address each of (b) If the petition seeks the issuance the reasons set forth in the petition as of the same type of certificate that had to why the petitioner believes the cer- been revoked within one year of the tificate denial was erroneous. date of the denial, unless the order re- (d) Stay of proceeding pending request voking such certificate provides other- for special issuance (restricted) medical wise. certificate. The Board lacks the authority to review requests for special Subpart D—Special Rules Applica- issuance (restricted) medical certifi- ble to Proceedings Under 49 cates, or to direct that they be issued. U.S.C. 44709 Where a request for a special issuance certificate has been filed with the Ad- § 821.30 Initiation of proceeding. ministrator pursuant to the Federal (a) Appeal. Where the Administrator Aviation Regulations, the Board will, has issued an order amending, modi- upon the petitioner’s written request, fying, suspending or revoking a certifi- hold a petition for review of a denial of cate, the affected certificate holder (re- an unrestricted medical certificate in spondent) may file with the Board an abeyance pending final action by the appeal from the Administrator’s order. Administrator on the special issuance The respondent shall simultaneously request, but for no longer than 180 days serve a copy of the appeal on the Ad- after the date on which the unre- ministrator. The appeal must be filed stricted medical certificate denial was with the Board within 20 days after the issued. date on which the Administrator’s (e) New evidence. Where review of a order was served on the respondent, ex- denial of an unrestricted medical cer- cept as provided with respect to emer- tificate is at issue, if the petitioner has gency and other immediately effective undergone medical testing or evalua- orders under § 821.53(a). tion in addition to that already sub- (b) Form and content of appeal. The mitted or known to the Administrator, appeal may be in letter form. It shall and wishes to introduce the results identify the certificate or certificates into the record, such new medical evi- affected and the Administrator’s action dence must be served on the Adminis- from which the appeal is sought. trator at least 30 days prior to the (c) Effect of filing timely appeal with hearing. Absent good cause, failure to the Board. Timely filing with the Board so timely serve the new medical evi- of an appeal from an order of the Ad- dence on the Administrator will result ministrator shall postpone the effec- in the exclusion of such evidence from tive date of the order until final dis- the record. The Administrator may position of the appeal by the law judge amend his or her answer to respond to or the Board, except where the order such new medical evidence within 10 appealed from is an emergency or other days after the date on which he or she immediately effective order, in which was served therewith. case the effectiveness of the order will

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not be so stayed during the pendency of stale pursuant to the following provi- the appeal. sions: (a) In those cases where the com- § 821.31 Complaint procedure. plaint does not allege lack of qualifica- (a) Filing, time of filing and service on tion of the respondent: respondent. The order of the Adminis- (1) The Administrator shall be re- trator from which an appeal has been quired to show, by reply filed within 15 taken shall serve as the complaint. The days after the date of service of the re- Administrator shall (except as provided spondent’s motion, that good cause ex- in § 821.55(a) with respect to emergency isted for the delay in providing such advice, or that the imposition of a proceedings) file the complaint with sanction is warranted in the public in- the Board within 10 days after the date terest, notwithstanding the delay or on which he or she was served with the the reasons therefor. appeal by the respondent, and shall si- (2) If the Administrator does not es- multaneously serve a copy of the com- tablish good cause for the delay, or for plaint on the respondent. If the Admin- the imposition of a sanction in the pub- istrator has determined that the re- lic interest notwithstanding the delay, spondent lacks qualification to be a the law judge shall dismiss the stale al- certificate holder, the order filed as the legations and proceed to adjudicate the complaint, or an accompanying state- remaining portion of the complaint, if ment, shall identify the pleaded factual any. allegations on which this determina- (b) In those cases where the com- tion is based. plaint alleges lack of qualification of (b) Answer to complaint. The respond- the respondent, the law judge shall ent shall (except as provided in first determine whether an issue of § 821.55(b) with respect to emergency lack of qualification would be pre- proceedings) file with the Board an an- sented if all of the allegations, stale swer to the complaint within 20 days and timely, are assumed to be true. If after the date on which the complaint so, the law judge shall deny the re- was served by the Administrator, and spondent’s motion. If not, the law shall simultaneously serve a copy of judge shall proceed as in paragraph (a) the answer on the Administrator. Fail- of this section. ure by the respondent to deny the truth of any allegation or allegations in the complaint may be deemed an ad- Subpart E—Law Judges mission of the truth of the allegation § 821.35 Assignment, duties and pow- or allegations not answered. The an- ers. swer shall also identify any affirmative (a) Assignment of law judge and dura- defenses that the respondent intends to tion of assignment. The chief law judge raise at the hearing. The answer may shall assign a law judge to preside over be amended to include affirmative de- each proceeding. Until such assign- fenses in accordance with the provi- ment, motions, requests and docu- sions of § 821.12(a). ments shall be addressed to the Case § 821.32 Burden of proof. Manager for handling by the chief law judge, who may handle these matters In proceedings under 49 U.S.C. 44709, personally or delegate them to other the burden of proof shall be upon the law judges for decision. After assign- Administrator. ment of a proceeding to a law judge, all motions, requests and documents shall § 821.33 Motion to dismiss stale com- be addressed to that law judge. The au- plaint. thority of the assigned law judge shall Where the complaint states allega- terminate upon the expiration of the tions of offenses which occurred more period within which appeals from ini- than 6 months prior to the Administra- tial decisions or appealable orders may tor’s advising the respondent as to rea- be filed, or upon the law judge’s with- sons for proposed action under 49 drawal from the proceeding. U.S.C. 44709(c), the respondent may (b) Powers of law judge. Law judges move to dismiss such allegations as shall have the following powers:

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(1) To give notice of, and to hold, pre- the place of the hearing is the conven- hearing conferences and hearings, and ience of the hearing site to scheduled to consolidate proceedings which in- transportation service. Only in the volve a common question of law or most extraordinary circumstances may fact; consideration be given to locating a (2) To hold conferences, before or dur- hearing in a foreign country. ing the hearing, for the settlement or (b) Hearing in several sessions. Where simplification of issues; appropriate, the law judge may hold a (3) To issue subpoenas, and to take hearing in more than one session, at depositions or cause depositions to be the same or different locations. taken; (4) To dispose of procedural requests § 821.38 Evidence. or similar matters; (5) To rule on motions; Each party shall have the right to (6) To regulate the conduct of hear- present a case-in-chief, or defense, by ings; oral and documentary evidence, to sub- (7) To administer oaths and affirma- mit evidence in rebuttal, and to con- tions; duct such cross-examination as may be (8) To examine witnesses; required for a full and true disclosure (9) To receive evidence and rule upon of the facts. Hearsay evidence (includ- objections and offers of proof; and ing hearsay within hearsay, where (10) To issue initial decisions. there are acceptable circumstantial in- (c) Disqualification. A law judge shall dicia of trustworthiness) shall be ad- withdraw from a proceeding if, at any missible. All material and relevant evi- time, he or she deems himself or her- dence should be admitted, but the law self disqualified. If the law judge does judge may exclude unduly repetitious not withdraw, and if an appeal from evidence. the law judge’s initial decision is filed, the Board will, on motion of a party, § 821.39 Argument and submissions. determine whether the law judge should have withdrawn and, if so, order At the hearing, the law judge shall appropriate relief. give the parties adequate opportunity for the presentation of arguments in Subpart F—Hearing support of, or in opposition to, motions, objections and proposed rulings. § 821.37 Notice of hearing. Prior to the issuance of the initial decision, the parties shall be afforded a (a) Time and location of hearing. The law judge to whom the proceeding is reasonable opportunity to submit for assigned (or the chief judge) shall set a consideration proposed findings and reasonable date, time and place for the conclusions, and supporting reasons hearing. Except as provided with re- therefor. spect to emergency proceedings in § 821.56(a), a written notice of hearing § 821.40 Record. shall be served on the parties at least The transcript of testimony and ex- 30 days in advance of the hearing. The hibits, together with all papers, re- law judge may set the hearing for a quests and rulings filed in the pro- date fewer than 30 days after the date ceeding before the law judge, shall con- of the issuance of the notice of hearing stitute the exclusive record of the pro- if all of the parties consent to an ear- ceeding. Copies of the transcript may lier hearing date. In setting the date of be obtained by any party upon pay- the hearing, due regard shall be given ment of the reasonable cost thereof. A to the parties’ discovery needs. In set- copy of the transcript may be exam- ting the place of the hearing, due re- ined at the National Transportation gard shall be given to the location of Safety Board, Office of Administrative the subject incident, the convenience Law Judges, Public Docket Section. of the parties and their witnesses, and the conservation of Board funds. An- other relevant factor in determining

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Subpart G—Initial Decision tial decision or appealable order has passed, the law judge may, for good § 821.42 Initial decision by law judge. cause, reopen the matter on notice to (a) Written or oral decision. The law the parties. judge may render his or her initial de- (b) Request for reconsideration of law cision orally at the close of the hear- judge’s initial decision or order. A law ing, or in writing at a later date, ex- judge may not reconsider an initial de- cept as provided with respect to emer- cision or appealable order after the gency proceedings in § 821.56(c). time for appealing to the Board from (b) Content. The initial decision shall the decision or order has expired, or include findings and conclusions upon after an appeal has been filed with the all material issues of fact, credibility Board. However, a timely request for of witnesses, law and discretion pre- reconsideration by the law judge of the sented on the record, together with a initial decision or appealable order, statement of the reasons therefor. filed before an appeal to the Board is (c) Furnishing parties with, and taken, will stay the deadline for filing issuance date of, oral decision. If the ini- an appeal until 10 days after the date tial decision is rendered orally, a copy on which the law judge serves his or thereof, excerpted from the hearing her decision on the reconsideration re- transcript, shall be furnished to the quest. For the purpose of this para- parties by the Office of Administrative graph, if a request for reconsideration Law Judges. Irrespective of the date on and a notice of appeal are filed on the which the copy of the decision is trans- same day, the reconsideration request mitted to the parties, the issuance date will be deemed to have been filed first. of the decision shall be the date on which it was orally rendered. § 821.48 Briefs and oral argument. (a) Appeal brief. Except as provided in § 821.43 Effect of law judge’s initial de- § 821.57(b) with respect to emergency cision or appealable order and ap- proceedings, each appeal must be per- peal therefrom. fected, within 50 days after the date on If no appeal from the law judge’s ini- which the oral initial decision was ren- tial decision or appealable order is dered, or 30 days after the date on timely filed, the initial decision or which the written initial decision or order shall become final with respect appealable order was served, by the fil- to the parties, but shall not be binding ing, and simultaneous service on the precedent for the Board. The filing of a other parties, of a brief in support of timely notice of appeal with the Board the appeal. An appeal may be dismissed shall stay the effectiveness of the law by the Board, either on its own initia- judge’s initial decision or order, unless tive or on motion of another party, the basis for the decision or order is where a party who has filed a notice of that the Board lacks jurisdiction. appeal fails to perfect the appeal by filing a timely appeal brief. Subpart H—Appeal From Initial (b) Form and content of appeal brief. (1) Decision In addition to the general form requirements for documents set forth in § 821.47 Notice of appeal. § 821.7(c)(2), the appeal brief must be (a) Time within which to file notice of typewritten, double-spaced, on 81⁄2-by- appeal. A party may appeal from a law 11 inch paper. The appeal brief shall set judge’s initial decision or appealable forth the name, address and telephone order by filing with the Board, and si- number of the party, or the attorney or multaneously serving on the other par- other representative filing the brief on ties, a notice of appeal, within 10 days the party’s behalf. No appeal brief may after the date on which the oral initial contain more than 35 pages of text decision was rendered or the written without prior leave of the General initial decision or appealable order was Counsel, upon a showing of good cause. served (except as provided in § 821.57(a) (2) The appeal brief shall enumerate with respect to emergency pro- the appealing party’s objections to the ceedings). At any time before the time law judge’s initial decision or appeal- limit for filing an appeal from an ini- able order, and shall state the reasons

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for such objections, including any legal his or her initial decision or order precedent relied upon in support there- should be changed, the Board may of. make any necessary findings and may (3) Any error contained in the initial issue an order in lieu of the law judge’s decision which is not objected to in the initial decision or order, or may re- appeal brief may be deemed waived. mand the proceeding for any such pur- (c) Reply brief. Any other party to the pose as the Board may deem necessary. proceeding may file a brief in reply to the appeal brief within 30 days after § 821.50 Petition for rehearing, reargu- the date on which the appeal brief was ment, reconsideration or modifica- served on that party (except as pro- tion of an order of the Board. vided in § 821.57(b) with respect to (a) General. Any party to a pro- emergency proceedings). A copy of the ceeding may petition the Board for re- reply brief shall simultaneously be hearing, reargument, reconsideration served on the appealing party and any or modification of a Board order on ap- other parties to the proceeding. The peal from a law judge’s initial decision form requirements governing the ap- or order. An initial decision or appeal- peal brief set forth in paragraph (b)(1) able order of a law judge that has be- also apply to the reply brief. come final because no timely appeal (d) Other filings. Subsequent to the was taken therefrom may not be the filing of the appeal and reply briefs, the subject of a petition under this section. parties may file citations to supple- (b) Timing and service. The petition mental authorities. This procedure must be filed with the Board, and si- may be used only for identifying new multaneously served on the other par- and relevant legal authority, and not ties, within 30 days after the date of to correct omissions in briefing or to service of the Board’s order on appeal respond to a reply brief. No argument from the law judge’s initial decision or may be included with such a filing. order. Such filing shall include a reference to (c) Content. The petition shall state the page of the brief to which the cited briefly and specifically the matters of legal authority pertains. Any response record alleged to have been erro- shall be filed within 10 days of the date neously decided, and the ground or of service of the supplemental filing, grounds relied upon. If the petition is and shall be similarly limited in scope. based, in whole or in part, upon new With these exceptions, the parties may matter, it shall set forth such new make no other submissions, except by matter and shall contain affidavits of leave of the Board, upon on a showing prospective witnesses, authenticated of good cause. documents, or both, or an explanation (e) Oral argument. Oral argument be- of why such substantiation is unavail- fore the Board will not be held in pro- able, and shall explain why such new ceedings under this part unless the matter could not have been discovered Board, on motion of a party or on its in the exercise of due diligence prior to own initiative, determines that oral ar- the date on which the evidentiary gument is needed. record closed. (d) Repetitious petitions. Repetitious § 821.49 Issues on appeal. petitions will not be entertained by the (a) On appeal, the Board will consider Board, and will be summarily dis- only the following issues: missed. (1) Are the findings of fact each sup- (e) Reply to petition. Any other party ported by a preponderance of reliable, to the proceeding may file a reply to probative and substantial evidence? the petition within 15 days after the (2) Are conclusions made in accord- date on which the petition was served ance with law, precedent and policy? on that party. A copy of such reply (3) Are the questions on appeal sub- shall simultaneously be served on the stantial? petitioner and any other parties to the (4) Have any prejudicial errors oc- proceeding. curred? (f) Stay of effective date of Board’s (b) If the Board determines that the order. The filing of a petition under law judge erred in any respect, or that this section shall operate to stay the

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effective date of the Board’s order, un- order of the Administrator is being ap- less the Board directs otherwise. pealed.

Subpart I—Special Rules Applica- § 821.54 Petition for review of Admin- istrator’s determination of emer- ble to Proceedings Involving gency. Emergency and Other Imme- diately Effective Orders (a) Time within which to file petition. A respondent may, within 2 days after § 821.52 General. the date of receipt of an emergency or other immediately effective order of (a) Applicability. This subpart shall the Administrator, file with the Board apply to any order issued by the Ad- a petition for review of the Administra- ministrator under 49 U.S.C. 44709 as an tor’s determination that an emergency, emergency order, as an order not des- requiring the order to be effective im- ignated as an emergency order but mediately, exists. This 2-day time later amended to be an emergency order, and any order designated as im- limit is statutory and the Board has no mediately effective or effective imme- authority to extend it. If the respond- diately. ent has not previously filed an appeal (b) Effective date of emergency. The from the Administrator’s emergency or procedure set forth herein shall apply other immediately effective order, the as of the date on which written advice petition shall also be considered a si- of the emergency character of the Ad- multaneously filed appeal from the ministrator’s order is received and order under § 821.53. docketed by the Board. (b) Form, content and service of peti- (c) Computation of time. Time shall be tion. The petition may be in letter computed in accordance with the provi- form. A copy of the Administrator’s sions of § 821.10. order, from which review of the emer- (d) Waiver. Except as provided in gency determination is sought, must be § 821.54(f), or where the law judge or the attached to the petition. If a copy of Board determines that it would unduly the order is not attached, the petition burden another party or the Board, a will be dismissed. While the petition certificate holder (respondent) affected need only request that the Board re- by an emergency or other immediately view the Administrator’s determina- effective order of the Administrator tion as to the existence of an emer- may, at any time after filing an appeal gency requiring the order be effective from such an order, waive the applica- immediately, it may also enumerate bility of the accelerated time limits of the respondent’s reasons for believing this subpart; however, such a waiver that the Administrator’s emergency shall not serve to lengthen any period determination is not warranted in the of time for doing an act prescribed by interest of aviation safety. The peti- this subpart which expired before the tion must be filed with the Board by date on which the waiver was made. overnight delivery service or facsimile and simultaneously served on the Ad- § 821.53 Appeal. ministrator by the same means. (a) Time within which to file appeal. An (c) Reply to petition. If the petition appeal from an emergency or other im- enumerates the respondent’s reasons mediately effective order of the Admin- for believing that the Administrator’s istrator must be filed within 10 days emergency determination is unwar- after the date on which the Adminis- ranted, the Administrator may, within trator’s order was served on the re- 2 days after the date of service of the spondent. The respondent shall simul- petition, file a reply, which shall be taneously serve a copy of the appeal on strictly limited to matters of rebuttal. the Administrator. Such reply must be filed with the (b) Form and content of appeal. The Board by overnight delivery service or appeal may be in letter form. It shall facsimile and simultaneously served on identify the certificate or certificates the respondent by the same means. No affected and indicate that an emer- submissions other than the respond- gency or other immediately effective ent’s petition and the Administrator’s

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reply in rebuttal will be accepted, ex- § 821.55 Complaint, answer to com- cept in accordance with paragraph (d) plaint, motions and discovery. of this section. (a) Complaint. In proceedings gov- (d) Hearing. No hearing shall be held erned by this subpart, the Administra- on a petition for review of an emer- tor’s complaint shall be filed by over- gency determination. However, the law night delivery service or facsimile, and judge may, on his or her own initiative, simultaneously served on the respond- and strictly in keeping with the prohi- ent by the same means, within 3 days bition on ex parte communications set after the date on which the Adminis- forth in § 821.61, solicit from the parties trator received the respondent’s ap- additional information to supplement peal, or within 3 days after the date of that previously provided by the par- service of an order disposing of a peti- ties. tion for review of an emergency deter- (e) Disposition. Within 5 days after mination, whichever is later. the Board’s receipt of the petition, the (b) Answer to complaint. The respond- chief law judge (or, if the case has been ent shall file with the Board an answer assigned to a law judge, the law judge to the complaint within 5 days after to whom the case is assigned) shall dis- the date on which the complaint was pose of the petition by written order, served by the Administrator, and shall and, in so doing, shall consider wheth- simultaneously serve a copy of the an- er, based on the acts and omissions al- swer on the Administrator. Failure by leged in the Administrator’s order, and the respondent to deny the truth of any allegation or allegations in the com- assuming the truth of such factual al- plaint may be deemed an admission of legations, the Administrator’s emer- the truth of the allegation or allega- gency determination was appropriate tions not answered. The answer shall under the circumstances, in that it also identify any affirmative defenses supports a finding that aviation safety that the respondent intends to raise at would likely be compromised by a stay the hearing. of the effectiveness of the order during (c) Motion to dismiss and motion for the pendency of the respondent’s ap- more definite statement. In proceedings peal. governed by this subpart, no motion to (f) Effect of law judge’s ruling. If the dismiss the complaint or for a more law judge grants the petition, the effec- definite statement of the complaint’s tiveness of the Administrator’s order allegations shall be made, but the sub- shall be stayed until final disposition stance thereof may be stated in the re- of the respondent’s appeal by a law spondent’s answer. The law judge may judge or by the Board. In such cases, permit or require a more definite state- the remaining provisions of this sub- ment or other amendment to any part (§§ 821.55–821.57) shall continue to pleading at the hearing, upon good apply, unless the respondent, with the cause shown and upon just and reason- Administrator’s consent, waives their able terms. applicability. If the petition is denied, (d) Discovery. Discovery is authorized the Administrator’s order shall remain in proceedings governed by this sub- in effect, and the remaining provisions part. Given the short time available for of this subpart shall continue to apply, discovery, the parties shall cooperate unless their applicability is waived by to ensure timely completion of the dis- the respondent. The law judge’s ruling covery process prior to the hearing. on the petition shall be final, and is Discovery requests shall be served by not appealable to the Board. However, the parties as soon as possible. A mo- in the event of an appeal to the Board tion to compel discovery should be ex- from a law judge’s decision on the mer- peditiously filed where any dispute its of the emergency or other imme- arises, and the law judge shall prompt- diately effective order, the Board may, ly rule on such a motion. Time limits at its discretion, note, in its order dis- for compliance with discovery requests posing of the appeal, its views on the shall be set by the parties so as to ac- law judge’s ruling on the petition, and commodate, and not conflict with, the such views shall serve as binding prece- accelerated adjudication schedule set dent in all future cases. forth in this subpart. The provisions of

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§ 821.19 shall apply, modified as nec- the unavailability of the hearing tran- essary to meet the exigencies of this script. subpart’s accelerated timeframes. (b) Briefs and oral argument. Each appeal in proceedings governed by this § 821.56 Hearing and initial decision or subpart must be perfected, within 5 appealable order of law judge. days after the date on which the notice (a) Notice of hearing. Within 3 days of appeal was filed, by the filing, and after the date on which the Board re- simultaneous service on the other par- ceives the Administrator’s complaint, ties, of a brief in support of the appeal. or immediately upon the issuance of a Any other party to the proceeding may law judge’s order disposing of a peti- file a brief in reply to the appeal brief tion for review of the Administrator’s within 7 days after the date on which emergency determination, if later, the the appeal brief was served on that parties shall be served with a written party. A copy of the reply brief shall simultaneously be served on the appeal- notice of hearing, setting forth the ing party and any other parties to the date, time and place of the hearing. proceeding. Unless otherwise author- The hearing shall be set for a date no ized by the Board, all briefs in connec- later than 30 days after the date on tion with appeals governed by this sub- which the respondent’s appeal was re- part must be filed and served by over- ceived and docketed. To the extent night delivery service, or by facsimile that they are not inconsistent with confirmed by personal or first-class this section, the provisions of § 821.37(a) mail delivery of the original. Aside shall also apply. from the time limits and methods of (b) Conduct of hearing. The provisions filing and service specifically man- of §§ 821.38, 821.39 and 821.40, concerning dated by this paragraph, the provisions the taking of evidence, argument and of § 821.48 shall apply. submissions by the parties, and the (c) Issues on appeal. The provisions of composition of the hearing record, § 821.49(a) shall apply in proceedings shall apply to proceedings governed by governed by this subpart. this subpart. (d) Petition for rehearing, reargument, (c) Initial decision and effect of initial reconsideration or modification of order. decision or appealable order. The law The only petitions for rehearing, re- judge’s initial decision shall be made argument, reconsideration or modifica- orally on the record at the termination tion of an order which the Board will of the hearing. The provisions of entertain in proceedings governed by § 821.42, concerning the content of the this subpart are those based on the initial decision, the furnishing of cop- ground that new matter has been dis- ies of the initial decision to the parties covered. Such petitions must: and the issuance date of the initial de- (1) Set forth the new matter; cision, and the provisions of § 821.43, (2) Contain affidavits of prospective concerning the effect of the law judge’s witnesses, authenticated documents, or initial decision or appealable order and both, or an explanation of why such any appeal therefrom, shall apply to substantiation is unavailable; and proceedings governed by this subpart. (3) Contain a statement explaining why such new matter could not have § 821.57 Procedure on appeal. been discovered in the exercise of due (a) Time within which to file notice of diligence prior to the date on which the appeal. A party may appeal from a law evidentiary record closed. judge’s initial decision or appealable order by filing with the Board, and si- Subpart J—Ex Parte multaneously serving on the other par- Communications ties, a notice of appeal, within 2 days after the date on which the initial deci- AUTHORITY: Sec. 4, Pub. L. 94–409, 5 U.S.C. sion was orally rendered or the appeal- 556(d) and 557; 49 U.S.C. 1101–1155, 44701–44723, able order was served. The time limita- 46301. tions for the filing of documents re- specting appeals governed by this sub- § 821.60 Definitions. part will not be extended by reason of As used in this subpart:

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Board decisional employee means a (c) All written responses, and memo- Board Member, law judge or other em- randa stating the substance of all oral ployee who is, or who may reasonably responses, to the communications de- be expected to be, involved in the scribed in paragraphs (a) and (b) of this decisional process of the proceeding; section. Ex parte communication means an oral or written communication not on the § 821.63 Requirement to show cause public record with respect to which and imposition of sanction. reasonable prior notice to all parties is (a) Upon receipt of a communication not given, but does not include re- made or knowingly caused to be made quests for status reports on any matter by a party in violation of § 821.61, the or proceeding covered by this part. presiding law judge (or the chief law judge, if the proceeding has not been § 821.61 Prohibited ex parte commu- assigned to a law judge) or the Board nications. may, to the extent consistent with the (a) The prohibitions of this section interests of justice and the policy of shall apply from the time a petition for the underlying statutes it administers, review or an appeal is filed unless the require the party to show cause why its person responsible for the communica- claim or interest in the proceeding tion has knowledge that a petition for should not be dismissed, denied, dis- review or an appeal will be filed, in regarded or otherwise adversely af- which case the prohibitions shall apply fected on account of such violation. at the time of the acquisition of such (b) The Board may, to the extent con- knowledge. Such prohibitions shall sistent with the interest of justice and continue until the time of the Board’s the policy of the underlying statutes it final disposition of the petition, appeal administers, consider a violation of and any ancillary matters, such as the § 821.61 sufficient grounds for a decision adjudication of a claim for fees and ex- adverse to a party who has knowingly penses under the Equal Access to Jus- committed or knowingly caused such a tice Act. violation to occur. Alternatively, the (b) Except to the extent required for Board may impose a sanction on the the disposition of ex parte matters as party’s attorney or representative, in- authorized by law: cluding suspending or barring the at- (1) No interested person outside the torney or representative from prac- Board shall make or knowingly cause ticing before it, where such action to be made to any Board decisional em- would be appropriate and penalizing ployee an ex parte communication rel- the party represented would not be in evant to the merits of the proceeding; the interest of justice. (2) No Board decisional employee shall make or knowingly cause to be Subpart K—Judicial Review of made to any interested person outside Board Orders the Board an ex parte communication relevant to the merits of the pro- § 821.64 Judicial review. ceeding. Ex parte communications (a) General. Judicial review of a final solely relating to matters of Board pro- order of the Board may be sought as cedure or practice are not prohibited provided in 49 U.S.C. 1153 and 46110 by by this section. the filing of a petition for review with the appropriate United States Court of § 821.62 Procedures for handling ex Appeals within 60 days of the date of parte communications. entry (i.e., service date) of the Board’s A Board decisional employee who re- order. Under the applicable statutes, ceives, makes or knowingly causes to any party may appeal the Board’s deci- be made a communication prohibited sion. The Board is not a party in inter- by § 821.61 shall place in the public est in such appellate proceedings and, record of the proceeding: accordingly, does not typically partici- (a) All such written communications; pate in the judicial review of its deci- (b) Memoranda stating the substance sions. In matters appealed by the Ad- of all such oral communications; and ministrator, the other parties should

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anticipate the need to make their own the Board within 10 days after service defense. of the Commandant’s decision upon the (b) Stay pending judicial review. No re- party or his designated attorney. Upon quest for a stay pending judicial review good cause shown, the time for filing will be entertained if it is received by may be extended. the Board after the effective date of (b) Notice of appeal shall be ad- the Board’s order (see § 821.50(b)). If a dressed to the Docket Clerk, National stay action is to be timely, any request Transportation Safety Board, Wash- must be filed sufficiently in advance of ington, DC 20594. At the same time, a the effective date of the Board’s order copy shall be served on the Com- to allow for a reply and Board review. mandant (GL), U.S. Coast Guard, Washington, DC 20590. PART 825—RULES OF PROCEDURE (c) The notice of appeal shall state FOR MERCHANT MARINE AP- the name of the party, the number of PEALS FROM DECISIONS OF THE the Commandant’s decision, and, in COMMANDANT, U.S. COAST brief, the grounds for the appeal. GUARD § 825.10 Referral of record. Upon receipt of a notice of appeal, Sec. the Commandant shall immediately 825.1 Applicability. 825.5 Notice of appeal. transmit to the Board the complete 825.10 Referral of record. record of the hearing upon which his 825.15 Issues on appeal. decision was based. This includes the 825.20 Briefs in support of appeal. charges, the transcript of testimony, 825.25 Oral argument. and hearing proceedings (including ex- 825.30 Action by the Board. hibits), briefs filed by the party, the de- 825.35 Action after remand. cision of the administrative law judge, 825.40 Ex parte communications. and the Commandant’s decision on ap- AUTHORITY: Sec. 304(a)(9)(B), Independent peal. It does not include intra-agency Safety Board Act of 1974, Pub. L. 93–633, 88 staff memoranda provided as advice to Stat. 2169 (49 U.S.C. 1903(a)(9)(B)). the Commandant to aid in his decision. SOURCE: 40 FR 30248, July 17, 1975, unless otherwise noted. § 825.15 Issues on appeal. The only issues that may be consid- § 825.1 Applicability. ered on appeal are: The provisions of this part govern all (a) A finding of a material fact is er- proceedings before the National Trans- roneous; portation Safety Board (Board) on ap- (b) A necessary legal conclusion is peals taken from decisions, on or after without governing precedent or is a de- April 1, 1975, of the Commandant, U.S. parture from or contrary to law or Coast Guard, sustaining orders of an precedent; administrative law judge, revoking, (c) A substantial and important ques- suspending, or denying a license, cer- tion of law, policy, or discretion is in- tificate, document, or register in pro- volved; or ceedings under: (d) A prejudicial procedural error has (a) R.S. 4450, as amended (46 U.S.C. occurred. 239); (b) Act of July 15, 1954 (46 U.S.C. 239a– § 825.20 Briefs in support of appeal. b); or (a) Within 20 days after the filing of (c) Section 4, Great Lakes Pilotage a notice of appeal, the appellant must Act (46 U.S.C. 216(b)). file, in the same manner as prescribed for the notice in § 825.5, a brief in sup- § 825.5 Notice of appeal. port of the appeal. (a) A party may appeal from the (b) This document shall set forth: Commandant’s decision sustaining an (1) The name and address of the ap- order of revocation, suspension, or de- pellant; nial of a license, certificate, document, (2) The number and a description of or register in proceedings described in the license, certificate, document, or § 825.1, by filing a notice of appeal with register involved;

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(3) A summary of the charges af- to the administrative law judge of the firmed by the Commandant as proved; Coast Guard who heard the case, or to (4) Fact findings by the Commandant another administrative law judge of disputed by the appellant; the Coast Guard, with appropriate di- (5) Specific statements of errors of rections. laws asserted; (6) Specific statements of any abuse § 825.35 Action after remand. of discretion asserted; and When a case has been remanded (7) The relief requested. under § 825.30, a party shall retain all (c) Objection based upon evidence of rights of review under 46 CFR part 5 record need not be considered unless and this part, as applicable. the appeal contains specific record citation to the pertinent evidence. § 825.40 Ex parte communications. (d) When a brief has been filed by ap- (a) As used in this section: pellant under this section, the Coast means a Guard may, within 15 days of service of Board decisional employee Board Member or employee who is or the brief on the Commandant, submit who may reasonably be expected to be to the Board a reply brief. (e) If a party who has filed a notice of involved in the decisional process of appeal does not perfect the appeal by the proceeding; the timely filing of an appeal brief, the Ex parte communication means an oral Board may dismiss the appeal on its or written communication not on the own initiative or on motion of the public record with respect to which Coast Guard. reasonable prior notice to all parties is not given, but it shall not include re- § 825.25 Oral argument. quests for status reports on any matter or proceeding covered by this part. (a) If any party desires to argue a case orally before the Board, he should (b) The prohibition of paragraph (c) request leave to make such argument of this section shall apply from the in his brief filed pursuant to § 825.20. time a proceeding is noticed for hear- (b) Oral argument before the Board ing unless the person responsible for will normally not be granted unless the the communication has knowledge that Board finds good cause for such argu- it will be noticed, in which case the ment. If granted, the parties will be ad- prohibition shall apply at the time of vised of the date. the acquisition of such knowledge. (c) Except to the extent required for § 825.30 Action by the Board. the disposition of ex parte matters as authorized by law: (a) On review by the Board, if no re- versible error is found in the Com- (1) No interested person outside the mandant’s decision on appeal, that de- Board shall make or knowingly cause cision will be affirmed. to be made to any Board employee an (b) On review by the Board, if revers- ex parte communication relevant to ible error is found in the Com- the merits of the proceeding; mandant’s decision on appeal, the (2) No Board employee shall make or Board may: knowingly cause to be made to any in- (1) Set aside the entire decision and terested person outside the Board an ex dismiss the charges if it finds the error parte communication relevant to the incurable; or merits of the proceeding. (2) Set aside the order, or conclu- Ex parte communications regarding sions, or findings of the Commandant solely matters of Board procedure or and remand the case to him for further practice are not prohibited by this consideration if it finds the error cur- paragraph. able. (d) A Board employee who receives or (c) When a matter has been remanded who makes or knowingly causes to be to the Commandant under paragraph made a communication prohibited by (b) of this section, the Commandant paragraph (c) of this section, shall may act in accordance with the terms place on the public record of the proof the order of remand, or he may, as ceeding: appropriate, further remand the matter (1) All such written communications;

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(2) Memoranda stating the substance Subpart C—Procedures for Considering of all such oral communication; and Applications (3) All written responses, and memoranda stating the substance of all oral 826.31 Filing and service of documents and general procedures. responses, to materials described in 826.32 Answer to application. paragraphs (d) (1) and (2) of this sec- 826.33 Reply. tion. 826.34 Comments by other parties. (e) Upon receipt of a communication 826.35 Settlement. knowingly made or caused to be made 826.36 Further proceedings. in violation of paragraph (c) of this sec- 826.37 Decision. tion, the Board may, to the extent con- 826.38 Board review. sistent with the interests of justice and 826.39 Judicial review. the policy of the underlying statutes, 826.40 Payment of award. require the party to show cause why his or her interest in the proceeding AUTHORITY: Section 203(a)(1) Pub. L. 99–80, 99 Stat. 186 (5 U.S.C. 504). should not be dismissed, denied, dis- regarded, or otherwise adversely af- SOURCE: 46 FR 48209, Oct. 1, 1981, unless fected on account of such violation. otherwise noted. (f) The Board may, to the extent consistent with the interests of justice and Subpart A—General Provisions the policy of the underlying statutes administered by the Board, consider a § 826.1 Purpose of these rules. violation of this section sufficient The Equal Access to Justice Act, 5 grounds for a decision adverse to a U.S.C. 504 (the Act), provides for the party who has knowingly committed award of attorney fees and other ex- such violation or knowingly caused penses to eligible individuals and enti- such violation to occur. ties who are parties to certain adminis- (Authority: Sec. 4, Government in the Sun- trative proceedings (adversary adju- shine Act, Pub. L. 94–409, amending 5 U.S.C. dications) before the National Trans- 556 (d) and 5 U.S.C. 557; Independent Safety portation Safety Board (Board). An eli- Board Act of 1974, Pub. L. 93–633, 88 Stat. 2166 gible party may receive an award when (49 U.S.C. 1901 et seq.)) it prevails over the Federal Aviation [42 FR 21614, Apr. 28, 1977] Administration (FAA), unless the Gov- ernment agency’s position in the pro- PART 826—RULES IMPLEMENTING ceeding was substantially justified or THE EQUAL ACCESS TO JUSTICE special circumstances make an award unjust. The rules in this part describe ACT OF 1980 the parties eligible for awards and the proceedings that are covered. They also Subpart A—General Provisions explain how to apply for awards, and Sec. the procedures and standards that this 826.1 Purpose of these rules. Board will use to make them. As used 826.2 When the Act applies. hereinafter, the term ‘‘agency’’ applies 826.3 Proceedings covered. to the FAA. 826.4 Eligibility of applicants. 826.5 Standards for awards. § 826.2 When the Act applies. 826.6 Allowable fees and expenses. The Act applies to any adversary ad- 826.7 Rulemaking on maximum rates for at- judication identified in § 826.3 as cov- torney fees. ered under the Act. 826.8 Awards against the Federal Aviation Administration. [59 FR 30531, June 14, 1994]

Subpart B—Information Required From § 826.3 Proceedings covered. Applicants (a) The Act applies to certain adver- 826.21 Contents of application. sary adjudications conducted by the 826.22 Net worth exhibit. Board. These are adjudications under 5 826.23 Documentation of fees and expenses. U.S.C. 554 in which the position of the 826.24 When an application may be filed. FAA is presented by an attorney or

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other representative who enters an ap- (3) A charitable or other tax-exempt pearance and participates in the pro- organization described in section ceedings. Proceedings to grant or 501(c)(3) of the Internal Revenue Code renew certificates or documents, here- (26 U.S.C. 501(c)(3)) with not more than after referred to as ‘‘licenses,’’ are ex- 500 employees; cluded, but proceedings to modify, sus- (4) A cooperative association as depend, or revoke licenses or to impose a fined in section 15(a) of the Agricul- civil penalty on a flight engineer, me- tural Marketing Act (12 U.S.C. 1141j(a)) chanic, pilot, or repairman (or person with not more than 500 employees; and acting in that capacity) are covered if (5) Any other partnership, corpora- they are otherwise ‘‘adversary adju- tion, association, or public or private dications.’’ For the Board, the type of organization with a net worth of not proceeding covered includes (but may more than $7 million and not more not be limited to) aviation enforce- than 500 employees. ment cases appealed to the Board (c) For the purpose of eligibility, the under sections 501, 609, 611 and 901 of net worth and number of employees of the Federal Aviation Act (49 U.S.C. an applicant shall be determined as of 44101 et seq., 44720–44711, 44715, 46301). the date the proceeding was initiated. (b) The Board may also designate a (d) An applicant who owns an unin- proceeding not listed in paragraph (a) corporated business will be considered as an adversary adjudication for pur- an ‘‘individual’’ rather than a ‘‘sole poses of the Act by so stating in an owner of an unincorporated business’’ order initiating the proceeding or des- if the issues on which the applicant ignating the matter for hearing. The prevails are related primarily to per- Board’s failure to designate a pro- sonal interests rather than to business ceeding as an adversary adjudication interests. shall not preclude the filing of an ap- (e) The employees of an applicant in- plication by a party who believes the clude all persons who regularly per- proceeding is covered by the Act; form services for remuneration for the whether the procedure is covered will applicant, under the applicant’s direc- then be an issue for resolution in pro- tion and control. Part-time employees ceedings on the application. shall be included on a proportional (c) If a proceeding includes both mat- basis. ters covered by the Act and matters (f) The net worth and number of em- specifically excluded from coverage, ployees of the applicant and all of its any award made will include only fees affiliates shall be aggregated to deter- and expenses related to covered issues. mine eligibility. Any individual, cor- [46 FR 48209, Oct. 1, 1981, as amended at 59 FR poration, or other entity that directly 59054, Nov. 15, 1994] or indirectly controls or owns a majority of the voting shares or other inter- § 826.4 Eligibility of applicants. est of the applicant, or any corporation (a) To be eligible for an award of at- or other entity of which the applicant torney fees and other expenses under directly or indirectly owns or controls the Act, the applicant must be a party a majority of the voting shares or to the adversary adjudication for which other interest, will be considered an af- it seeks an award. The term ‘‘party’’ is filiate for purposes of this part, unless defined in 5 U.S.C. 551(3). The applicant the administrative law judge deter- must show that it meets all conditions mines that such treatment would be of eligibility set out in this subpart unjust and contrary to the purposes of and in subpart B. the Act in light of the actual relation- (b) The types of eligible applicants ship between the affiliated entities. In are as follows: addition, the administrative law judge (1) An individual with a net worth of may determine that financial relation- not more than $2 million; ships of the applicant other than those (2) The sole owner of an unincor- described in this paragraph constitute porated business who has a net worth special circumstances that would make of not more than $7 million, including an award unjust. both personal and business interests, (g) An applicant that participates in and not more than 500 employees; a proceeding primarily on behalf of one

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or more other persons or entities that in 5 U.S.C. 504(b)(1)(A)(ii). Application would be ineligible is not itself eligible of these increased rate caps requires af- for an award. firmative findings under § 821.6(c) of [46 FR 48209, Oct. 1, 1981, as amended at 54 FR this chapter. For ease of application, 10332, Mar. 13, 1989] available U.S. City figures are reproduced as follows: § 826.5 Standards for awards. 1981 ...... 90.9 (a) A prevailing applicant may re- 1982 ...... 96.5 ceive an award for fees and expenses in- 1983 ...... 99.6 curred in connection with a proceeding, 1984 ...... 103.9 or in a significant and discrete sub- 1985 ...... 107.6 stantive portion of the proceeding, unless the position of the agency over 1986 ...... 109.6 which the applicant has prevailed was 1987 ...... 113.6 substantially justified. The burden of 1988 ...... 118.3 proof that an award should not be 1989 ...... 124.0 made to an eligible prevailing appli- 1990 ...... 130.7 cant is on the agency counsel, who may 1991 ...... 136.2 avoid an award by showing that the 1992 ...... 140.3 agency’s position was reasonable in law 1993 ...... 144.5 and fact. (b) An award will be reduced or de- (2) No award to compensate an expert nied if the applicant has unduly or un- witness may exceed the highest rate at reasonably protracted the proceeding which the agency pays expert wit- or if special circumstances make the nesses. However, an award may also in- award sought unjust. clude the reasonable expenses of the attorney, agent, or witness as a separate § 826.6 Allowable fees and expenses. item, if the attorney, agent, or witness (a) Awards will be based on rates cus- ordinarily charges clients separately tomarily charged by persons engaged for such expenses. in the business of acting as attorneys, (c) In determining the reasonableness agents, and expert witnesses, even if of the fee sought for an attorney, the services were made available with- agent, or expert witness, the adminis- out charge or at a reduced rate to the trative law judge shall consider the fol- applicant. lowing: (b)(1) No award for the fee of an at- (1) If the attorney, agent, or witness torney or agent under these rules may is in private practice, his or her cus- exceed $75 indexed as follows: tomary fee for similar services, or if an employee of the applicant, the fully al- X = CPI_ New located cost of the services; $75 / hr CPI_1981 (2) The prevailing rate for similar services in the community in which the The CPI to be used is the annual aver- attorney, agent, or witness ordinarily age CPI, All Urban Consumers, U.S. performs services; City Average, All Items, except where (3) The time actually spent in the a local, All Item index is available. representation of the applicant; Where a local index is available, but results in a manifest inequity vis-a-vis (4) The time reasonably spent in light the U.S. City Average, the U.S. City of the difficulty or complexity of the Average may be used. The numerator issues in the proceeding; and of that equation is the yearly average (5) Such other factors as may bear on for the year(s) the services were pro- the value of the services provided. vided, with each year calculated sepa- (d) The reasonable cost of any study, rately. If an annual average CPI for a analysis, engineering report, test, particular year is not yet available, the project, or similar matter prepared on prior year’s annual average CPI shall behalf of a party may be awarded, to be used. This formula increases the $75 the extent that the charge for the serv- statutory cap by indexing it to reflect ice does not exceed the prevailing rate cost of living increases, as authorized for similar services, and the study or

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other matter was necessary for prepa- position of the agency in the pro- ration of the applicant’s case. ceeding that the applicant alleges was not substantially justified. Unless the [46 FR 48209, Oct. 1, 1981, as amended at 58 FR 21544, Apr. 22, 1993; 59 FR 30531, June 14, 1994] applicant is an individual, the application shall also state the number of em- § 826.7 Rulemaking on maximum rates ployees of the applicant and describe for attorney fees. briefly the type and purpose of its or- (a) In addition to increases based on ganization or business. cost of living (see § 826.6), attorney fees (b) The application shall also include in some or all of the proceedings cov- a statement that the applicant’s net ered by this part may also be increased worth does not exceed $2 million (if an beyond the statutory cap of $75 if war- individual) or $7 million (for all other ranted by special factors (such as lim- applicants, including their affiliates). ited availability of attorneys qualified However, an applicant may omit this to handle certain types of proceedings). statement if: The Board will conduct any rule- (1) It attaches a copy of a ruling by making proceedings for this purpose the Internal Revenue Service that it under the informal rulemaking proce- qualifies as an organization described dures of the Administrative Procedure in section 501(c)(3) of the Internal Rev- Act. enue Code (26 U.S.C. 501(c)(3)), or in the (b) Any person may file with the case of a tax-exempt organization not Board a petition for rulemaking to in- required to obtain a ruling from the In- crease the maximum rate for attorney ternal Revenue Service on its exempt fees by demonstrating that a special status, a statement that describes the factor(s) justifies a higher fee. The pe- basis for the applicant’s belief that it tition shall identify the rate the peti- qualifies under such section; or tioner believes the Board should estab- (2) It states that it is a cooperative lish and the proceeding(s) or types of association as defined in section 15(a) proceedings in which the rate should be of the Agricultural Marketing Act (12 used. It should also explain fully the U.S.C. 1141j(a)). reasons why the higher rate is war- (c) The application shall state the ranted. The Board will respond to the amount of fees and expenses for which petition within 60 days after it is filed, an award is sought. by initiating a rulemaking proceeding, (d) The application may also include denying the petition, or taking other any other matters that the applicant appropriate action. wishes this agency to consider in deter- [58 FR 21545, Apr. 22, 1993] mining whether and in what amount an award should be made. § 826.8 Awards against the Federal (e) The application shall be signed by Aviation Administration. the applicant or an authorized officer When an applicant is entitled to an or attorney for the applicant. It shall award because it prevails over an agen- also contain or be accompanied by a cy of the United States that partici- written verification under oath or pates in a proceeding before the Board under penalty of perjury that the infor- and takes a position that is not sub- mation provided in the application is stantially justified, the award shall be true and correct. made against that agency. [46 FR 48209, Oct. 1, 1981, as amended at 59 FR 30532, June 14, 1994] Subpart B—Information Required From Applicants § 826.22 Net worth exhibit. (a) Each applicant except a qualified § 826.21 Contents of application. tax-exempt organization or cooperative (a) An application for an award of association must provide with its ap- fees and expenses under the Act shall plication a detailed exhibit showing identify the applicant and the pro- the net worth of the applicant and any ceeding for which an award is sought. affiliates (as defined in § 826.4(f) of this The application shall show that the ap- part) when the proceeding was initi- plicant has prevailed and identify the ated. The exhibit may be in any form

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convenient to the applicant that pro- plication, showing the hours spend in vides full disclosure of the applicant’s connection with the proceeding by each and its affiliates’ assets and liabilities individual, a description of the specific and is sufficient to determine whether services performed, the rate at which the applicant qualifies under the stand- each fee has been computed, any ex- ards in this part. The administrative penses for which reimbursement is law judge may require an applicant to sought, the total amount claimed, and file additional information to deter- the total amount paid or payable by mine the eligibility for an award. the applicant or by any other person or (b) Ordinarily, the net worth exhibit entity for the services provided. The will be included in the public record of administrative law judge may require the proceeding. However, an applicant the applicant to provide vouchers, re- that objects to public disclosure of in- ceipts, or other substantiation for any formation in any portion of the exhibit and believes there are legal grounds for expenses claimed. withholding it from disclosure may § 826.24 When an application may be submit that portion of the exhibit di- filed. rectly to the administrative law judge in a sealed envelope labeled ‘‘Confiden- (a) An application may be filed when- tial Financial Information,’’ accom- ever the applicant has prevailed in the panied by a motion to withhold the in- proceeding, but in no case no later formation from public disclosure. The than the 30 days after the Board’s final motion shall describe the information disposition of the proceeding. This 30- sought to be withheld and explain, in day deadline is statutory and the detail, why it falls within one or more Board has no authority to extend it. of the specific exemptions from manda- (b) If review or reconsideration is tory disclosure under the Freedom of sought or taken of a decision to which Information Act, 5 U.S.C. 552(b) (1) an applicant believes it has prevailed, through (9), why public disclosure of proceedings for the award of fees shall the information would adversely affect be stayed pending final disposition of the applicant, and why disclosure is the underlying controversy. not required in the public interest. The (c) For purposes of this rule, final material in question shall be served on disposition means the later of (1) the counsel representing the agency date on which an unappealed initial de- against which the applicant seeks an cision by an administrative law judge award, but need not be served on any becomes administratively final; (2) other party to the proceeding. If the issuance of an order disposing of any administrative law judge finds that the petitions for reconsideration of the information should not be withheld from disclosure, it shall be placed in Board’s final order in the proceeding; the public record of the proceeding. (3) if no petition for reconsideration is Otherwise, any request to inspect or filed, the last date on which such a pe- copy the exhibit shall be disposed of in tition could have been filed; or (4) accordance with the Board’s estab- issuance of a final order or any other lished procedures under the Freedom of final resolution of a proceeding, such Information Act as inplemented by as a settlement or voluntary dismissal, Part 801 of the Board’s rules. which is not subject to a petition for reconsideration. § 826.23 Documentation of fees and expenses. [46 FR 48209, Oct. 1, 1981, as amended at 59 FR 30532, June 14, 1994] The application shall be accompanied by full documentation of the fees and expenses, including the cost of any Subpart C—Procedures for study, analysis, engineering report, Considering Applications test, project or similar matter, for which an award is sought. A separate § 826.31 Filing and service of docu- itemized statement shall be submitted ments and general procedures. for each professional firm or individual The rules contained in 49 CFR part whose services are covered by the ap- 821 apply to proceedings under the Act,

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unless they are superseded by or are in- judge determines that the public inter- consistent with a provision of this est requires such participation in order part. to permit full exploration of matters raised in the comments. [59 FR 30532, June 14, 1994] § 826.35 Settlement. § 826.32 Answer to application. The applicant and agency counsel (a) Within 30 days after service of an may agree on a proposed settlement of application, counsel representing the the award before final action on the ap- agency against which an award is plication, either in connection with a sought may file an answer to the appli- settlement of the underlying pro- cation. Unless agency counsel requests ceeding, or after the underlying pro- an extension of time for filing or files ceeding has been concluded. If a pre- a statement of intent to negotiate vailing party and agency counsel agree under paragraph (b) of this section, on a proposed settlement of an award failure to file an answer within the 30- before an application has been filed, day period may be treated as a consent the application shall be filed with the to the award requested. proposed settlement. (b) If agency counsel and the applicant believe that the issues in the fee § 826.36 Further proceedings. application can be settled, they may (a) Ordinarily the determination of jointly file a statement of their intent an award will be made on the basis of to negotiate a settlement. The filing of the written record; however, on request this statement shall extend the time of either the applicant or agency coun- for filing an answer for an additional 30 sel, or on his or her own initiative, the days, and further extensions may be administrative law judge assigned to granted by the administrative law the matter may order further pro- judge upon request by agency counsel ceedings, such as an informal con- and the applicant. ference, oral argument, additional (c) The answer shall explain in detail written submissions, or an evidentiary any objections to the award requested hearing. Such further proceedings shall and identify the facts relied on in sup- be held only when necessary for full port of agency counsel’s position. If the and fair resolution of the issues arising answer is based on any alleged facts from the application and shall be con- not already in the record of the pro- ducted as promptly as possible. ceeding, agency counsel shall include (b) A request that the administrative with the answer either supporting affi- law judge order further proceedings davits or a request for further pro- under this section shall specifically ceedings under § 826.36. identify the information sought or the disputed issues and shall explain why § 826.33 Reply. the additional proceedings are nec- Within 15 days after service of an an- essary to resolve the issues. swer, the applicant may file a reply. If the reply is based on any alleged facts § 826.37 Decision. not already in the record of the pro- The administrative law judge shall ceeding, the applicant shall include issue an initial decision on the applica- with the reply either supporting affida- tion within 60 days after completion of vits or a request for further pro- proceedings on the application. The de- ceedings under § 826.36. cision shall include written findings and conclusions on the applicant’s eli- § 826.34 Comments by other parties. gibility and status as a prevailing Any party to a proceeding other than party and an explanation of the rea- the applicant and agency counsel may sons for any difference between the file comments on an application within amount requested and the amount 30 days after it is served or on an an- awarded. The decision shall also in- swer within 15 days after it is served. A clude, if at issue, findings on whether commenting party may not participate the agency’s position was substantially further in proceedings on the applica- justified, whether the applicant unduly tion unless the administrative law protracted the proceedings, or whether

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special circumstances make an award PART 830—NOTIFICATION AND RE- unjust. PORTING OF AIRCRAFT ACCI- § 826.38 Board review. DENTS OR INCIDENTS AND OVERDUE AIRCRAFT, AND PRES- Either the applicant or agency coun- ERVATION OF AIRCRAFT WRECK- sel may seek review of the initial deci- AGE, MAIL, CARGO, AND sion on the fee application, or the RECORDS Board may decide to review the decision on its own initiative, in accord- Subpart A—General ance with subpart H of part 821 for FAA safety enforcement matters appealed Sec. under section 609 of the Federal Avia- 830.1 Applicability. tion Act. If neither the applicant nor 830.2 Definitions. agency counsel seeks review and the Subpart B—Initial Notification of Aircraft Board does not take review on its own Accidents, Incidents, and Overdue Aircraft initiative, the initial decision on the application shall become a final deci- 830.5 Immediate notification. sion of the Board 30 days after it is 830.6 Information to be given in notifica- issued. Whether to review a decision is tion. a matter within the discretion of the Subpart C—Preservation of Aircraft Board. If review is taken, the Board Wreckage, Mail, Cargo, and Records will issue a final decision on the application or remand the application to the 830.10 Preservation of aircraft wreckage, administrative law judge who issued mail, cargo, and records. the initial fee award determination for Subpart D—Reporting of Aircraft Accidents, further proceedings. Incidents, and Overdue Aircraft § 826.39 Judicial review. 830.15 Reports and statements to be filed.

Judicial review of final Board deci- AUTHORITY: Independent Safety Board Act sions on awards may be sought as proof 1974, as amended (49 U.S.C. 1101–1155); Fed- vided in 5 U.S.C. 504(c)(2). eral Aviation Act of 1958, Public Law 85–726, 72 Stat. 731 (codified as amended at 49 U.S.C. § 826.40 Payment of award. 40101). An applicant seeking payment of an SOURCE: 53 FR 36982, Sept. 23, 1988, unless award shall submit to the disbursing otherwise noted. official of the FAA a copy of the Board’s final decision granting the Subpart A—General award, accompanied by a statement § 830.1 Applicability. that the applicant will not seek review of the decision in the United States This part contains rules pertaining courts. Applications for award grants to: in cases involving the FAA shall be (a) Initial notification and later resent to: The Office of Accounting and porting of aircraft incidents and acci- Audit, AAA–1, Federal Aviation Ad- dents and certain other occurrences in the operation of aircraft, wherever ministration, 800 Independence Avenue, they occur, when they involve civil air- SW., Washington, DC 20591. The agency craft of the United States; when they will pay the amount awarded to the ap- involve certain public aircraft, as spec- plicant within 60 days, unless judicial ified in this part, wherever they occur; review of the award or of the under- and when they involve foreign civil air- lying decision of the adversary adju- craft where the events occur in the dication has been sought by the appli- United States, its territories, or its cant or any other party to the pro- possessions. ceeding. (b) Preservation of aircraft wreckage, mail, cargo, and records involving all civil and certain public aircraft accidents, as specified in this part, in the

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United States and its territories or Notwithstanding any limitation relat- possessions. ing to use of the aircraft for commer- [60 FR 40112, Aug. 7, 1995] cial purposes, an aircraft shall be considered to be a public aircraft without § 830.2 Definitions. regard to whether it is operated by a As used in this part the following unit of government on behalf of an- words or phrases are defined as follows: other unit of government pursuant to a Aircraft accident means an occurrence cost reimbursement agreement, if the associated with the operation of an air- unit of government on whose behalf the craft which takes place between the operation is conducted certifies to the time any person boards the aircraft Administrator of the Federal Aviation with the intention of flight and all Administration that the operation was such persons have disembarked, and in necessary to respond to a significant which any person suffers death or seri- and imminent threat to life or property ous injury, or in which the aircraft re- (including natural resources) and that ceives substantial damage. no service by a private operator was Civil aircraft means any aircraft other reasonably available to meet the than a public aircraft. threat. Fatal injury means any injury which Serious injury means any injury results in death within 30 days of the which: (1) Requires hospitalization for accident. more than 48 hours, commencing with- Incident means an occurrence other in 7 days from the date of the injury than an accident, associated with the was received; (2) results in a fracture of operation of an aircraft, which affects any bone (except simple fractures of or could affect the safety of operations. fingers, toes, or nose); (3) causes severe Operator means any person who hemorrhages, nerve, muscle, or tendon causes or authorizes the operation of damage; (4) involves any internal an aircraft, such as the owner, lessee, organ; or (5) involves second- or third- or bailee of an aircraft. degree burns, or any burns affecting Public aircraft means an aircraft used more than 5 percent of the body sur- only for the United States Govern- face. ment, or an aircraft owned and oper- means damage or ated (except for commercial purposes) Substantial damage or exclusively leased for at least 90 failure which adversely affects the continuous days by a government other structural strength, performance, or than the United States Government, flight characteristics of the aircraft, including a State, the District of Co- and which would normally require lumbia, a territory or possession of the major repair or replacement of the af- United States, or a political subdivi- fected component. Engine failure or sion of that government. ‘‘Public air- damage limited to an engine if only craft’’ does not include a government- one engine fails or is damaged, bent owned aircraft transporting property fairings or cowling, dented skin, small for commercial purposes and does not punctured holes in the skin or fabric, include a government-owned aircraft ground damage to rotor or propeller transporting passengers other than: blades, and damage to landing gear, transporting (for other than commer- wheels, tires, flaps, engine accessories, cial purposes) crewmembers or other brakes, or wingtips are not considered persons aboard the aircraft whose pres- ‘‘substantial damage’’ for the purpose ence is required to perform, or is asso- of this part. ciated with the performance of, a gov- [53 FR 36982, Sept. 23, 1988, as amended at 60 ernmental function such as fire- FR 40112, Aug. 7, 1995] fighting, search and rescue, law enforcement, aeronautical research, or EFFECTIVE DATE NOTE: At 75 FR 51955, Aug. biological or geological resource man- 24, 2010, § 830.2 was amended by adding the following sentence at the end of the defini- agement; or transporting (for other tion of ‘‘Aircraft accident’’ and adding a new than commercial purposes) persons definition of ‘‘Unmanned aircraft accident’’, aboard the aircraft if the aircraft is op- effective Oct. 25, 2010. For the convenience of erated by the Armed Forces or an in- the user, the added text is set forth as fol- telligence agency of the United States. lows:

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§ 830.2 Definitions (4) In-flight fire; (5) Aircraft collision in flight; * * * * * (6) Damage to property, other than the aircraft, estimated to exceed $25,000 Aircraft accident * * * For purposes of this part, the definition of ‘‘aircraft accident’’ infor repair (including materials and cludes ‘‘unmanned aircraft accident,’’ as de- labor) or fair market value in the event fined herein. of total loss, whichever is less. (7) For large multiengine aircraft * * * * * (more than 12,500 pounds maximum certificated takeoff weight): Unmanned aircraft accident means an occur- (i) In-flight failure of electrical sys- rence associated with the operation of any tems which requires the sustained use public or civil unmanned aircraft system that takes place between the time that the of an emergency bus powered by a system is activated with the purpose of back-up source such as a battery, aux- flight and the time that the system is deacti- iliary power unit, or air-driven gener- vated at the conclusion of its mission, in ator to retain flight control or essen- which: tial instruments; (1) Any person suffers death or serious in- (ii) In-flight failure of hydraulic sys- jury; or tems that results in sustained reliance (2) The aircraft has a maximum gross take- on the sole remaining hydraulic or me- off weight of 300 pounds or greater and sus- tains substantial damage. chanical system for movement of flight control surfaces; (iii) Sustained loss of the power or Subpart B—Initial Notification of thrust produced by two or more en- Aircraft Accidents, Incidents, gines; and and Overdue Aircraft (iv) An evacuation of an aircraft in which an emergency egress system is § 830.5 Immediate notification. utilized. The operator of any civil aircraft, or (8) Release of all or a portion of a any public aircraft not operated by the propeller blade from an aircraft, ex- Armed Forces or an intelligence agen- cluding release caused solely by ground cy of the United States, or any foreign contact; aircraft shall immediately, and by the (9) A complete loss of information, most expeditious means available, no- excluding flickering, from more than 50 tify the nearest National Transpor- percent of an aircraft’s cockpit dis- tation Safety Board (NTSB) office 1 plays known as: when: (i) Electronic Flight Instrument Sys- (a) An aircraft accident or any of the tem (EFIS) displays; following listed serious incidents (ii) Engine Indication and Crew occur: Alerting System (EICAS) displays; (1) Flight control system malfunc- (iii) Electronic Centralized Aircraft tion or failure; Monitor (ECAM) displays; or (2) Inability of any required flight (iv) Other displays of this type, which crewmember to perform normal flight generally include a primary flight dis- duties as a result of injury or illness; play (PFD), primary navigation display (3) Failure of any internal turbine en- (PND), and other integrated displays; gine component that results in the es- (10) Airborne Collision and Avoidance cape of debris other than out the ex- System (ACAS) resolution advisories haust path; issued either: (i) When an aircraft is being operated 1 NTSB regional offices are located in the on an instrument flight rules flight following cities: Anchorage, Alaska; Atlanta, plan and compliance with the advisory Georgia; West Chicago, Illinois; Denver, Col- is necessary to avert a substantial risk orado; Arlington, Texas; Gardena (Los Ange- of collision between two or more air- les), California; Miami, Florida; Seattle, craft; or Washington; and Ashburn, Virginia. In addition, NTSB headquarters is located at 490 (ii) To an aircraft operating in class L’Enfant Plaza, SW., Washington, DC 20594. A airspace. Contact information for these offices is (11) Damage to helicopter tail or available at http://www.ntsb.gov. main rotor blades, including ground

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damage, that requires major repair or ums of flight, maintenance, and voice replacement of the blade(s); recorders, pertaining to the operation (12) Any event in which an operator, and maintenance of the aircraft and to when operating an airplane as an air the airmen until the Board takes cus- carrier at a public-use airport on land: tody thereof or a release is granted (i) Lands or departs on a taxiway, in- pursuant to § 831.12(b) of this chapter. correct runway, or other area not de- (b) Prior to the time the Board or its signed as a runway; or authorized representative takes cus- (ii) Experiences a runway incursion tody of aircraft wreckage, mail, or that requires the operator or the crew cargo, such wreckage, mail, or cargo of another aircraft or vehicle to take may not be disturbed or moved except immediate corrective action to avoid a to the extent necessary: collision. (1) To remove persons injured or (b) An aircraft is overdue and is be- trapped; lieved to have been involved in an acci- (2) To protect the wreckage from fur- dent. ther damage; or [53 FR 36982, Sept. 23, 1988, as amended at 60 (3) To protect the public from injury. FR 40113, Aug. 7, 1995; 75 FR 927, Jan. 7, 2010; (c) Where it is necessary to move air- 75 FR 35330, June 22, 2010] craft wreckage, mail or cargo, sketches, descriptive notes, and photo- § 830.6 Information to be given in noti- graphs shall be made, if possible, of the fication. original positions and condition of the The notification required in § 830.5 wreckage and any significant impact shall contain the following informa- marks. tion, if available: (d) The operator of an aircraft in- (a) Type, nationality, and registra- volved in an accident or incident shall tion marks of the aircraft; retain all records, reports, internal (b) Name of owner, and operator of documents, and memoranda dealing the aircraft; with the accident or incident, until au- (c) Name of the pilot-in-command; thorized by the Board to the contrary. (d) Date and time of the accident; (e) Last point of departure and point Subpart D—Reporting of Aircraft of intended landing of the aircraft; Accidents, Incidents, and (f) Position of the aircraft with reference to some easily defined geo- Overdue Aircraft graphical point; § 830.15 Reports and statements to be (g) Number of persons aboard, num- filed. ber killed, and number seriously injured; (a) Reports. The operator of a civil, (h) Nature of the accident, the weath- public (as specified in § 830.5), or foreign er and the extent of damage to the air- aircraft shall file a report on Board 1 2 craft, so far as is known; and Form 6120. ⁄2 (OMB No. 3147–0001) with- (i) A description of any explosives, in 10 days after an accident, or after 7 radioactive materials, or other dan- days if an overdue aircraft is still miss- gerous articles carried. ing. A report on an incident for which immediate notification is required by § 830.5(a) shall be filed only as requested Subpart C—Preservation of Air- by an authorized representative of the craft Wreckage, Mail, Cargo, Board. and Records (b) Crewmember statement. Each crewmember, if physically able at the time § 830.10 Preservation of aircraft the report is submitted, shall attach a wreckage, mail, cargo, and records. statement setting forth the facts, con- (a) The operator of an aircraft in- ditions, and circumstances relating to volved in an accident or incident for which notification must be given is re- 2 Forms are available from the Board field sponsible for preserving to the extent offices (see footnote 1), from Board head- possible any aircraft wreckage, cargo, quarters in Washington, DC, and from the and mail aboard the aircraft, and all Federal Aviation Administration Flight records, including all recording medi- Standards District Offices.

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the accident or incident as they appear ified in § 830.5 of this chapter), includ- to him. If the crewmember is incapaci- ing an investigation involving civil or tated, he shall submit the statement as public aircraft (as specified in § 830.5) soon as he is physically able. on the one hand, and an Armed Forces (c) Where to file the reports. The oper- or intelligence agency aircraft on the ator of an aircraft shall file any report other hand. It is also responsible for in- with the field office of the Board near- vestigating accidents/incidents that est the accident or incident. occur outside the United States, and [53 FR 36982, Sept. 23, 1988, as amended at 60 which involve civil aircraft and/or cer- FR 40113, Aug. 7, 1995] tain public aircraft, when the accident/ incident is not in the territory of another country (i.e., in international wa- PART 831—ACCIDENT/INCIDENT ters). INVESTIGATION PROCEDURES (2) Certain aviation investigations may be conducted by the Federal Avia- Sec. tion Administration (FAA), pursuant 831.1 Applicability of part. 831.2 Responsibility of Board. to a ‘‘Request to the Secretary of the 831.3 Authority of Directors. Department of Transportation to In- 831.4 Nature of investigation. vestigate Certain Aircraft Accidents,’’ 831.5 Priority of Board investigations. effective February 10, 1977 (the text of 831.6 Request to withhold information. the request is contained in the appen- 831.7 Right to representation. dix to part 800 of this chapter), but the 831.8 Investigator-in-charge. Board determines the probable cause of 831.9 Authority of Board representatives. 1 831.10 Autopsies. such accidents or incidents. Under no 831.11 Parties to the investigation. circumstances are aviation investiga- 831.12 Access to and release of wreckage, tions where the portion of the inves- records, mail, and cargo. tigation is so delegated to the FAA by 831.13 Flow and dissemination of accident the Board considered to be joint inves- or incident information. tigations in the sense of sharing re- 831.14 Proposed findings. sponsibility. These investigations re- AUTHORITY: Independent Safety Board Act main NTSB investigations. of 1974, as amended (49 U.S.C. 1101 et seq.); (3) The Board is the agency charged Federal Aviation Act of 1958, as amended (49 with fulfilling the obligations of the U.S.C. 40101 et seq.). United States under Annex 13 to the SOURCE: 53 FR 15847, May 4, 1988, unless Chicago Convention on International otherwise noted. Civil Aviation (Eighth Edition, July 1994), and does so consistent with State § 831.1 Applicability of part. Department requirements and in co- Unless otherwise specifically ordered ordination with that department. by the National Transportation Safety Annex 13 contains specific require- Board (Board), the provisions of this ments for the notification, investiga- part shall govern all accident or inci- tion, and reporting of certain incidents dent investigations, conducted under and accidents involving international the authority of title VII of the Fed- civil aviation. In the case of an acci- eral Aviation Act of 1958, as amended, dent or incident in a foreign state in- and the Independent Safety Board Act volving civil aircraft of U.S. registry or of 1974. Rules applicable to accident manufacture, where the foreign state is hearings and reports are set forth in a signatory to Annex 13 to the Chicago part 845. Convention of the International Civil Aviation Organization, the state of oc- § 831.2 Responsibility of Board. currence is responsible for the inves- (a) Aviation. (1) The Board is respon- tigation. If the accident or incident oc- sible for the organization, conduct, and curs in a foreign state not bound by the control of all accident and incident in- provisions of Annex 13 to the Chicago vestigations (see § 830.2 of this chapter) within the Untied States, its terri- 1 The authority of a representative of the tories and possessions, where the acci- FAA during such investigations is the same dent or incident involves any civil air- as that of a Board investigator under this craft or certain public aircraft (as spec- part.

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Convention, or if the accident or inci- § 831.4 Nature of investigation. dent involves a public aircraft (Annex Accident and incident investigations 13 applies only to civil aircraft), the are conducted by the Board to deter- conduct of the investigation shall be in mine the facts, conditions, and cir- consonance with any agreement en- cumstances relating to an accident or tered into between the United States incident and the probable cause(s) and the foreign state. thereof. These results are then used to (b) Surface. The Board is responsible ascertain measures that would best for the investigation of: railroad acci- tend to prevent similar accidents or in- dents in which there is a fatality, sub- cidents in the future. The investigation stantial property damage, or which in- includes the field investigation (on- volve a passenger train (see part 840 of scene at the accident, testing, tear- this chapter); major marine casualties down, etc.), report preparation, and, and marine accidents involving a public and non-public vessel or involving where ordered, a public hearing. The Coast Guard functions (see part 850 of investigation results in Board conclu- this chapter 2); highway accidents, in- sions issued in the form of a report or cluding railroad grade-crossing acci- ‘‘brief’’ of the incident or accident. Ac- dents, the investigation of which is se- cident/incident investigations are fact- lected in cooperation with the States; finding proceedings with no formal and pipeline accidents in which there is issues and no adverse parties. They are a fatality, significant injury to the en- not subject to the provisions of the Ad- vironment, or substantial property ministrative Procedure Act (5 U.S.C. damage. 504 et seq.), and are not conducted for the purpose of determining the rights (c) Other accidents/incidents. The or liabilities of any person. Board is also responsible for the investigation of an accident/incident that [62 FR 3806, Jan. 27, 1997] occurs in connection with the transportation of people or property which, in § 831.5 Priority of Board investiga- the judgment of the Board, is cata- tions. strophic, involves problems of a recur- Any investigation of an accident or ring character, or would otherwise incident conducted by the Safety Board carry out the policy of the Independent directly or pursuant to the appendix to Safety Board Act of 1974. This author- part 800 of this chapter (except major ity includes, but is not limited to, ma- marine investigations conducted under rine and boating accidents and inci- 49 U.S.C. 1131(a)(1)(E)) has priority over dents not covered by part 850 of this all other investigations of such acci- chapter, and accidents/incidents se- dent or incident conducted by other lected by the Board involving transpor- Federal agencies. The Safety Board tation and/or release of hazardous ma- shall provide for the appropriate par- terials. ticipation by other Federal agencies in [62 FR 3806, Jan. 27, 1997] any such investigation, except that such agencies may not participate in § 831.3 Authority of Directors. the Safety Board’s determination of the probable cause of the accident or The Directors, Office of Aviation incident. Nothing in this section im- Safety, Office of Railroad Safety, Of- pairs the authority of other Federal fice of Highway Safety, Office of Ma- agencies to conduct investigations of rine Safety, and Office of Pipeline and an accident or incident under applica- Hazardous Materials Safety, subject to the provisions of § 831.2 and part 800 of ble provisions of law or to obtain infor- this chapter, may order an investiga- mation directly from parties involved tion into any accident or incident. in, and witnesses to, the transportation accident or incident, provided they do [63 FR 71606, Dec. 29, 1998] so without interfering with the Safety Board’s investigation. The Safety 2 Part 850 also governs the conduct of cer- Board and other Federal agencies shall tain investigations in which the Board and assure that appropriate information the Coast Guard participate jointly. obtained or developed in the course of

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their investigations is exchanged in a mation for the purposes of safety rec- timely manner. ommendations will be undertaken with [62 FR 3807, Jan. 27, 1997] consideration for the confidential nature of the underlying database(s). § 831.6 Request to withhold informa- (b) Other. Any person may make tion. written objection to the public disclo- (a) Trade Secrets Act (18 U.S.C. 1905), sure of any other information con- Exemption 4 of the Freedom of Informa- tained in any report or document filed, tion Act (5 U.S.C. 552) (FOIA), and The or otherwise obtained by the Board, Independent Safety Board Act of 1974, as stating the grounds for such objection. amended—(1) General. The Trade Se- The Board, on its own initiative or if crets Act provides criminal penalties such objection is made, may order such for unauthorized government disclo- information withheld from public dis- sure of trade secrets and other speci- closure when, in its judgment, the in- fied confidential commercial informa- formation may be withheld under the tion. The Freedom of Information Act provisions of an exemption to the Free- authorizes withholding of such infor- dom of Information Act (5 U.S.C. 552, mation; however, the Independent Safety Board Act, at 49 U.S.C. 1114(b), see part 801 of this chapter), and its re- provides that the Board may, under lease is found not to be in the public certain circumstances, disclose infor- interest. mation related to trade secrets. [62 FR 3807, Jan. 27, 1997] (2) Procedures. Information submitted to the Board that the submitter be- § 831.7 Right to representation. lieves qualifies as a trade secret or confidential commercial information sub- Any person interviewed by an au- ject either to the Trade Secrets Act or thorized representative of the Board FOIA Exemption 4 shall be so identi- during the investigation, regardless of fied by the submitter on each and the form of the interview (sworn, every page of such document. The unsworn, transcribed, not transcribed, Board shall give the submitter of any etc.), has the right to be accompanied, information so identified, or informa- represented, or advised by an attorney tion the Board has substantial reason or non-attorney representative. to believe qualifies as a trade secret or [62 FR 3807, Jan. 27, 1997] confidential commercial information subject either to the Trade Secrets Act § 831.8 Investigator-in-charge. or FOIA Exemption 4, the opportunity to comment on any contemplated dis- The designated investigator-in- closure, pursuant to 49 U.S.C. 1114(b). charge (IIC) organizes, conducts, con- In all instances where the Board deter- trols, and manages the field phase of mines to disclose pursuant to 49 U.S.C. the investigation, regardless of wheth- 1114(b) and/or 5 U.S.C. 552, at least 10 er a Board Member is also on-scene at days’ notice will be provided the sub- the accident or incident site. (The role mitter. Notice may not be provided the of the Board member at the scene of an submitter when disclosure is required accident investigation is as the official by a law other than FOIA if the infor- spokesperson for the Safety Board.) mation is not identified by the sub- The IIC has the responsibility and au- mitter as qualifying for withholding, as thority to supervise and coordinate all is required by this paragraph, unless resources and activities of all per- the Board has substantial reason to be- sonnel, both Board and non-Board, in- lieve that disclosure would result in volved in the on-site investigation. The competitive harm. IIC continues to have considerable or- (3) Voluntarily-provided safety informa- ganizational and management respon- tion. It is the policy of the Safety sibilities throughout later phases of Board that commercial, safety-related the investigation, up to and including information provided to it voluntarily Board consideration and adoption of a and not in the context of particular ac- report or brief of probable cause(s). cident/incident investigations will not be disclosed. Reference to such infor- [62 FR 3807, Jan. 27, 1997]

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§ 831.9 Authority of Board representa- stock, track, pipeline component, or tives. any part of any such item when such (a) General. Any employee of the examination or testing is determined Board, upon presenting appropriate to be required for purposes of such in- credentials, is authorized to enter any vestigation. property where an accident/incident (2) Any examination or testing shall subject to the Board’s jurisdiction has be conducted in such a manner so as occurred, or wreckage from any such not to interfere with or obstruct un- accident/incident is located, and do all necessarily the transportation services things considered necessary for proper provided by the owner or operator of investigation. Further, upon demand of such vehicle, vessel, rolling stock, an authorized representative of the track, or pipeline component, and shall Board and presentation of credentials, be conducted in such a manner so as to any Government agency, or person preserve, to the maximum extent fea- having possession or control of any sible, any evidence relating to the transportation vehicle or component thereof, any facility, equipment, proc- transportation accident, consistent ess or controls relevant to the inves- with the needs of the investigation and tigation, or any pertinent records or with the cooperation of such owner or memoranda, including all files, hos- operator. pital records, and correspondence then [53 FR 15847, May 4, 1988, as amended at 60 or thereafter existing, and kept or re- FR 40113, Aug. 7, 1995; 62 FR 3807, Jan. 27, quired to be kept, shall forthwith per- 1997] mit inspection, photographing, or copying thereof by such authorized rep- § 831.10 Autopsies. resentative for the purpose of inves- The Board is authorized to obtain, tigating an accident or incident, or with or without reimbursement, a copy preparing a study, or related to any special investigation pertaining to of the report of autopsy performed by safety or the prevention of accidents. State or local officials on any person The Safety Board may issue a sub- who dies as a result of having been in- poena, enforceable in Federal district volved in a transportation accident court, to obtain testimony or other within the jurisdiction of the Board. evidence. Authorized representatives of The investigator-in-charge, on behalf the Board may question any person of the Board, may order an autopsy or having knowledge relevant to an acci- seek other tests of such persons as may dent/incident, study, or special inves- be necessary to the investigation, pro- tigation. Authorized representatives of vided that to the extent consistent the Board also have exclusive author- with the needs of the accident inves- ity, on behalf of the Board, to decide tigation, provisions of local law pro- the way in which any testing will be tecting religious beliefs with respect to conducted, including decisions on the autopsies shall be observed. person that will conduct the test, the type of test that will be conducted, and § 831.11 Parties to the investigation. any individual who will witness the (a) All Investigations, regardless of test. mode. (1) The investigator-in-charge (b) Aviation. Any employee of the Board, upon presenting appropriate designates parties to participate in the credentials, is authorized to examine investigation. Parties shall be limited and test to the extent necessary any to those persons, government agencies, civil or public aircraft (as specified in companies, and associations whose em- § 830.5), aircraft engine, propeller, ap- ployees, functions, activities, or prod- pliance, or property aboard such air- ucts were involved in the accident or craft involved in an accident in air incident and who can provide suitable commerce. qualified technical personnel actively (c) Surface. (1) Any employee of the to assist in the investigation. Other Board, upon presenting appropriate than the FAA in aviation cases, no credentials, is authorized to test or ex- other entity is afforded the right to amine any vehicle, vessel, rolling participate in Board investigations.

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(2) Participants in the investigation participate in any particular investiga- (i.e., party representatives, party coor- tion, examination or testing shall be dinators, and/or the larger party orga- permitted access to wreckage, records, nization) shall be responsive to the di- mail, or cargo in the Board’s custody. rection of Board representatives and (b) Wreckage, records, mail, and may lose party status if they do not cargo in the Board’s custody shall be comply with their assigned duties and released by an authorized representa- activity proscriptions or instructions, tive of the Board when it is determined or if they conduct themselves in a that the Board has no further need of manner prejudicial to the investiga- such wreckage, mail, cargo, or records. tion. When such material is released, Form (3) No party to the investigation 6120.15, ‘‘Release of Wreckage,’’ will be shall be represented in any aspect of completed, acknowledging receipt. the NTSB investigation by any person who also represents claimants or insur- [62 FR 3808, Jan. 27, 1997] ers. No party representative may oc- § 831.13 Flow and dissemination of ac- cupy a legal position (see § 845.13 of this cident or incident information. chapter). Failure to comply with these provisions may result in sanctions, in- (a) Release of information during the cluding loss of status as a party. field investigation, particularly at the (4) Title 49, United States Code § 1132 accident scene, shall be limited to fac- provides for the appropriate participa- tual developments, and shall be made tion of the FAA in Board investiga- only through the Board Member tions, and § 1131(a)(2) provides for such present at the accident scene, the rep- participation by other departments, resentative of the Board’s Office of agencies, or instrumentalities. The Public Affairs, or the investigator-in- FAA and those other entities that charge. meet the requirements of paragraph (b) All information concerning the (a)(1) of this section will be parties to accident or incident obtained by any the investigation with the same rights person or organization participating in and privileges and subject to the same the investigation shall be passed to the limitations as other parties, provided IIC through appropriate channels be- however that representatives of the fore being provided to any individual FAA need not sign the ‘‘Statement of outside the investigation. Parties to Party Representatives to NTSB Inves- the investigation may relay to their re- tigation’’ (see paragraph (b) of this sec- spective organizations information tion). necessary for purposes of prevention or (b) Aviation investigations. In addition remedial action. However, no informa- to compliance with the provisions of tion concerning the accident or inci- paragraph (a) of this section, and to as- dent may be released to any person not sist in ensuring complete under- a party representative to the investiga- standing of the requirements and limi- tion (including non-party representa- tations of party status, all party rep- tive employees of the party organiza- resentatives in aviation investigations tion) before initial release by the Safe- shall sign ‘‘Statement of Party Rep- ty Board without prior consultation resentatives to NTSB Investigation’’ and approval of the IIC. immediately upon attaining party rep- [53 FR 15847, May 4, 1988, as amended at 62 resentative status. Failure timely to FR 3808, Jan. 27, 1997] sign that statement may result in sanctions, including loss of status as a § 831.14 Proposed findings. party. (a) General. Any person, government [62 FR 3808, Jan. 27, 1997, as amended at 63 agency, company, or association whose FR 71606, Dec. 29, 1998] employees, functions, activities, or products were involved in an accident § 831.12 Access to and release of or incident under investigation may wreckage, records, mail, and cargo. submit to the Board written proposed (a) Only the Board’s accident inves- findings to be drawn from the evidence tigation personnel, and persons author- produced during the course of the in- ized by the investigator-in-charge to vestigation, a proposed probable cause,

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and/or proposed safety recommenda- broiling the Board in controversial tions designed to prevent future acci- issues that are not related to its du- dents. ties, to avoid spending public funds for (b) Timing of submissions. To be con- non-Board purposes, to preserve the sidered, these submissions must be re- impartiality of the Board, and to pro- ceived before the matter is calendared hibit the discovery of opinion testi- for consideration at a Board meeting. mony. All written submissions are expected to have been presented to staff in advance [63 FR 71607, Dec. 29, 1998] of the formal scheduling of the meet- § 835.2 Definitions. ing. This procedure ensures orderly and thorough consideration of all views. Accident, for purposes of this part in- (c) Exception. This limitation does cludes ‘‘incident.’’ not apply to safety enforcement cases Board accident report means the re- handled by the Board pursuant to part port containing the Board’s determina- 821 of this chapter. Separate ex parte tions, including the probable cause of rules, at part 821, subpart J, apply to an accident, issued either as a nar- those proceedings. rative report or in a computer format (‘‘briefs’’ of accidents). Pursuant to [62 FR 3808, Jan. 27, 1997] section 701(e) of the Federal Aviation Act of 1958 (FA Act), and section 304(c) PART 835—TESTIMONY OF BOARD of the Independent Safety Board Act of EMPLOYEES 1974 (49 U.S.C. 1154(b)) (Safety Act), no part of a Board accident report may be Sec. admitted as evidence or used in any 835.1 Purpose. suit or action for damages growing out 835.2 Definitions. 835.3 Scope of permissible testimony. of any matter mentioned in such re- 835.4 Use of reports. ports. 835.5 Manner in which testimony is given in Factual accident report means the re- civil litigation. port containing the results of the in- 835.6 Request for testimony in civil litiga- vestigator’s investigation of the acci- tion. dent. The Board does not object to, and 835.7 Testimony of former Board employees. there is no statutory bar to, admission 835.8 Testimony by current Board employees regarding prior activity. in litigation of factual accident re- 835.9 Procedure in the event of a subpoena ports. In the case of a major investiga- in civil litigation. tion, group chairman factual reports 835.10 Testimony in Federal, State, or local are factual accident reports. criminal investigations and other proceedings. [63 FR 71607, Dec. 29, 1998, as amended at 64 835.11 Obtaining Board accident reports, FR 5622, Feb. 4, 1999] factual accident reports, and supporting information. § 835.3 Scope of permissible testimony.

AUTHORITY: 5 U.S.C. 301; Independent Safe- (a) Section 701(e) of the FA Act and ty Board Act of 1974, as amended (49 U.S.C. section 304(c) of the Safety Act pre- 1101 et seq.). clude the use or admission into evidence of Board accident reports in any § 835.1 Purpose. suit or action for damages arising from This part prescribes policies and pro- accidents. These sections reflect Con- cedures regarding the testimony of em- gress’ ‘‘strong * * * desire to keep the ployees of the National Transportation Board free of the entanglement of such Safety Board (Board) in suits or ac- suits.’’ Rep. No. 93–1192, 93d Cong., 2d tions for damages and criminal pro- Sess., 44 (1974), and serve to ensure that ceedings arising out of transportation the Board does not exert an undue in- accidents when such testimony is in an fluence on litigation. The purposes of official capacity and arises out of or is these sections would be defeated if ex- related to accident investigation. The pert opinion testimony of Board em- purpose of this part is to ensure that ployees, which may be reflected in the the time of Board employees is used views of the Board expressed in its re- only for official purposes, to avoid em- ports, were admitted in evidence or

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used in litigation arising out of an ac- § 835.4 Use of reports. cident. The Board relies heavily upon its investigators’ opinions in its delib- (a) As a testimonial aid and to re- erations. Furthermore, the use of fresh their memories, Board employees Board employees as experts to give may use copies of the factual accident opinion testimony would impose a sig- report they prepared, and may refer to nificant administrative burden on the and cite from that report during testi- Board’s investigative staff. Litigants mony. must obtain their expert witnesses (b) Consistent with section 701(e) of from other sources. the FA Act and section 304(c) of the (b) For the reasons stated in para- Safety Act, a Board employee may not graph (a) of this section and § 835.1, use the Board’s accident report for any Board employees may only testify as to purpose during his testimony. the factual information they obtained during the course of an investigation, [55 FR 41541, Oct. 12, 1990, as amended at 63 including factual evaluations embodied FR 71607, Dec. 29, 1998] in their factual accident reports. How- § 835.5 Manner in which testimony is ever, they shall decline to testify re- given in civil litigation. garding matters beyond the scope of their investigation, and they shall not (a) Testimony of Board employees give any expert or opinion testimony. with unique, firsthand information (c) Board employees may testify may be made available for use in civil about the firsthand information they actions or civil suits for damages aris- obtained during an investigation that ing out of accidents through deposi- is not reasonably available elsewhere, tions or written interrogatories. Board including observations recorded in employees are not permitted to appear their own factual accident reports. and testify in court in such actions. Consistent with the principles cited in (b) Normally, depositions will be § 835.1 and this section, current Board taken and interrogatories answered at employees are not authorized to testify the Board’s office to which the em- regarding other employee’s reports, or ployee is assigned, and at a time ar- other types of Board documents, in- ranged with the employee reasonably cluding but not limited to safety rec- fixed to avoid substantial interference ommendations, safety studies, safety with the performance of his duties. proposals, safety accomplishments, reports labeled studies, and analysis re- (c) Board employees are authorized ports, as they contain staff analysis to testify only once in connection with and/or Board conclusions. any investigation they have made of an (d) Briefs of accidents may be re- accident. Consequently, when more leased in conjunction with factual acci- than one civil lawsuit arises as a result dent reports. Nevertheless, they are of an accident, it shall be the duty of not part of those reports and are not to counsel seeking the employee’s deposi- be admitted in evidence or used in a tion to ascertain the identity of all deposition approved under this part. parties to the multiple lawsuits and (e) Not all material in a factual acci- their counsel, and to advise them of dent report may be the subject of testi- the fact that a deposition has been mony. The purpose of the factual acci- granted, so that all interested parties dent report, in great part, is to inform may be afforded the opportunity to the public at large, and as a result the participate therein. factual accident report may contain in- (d) Upon completion of the deposition formation and conclusions for which of a Board employee, the original of testimony is prohibited by this part. the transcript will be provided the de- (f) No employee may testify in any ponent for signature and correction, matter absent advance approval by the which the Board does not waive. A General Counsel as provided in this copy of the transcript of the testimony part. and any videotape shall be furnished, [55 FR 41541, Oct. 12, 1990, as amended at 63 at the expense of the party requesting FR 71607, Dec. 29, 1998; 64 FR 5622, Feb. 4, the deposition, to the Board’s General 1999]

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Counsel at Washington, DC head- § 835.7 Testimony of former Board em- quarters for the Board’s files. ployees. [55 FR 41541, Oct. 12, 1990, as amended at 63 It is not necessary to request Board FR 71607, Dec. 29, 1998] approval for testimony of a former Board employee, nor is testimony lim- § 835.6 Request for testimony in civil ited to depositions. However, the scope litigation. of permissible testimony continues to (a) A written request for testimony be constrained by all the limitations by deposition or interrogatories of a set forth in § 835.3 and § 835.4. Board employee relating to an accident [63 FR 71608, Dec. 29, 1998] shall be addressed to the General Coun- sel, who may approve or deny the re- § 835.8 Testimony by current Board quest consistent with this part. Such employees regarding prior activity. request shall set forth the title of the Any testimony regarding any acci- civil case, the court, the type of accident within the Board’s jurisdiction, or dent (aviation, railroad, etc.), the date any expert testimony arising from em- and place of the accident, the reasons ployment prior to Board service is pro- for desiring the testimony, and a show- hibited absent approval by the General ing that the information desired is not Counsel. Approval shall only be given if reasonably available from other testimony will not violate § 835.1 and sources. § 835.3, and is subject to whatever con- (b) Where testimony is sought in conditions the General Counsel finds nec- nection with civil litigation, the Gen- essary to promote the purposes of this eral Counsel shall not approve it until part as set forth in § 835.1 and § 835.3. the factual accident report is issued [63 FR 71608, Dec. 29, 1998] (i.e., in the public docket). In the case of major accident investigations where § 835.9 Procedure in the event of a there are multiple factual reports subpoena in civil litigation. issued and testimony of group chair- (a) If the Board employee has re- men is sought, the General Counsel ceived a subpoena to appear and testify may approve depositions regarding in connection with civil litigation, a completed group factual reports at any request for his deposition shall not be time after incorporation of the report approved until the subpoena has been in the public docket. However, no depo- withdrawn. sition will be approved prior to the (b) Upon receipt of a subpoena, the Board’s public hearing, where one is employee shall immediately notify the scheduled or contemplated. The Gen- General Counsel and provide all infor- eral Counsel may approve a deposition mation requested by the General Coun- in the absence of a factual accident re- sel. port when such a report will not be (c) The General Counsel shall deter- issued but all staff fact-finding is com- mine the course of action to be taken plete. and will so advise the employee. (c) The General Counsel shall attach to the approval of any deposition such [63 FR 71608, Dec. 29, 1998] reasonable conditions as may be § 835.10 Testimony in Federal, State, deemed appropriate in order that the or local criminal investigations and testimony will be consistent with other proceedings. § 835.1, will be limited to the matters (a) As with civil litigation, the Board delineated in § 835.3, will not interfere prefers that testimony be taken by with the performance of the duties of deposition if court rules permit, and the employee as set forth in § 835.5, and that testimony await the issuance of will otherwise conform to the policies the factual accident report. The Board of this part. recognizes, however, that in the case of (d) A subpoena shall not be served coroner’s inquests and grand jury pro- upon a Board employee in connection ceedings this may not be possible. The with the taking of a deposition in civil Board encourages those seeking testi- litigation. mony of Board employees to contact [63 FR 71607, Dec. 29, 1998] the General Counsel as soon as such

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testimony is being considered. When- § 837.1 Purpose and scope. ever the intent to seek such testimony (a) This part sets forth procedures to is communicated to the employee, he be followed when requesting material shall immediately notify the General for use in legal proceedings (including Counsel. administrative proceedings) in which (b) In any case, Board employees are the National Transportation Safety prohibited from testifying in any civil, Board (NTSB or Board) is not a party, criminal, or other matter, either in and procedures to be followed by the person or by deposition or interrog- employee upon receipt of a subpoena, atories, absent advance approval of the General Counsel. The Board discour- order, or other demand (collectively re- ages the serving of a subpoena for tes- ferred to here as a demand) by a court timony but, if issued, it should be or other competent authority or by a served on the General Counsel, rather private litigant. ‘‘Material,’’ as used in than the employee. this part, means any type of physical (c) If permission to testify by deposi- or documentary evidence, including tion or in person is granted, testimony but not limited to paper documents, shall be limited as set forth in § 835.3. electronic media, videotapes, audio- Only factual testimony is authorized; tapes, etc. no expert or opinion testimony shall be (b) The purposes of this part are to: given. (1) Conserve the time of employees for conducting official business; [63 FR 71608, Dec. 29, 1998] (2) Minimize the possibility of involving the NTSB in controversial issues § 835.11 Obtaining Board accident reports, factual accident reports, and not related to its mission; supporting information. (3) Maintain the impartiality of the Board among private litigants; It is the responsibility of the individual requesting testimony to obtain (4) Avoid spending the time and desired documents. There are a number money of the United States for private of ways to obtain Board accident re- purposes; and ports, factual accident reports, and ac- (5) To protect confidential, sensitive companying accident docket files. Our information, and the deliberative proc- rules at parts 801 and 837 of this chap- esses of the Board. ter explain our procedures, as will our web site, at www.ntsb.gov. Or, you may § 837.2 Applicability. call our Public Inquiries Branch, at This part applies to requests to (800) 877–6799. Documents will not be produce material concerning informa- supplied by witnesses at depositions, tion acquired in the course of per- nor will copying services be provided forming official duties or because of by deponents. the employee’s official status. Specifi- cally, this part applies to requests for: [63 FR 71608, Dec. 29, 1998] material contained in NTSB files; and any information or material acquired PART 837—PRODUCTION OF by an employee of the NTSB in the per- RECORDS IN LEGAL PROCEEDINGS formance of official duties or as a result of the employee’s status. Two sets Sec. of procedures are here established, de- 837.1 Purpose and scope. pendent on the type of material 837.2 Applicability. sought. Rules governing requests for 837.3 Published reports, material contained in the public accident investigation employee testimony, as opposed to ma- dockets, and accident database data. terial production, can be found at 49 837.4 Other material. CFR part 835. Document production shall not accompany employee testi- AUTHORITY: 49 U.S.C. 1101 et seq.; 40101 et mony, absent compliance with this seq.; 5 U.S.C. 301. part and General Counsel approval. SOURCE: 62 FR 27703, May 21, 1997, unless otherwise noted.

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§ 837.3 Published reports, material tification, with support, that the infor- contained in the public accident in- mation is not available from other vestigation dockets, and accident sources, including Board materials de- database data. scribed in §§ 837.3 and part 801 of this (a) Demands for material contained chapter. in the NTSB’s official public docket (3) In the absence of General Counsel files of its accident investigations, or approval of a demand, the employee is its computerized accident database(s) not authorized to comply with the de- shall be submitted, in writing, to the mand. Public Inquiries Branch. Demands for (4) The General Counsel shall advise specific published reports and studies the requester of approval or denial of should be submitted to the National the demand, and may attach whatever Technical Information Service. The conditions to approval considered ap- Board does not maintain stock of these propriate or necessary to promote the items. Demands for information col- purposes of this part. The General lected in particular accident investiga- Counsel may also permit exceptions to tions and made a part of the public any requirement in this part when nec- docket should be submitted to the Pub- essary to prevent a miscarriage of jus- lic Inquiries Branch or, directly, to our tice, or when the exception is in the contractor. For information regarding best interests of the NSTB and/or the the types of documents routinely United States. issued by the Board, see 49 CFR part 801. PART 840—RULES PERTAINING TO (b) No subpoena shall be issued to obtain materials subject to this para- NOTIFICATION OF RAILROAD graph, and any subpoena issued shall ACCIDENTS be required to be withdrawn prior to release of the requested information. Sec. Payment of reproduction fees may be 840.1 Applicability. 840.2 Definitions. required in advance. 840.3 Notification of railroad accidents. § 837.4 Other material. 840.4 Information to be given in notification. (a) Production prohibited unless ap- 840.5 Inspection, examination and testing of proved. Except in the case of the mate- physical evidence. rial referenced in § 837.3, no employee 840.6 Priority of Board investigations. or former employee of NTSB shall, in AUTHORITY: Sec. 304(a)(1)(c), Independent response to a demand of a private liti- Safety Board Act of 1974, as amended (49 gant, court, or other authority, U.S.C. 1903). produce any material contained in the files of the NTSB (whether or not agen- § 840.1 Applicability. cy records under 5 U.S.C. 552) or This part contains the Safety Board’s produce any material acquired as part accident notification requirements, of the performance of the person’s offi- and its authority for inspection, exam- cial duties or because of the person’s ination, and testing of physical evi- official status, without the prior writ- dence, and describes the exercise of the ten approval of the General Counsel. Safety Board’s priority accorded to its (b) Procedures to be followed for the activities when investigating railroad production of material under this para- accidents. graph. (1) All demands for material shall be submitted to the General [47 FR 49408, Nov. 1, 1982] Counsel at NTSB headquarters, Wash- ington, DC 20594. If an employee re- § 840.2 Definitions. ceives a demand, he shall forward it As used in this part, the following immediately to the General Counsel. words or phrases are defined as follows: (2) Each demand must contain an af- (a) Railroad means any system of sur- fidavit by the party seeking the mate- face transportation of persons or prop- rial or his attorney setting forth the erty over rails. It includes, but is not material sought and its relevance to limited to, line-haul freight and pas- the proceeding, and containing a cer- senger-carrying railroads, and rapid

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transit, commuter, scenic, subway, and that controls the track and directs the elevated railways. movement of trains where the accident (b) Accident means any collision, de- has occurred. railment, or explosion involving rail- (d) Where an accident for which noti- road trains, locomotives, and cars; or fication is required by paragraph (a) or any other loss-causing event involving (b) of this section occurs in a remote the operation of such railroad equip- area, the time limits set forth in that ment that results in a fatality to a pas- paragraph shall commence from the senger or employee, or the emergency time the first railroad employee who evacuation of persons. was not at the accident site at the time (c) Joint operations means rail oper- of its occurrence has received notice ations conducted on a track used joint- thereof. ly or in common by two or more rail- [53 FR 49152, Dec. 6, 1988] roads subject to this part, or operation of a train, locomotive, or car by one § 840.4 Information to be given in noti- railroad over the track of another rail- fication. road. The notice required by § 840.3 shall in- (d) Fatality means the death of a per- clude the following information: son either at the time an accident occurs or within 24 hours thereafter. (a) Name and title of person reporting. [41 FR 13925, Apr. 1, 1976, as amended at 47 (b) Name of railroad. FR 49408, Nov. 1, 1982] (c) Location of accident (relate to nearest city). § 840.3 Notification of railroad accidents. (d) Time and date of accident. (e) Description of accident. The operator of a railroad shall no- (f) Casualties: tify the Board by telephoning the Na- (1) Fatalities. tional Response Center at telephone (2) Injuries. 800–424–0201 at the earliest practicable (g) Property damage (estimate). time after the occurrence of any one of (h) Name and telephone number of the following railroad accidents: person from whom additional informa- (a) No later than 2 hours after an action may be obtained. cident which results in: (1) A passenger or employee fatality [41 FR 13925, Apr. 1, 1976] or serious injury to two or more crewmembers or passengers requiring ad- § 840.5 Inspection, examination and mission to a hospital; testing of physical evidence. (2) The evacuation of a passenger (a) Any employee of the Safety train; Board, upon presenting appropriate (3) Damage to a tank car or container credentials is authorized to enter any resulting in release of hazardous mate- property wherein a transportation ac- rials or involving evacuation of the cident has occurred or wreckage from general public; or any such accident is located and do all (4) A fatality at a grade crossing. things necessary for proper investiga- (b) No later than 4 hours after an action, including examination or testing cident which does not involve any of of any vehicle, rolling stock, track, or the circumstances enumerated in para- any part of any part of any such item graph (a) of this section but which re- when such examination or testing is sults in: determined to be required for purposes (1) Damage (based on a preliminary of such investigation. gross estimate) of $150,000 or more for (b) Any examination or testing shall repairs, or the current replacement be conducted in such a manner so as cost, to railroad and nonrailroad prop- not to interfere with or obstruct un- erty; or necessarily the transportation services (2) Damage of $25,000 or more to a provided by the owner or operator of passenger train and railroad and non- such vehicle, rolling stock, or track, railroad property. and shall be conducted in such a man- (c) Accidents involving joint oper- ner so as to preserve, to the maximum ations must be reported by the railroad extent feasible, any evidence relating

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to the transportation accident, con- Subpart B—Conduct of Hearing sistent with the needs of the investigation and with the cooperation of such 845.20 Powers of chairman of board of inquiry. owner or operator. The employee may 845.21 Hearing officer. inspect, at reasonable times, records, 845.22 Technical panel. files, papers, processes, controls, and 845.23 Prehearing conference. facilities relevant to the investigation 845.24 Right of representation. of such accident. Each inspection shall 845.25 Examination of witnesses. be commenced and completed promptly 845.26 Evidence. and the results of such inspection, ex- 845.27 Proposed findings. amination, or test made available to 845.28 Stenographic transcript. the parties. 845.29 Payment of witnesses. [47 FR 49408, Nov. 1, 1982] Subpart C—Board Reports § 840.6 Priority of Board investiga- 845.40 Accident report. tions. 845.41 Petitions for reconsideration or modification. Any investigation of an accident conducted by the Safety Board shall have Subpart D—Public Record priority over all other investigations of such accident conducted by other Fed- 845.50 Public docket. eral agencies. The Safety Board shall 845.51 Investigation to remain open. provide for the appropriate participa- AUTHORITY: Title VII, Federal Aviation Act tion by other Federal agencies in any of 1958, as amended (49 U.S.C. 1441 et seq.); such investigation, except that such and the Independent Safety Board Act of agencies may not participate in the 1974, Pub. L. 93–633, 88 Stat. 2166 (49 U.S.C. Safety Board’s determination of the 1901 et seq.). probable cause of the accident. Nothing SOURCE: 44 FR 34419, June 14, 1979, unless in this section impairs the authority of otherwise noted. other Federal agencies to conduct investigations of an accident under appli- § 845.1 Applicability. cable provisions of law or to obtain in- Unless otherwise specifically ordered formation directly from parties in- by the National Transportation Safety volved in, and witnesses to, the trans- Board (Board), the provisions of this portation accident. The Safety Board part shall govern all transportation ac- and other Federal agencies shall assure cident investigation hearings con- that appropriate information obtained ducted under the authority of section or developed in the course of their in- 304(b) of the Independent Safety Board vestigations is exchanged in a timely Act of 1974 (49 U.S.C. 1903(b)) and acci- manner. dent reports issued by the Board.

[47 FR 49408, Nov. 1, 1982] § 845.2 Nature of hearing. Transportation accident hearings are PART 845—RULES OF PRACTICE IN convened to assist the Board in deter- TRANSPORTATION; ACCIDENT/ mining cause or probable cause of an INCIDENT HEARINGS AND RE- accident, in reporting the facts, condi- PORTS tions, and circumstances of the accident, and in ascertaining measures Sec. which will tend to prevent accidents 845.1 Applicability. and promote transportation safety. 845.2 Nature of hearing. Such hearings are factfinding pro- 845.3 Sessions open to the public. ceedings with no formal issues and no adverse parties and are not subject to Subpart A—Initial Procedure the provisions of the Administrative Procedure Act (Pub. L. 89–554, 80 Stat. 845.10 Determination to hold hearing. 384 (5 U.S.C. 554)). 845.11 Board of inquiry. 845.12 Notice of hearing. [44 FR 34419, June 14, 1979; 44 FR 39181, July 845.13 Designation of parties. 5, 1979]

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§ 845.3 Sessions open to the public. pation in the hearing is deemed nec- (a) All hearings shall normally be essary in the public interest and whose open to the public (subject to the pro- special knowledge will contribute to vision that any person present shall the development of pertinent evidence. not be allowed at any time to interfere Parties shall be represented by suitable with the proper and orderly func- qualified technical employees or mem- tioning of the board of inquiry). bers who do not occupy legal positions. (b) Sessions shall not be open to the (b) No party shall be represented by public when evidence of a classified na- any person who also represents claim- ture or which affects national security ants or insurers. Failure to comply is to be received. with this provision shall result in loss of status as a party. Subpart A—Initial Procedure [44 FR 34419, June 14, 1979, as amended at 51 FR 7278, Mar. 3, 1986] § 845.10 Determination to hold hearing. Subpart B—Conduct of Hearing The Board may order a public hearing as part of an accident investigation § 845.20 Powers of chairman of board whenever such hearing is deemed nec- of inquiry. essary in the public interest: Provided, The chairman of the board of inquiry, that if a quorum of the Board is not or his designee, shall have the fol- immediately available in the event of a lowing powers: catastrophic accident, the determina- (a) To designate parties to the hear- tion to hold a public hearing may be ing and revoke such designations; made by the Chairman of the Board. (b) To open, continue, or adjourn the hearing; § 845.11 Board of inquiry. (c) To determine the admissibility of The board of inquiry shall consist of and to receive evidence and to regulate a Member of the Board who shall be the course of the hearing; chairman of the board of inquiry, and (d) To dispose of procedural requests such other employees as may be des- or similar matters; and ignated by the chairman of the board (e) To take any other action nec- of inquiry. Assignment of a Member to essary or incident to the orderly conserve as the chairman of each board of duct of the hearing. inquiry shall be determined by the Board. The board of inquiry shall ex- [44 FR 34419, June 14, 1979; 44 FR 39181, July amine witnesses and secure, in the 5, 1979] form of a public record, all known facts pertaining to the accident or incident § 845.21 Hearing officer. and surrounding circumstances and The hearing officer, upon designation conditions from which cause or prob- by the Chairman of the Board, shall able cause may be determined and rec- have the following powers: ommendations for corrective action (a) To give notice concerning the may be formulated. time and place of hearing; (b) To administer oaths and affirma- [49 FR 32853, Aug. 17, 1984] tions to witnesses; and § 845.12 Notice of hearing. (c) To issue subpenas requiring the attendance and testimony of witnesses The chairman of the board of inquiry and production of documents. shall designate a time and place for the hearing which meets the needs of the § 845.22 Technical panel. Board. Notice to all known interested persons shall be given. The Director, Bureau of Accident In- vestigation, or the Director, Bureau of § 845.13 Designation of parties. Field Operations, shall designate members of the Board’s technical staff to (a) The chairman of the board of in- participate in the hearing and initially quiry shall designate as parties to the develop the testimony of witnesses. hearing those persons, agencies, companies, and associations whose partici- [49 FR 32853, Aug. 17, 1984]

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§ 845.23 Prehearing conference. subject of objections in the legal sense (a) Except as provided in paragraph by a party to the hearing or any other (d) of this section for expedited hear- person. Such matters shall be con- ings, the chairman of the board of in- trolled by rulings of the chairman of quiry shall hold a prehearing con- the board of inquiry on his own mo- ference with the parties to the hearing tion. If the examination of a witness by at a convenient time and place prior to a party is interrupted by a ruling of the hearing. At such prehearing con- the chairman of the board of inquiry, ference, the parties shall be advised of opportunity shall be given to show ma- the witnesses to be called at the hear- teriality, relevancy, or competency of ing, the areas in which they will be ex- the testimony or evidence sought to be amined, and the exhibits which will be elicited from the witness. offered in evidence. (b) Parties shall submit at the pre- § 845.26 Evidence. hearing conference copies of any addi- The chairman of the board of inquiry tional documentary exhibits they desire to offer. (Copies of all exhibits pro- shall receive all testimony and evi- posed for admission by the board of in- dence which may be of aid in deter- quiry and the parties shall be furnished mining the cause of accident. He may to the board of inquiry and to all par- exclude any testimony or exhibits ties, insofar as available at that time.) which are not pertinent to the inves- (c) A party who, at the time of the tigation or are merely cumulative. prehearing conference, fails to advise the chairman of the board of inquiry of § 845.27 Proposed findings. additional exhibits he intends to sub- Any party may submit proposed find- mit, or additional witnesses he desires ings to be drawn from the testimony to examine, shall be precluded from in- and exhibits, a proposed probable troducing such evidence unless the cause, and proposed safety rec- chairman of the board of inquiry deter- ommendations designed to prevent fu- mines for good cause shown that such ture accidents. The proposals shall be evidence should be admitted. submitted within the time specified by (d) Expedited hearings. When time permits, the chairman of the board of in- the presiding officer at the close of the quiry may hold a prehearing con- hearing, and shall be made a part of ference. In the event that an expedited the public docket. Parties to the hear- hearing is held, the requirements in ing shall serve copies of their proposals paragraphs (b) and (c) of this section on all other parties to the hearing. concerning the identification of wit- [48 FR 52740, Nov. 22, 1983] nesses, exhibits or other evidence may be waived by the chairman of the board § 845.28 Stenographic transcript. of inquiry. A verbatim report of the hearing § 845.24 Right of representation. shall be taken. Copies of the transcript Any person who appears to testify at may be obtained by any interested per- a public hearing shall be accorded the son from the Board or from the court right to be accompanied, represented, reporting firm preparing the transcript or advised by counsel or by any other upon payment of the fees fixed there- duly qualified representative. for. (See part 801, Appendix—Fee Schedule.) § 845.25 Examination of witnesses. (a) Witnesses shall be initially exam- § 845.29 Payment of witnesses. ined by the board of inquiry or its tech- Any witness subpenaed to attend the nical panel. Following such examina- hearing under this part shall be paid tion, parties to the hearing shall be such fees for his travel and attendance given the opportunity to examine such as shall be certified by the hearing offi- witnesses. cer. (b) Materiality, relevancy, and competency of witness testimony, exhibits, or physical evidence shall not be the

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Subpart C—Board Reports (c) Oral presentation before the Board normally will not form a part of § 845.40 Accident report. proceedings under this part. However, (a) The Board will issue a detailed the Board may permit oral presen- narrative accident report in connection tation where a party or interested per- with the investigation into those acci- son makes an affirmative showing that dents which the Board determines to the written petition for reconsider- warrant such a report. The report will ation or modification is an insufficient set forth the facts, conditions and cir- means to present the party’s or per- cumstances relating to the accident son’s position to the Board. Where oral and the probable cause thereof, along presentation is allowed, the Board will with any appropriate recommendations specify the issues to be addressed and formulated on the basis of the inves- all parties to the investigation or hear- tigation. ing will be given notice and the oppor- (b) The probable cause and facts, con- tunity to participate. ditions, and circumstances of all other accidents will be reported in a manner [48 FR 52740, Nov. 22, 1983] and form prescribed by the Board.

§ 845.41 Petitions for reconsideration Subpart D—Public Record or modification. § 845.50 Public docket. (a) Petitions for reconsideration or modification of the Board’s findings (a) The public docket shall include and determination of probable cause all factual information concerning the filed by a party to an investigation or accident. Proposed findings submitted hearing or other person having a direct pursuant to § 831.12 or § 845.27 and peti- interest in the accident investigation tions for reconsideration and modifica- will be entertained only if based on the tion submitted pursuant to § 845.41, discovery of new evidence or on a show- comments thereon by other parties, ing that the Board’s findings are erro- and the Board’s rulings, shall also be neous. The petitions shall be in writ- placed in the public docket. ing. Petitions which are repetitious of (b) The docket shall be established as proposed findings submitted pursuant soon as practicable following the acci- to § 845.27, or of positions previously ad- dent, and material shall be added vanced, and petitions filed by a party thereto as it becomes available. Where to the hearing who failed to submit a hearing is held, the exhibits will be proposed findings pursuant to § 845.27 introduced into the record at the hear- will not be entertained. Petitions based ing. on the discovery of new matter shall: (c) A copy of the docket shall be identify the new matter; contain affidavits of prospective witnesses, au- made available to any person for re- thenticated documents, or both, or an view at the Washington office of the explanation of why such substantiation Board. Copies of the material in the is unavailable; and state why the new docket may be obtained, upon payment matter was not available prior to of the cost of reproduction, from the Board’s adoption of its findings. Peti- Public Inquiries Section, Bureau of Ad- tions based on a claim of erroneous ministration, National Transportation findings shall set forth in detail the Safety Board, Washington, DC 20594. grounds relied upon. [44 FR 34419, June 14, 1979, as amended at 48 (b) When a petition for reconsider- FR 52740, Nov. 22, 1983] ation or modification is filed with the Board, copies of the petition and any § 845.51 Investigation to remain open. supporting documentation shall be served on all other parties to the inves- Accident investigations are never of- tigation or hearing and proof of service ficially closed but are kept open for the shall be attached to the petition. The submission of new and pertinent evi- other parties may file comments no dence by any interested person. If the later than 90 days after service of the Board finds that such evidence is rel- petition. evant and probative, it shall be made a

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part of the docket and, where appro- (b) Board means the National Trans- priate, parties will be given an oppor- portation Safety Board. tunity to examine such evidence and to (c) Chairman means the Chairman of comment thereon. the National Transportation Safety Board. PART 850—COAST GUARD—NA- (d) Commandant means the Com- TIONAL TRANSPORTATION SAFE- mandant of the Coast Guard. TY BOARD MARINE CASUALTY (e) Major marine casualty means a cas- INVESTIGATIONS ualty involving a vessel, other than a public vessel, that results in— Sec. (1) The loss of six or more lives; 850.1 Purpose. (2) The loss of a mechanically pro- 850.3 Relationship to Coast Guard marine investigation regulations and procedures. pelled vessel of 100 or more gross tons; 850.5 Definitions. (3) Property damage initially esti- 850.10 Preliminary investigation by the mated as $500,000 or more; or Coast Guard. (4) Serious threat, as determined by 850.15 Marine casualty investigation by the Board. the Commandant and concurred in by 850.20 Cause or probable cause determina- the Chairman, to life, property, or the tions from Board investigation. environment by hazardous materials. 850.25 Coast Guard marine casualty inves- (f) Public vessel means a vessel owned tigation for the Board. by the United States, except a vessel to 850.30 Procedures for Coast Guard investigation. which the Act of October 25, 1919, c. 82 850.35 Records of the Coast Guard and the (41 Stat. 305, 46 U.S.C. 363) applies. Board. (g) Vessel of the United States means a AUTHORITY: Sec. 304(a)(1)(E), Independent vessel— Safety Board Act of 1974, Pub. L. 93–633, 88 (1) Documented, or required to be Stat. 2168 (49 U.S.C. 1903). documented, under the laws of the SOURCE: 42 FR 61204, Dec. 1, 1977, unless United States; otherwise noted. (2) Owned in the United States; or (3) Owned by a citizen or resident of § 850.1 Purpose. the United States and not registered This part prescribes the joint regula- under a foreign flag. tions of the National Transportation Safety Board and the Coast Guard for § 850.10 Preliminary investigation by the investigation of marine casualties. the Coast Guard. [47 FR 46089, Oct. 15, 1982] (a) The Coast Guard conducts the preliminary investigation of marine § 850.3 Relationship to Coast Guard casualties. marine investigation regulations (b) The Commandant determines and procedures. from the preliminary investigation (a) The Coast Guard’s responsibility whether: to investigate marine casualties is not (1) The casualty is a major marine eliminated nor diminished by the regu- casualty; or lations in this part. (2) The casualty involves a public and (b) In those instances where the Board conducts an investigation in a nonpublic vessel and at least one fa- which the Coast Guard also has respon- tality or $75,000 in property damage; or sibility under R.S. 4450 (46 U.S.C. 239), (3) The casualty involves a Coast the proceedings are conducted inde- Guard and a nonpublic vessel and at pendently, but so as to avoid duplica- least one fatality or $75,000 in property tion as much as possible. damage; or (4) The casualty is a major marine § 850.5 Definitions. casualty which involves significant As used in this part: safety issues relating to Coast Guard (a) Act means Title III of Pub. L. 93– safety functions, e.g., search and res- 633, the Independent Safety Board Act cue, aids to navigation, vessel traffic of 1974 (49 U.S.C. 1901, et seq.). systems, commercial vessel safety, etc.

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(c) The Commandant notifies the within 48 hours of receiving notice Board of a casualty described in para- under § 850.10(c). graph (b) of this section. (c) The Coast Guard will advise the Board within 24 hours of receipt of a re- [42 FR 61204, Dec. 1, 1977, as amended at 47 quest under paragraph (b) of this sec- FR 46089, Oct. 15, 1982] tion whether the Coast Guard will con- § 850.15 Marine casualty investigation duct an investigation under the Act. by the Board. [47 FR 46090, Oct. 15, 1982] (a) The Board may conduct an investigation under the Act of any major § 850.30 Procedures for Coast Guard marine casualty or any casualty in- investigation. volving public and nonpublic vessels. (a) The Coast Guard conducts an in- Where the Board determines it will vestigation under § 850.25 using the pro- convene a hearing in connection with cedures in 46 CFR 4.01–1 through 4.23–1. such an investigation, the Board’s (b) The Board may designate a person rules of practice for transportation ac- or persons to participate in every phase cident hearings in 49 CFR part 845 shall of an investigation, including on-scene apply. investigation, that is conducted under (b) The Board shall conduct an inves- the provisions of § 850.25. tigation under the Act when: (c) Consistent with Coast Guard re- (1) The casualty involves a Coast sponsibility to direct the course of the Guard and a nonpublic vessel and at investigation, the person or persons least one fatality or $75,000 in property designated by the Board under para- damage; or graph (b) of this section may: (2) The Commandant and the Board (1) Make recommendations about the agree that the Board shall conduct the scope of the investigation. investigation, and the casualty in- (2) Call and examine witnesses. (3) Submit or request additional evi- volves a public and a nonpublic vessel dence. and at least one fatality or $75,000 in (d) The Commandant provides a property damage; or record of the proceedings to the Board (3) The Commandant and the Board of an investigation of a major marine agree that the Board shall conduct the casualty under paragraph (a) of this investigation, and the casualty is a section. major marine casualty which involves (e) The Board, under the Act, makes significant safety issues relating to its determination of the facts, condi- Coast Guard safety functions. tions, and circumstances, and the [47 FR 46090, Oct. 15, 1982] cause or probable cause of a major marine casualty, using the record of the § 850.20 Cause or probable cause de- proceedings provided by the Com- terminations from Board investiga- mandant under paragraph (d) of this tion. section and any additional evidence the After an investigation conducted by Board may acquire under its own au- the Board under § 850.15, the Board de- thority. termines cause or probable cause and (f) An investigation by the Coast issues a report of that determination. Guard under this section is both an investigation under the Act and under § 850.25 Coast Guard marine casualty R.S. 4450 (46 U.S.C. 239). investigation for the Board. (a) If the Board does not conduct an § 850.35 Records of the Coast Guard investigation under § 850.15(a), (b)(2) or and the Board. (3), the Coast Guard, at the request of (a) Records of the Coast Guard made the Board, may conduct an investiga- under § 850.30 are available to the pub- tion under the Act unless there is an lic under 49 CFR part 7. allegation of Federal Government mis- (b) Records of the Board made under feasance or nonfeasance. §§ 850.20 and 850.30 are available to the (b) The Board will request the Coast public under 49 CFR part 801. Guard to conduct an investigation under paragraph (a) of this section PARTS 851–999 [RESERVED] 618

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A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabetical list of agencies publishing in the CFR are included in the CFR Index and Finding Aids volume to the Code of Federal Regulations which is published separately and revised annually. Table of CFR Titles and Chapters Alphabetical List of Agencies Appearing in the CFR List of CFR Sections Affected

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Title 1—General Provisions

I Administrative Committee of the Federal Register (Parts 1—49) II Office of the Federal Register (Parts 50—299) IV Miscellaneous Agencies (Parts 400—500)

Title 2—Grants and Agreements

SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR GRANTS AND AGREEMENTS I Office of Management and Budget Governmentwide Guidance for Grants and Agreements (Parts 100—199) II Office of Management and Budget Circulars and Guidance (200— 299) SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND AGREEMENTS III Department of Health and Human Services (Parts 300— 399) IV Department of Agriculture (Parts 400—499) VI Department of State (Parts 600—699) VIII Department of Veterans Affairs (Parts 800—899) IX Department of Energy (Parts 900—999) XI Department of Defense (Parts 1100—1199) XII Department of Transportation (Parts 1200—1299) XIII Department of Commerce (Parts 1300—1399) XIV Department of the Interior (Parts 1400—1499) XV Environmental Protection Agency (Parts 1500—1599) XVIII National Aeronautics and Space Administration (Parts 1880— 1899) XX United States Nuclear Regulatory Commission (Parts 2000—2099) XXII Corporation for National and Community Service (Parts 2200— 2299) XXIII Social Security Administration (Parts 2300—2399) XXIV Housing and Urban Development (Parts 2400—2499) XXV National Science Foundation (Parts 2500—2599) XXVI National Archives and Records Administration (Parts 2600—2699) XXVII Small Business Administration (Parts 2700—2799) XXVIII Department of Justice (Parts 2800—2899) XXX Department of Homeland Security (Parts 3000—3099) XXXI Institute of Museum and Library Services (Parts 3100—3199)

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XXXII National Endowment for the Arts (Parts 3200—3299) XXXIII National Endowment for the Humanities (Parts 3300—3399) XXXV Export-Import Bank of the United States (Parts 3500—3599) XXXVII Peace Corps (Parts 3700—3799) LVIII Election Assistance Commission (Parts 5800—5899)

Title 3—The President

I Executive Office of the President (Parts 100—199)

Title 4—Accounts

I Government Accountability Office (Parts 1—99) II Recovery Accountability and Transparency Board (Parts 200— 299)

Title 5—Administrative Personnel

I Office of Personnel Management (Parts 1—1199) II Merit Systems Protection Board (Parts 1200—1299) III Office of Management and Budget (Parts 1300—1399) V The International Organizations Employees Loyalty Board (Parts 1500—1599) VI Federal Retirement Thrift Investment Board (Parts 1600—1699) VIII Office of Special Counsel (Parts 1800—1899) IX Appalachian Regional Commission (Parts 1900—1999) XI Armed Forces Retirement Home (Parts 2100—2199) XIV Federal Labor Relations Authority, General Counsel of the Fed- eral Labor Relations Authority and Federal Service Impasses Panel (Parts 2400—2499) XV Office of Administration, Executive Office of the President (Parts 2500—2599) XVI Office of Government Ethics (Parts 2600—2699) XXI Department of the Treasury (Parts 3100—3199) XXII Federal Deposit Insurance Corporation (Parts 3200—3299) XXIII Department of Energy (Parts 3300—3399) XXIV Federal Energy Regulatory Commission (Parts 3400—3499) XXV Department of the Interior (Parts 3500—3599) XXVI Department of Defense (Parts 3600— 3699) XXVIII Department of Justice (Parts 3800—3899) XXIX Federal Communications Commission (Parts 3900—3999) XXX Farm Credit System Insurance Corporation (Parts 4000—4099) XXXI Farm Credit Administration (Parts 4100—4199) XXXIII Overseas Private Investment Corporation (Parts 4300—4399) XXXIV Securities and Exchange Commission (Parts 4400—4499) XXXV Office of Personnel Management (Parts 4500—4599)

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XL Interstate Commerce Commission (Parts 5000—5099) XLI Commodity Futures Trading Commission (Parts 5100—5199) XLII Department of Labor (Parts 5200—5299) XLIII National Science Foundation (Parts 5300—5399) XLV Department of Health and Human Services (Parts 5500—5599) XLVI Postal Rate Commission (Parts 5600—5699) XLVII Federal Trade Commission (Parts 5700—5799) XLVIII Nuclear Regulatory Commission (Parts 5800—5899) L Department of Transportation (Parts 6000—6099) LII Export-Import Bank of the United States (Parts 6200—6299) LIII Department of Education (Parts 6300—6399) LIV Environmental Protection Agency (Parts 6400—6499) LV National Endowment for the Arts (Parts 6500—6599) LVI National Endowment for the Humanities (Parts 6600—6699) LVII General Services Administration (Parts 6700—6799) LVIII Board of Governors of the Federal Reserve System (Parts 6800— 6899) LIX National Aeronautics and Space Administration (Parts 6900— 6999) LX United States Postal Service (Parts 7000—7099) LXI National Labor Relations Board (Parts 7100—7199) LXII Equal Employment Opportunity Commission (Parts 7200—7299) LXIII Inter-American Foundation (Parts 7300—7399) LXIV Merit Systems Protection Board (Parts 7400—7499) LXV Department of Housing and Urban Development (Parts 7500— 7599) LXVI National Archives and Records Administration (Parts 7600—7699) LXVII Institute of Museum and Library Services (Parts 7700—7799) LXVIII Commission on Civil Rights (Parts 7800—7899) LXIX Tennessee Valley Authority (Parts 7900—7999) LXXI Consumer Product Safety Commission (Parts 8100—8199) LXXII Special Inspector General for Iraq Reconstruction (Parts 8200— 8299) LXXIII Department of Agriculture (Parts 8300—8399) LXXIV Federal Mine Safety and Health Review Commission (Parts 8400—8499) LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699) LXXVII Office of Management and Budget (Parts 8700—8799) LXXX Federal Housing Finance Agency (Parts 8700—8799) LXXXII Special Inspector General for Iraq Reconstruction (Parts 9200— 9299) XCVII Department of Homeland Security Human Resources Manage- ment System (Department of Homeland Security—Office of Personnel Management) (Parts 9700—9799) XCIX Department of Defense Human Resources Management and Labor Relations Systems (Department of Defense—Office of Personnel Management) (Parts 9900—9999)

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I Department of Homeland Security, Office of the Secretary (Parts 0—99)

Title 7—Agriculture

SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS 0—26) SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE I Agricultural Marketing Service (Standards, Inspections, Mar- keting Practices), Department of Agriculture (Parts 27—209) II Food and Nutrition Service, Department of Agriculture (Parts 210—299) III Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 300—399) IV Federal Crop Insurance Corporation, Department of Agriculture (Parts 400—499) V Agricultural Research Service, Department of Agriculture (Parts 500—599) VI Natural Resources Conservation Service, Department of Agri- culture (Parts 600—699) VII Farm Service Agency, Department of Agriculture (Parts 700— 799) VIII Grain Inspection, Packers and Stockyards Administration (Fed- eral Grain Inspection Service), Department of Agriculture (Parts 800—899) IX Agricultural Marketing Service (Marketing Agreements and Or- ders; Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900—999) X Agricultural Marketing Service (Marketing Agreements and Or- ders; Milk), Department of Agriculture (Parts 1000—1199) XI Agricultural Marketing Service (Marketing Agreements and Or- ders; Miscellaneous Commodities), Department of Agriculture (Parts 1200—1299) XIV Commodity Credit Corporation, Department of Agriculture (Parts 1400—1499) XV Foreign Agricultural Service, Department of Agriculture (Parts 1500—1599) XVI Rural Telephone Bank, Department of Agriculture (Parts 1600— 1699) XVII Rural Utilities Service, Department of Agriculture (Parts 1700— 1799) XVIII Rural Housing Service, Rural Business-Cooperative Service, Rural Utilities Service, and Farm Service Agency, Depart- ment of Agriculture (Parts 1800—2099) XX Local Television Loan Guarantee Board (Parts 2200—2299) XXVI Office of Inspector General, Department of Agriculture (Parts 2600—2699) XXVII Office of Information Resources Management, Department of Agriculture (Parts 2700—2799)

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XXVIII Office of Operations, Department of Agriculture (Parts 2800— 2899) XXIX Office of Energy Policy and New Uses, Department of Agri- culture (Parts 2900—2999) XXX Office of the Chief Financial Officer, Department of Agriculture (Parts 3000—3099) XXXI Office of Environmental Quality, Department of Agriculture (Parts 3100—3199) XXXII Office of Procurement and Property Management, Department of Agriculture (Parts 3200—3299) XXXIII Office of Transportation, Department of Agriculture (Parts 3300—3399) XXXIV National Institute of Food and Agriculture (Parts 3400—3499) XXXV Rural Housing Service, Department of Agriculture (Parts 3500— 3599) XXXVI National Agricultural Statistics Service, Department of Agri- culture (Parts 3600—3699) XXXVII Economic Research Service, Department of Agriculture (Parts 3700—3799) XXXVIII World Agricultural Outlook Board, Department of Agriculture (Parts 3800—3899) XLI [Reserved] XLII Rural Business-Cooperative Service and Rural Utilities Service, Department of Agriculture (Parts 4200—4299) L Rural Business-Cooperative Service, Rurual Housing Service, and Rural Utilities Service, Department of Agriculture (Parts 5000—5099)

Title 8—Aliens and Nationality

I Department of Homeland Security (Immigration and Naturaliza- tion) (Parts 1—499) V Executive Office for Immigration Review, Department of Justice (Parts 1000—1399)

Title 9—Animals and Animal Products

I Animal and Plant Health Inspection Service, Department of Ag- riculture (Parts 1—199) II Grain Inspection, Packers and Stockyards Administration (Packers and Stockyards Programs), Department of Agri- culture (Parts 200—299) III Food Safety and Inspection Service, Department of Agriculture (Parts 300—599)

Title 10—Energy

I Nuclear Regulatory Commission (Parts 0—199) II Department of Energy (Parts 200—699) III Department of Energy (Parts 700—999)

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X Department of Energy (General Provisions) (Parts 1000—1099) XIII Nuclear Waste Technical Review Board (Parts 1303—1399) XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799) XVIII Northeast Interstate Low-Level Radioactive Waste Commission (Parts 1800—1899)

Title 11—Federal Elections

I Federal Election Commission (Parts 1—9099) II Election Assistance Commission (Parts 9400—9499)

Title 12—Banks and Banking

I Comptroller of the Currency, Department of the Treasury (Parts 1—199) II Federal Reserve System (Parts 200—299) III Federal Deposit Insurance Corporation (Parts 300—399) IV Export-Import Bank of the United States (Parts 400—499) V Office of Thrift Supervision, Department of the Treasury (Parts 500—599) VI Farm Credit Administration (Parts 600—699) VII National Credit Union Administration (Parts 700—799) VIII Federal Financing Bank (Parts 800—899) IX Federal Housing Finance Board (Parts 900—999) XI Federal Financial Institutions Examination Council (Parts 1100—1199) XII Federal Housing Finance Agency (Parts 1200—1299) XIV Farm Credit System Insurance Corporation (Parts 1400—1499) XV Department of the Treasury (Parts 1500—1599) XVII Office of Federal Housing Enterprise Oversight, Department of Housing and Urban Development (Parts 1700—1799) XVIII Community Development Financial Institutions Fund, Depart- ment of the Treasury (Parts 1800—1899)

Title 13—Business Credit and Assistance

I Small Business Administration (Parts 1—199) III Economic Development Administration, Department of Com- merce (Parts 300—399) IV Emergency Steel Guarantee Loan Board (Parts 400—499) V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)

Title 14—Aeronautics and Space

I Federal Aviation Administration, Department of Transportation (Parts 1—199) II Office of the Secretary, Department of Transportation (Aviation Proceedings) (Parts 200—399)

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III Commercial Space Transportation, Federal Aviation Adminis- tration, Department of Transportation (Parts 400—499) V National Aeronautics and Space Administration (Parts 1200— 1299) VI Air Transportation System Stabilization (Parts 1300—1399)

Title 15—Commerce and Foreign Trade

SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0— 29) SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGN TRADE I Bureau of the Census, Department of Commerce (Parts 30—199) II National Institute of Standards and Technology, Department of Commerce (Parts 200—299) III International Trade Administration, Department of Commerce (Parts 300—399) IV Foreign-Trade Zones Board, Department of Commerce (Parts 400—499) VII Bureau of Industry and Security, Department of Commerce (Parts 700—799) VIII Bureau of Economic Analysis, Department of Commerce (Parts 800—899) IX National Oceanic and Atmospheric Administration, Department of Commerce (Parts 900—999) XI Technology Administration, Department of Commerce (Parts 1100—1199) XIII East-West Foreign Trade Board (Parts 1300—1399) XIV Minority Business Development Agency (Parts 1400—1499) SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE- MENTS XX Office of the United States Trade Representative (Parts 2000— 2099) SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS AND INFORMATION XXIII National Telecommunications and Information Administration, Department of Commerce (Parts 2300—2399)

Title 16—Commercial Practices

I Federal Trade Commission (Parts 0—999) II Consumer Product Safety Commission (Parts 1000—1799)

Title 17—Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1—199) II Securities and Exchange Commission (Parts 200—399) IV Department of the Treasury (Parts 400—499)

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I Federal Energy Regulatory Commission, Department of Energy (Parts 1—399) III Delaware River Basin Commission (Parts 400—499) VI Water Resources Council (Parts 700—799) VIII Susquehanna River Basin Commission (Parts 800—899) XIII Tennessee Valley Authority (Parts 1300—1399)

Title 19—Customs Duties

I U.S. Customs and Border Protection, Department of Homeland Security; Department of the Treasury (Parts 0—199) II United States International Trade Commission (Parts 200—299) III International Trade Administration, Department of Commerce (Parts 300—399) IV U.S. Immigration and Customs Enforcement, Department of Homeland Security (Parts 400—599)

Title 20—Employees’ Benefits

I Office of Workers’ Compensation Programs, Department of Labor (Parts 1—199) II Railroad Retirement Board (Parts 200—399) III Social Security Administration (Parts 400—499) IV Employees Compensation Appeals Board, Department of Labor (Parts 500—599) V Employment and Training Administration, Department of Labor (Parts 600—699) VI Employment Standards Administration, Department of Labor (Parts 700—799) VII Benefits Review Board, Department of Labor (Parts 800—899) VIII Joint Board for the Enrollment of Actuaries (Parts 900—999) IX Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 1000—1099)

Title 21—Food and Drugs

I Food and Drug Administration, Department of Health and Human Services (Parts 1—1299) II Drug Enforcement Administration, Department of Justice (Parts 1300—1399) III Office of National Drug Control Policy (Parts 1400—1499)

Title 22—Foreign Relations

I Department of State (Parts 1—199) II Agency for International Development (Parts 200—299) III Peace Corps (Parts 300—399)

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IV International Joint Commission, United States and Canada (Parts 400—499) V Broadcasting Board of Governors (Parts 500—599) VII Overseas Private Investment Corporation (Parts 700—799) IX Foreign Service Grievance Board (Parts 900—999) X Inter-American Foundation (Parts 1000—1099) XI International Boundary and Water Commission, United States and Mexico, United States Section (Parts 1100—1199) XII United States International Development Cooperation Agency (Parts 1200—1299) XIII Millenium Challenge Corporation (Parts 1300—1399) XIV Foreign Service Labor Relations Board; Federal Labor Relations Authority; General Counsel of the Federal Labor Relations Authority; and the Foreign Service Impasse Disputes Panel (Parts 1400—1499) XV African Development Foundation (Parts 1500—1599) XVI Japan-United States Friendship Commission (Parts 1600—1699) XVII United States Institute of Peace (Parts 1700—1799)

Title 23—Highways

I Federal Highway Administration, Department of Transportation (Parts 1—999) II National Highway Traffic Safety Administration and Federal Highway Administration, Department of Transportation (Parts 1200—1299) III National Highway Traffic Safety Administration, Department of Transportation (Parts 1300—1399)

Title 24—Housing and Urban Development

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE- VELOPMENT I Office of Assistant Secretary for Equal Opportunity, Department of Housing and Urban Development (Parts 100—199) II Office of Assistant Secretary for Housing-Federal HousingCommissioner, Department of Housing and Urban De- velopment (Parts 200—299) III Government National Mortgage Association, Department of Housing and Urban Development (Parts 300—399) IV Office of Housing and Office of Multifamily Housing Assistance Restructuring, Department of Housing and Urban Develop- ment (Parts 400—499) V Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 500—599)

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VI Office of Assistant Secretary for Community Planning and De- velopment, Department of Housing and Urban Development (Parts 600—699) [Reserved] VII Office of the Secretary, Department of Housing and Urban Devel- opment (Housing Assistance Programs and Public and Indian Housing Programs) (Parts 700—799) VIII Office of the Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Section 8 Housing Assistance Programs, Section 202 Di- rect Loan Program, Section 202 Supportive Housing for the El- derly Program and Section 811 Supportive Housing for Persons With Disabilities Program) (Parts 800—899) IX Office of Assistant Secretary for Public and Indian Housing, De- partment of Housing and Urban Development (Parts 900—1699) X Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Interstate Land Sales Registration Program) (Parts 1700—1799) XII Office of Inspector General, Department of Housing and Urban Development (Parts 2000—2099) XX Office of Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Develop- ment (Parts 3200—3899) XXIV Board of Directors of the HOPE for Homeowners Program (Parts 4000—4099) XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)

Title 25—Indians

I Bureau of Indian Affairs, Department of the Interior (Parts 1— 299) II Indian Arts and Crafts Board, Department of the Interior (Parts 300—399) III National Indian Gaming Commission, Department of the Inte- rior (Parts 500—599) IV Office of Navajo and Hopi Indian Relocation (Parts 700—799) V Bureau of Indian Affairs, Department of the Interior, and Indian Health Service, Department of Health and Human Services (Part 900) VI Office of the Assistant Secretary-Indian Affairs, Department of the Interior (Parts 1000—1199) VII Office of the Special Trustee for American Indians, Department of the Interior (Parts 1200—1299)

Title 26—Internal Revenue

I Internal Revenue Service, Department of the Treasury (Parts 1— 899)

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I Alcohol and Tobacco Tax and Trade Bureau, Department of the Treasury (Parts 1—399) II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart- ment of Justice (Parts 400—699)

Title 28—Judicial Administration

I Department of Justice (Parts 0—299) III Federal Prison Industries, Inc., Department of Justice (Parts 300—399) V Bureau of Prisons, Department of Justice (Parts 500—599) VI Offices of Independent Counsel, Department of Justice (Parts 600—699) VII Office of Independent Counsel (Parts 700—799) VIII Court Services and Offender Supervision Agency for the District of Columbia (Parts 800—899) IX National Crime Prevention and Privacy Compact Council (Parts 900—999) XI Department of Justice and Department of State (Parts 1100— 1199)

Title 29—Labor

SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99) SUBTITLE B—REGULATIONS RELATING TO LABOR I National Labor Relations Board (Parts 100—199) II Office of Labor-Management Standards, Department of Labor (Parts 200—299) III National Railroad Adjustment Board (Parts 300—399) IV Office of Labor-Management Standards, Department of Labor (Parts 400—499) V Wage and Hour Division, Department of Labor (Parts 500—899) IX Construction Industry Collective Bargaining Commission (Parts 900—999) X National Mediation Board (Parts 1200—1299) XII Federal Mediation and Conciliation Service (Parts 1400—1499) XIV Equal Employment Opportunity Commission (Parts 1600—1699) XVII Occupational Safety and Health Administration, Department of Labor (Parts 1900—1999) XX Occupational Safety and Health Review Commission (Parts 2200—2499) XXV Employee Benefits Security Administration, Department of Labor (Parts 2500—2599) XXVII Federal Mine Safety and Health Review Commission (Parts 2700—2799) XL Pension Benefit Guaranty Corporation (Parts 4000—4999)

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I Mine Safety and Health Administration, Department of Labor (Parts 1—199) II Minerals Management Service, Department of the Interior (Parts 200—299) III Board of Surface Mining and Reclamation Appeals, Department of the Interior (Parts 300—399) IV Geological Survey, Department of the Interior (Parts 400—499) VII Office of Surface Mining Reclamation and Enforcement, Depart- ment of the Interior (Parts 700—999)

Title 31—Money and Finance: Treasury

SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS 0—50) SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE I Monetary Offices, Department of the Treasury (Parts 51—199) II Fiscal Service, Department of the Treasury (Parts 200—399) IV Secret Service, Department of the Treasury (Parts 400—499) V Office of Foreign Assets Control, Department of the Treasury (Parts 500—599) VI Bureau of Engraving and Printing, Department of the Treasury (Parts 600—699) VII Federal Law Enforcement Training Center, Department of the Treasury (Parts 700—799) VIII Office of International Investment, Department of the Treasury (Parts 800—899) IX Federal Claims Collection Standards (Department of the Treas- ury—Department of Justice) (Parts 900—999)

Title 32—National Defense

SUBTITLE A—DEPARTMENT OF DEFENSE I Office of the Secretary of Defense (Parts 1—399) V Department of the Army (Parts 400—699) VI Department of the Navy (Parts 700—799) VII Department of the Air Force (Parts 800—1099) SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE- FENSE XII Defense Logistics Agency (Parts 1200—1299) XVI Selective Service System (Parts 1600—1699) XVII Office of the Director of National Intelligence (Parts 1700—1799) XVIII National Counterintelligence Center (Parts 1800—1899) XIX Central Intelligence Agency (Parts 1900—1999) XX Information Security Oversight Office, National Archives and Records Administration (Parts 2000—2099) XXI National Security Council (Parts 2100—2199) XXIV Office of Science and Technology Policy (Parts 2400—2499) XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)

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XXVIII Office of the Vice President of the United States (Parts 2800— 2899)

Title 33—Navigation and Navigable Waters

I Coast Guard, Department of Homeland Security (Parts 1—199) II Corps of Engineers, Department of the Army (Parts 200—399) IV Saint Lawrence Seaway Development Corporation, Department of Transportation (Parts 400—499)

Title 34—Education

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU- CATION (PARTS 1—99) SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENT OF EDUCATION I Office for Civil Rights, Department of Education (Parts 100—199) II Office of Elementary and Secondary Education, Department of Education (Parts 200—299) III Office of Special Education and Rehabilitative Services, Depart- ment of Education (Parts 300—399) IV Office of Vocational and Adult Education, Department of Edu- cation (Parts 400—499) V Office of Bilingual Education and Minority Languages Affairs, Department of Education (Parts 500—599) VI Office of Postsecondary Education, Department of Education (Parts 600—699) VII Office of Educational Research and Improvmeent, Department of Education [Reserved] XI National Institute for Literacy (Parts 1100—1199) SUBTITLE C—REGULATIONS RELATING TO EDUCATION XII National Council on Disability (Parts 1200—1299)

Title 35 [Reserved]

Title 36—Parks, Forests, and Public Property

I National Park Service, Department of the Interior (Parts 1—199) II Forest Service, Department of Agriculture (Parts 200—299) III Corps of Engineers, Department of the Army (Parts 300—399) IV American Battle Monuments Commission (Parts 400—499) V Smithsonian Institution (Parts 500—599) VI [Reserved] VII Library of Congress (Parts 700—799) VIII Advisory Council on Historic Preservation (Parts 800—899) IX Pennsylvania Avenue Development Corporation (Parts 900—999) X Presidio Trust (Parts 1000—1099)

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XI Architectural and Transportation Barriers Compliance Board (Parts 1100—1199) XII National Archives and Records Administration (Parts 1200—1299) XV Oklahoma City National Memorial Trust (Parts 1500—1599) XVI Morris K. Udall Scholarship and Excellence in National Environ- mental Policy Foundation (Parts 1600—1699)

Title 37—Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department of Commerce (Parts 1—199) II Copyright Office, Library of Congress (Parts 200—299) III Copyright Royalty Board, Library of Congress (Parts 301—399) IV Assistant Secretary for Technology Policy, Department of Com- merce (Parts 400—499) V Under Secretary for Technology, Department of Commerce (Parts 500—599)

Title 38—Pensions, Bonuses, and Veterans’ Relief

I Department of Veterans Affairs (Parts 0—99) II Armed Forces Retirement Home

Title 39—Postal Service

I United States Postal Service (Parts 1—999) III Postal Regulatory Commission (Parts 3000—3099)

Title 40—Protection of Environment

I Environmental Protection Agency (Parts 1—1099) IV Environmental Protection Agency and Department of Justice (Parts 1400—1499) V Council on Environmental Quality (Parts 1500—1599) VI Chemical Safety and Hazard Investigation Board (Parts 1600— 1699) VII Environmental Protection Agency and Department of Defense; Uniform National Discharge Standards for Vessels of the Armed Forces (Parts 1700—1799)

Title 41—Public Contracts and Property Management

SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS 50 Public Contracts, Department of Labor (Parts 50–1—50–999) 51 Committee for Purchase From People Who Are Blind or Severely Disabled (Parts 51–1—51–99) 60 Office of Federal Contract Compliance Programs, Equal Employ- ment Opportunity, Department of Labor (Parts 60–1—60–999)

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61 Office of the Assistant Secretary for Veterans’ Employment and Training Service, Department of Labor (Parts 61–1—61–999) Chapters 62— [Reserved] 100 SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONS SYSTEM 101 Federal Property Management Regulations (Parts 101–1—101–99) 102 Federal Management Regulation (Parts 102–1—102–299) Chapters [Reserved] 103—104 105 General Services Administration (Parts 105–1—105–999) 109 Department of Energy Property Management Regulations (Parts 109–1—109–99) 114 Department of the Interior (Parts 114–1—114–99) 115 Environmental Protection Agency (Parts 115–1—115–99) 128 Department of Justice (Parts 128–1—128–99) Chapters [Reserved] 129—200 SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE- MENT [RESERVED] SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENT REGULATIONS SYSTEM [RESERVED] SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM 300 General (Parts 300–1—300–99) 301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99) 302 Relocation Allowances (Parts 302–1—302–99) 303 Payment of Expenses Connected with the Death of Certain Em- ployees (Part 303–1—303–99) 304 Payment of Travel Expenses from a Non-Federal Source (Parts 304–1—304–99)

Title 42—Public Health

I Public Health Service, Department of Health and Human Serv- ices (Parts 1—199) IV Centers for Medicare & Medicaid Services, Department of Health and Human Services (Parts 400—499) V Office of Inspector General-Health Care, Department of Health and Human Services (Parts 1000—1999)

Title 43—Public Lands: Interior

SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS I Bureau of Reclamation, Department of the Interior (Parts 200— 499) II Bureau of Land Management, Department of the Interior (Parts 1000—9999)

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III Utah Reclamation Mitigation and Conservation Commission (Parts 10000—10010)

Title 44—Emergency Management and Assistance

I Federal Emergency Management Agency, Department of Home- land Security (Parts 0—399) IV Department of Commerce and Department of Transportation (Parts 400—499)

Title 45—Public Welfare

SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES (PARTS 1—199) SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE II Office of Family Assistance (Assistance Programs), Administra- tion for Children and Families, Department of Health and Human Services (Parts 200—299) III Office of Child Support Enforcement (Child Support Enforce- ment Program), Administration for Children and Families, Department of Health and Human Services (Parts 300—399) IV Office of Refugee Resettlement, Administration for Children and Families, Department of Health and Human Services (Parts 400—499) V Foreign Claims Settlement Commission of the United States, Department of Justice (Parts 500—599) VI National Science Foundation (Parts 600—699) VII Commission on Civil Rights (Parts 700—799) VIII Office of Personnel Management (Parts 800—899) [Reserved] X Office of Community Services, Administration for Children and Families, Department of Health and Human Services (Parts 1000—1099) XI National Foundation on the Arts and the Humanities (Parts 1100—1199) XII Corporation for National and Community Service (Parts 1200— 1299) XIII Office of Human Development Services, Department of Health and Human Services (Parts 1300—1399) XVI Legal Services Corporation (Parts 1600—1699) XVII National Commission on Libraries and Information Science (Parts 1700—1799) XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899) XXI Commission on Fine Arts (Parts 2100—2199) XXIII Arctic Research Commission (Part 2301) XXIV James Madison Memorial Fellowship Foundation (Parts 2400— 2499) XXV Corporation for National and Community Service (Parts 2500— 2599)

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I Coast Guard, Department of Homeland Security (Parts 1—199) II Maritime Administration, Department of Transportation (Parts 200—399) III Coast Guard (Great Lakes Pilotage), Department of Homeland Security (Parts 400—499) IV Federal Maritime Commission (Parts 500—599)

Title 47—Telecommunication

I Federal Communications Commission (Parts 0—199) II Office of Science and Technology Policy and National Security Council (Parts 200—299) III National Telecommunications and Information Administration, Department of Commerce (Parts 300—399) IV National Telecommunications and Information Administration, Department of Commerce, and National Highway Traffic Safe- ty Administration, Department of Transportation (Parts 400— 499)

Title 48—Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1—99) 2 Defense Acquisition Regulations System, Department of Defense (Parts 200—299) 3 Health and Human Services (Parts 300—399) 4 Department of Agriculture (Parts 400—499) 5 General Services Administration (Parts 500—599) 6 Department of State (Parts 600—699) 7 Agency for International Development (Parts 700—799) 8 Department of Veterans Affairs (Parts 800—899) 9 Department of Energy (Parts 900—999) 10 Department of the Treasury (Parts 1000—1099) 12 Department of Transportation (Parts 1200—1299) 13 Department of Commerce (Parts 1300—1399) 14 Department of the Interior (Parts 1400—1499) 15 Environmental Protection Agency (Parts 1500—1599) 16 Office of Personnel Management, Federal Employees Health Benefits Acquisition Regulation (Parts 1600—1699) 17 Office of Personnel Management (Parts 1700—1799) 18 National Aeronautics and Space Administration (Parts 1800— 1899) 19 Broadcasting Board of Governors (Parts 1900—1999) 20 Nuclear Regulatory Commission (Parts 2000—2099) 21 Office of Personnel Management, Federal Employees Group Life Insurance Federal Acquisition Regulation (Parts 2100—2199) 23 Social Security Administration (Parts 2300—2399) 24 Department of Housing and Urban Development (Parts 2400— 2499)

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25 National Science Foundation (Parts 2500—2599) 28 Department of Justice (Parts 2800—2899) 29 Department of Labor (Parts 2900—2999) 30 Department of Homeland Security, Homeland Security Acquisi- tion Regulation (HSAR) (Parts 3000—3099) 34 Department of Education Acquisition Regulation (Parts 3400— 3499) 51 Department of the Army Acquisition Regulations (Parts 5100— 5199) 52 Department of the Navy Acquisition Regulations (Parts 5200— 5299) 53 Department of the Air Force Federal Acquisition Regulation Supplement [Reserved] 54 Defense Logistics Agency, Department of Defense (Parts 5400— 5499) 57 African Development Foundation (Parts 5700—5799) 61 Civilian Board of Contract Appeals, General Services Adminis- tration (Parts 6100—6199) 63 Department of Transportation Board of Contract Appeals (Parts 6300—6399) 99 Cost Accounting Standards Board, Office of Federal Procure- ment Policy, Office of Management and Budget (Parts 9900— 9999)

Title 49—Transportation

SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION (PARTS 1—99) SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION I Pipeline and Hazardous Materials Safety Administration, De- partment of Transportation (Parts 100—199) II Federal Railroad Administration, Department of Transportation (Parts 200—299) III Federal Motor Carrier Safety Administration, Department of Transportation (Parts 300—399) IV Coast Guard, Department of Homeland Security (Parts 400—499) V National Highway Traffic Safety Administration, Department of Transportation (Parts 500—599) VI Federal Transit Administration, Department of Transportation (Parts 600—699) VII National Railroad Passenger Corporation (AMTRAK) (Parts 700—799) VIII National Transportation Safety Board (Parts 800—999) X Surface Transportation Board, Department of Transportation (Parts 1000—1399) XI Research and Innovative Technology Administration, Depart- ment of Transportation [Reserved] XII Transportation Security Administration, Department of Home- land Security (Parts 1500—1699)

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I United States Fish and Wildlife Service, Department of the Inte- rior (Parts 1—199) II National Marine Fisheries Service, National Oceanic and Atmos- pheric Administration, Department of Commerce (Parts 200— 299) III International Fishing and Related Activities (Parts 300—399) IV Joint Regulations (United States Fish and Wildlife Service, De- partment of the Interior and National Marine Fisheries Serv- ice, National Oceanic and Atmospheric Administration, De- partment of Commerce); Endangered Species Committee Reg- ulations (Parts 400—499) V Marine Mammal Commission (Parts 500—599) VI Fishery Conservation and Management, National Oceanic and Atmospheric Administration, Department of Commerce (Parts 600—699)

CFR Index and Finding Aids

Subject/Agency Index List of Agency Prepared Indexes Parallel Tables of Statutory Authorities and Rules List of CFR Titles, Chapters, Subchapters, and Parts Alphabetical List of Agencies Appearing in the CFR

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CFR Title, Subtitle or Agency Chapter Administrative Committee of the Federal Register 1, I Advanced Research Projects Agency 32, I Advisory Council on Historic Preservation 36, VIII African Development Foundation 22, XV Federal Acquisition Regulation 48, 57 Agency for International Development 22, II Federal Acquisition Regulation 48, 7 Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Agriculture Department 2, IV; 5, LXXIII Agricultural Marketing Service 7, I, IX, X, XI Agricultural Research Service 7, V Animal and Plant Health Inspection Service 7, III; 9, I Chief Financial Officer, Office of 7, XXX Commodity Credit Corporation 7, XIV Economic Research Service 7, XXXVII Energy Policy and New Uses, Office of 2, IX; 7, XXIX Environmental Quality, Office of 7, XXXI Farm Service Agency 7, VII, XVIII Federal Acquisition Regulation 48, 4 Federal Crop Insurance Corporation 7, IV Food and Nutrition Service 7, II Food Safety and Inspection Service 9, III Foreign Agricultural Service 7, XV Forest Service 36, II Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II Information Resources Management, Office of 7, XXVII Inspector General, Office of 7, XXVI National Agricultural Library 7, XLI National Agricultural Statistics Service 7, XXXVI National Institute of Food and Agriculture. 7, XXXIV Natural Resources Conservation Service 7, VI Operations, Office of 7, XXVIII Procurement and Property Management, Office of 7, XXXII Rural Business-Cooperative Service 7, XVIII, XLII, L Rural Development Administration 7, XLII Rural Housing Service 7, XVIII, XXXV, L Rural Telephone Bank 7, XVI Rural Utilities Service 7, XVII, XVIII, XLII, L Secretary of Agriculture, Office of 7, Subtitle A Transportation, Office of 7, XXXIII World Agricultural Outlook Board 7, XXXVIII Air Force Department 32, VII Federal Acquisition Regulation Supplement 48, 53 Air Transportation Stabilization Board 14, VI Alcohol and Tobacco Tax and Trade Bureau 27, I Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II AMTRAK 49, VII American Battle Monuments Commission 36, IV American Indians, Office of the Special Trustee 25, VII Animal and Plant Health Inspection Service 7, III; 9, I Appalachian Regional Commission 5, IX Architectural and Transportation Barriers Compliance Board 36, XI

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2001 49 CFR—Continued 66 FR Page 49 CFR 66 FR Chapter V—Continued Page Temporary regulations...... 59173 Chapter V 572.113 (b)(2), (3) and (4) revised...... 51882 2002 572.140 (a)(1) introductory text, 49 CFR 67 FR (2) and (b)(1) revised ...... 64376 Page 572.144 (b)(1) revised; (c)(7) Chapter V added...... 64376 572.120—572.127 (Subpart N) Head- 572.146 (a) and Figure P4 revised; ing revised ...... 47327 (1)(2)(iv) added ...... 64376 572.120 (a)(1), (2) and (c)(1) re- 572.150 (a)(1) introductory text vised...... 47327 and (2) revised...... 45784 572.124 (b) and (c) revised ...... 47327 572.154 (c)(7) added ...... 45784 572.126 (b) revised; (c)(6) added...... 47328 572.155 (a) revised; (i)(2)(iv) 572.127 (a), (b) and (k) through (p) added...... 45784 revised ...... 47328 573.3 (a) revised; (g) added ...... 38162 572.120-572.127 (Subpart N) Fig- 575 Notice of final decision ...... 3388 ures N1, N2, N3 and N6 re- 578.6 (f)(1) and (g)(1) amended; vised...... 47329 (g)(2) revised...... 41151 Figure N5 correctly revised ...... 59023 578.7 (b) revised...... 38384 593 Appendix A revised...... 48363 572.130 (a)(1) introductory text, 595.1—595.4 (Subpart A) Heading (2) and (c)(1) revised ...... 46413 added...... 12655 572.131 (a)(2) revised...... 46414 595.1 Revised ...... 12655 572.133 Table B revised ...... 46414 595.2 Revised ...... 12655 572.134 (b)(1) amended; (c)(7) 595.5 (Subpart B) Heading added...... 46415 added...... 12655 572.136 (c)(6) added ...... 46415 595.6—595.7 (Subpart C) Added...... 12655 572.137 (a), (b), (m)(3)(ii), (iii) and 611 Regulation at 65 FR 76880 eff. (6) revised; (m)(2)(iv) added ...... 46415 date stayed in part to 4–6–01 ...... 9677 572.130—572.137 (Subpart O) Fig- 653 Policy statement ...... 41955 ures O1 through O5 revised ...... 46415 Removed...... 42002 573 Heading revised...... 19697 654 Policy statement ...... 41955 Technical correction ...... 49263 Removed...... 42002 Heading and authority revised 655 Policy statement ...... 41955 ...... 45872 Added ...... 42002 573.1 Revised ...... 45872 660 Inseason adjustments ...... 17639 573.2 Revised ...... 45872

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49 CFR—Continued 67 FR 49 CFR—Continued 67 FR Page Page Chapter V—Continued Chapter V—Continued 573.3 (a) revised; (h) and (i) 594.7 (e) revised...... 60599 added...... 19697 594.8 (c) amended ...... 60599 573.4 Amended ...... 45872 594.9 (c) revised...... 60599 573.5 Redesignated as 573.6; new 594.10 (d) revised ...... 60599 573.5 added ...... 45872 595 Actions on petitions...... 38423 573.6 Redesignated as 573.7; new 597 Added ...... 69631 573.6 redesignated from Chapter VI 573.5...... 45872 (c)(7), (8)(i), and (10) revised ...... 64063 624 Added ...... 40104 573.7 Redesignated as 573.8; new 659.5 Amended ...... 15727 573.7 redesignated from Regulation at 67 FR 15727 with- 573.6...... 45872 drawn ...... 44091 573.8 Removed; new 573.8 redesig- 659.39 Amended...... 15727 nated from 573.7 ...... 45872 Regulation at 67 FR 15727 with- 573.11 Added ...... 19697 drawn ...... 44091 573.12 Added ...... 19698 659.41 (a) and (b) amended...... 15727 573.13 Added ...... 64063 Regulation at 67 FR 15727 with- 573.14 Added ...... 72392 drawn ...... 44091 574 Authority revised ...... 45872 659.45 (b) and (c) amended...... 15727 Technical correction ...... 49263 Regulation at 67 FR 15727 with- 574.5 (d) and Figures 1 and 2 re- drawn ...... 44091 vised...... 69628 574.7 (d) revised...... 45872 2003 574.10 Amended...... 45872 49 CFR 68 FR 575 Heading and authority cita- Page tion revised ...... 67494 575.1—575.7 (Subpart A) Heading Chapter V revised ...... 67494 572 Actions on petitions...... 13856 575.6 Amended; (a)(4) and (5) 573.3 (b) through (f) amended...... 18142 added...... 69631 574.5 Regulation at 67 FR 69628 eff. 575.101—575.105 (Subpart B) Head- date delayed to 9–1–04...... 33655 ing revised ...... 67494 575 Policy statement ...... 59250 575.201 (Subpart C) Added...... 67494 575.6 Regulation at 67 FR 69631 eff. 576 Authority revised ...... 45872 date delayed to 9–1–04...... 33655 Technical correction ...... 49263 575.104 (e)(1)(iv) revised...... 35185 576.1 Revised ...... 45872 Heading correctly revised ...... 43339 576.3 Revised ...... 45873 577.5 (a) amended ...... 18142 576.4 Revised ...... 45874 577.10 (a) amended ...... 18142 576.5 Revised ...... 45874 579.4 (c) amended...... 4113, 18142, 35142 576.6 Revised ...... 45874 579.5 (d) revised...... 18142 577.11 Added ...... 64065 (d) amended ...... 35147 577.12 Added ...... 72393 579.6 Revised ...... 4113 579 Revised ...... 45874 579.11 (d)(2) revised; (e) amend- 579.2 Revised ...... 63310 ed...... 4113 579.3 (a) revised; (b) and (c) redes- 579.21 Introductory text amend- ignated as (c) and (d); new (b) ed ...... 18142 added...... 63310 (b) introductory text and (d) re- 579.4 (c) and (d) amended ...... 63310 vised ...... 35142 579.11—579.20 (Subpart B) Re- 579.22 Introductory text amend- vised...... 63310 ed ...... 18142 Technical correction ...... 49263 (a) amended; (b) introductory 590 Revised ...... 38748 text and (d) revised...... 35143 593 Appendix A revised...... 59099 579.23 Introductory text amend- 594.6 (a) introductory text, (b), (h) ed ...... 18142 and (i) revised; (d) amended ...... 60599 (b) introductory text and (d) re- (d) correctly added ...... 62897 vised; (c) amended ...... 35143

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49 CFR—Continued 68 FR 2004 Page 49 CFR 69 FR Chapter V—Continued Page 579.24 Introductory text amend- Chapter V ed ...... 18143 572.160—572.167 (Subpart S) (a), (b) introductory text and (d) Added; eff. 1-12-05 ...... 42602 revised...... 35143 573 Authority citation revised ...... 34959 579.25 Introductory text amend- Actions on petitions...... 49819 ed ...... 18143 573.1 Revised; eff. 10–21–04 ...... 34959 Introductory text, (a), and (b)(2) 573.6 (c)(8)(ii) revised; eff. 10–21– amended; (b) introductory text 04...... 34959 and (d) revised ...... 35144 (c)(9), (10) and (11) redesignated 579.26 Introductory text amend- as (c)(10), (11) and (12); new ed ...... 18143 (c)(9) added; eff. 11-12-04 ...... 50084 Introductory text revised; (a), (c) 573.7 (b)(7) added; eff. 11-12-04...... 50085 and (d) amended; (b) introduc- 573.8 Heading and (a) revised; eff. tory text added...... 35144 10–21–04...... 34959 574 Authority citation cor- 579.27 (a) revised ...... 18143 rected...... 51400 (b) amended; (c)(6) added ...... 35144 574.5 Regulation at 67 FR 69628 579.28 (c) revised ...... 18143 and 68 FR 37981 eff. date de- (c) corrected...... 20225 layed to 9-1-05 ...... 31317 (b) amended; (h) through (l) re- (d) revised; eff. 9-1-05...... 31320 designated as (i) through (m); Introductory text correctly new (h) added ...... 35144 amended; (d) correctly revised (a), (b), and (c)(1) revised; (n) ...... 51400 added ...... 35148 (e) added ...... 64501 (c)(1) introductory text revised 575.6 Regulation at 67 FR 69631 ...... 64569 and 68 FR 37981 eff. date delayed to 9-1-05 ...... 31317 579.29 (b) amended ...... 35145 (a)(4) introductory text and (5) 585.4 (g) revised...... 55320 revised; eff. 9-1-05 ...... 31320 587.6 (b)(1) revised...... 44472 577 Authority citation revised ...... 34959 586 Revised ...... 67086 Actions on petitions...... 49819 590 Removed...... 65409 577.1 Revised; eff. 10–21–04 ...... 34959 590.3 Revised ...... 4111 577.2 Amended; eff. 10–21–04 ...... 34959 593 Appendix A revised...... 55546 577.7 (c) and (d) added; eff. 10–21– 596.5 Introductory text revised .....38231 04...... 34959 Corrected...... 54861 577.13 Added; eff. 10–21–04 ...... 34960 596.6 (b) (2) revised ...... 38231 578.6 (a)(1), (2), (c)(2) and (d) revised; eff. 10-28-04 ...... 57866 596.7 Revised ...... 38231 579.4 (c) amended ...... 20557 597 Regulation at 67 FR 69631 eff. 579.5 (a) revised...... 49823 date delayed to 9–1–04...... 33655 579.28 (b) and (n) revised; eff. 10-28- Chapter VI 04...... 57869 655.4 Amended ...... 75462 581.3 Policy statement...... 61322 655.72 (d) through (g) revised ...... 75462 585 Revised ...... 70916 586 Removed...... 70919 655 Appendixes A through D re- 586.6 (a)(4) revised...... 51399 moved ...... 75462 589 Removed...... 70919 661 Authority citation revised...... 9799 590 Removed...... 70919 661.13 (b) revised...... 9799 591 Authority citation revised ...... 52092 665.3 Regulation at 58 FR 58733 591.4 Amended ...... 52092 confirmed...... 15674 591.5 (f)(2)(ii) amended; (f)(3) and 665.5 Regulation at 58 FR 58735 (g) added ...... 52092 confirmed...... 15674 591.6 (c) revised...... 52092 591.7 (e) revised...... 52092 Chapter VIII 591.8 (d) introductory text, (1), (3) 821 Revised ...... 22625 and (6) revised...... 52092

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49 CFR—Continued 69 FR 49 CFR—Continued 70 FR Page Page Chapter V—Continued Chapter V—Continued 591 Appendixes A and B amend- 585.66 (b)(1) and (2) revised; eff. 10– ed ...... 52093 7–05...... 53101 592 Authority citation revised ...... 52094 586.5 Revised ...... 46435 592.4 Amended ...... 52094 586.6 Revised ...... 46435 592.5 (a)(3), (4), (5), (9), (11), (b), (d), 586.7 Revised ...... 46435 (e) and (f) revised; (h) added ...... 52094 588.5 Revised; eff. 11-08-05 ...... 53579 592.6 Revised ...... 52095 592.5 (a)(4)(i) and (ii) revised; 592.7 Revised ...... 52098 (a)(4)(iii) and (f) amended ...... 57801 592.8 (a) and (e) revised; (c) and (d) 592.6 (d)(1)(ii) and (e)(1) re- amended...... 52100 vised...... 57801 592.9 Revised ...... 52100 593 Appendix A revised...... 57195 593 Appendix A revised...... 58356 595 Heading revised; eff. 10–31– 594.5 (e) and (g) removed; (h) and 05...... 51678 (i) redesignated as (e) and (g); 595.7 (c)(7)(iv), (v) and (16) added; (f) and new (g) revised...... 52100 (c)(14) revised; eff. 10–31–05 ...... 51678 594.6 (a) introductory text, (b), (d) Chapter VI and (i) revised; (h) amended...... 57873 601 Revised ...... 67318 594.7 (e) revised...... 57873 622 Authority citation revised ...... 24470 594.8 (b) revised; (c) amended...... 57874 659 Revised ...... 22578 594.9 (a) revised...... 52100 (c) revised ...... 57874 2006 594.10 (d) revised ...... 57874 595.5 (b)(3)(ii)(B) revised ...... 31034 49 CFR 71 FR Page 595.7 (c)(9) revised ...... 21069 596 Removed...... 70919 Chapter V 597 Regulation at 67 FR 69631 and 572 Actions on petitions...... 45427 68 FR 37981 eff. date delayed to 572.180—572.189 (Subpart U) 9-1-05 ...... 31317 Added ...... 75331 597 Removed...... 70919 572.190—572.200 (Subpart V) 597.6 (a) amended; eff. 9-1-05...... 31321 Added ...... 75370 Title 49 Nomenclature change ...... 18803 574.7 Figure 3(b) added ...... 39233 575 Authority citation revised ...... 53585 575.1—575.7 (Subpart A) Heading 2005 revised; eff. 11–13–06 ...... 53585 49 CFR 70 FR 575.6 Regulation at 70 FR 35551 eff. Page date delayed ...... 35559 Chapter V 575.301 (Subpart D) Added; eff. 11– 572.160 (a)(1)(iii) and (v) re- 13–06 ...... 53585 vised...... 77338 578.6 (a)(2) redesignated as (a)(3); 572.161 (a) Table A amended...... 77338 new (a)(2) added; (a)(1) and new 572.165 (a) and (b)(1) revised ...... 77338 (3) revised ...... 28281 573 Actions on petitions...... 16742 582.5 Regulation at 70 FR 35551 eff. 573.6 (b) revised...... 38814 date delayed ...... 35559 575.6 Amended; eff. 6–21–06...... 35557 585.14 (c) redesignated as (d); new 575.103 (e)(2)(ii) revised ...... 39970 (c) added; eff. 11-29-06...... 51779 575.104 Appendix A amended ...... 20723 585.15 (b)(3) added; (d) revised; eff. 577.5 (g)(1)(vii) revised ...... 35557 11-29-06 ...... 51779 577.7 (c)(1) revised ...... 38814 585.16 Revised; eff. 11-29-06 ...... 51779 577.13 (c) removed; (d) redesig- 591 Actions on petitions...... 10846 nated as new (c)...... 38815 592 Actions on petitions...... 10846 578.6 (f)(1) and (g)(1) amended; 593 Appendix A revised...... 56029 (g)(2) revised; eff. 10–11–05...... 53311 594 Actions on petitions...... 10846 579.28 (b) revised...... 2023 594.6 (a) introductory text, (b), (d) 582.5 Amended; eff. 6–21–06...... 35557 and (i) revised; (h) amended...... 43989 585.61—585.68 (Subpart G) 594.7 (e) revised...... 43990 Added ...... 18190 594.8 (b) revised; (c) amended...... 43990

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49 CFR—Continued 71 FR 49 CFR—Continued 72 FR Page Page Chapter V—Continued 585.81—585.88 (Subpart I) 594.9 (c) revised...... 43990 Added ...... 17316 594.10 (d) revised ...... 43990 585.91—585.97 (Subpart J) Chapter VI Added ...... 25523 655.3 (a) introductory text re- 593 Appendix A revised...... 54849 vised; (c) added ...... 69198 Chapter VI 655.83 (d) added ...... 69198 601.40—601.47 (Subpart D) 661 Authority citation revised ...... 14117 Added ...... 912 661.3 Revised ...... 14117 613.100 (Subpart A) Revised ...... 7285 661.6 Revised ...... 14117 613.200 (Subpart B) Revised ...... 7285 661.7 Appendix A amended ...... 14117 624 Authority citation and head- 661.9 (b) and (d) revised...... 14117 ing revised ...... 15052 661.12 Revised ...... 14117 624.1 Revised ...... 15052 661.13 (b) introductory text, (1), 624.3 (a) and (c)(3) through (6) re- (2) and (c) revised; (b)(1)(i) and vised...... 15053 (ii) added ...... 14117 624.5 Revised ...... 15053 661.15 (a), (b), (d) and (g) re- 624.9 Revised ...... 15053 vised...... 14118 624.11 (a) introductory text and 661.17 Revised ...... 14118 (c) revised...... 15053 661.19 Revised ...... 14118 624 Appendix A removed ...... 15054 661.20 Revised ...... 14118 630 Revised ...... 68761 663 Authority citation revised ...... 14118 661 Authority citation amend- 663.37 (c) revised ...... 14118 ed ...... 53696 661 Heading revised; eff. 10–22– 2007 07...... 53696 661.1 Amended; eff. 10–22–07 ...... 53696 49 CFR 72 FR Page 661.3 Revised; eff. 10–22–07 ...... 53696 573 Authority citation revised ...... 32016 661.6 Amended; eff. 10–22–07 ...... 53696 573.6 (c)(10) revised; (c)(11) re- 661.7 (a), (c), (e), (f) and Appendix moved; (c)(12) redesignated as A amended; (b) revised; (c)(3) new (c)(11) and revised...... 32016 added; eff. 10–22–07...... 53697 573.9 Revised ...... 32016 661.9 (a) amended; eff. 10–22-07 ...... 53697 573.10 (a) revised ...... 32016 661.11 (s) removed; (t)(14) through 575.301 (b), (e)(4)(iii), (v), (5)(iii), (22), (u)(18) through (30), (v)(28), (v), (10)(ii), (f)(2) and (3) re- (29), (30) and Appendix D added; vised; (e)(4)(iv), (vi), (5)(iv), Appendices B and C amended; (vi), (6)(iii), (f)(4) and (5) eff. 10–22–07 ...... 53697 amended; eff. 10–12–07...... 45176 Appendix D corrected; eff. 10–22– 577.5 (a) and (g)(1)(vii) introduc- 07 ...... 55103 tory text revised ...... 32016 661.12 Amended; eff. 10–22–07...... 53698 579 Authority citation amend- 661.18 Introductory text amended ...... 29443, 32017 ed; eff. 10–22–07 ...... 53698 579.4 (c) amended; eff. in part 1–1– Chapter VIII 08...... 29443 801 Revised ...... 18915 579.5 (a) revised...... 32017 579.6 (a) revised...... 32017 2008 579.21 (d) amended ...... 29443 579.22 (d) amended ...... 29443 49 CFR 73 FR 579.23 (d) amended ...... 29443 Page 579.24 (d) amended ...... 29443 Chapter V 579.25 (d) amended ...... 29444 572.180 (a)(1), (2) introductory 579.28 (f)(2)(i) and (ii) revised ...... 29444 text, (3), (b) and (c)(1) re- 579.29 (f) revised...... 32017 vised...... 33920 585 (Subpart H) Added...... 17316 572.181 (a), (b) and (c) revised ...... 33921 585.71—585.77 (Subpart H) Added; 572.183 (a) Table 1 heading, (b)(1), eff. 11–13–07 ...... 51972 (5) and (c)(1) revised ...... 33921

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49 CFR—Continued 73 FR 49 CFR—Continued 74 FR Page Page Chapter V—Continued Chapter V—Continued 572.185 (b)(1)(i) and (c)(2) re- 572.195 (b)(7), (c)(1)(ii), (2) and (3) vised...... 33921 revised; (b)(11) and (12) 572.187 (b)(1) and (5) revised ...... 33921 added...... 29895 572.188 (b)(4) and (c) revised; (b)(6) 572.196 (b)(3), (c)(1)(i), (iii), (2) and added...... 33921 (3) revised; (b)(10) added ...... 29895 572.180—572.189 (Subpart U) Ap- 572.197 (b)(3), (9), (c)(1) and (2) re- pendix A amended...... 33921 vised; (b)(10) added ...... 29896 574.7 (a)(2) and (3) revised; (d) fig- 572.198 (b)(7), (c)(2) and (3) revised; ures 3a, 3b and 4 removed; (e) (b)(11) and (12) added ...... 29896 and (f) added ...... 72368 572.199 (a), (b)(4) through (9), 574.8 Revised ...... 72368 (c)(1), (2) and (3) revised; (b)(10) 578.6 (f)(1) and (h)(1) revised ...... 9956 and (11) added...... 29896 585.31—585.37 (Subpart D) Re- 572.200 (j) revised ...... 29896 vised...... 66801 572.190—572.200 (Subpart V) Ap- 585.75 Revised ...... 32485 pendix A amended...... 29896 585.76 (a), (b), (c) and (d)(2) re- 573.6 (c)(2)(iii) and (iv) revised; vised...... 32485 eff. 10-19-09...... 47757 585.77 Revised ...... 32485 579.4 (c) amended; eff. 10-19-09...... 47757 593 Appendix A revised...... 56743 579.21 Heading revised; introduc- 594.6 (a) introductory text, (b), (d) tory text amended; eff. 10-19- and (i) revised; (h) amended...... 54986 09...... 47757 594.7 Heading and (e) revised ...... 54986 579.22 Heading, introductory text 594.8 (b) revised; (c) amended...... 54986 and (b) introductory text re- 594.9 Heading revised; (d) and (e) vised; eff. 10-19-09 ...... 47757 added...... 39896 579.23 Heading revised; introduc- (c) revised ...... 54986 tory text amended; eff. 10-19- 594.10 (d) revised ...... 54986 09...... 47758 579.24 Heading revised; introduc- Chapter VI tory text amended; eff. 10-19- 604 Revised ...... 2345 09...... 47758 Authority citation added ...... 44931 579.27 Heading revised; eff. 10-19- 604 Appendices B and C re- 09...... 47758 vised...... 44931 579.29 (a)(3) added; eff. 10-19-09 ...... 47758 Appendix D revised ...... 44935 580 Determination...... 643 Appendix D correctly amended 585.111—585.117 (Subpart L) ...... 46554 Added ...... 22387 605 Policy statement ...... 53384 593 Appendix A revised...... 41069 622.101 (Subpart A) Authority ci- 599 Added ...... 37897 tation revised ...... 13401 599.201 (a)(1) revised...... 38976 622.101 Revised...... 13401 599.300 (a), (d) introductory text, (2) and (3) revised ...... 38976 2009 599.600—599.603 (Subpart F) Added ...... 49340 49 CFR 74 FR Page 599 Appendix A revised...... 38976 Chapter V Appendix E revised...... 38981 572.137 (a) and (b) amended ...... 29894 Chapter VI 572.190 (a)(1), (2) introductory 622 Authority citation revised ...... 12530 text, (3), (b) and (c)(1) re- 661.3 Appendix A revised ...... 30239 vised...... 29894 661.5 (c) revised...... 30239 572.191 (a), (b) and (c) revised ...... 29895 661.7 Appendix A revised ...... 30239 572.193 (c)(1) revised ...... 29895 661.11 (v)(31) added ...... 30239 572.194 (b)(7), (10) and (c) revised; 661.12 Amended...... 30239 (b)(11) added ...... 29895 665 Revised ...... 51089

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2010 49 CFR—Continued 75 FR Page (Regulations published from January 1, Chapter V—Continued 2010, through October 1, 2010) 594.7 (e) amended ...... 48613 49 CFR 75 FR 594.8 (b) and (c) amended ...... 48613 Page 594.9 (c) and (e) revised ...... 48613 Chapter V 594.10 (d) revised ...... 48613 575 Authority citation revised ...... 15944 595.6 (a) introductory text cor- 575.1 Revised ...... 15944 rectly revised ...... 47489 575.2 (a) and (c) revised ...... 15944 595.7 (c)(1), (3) and (14) correctly 575.3 Revised ...... 15944 revised ...... 47489 575.104 (e)(2)(ix)(C), (f)(1)(ii) 599.401 (a)(3) revised; (d) added ...... 5251 through (v) and (vii) revised ...... 15944 Chapter VIII 575.106 Added ...... 15945 578 Authority citation revised...... 5248 830 Authority citation revised ...... 927 578.6 (a)(2)(ii), (c)(2), (d), (f)(1), 830.2 Amended; eff. 10-25-10...... 51955 (g)(1) and (2) revised...... 5248 830.5 Introductory text, (a) intro- 580 Determination...... 20925 ductory text, (3), (4), (5) and 593 Appendix A revised...... 57398 footnote 1 revised; (a)(8) 594.6 (a) introductory text, (b) through (12) added...... 927 and (i) revised; (d) and (h) 830.15 (a)(12) and Footnote 1 cor- amended...... 48612 rectly revised ...... 35330 Æ

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